Ministry of Education ACADEMIC RESEARCH FUND TIER 1

Ministry of Education ACADEMIC RESEARCH FUND TIER 1 Administrative Guidelines and Financial Regulations for Administrators & Principal Investigators Revised on 1

Academic Research Fund Tier 1 CONTENTS Administrative Guidelines for Administrators / Principal Investigators Summary of Key Clauses & Glossary 3-8 Administrative Guidelines for Administrators / Principal Investigators 9-16 1 Introduction 9 2 Application and Approval for Project Grant 9-10 3 Disbursement of Grant 11 4 Performance Management 11 5 Reports Submission 11-12 6 Intellectual Property 12 7 Training & Education Programmes 12 8 Grant Variation 12-13 9 Budget Revision 13 10 Change of PIs/Change of scope of project 13-14 11 Grant Extension 14 12 Termination of employment and/or project grant 14-15 13 Closure of Project Accounts 15 14 Submission of Final Reports 15 15 Compliance of Administrative Guidelines 15 16 Miscellaneous 15 Financial Regulations on Expenditure and Payment 16 Annex A Criteria for AcRF Tier 1 funding 17 2

AcRF Tier 1 Administrative Guidelines for Administrators / Principal Investigators (PIs) Summary of Key Clauses Dear Grant Recipients and Administrators This summary is presented with the intent to draw your attention to those Administrative Guidelines of special importance and should be read in conjunction with the full set of Guidelines. Please refer to the Glossary for definitions of the terminology used in this document. In signing the Letter of Acceptance, PIs have agreed to abide by the AcRF Administrative Guidelines. 1 Introduction These guidelines are for AcRF Tier 1 approved research projects as seen in the table below: Level Requested Total Project Value (TPV) Applicable Discipline Clusters FRC TPV < $180,000 TPV < $150,000 For Sciences and Engineering clusters For Humanities cluster URC $180,000 TPV < $500,000 For Sciences and Engineering clusters, excluding Pure Mathematics and Statistics $180,000 TPV< $250,000 Only for Pure Mathematics & Statistics [Please note: Some clauses may differ from Tier 2 (ARC, MOE) guidelines. Please refer to AcRF Tier 2 Administrative Guidelines and Financial Regulations for Tier 2 grant funding.] 2 Application and Approval for Project Grant Application FRC and URC will announce their grant calls separately. PIs should check with the Faculty s VDR Office for details on application and submission procedures. Approval & Grant Acceptance Budget requests for exceptional items or items not fundable under AcRF Tier 1 Fundable/Non- Fundable Items Guidelines require approval by Director, DRA for FRC proposals and DP (R&T) for URC proposals. PIs and Approving Authority should refer to the AcRF Tier 1 Fundable/Non- Fundable Items Guidelines when applying for and evaluating proposal applications respectively. Where relevant, PIs must satisfy any necessary research compliance before official project commencement and grant disbursement. This includes projects which require Ethics Approval, Risk Assessment clearance, Approval for research to be conducted overseas (eg. Malaysia), Research Collaboration Agreement (for research involving official external i.e. non-nus collaboration or funding) etc. PI must submit the Letter of Acceptance [Form LOA] and Budget Phasing Form to the Approving Authority within 2 weeks from the date of the initial approval notification. At the same time, PI should submit application(s) for Ethics/Research Compliance(s) to the relevant Compliance Office(s), if applicable. The Ethics/Research Compliance Approval should be submitted to the Approving Authority within 5 months from the date of the initial approval notification. PIs will be required to start the project within 6 months from the Approving Authority s initial approval notification. As such, PI should not delay in seeking the necessary ethics and/or research compliance approvals so as to ensure timely project commencement. 3 Disbursement of Grant MOE will disburse the AcRF Tier 1 grant as reimbursement for the expenditure incurred. For completed projects, the PI must clear any outstanding payments within 1 month from project completion date. The University must close the account within 3 months project completion date using Form RGF6. No claims for reimbursement will be allowed after the closure of project account. 3

4 Performance Management The Approving Authority shall assess the performance of the AcRF Tier 1 projects using the following benchmarks: (a) Number of manpower recruited and trained under the AcRF grant; (b) Number of publications and their impact factors; (c) List of invitations to speak at conferences or seminars; (d) Number of patents filed and granted; (e) List of awards related to the project funded; (f) Licensing revenues; and (g) Overall management of research project. 5 Reports Submission PIs are required to submit Annual Progress Reports [Form RGF4- Tier 1] annually. PIs who failed to submit the Annual Progress Reports may be: - denied any grant variation or extension until such progress reports are submitted; and - issued a not submitted status in the Annual Progress Report for final reporting; Approving Authority for: FRC projects Chairman, FRC; URC projects Director, DRA. 6 Intellectual Property (a) The Intellectual Property arising from AcRF Tier 1 projects will be owned by the university; (b) In consideration of the funding provided by AcRF, the university shall grant MOE, upon the written request of MOE, free of any additional charge, a perpetual, non-exclusive licence to use the IP to any government agencies in Singapore for non-commercial use; and (c) If MOE decides to participate in the licensing arrangement with the university, MOE shall prepare and enter into an appropriate licensing agreement with the university setting out the terms in the preceding paragraph. 7 Training & Education Programmes The University shall assign any PIs or any other research staff involved in the research under the AcRF Tier 1 grant to participate in any of the following programmes: (a) Present their research work in MOE Schools and Institutes of Higher Learning; (b) Organise teacher enrichment programmes; or (c) Support the Approving Authority s/moe s initiatives in creating a research culture in Schools and Institutes of Higher Learning. 8 Grant Variation Approval is required for variation of grants within and/or across budget categories using Form RGF2 Tier 1. PIs are not allowed to vary project grants for purchase of items that should not be funded under AcRF Tier 1, regardless of variation amount, unless formal approval is given. General Policy on purchase of equipment: There shall be no purchase of equipment 3 months before project completion date. PIs should take note when managing their grants. Approving Authorities for Grant Variations: Within Categories For Tier 1 - FRC grant FRC may approve all variation requests for FRC grants Note: FRCs may delegate the approving authority for variation requests to Departments if preferred. For Tier 1 - URC grant Up to $20,000 per request FRC Above $20,000 DRA 4

Across categories Up to $50,000 per request (up to $50,000 cumulative) without change in the total project value and research objectives FRC. Above $50,000 per request without change in the total project value and research objectives DRA. Exceptional items Approval by Faculty Dean/ Nominee ** Approval by DP (R&T) Note: Variations for purchase of items that have not been originally approved under the grant and items that are nonfundable under the AcRF guidelines should be approved by the respective grant s Approving Authority, regardless of the variation amount. Variation Within Categories refers to changes to approved items within EOM, within Equipment or within OOE (from/to Materials & Consumables, Overseas Travel, and Training/Misc). Variation Across Categories refers to transfer of funds from/to EOM, Equipment and OOE. Exceptional Items refers to variation of grant to pay for items that require special approval by Approving Authority and/or not fundable under Tier 1 funding (Annex C of RGF Supplementary). ** For variations of exceptional items under FRC funded projects, VDR office is to copy DRA in their approval conveyances to PI. 9 Budget Revision Approval is required for Increase in Total Project Value or the approved funding quantum. Request for Budget Revision should be submitted using Form RGF3 - Tier 1. Approving Authorities for: FRC Projects Chairman of FRC; URC Projects Director, DRA. The budget augmentation will be borne by the Approving Authority. Approving Authority for exceptional items or items that are not fundable by AcRF Tier 1 Funding: Director, DRA (for FRC projects); Deputy President (R&T) - (for URC projects) 10 Change of PIs/Change of scope of project Approval is required for changes/amendments to the project. Request for change of PIs and/or project scope (excluding grant variations and budget revision) should be submitted using Form RGF1 Tier 1. The PI is to provide the Approving Authority 3 months notice if the: a. PI wishes to transfer to another University; b. PI s contract has expired; or c. PI s employment with the University has been terminated. PIs who wish to nominate new persons to take over their projects must obtain approval from the Approving Authority by submitting the CV of the nominees and documentary concurrence from their HODs and Faculties, using Form RGF1 Tier 1. If no suitable person can be found to take over the project, or the change of PI is not approved, the funding for the project shall be terminated by the Approving Authority. Approving Authority for: FRC projects Chairman, FRC; URC projects Director, DRA. 5

11 Grant Extension The need for grant extension should be project-based and not merely for continuation of manpower appointments. The total period of grant extension is capped at 6 months, unless there are very compelling reasons to extend for a longer period. Request for grant extension should be submitted to the Approving Authority at least 3 months before the project s completion date, using Form RGF1 Tier 1. The Approving Authority reserves the right to reject any late request. Approving Authority for: FRC projects Chairman, FRC; URC projects Director, DRA 12 Termination of employment and/or project grant Termination of employment PI is responsible for informing the Approving Authority, through the Faculty, at least three (3) months before their contract expires with the university or if there is a termination of employment by the university. Current University guidelines on resignation/termination of appointment (including Procedures of Handing Over) shall apply (see Clause 12.2 in the full set of Guidelines). Termination of project grant Approval is required for termination of grant. Request for termination of grant should be submitted using Form RGF1 Tier 1. Faculty should explore all possible options to bring the project to proper completion before consideration of project termination. Faculty and PI should ensure that a Final Report is submitted prior to the PI s departure. Approving Authority for: FRC projects Chairman, FRC; URC projects Director, DRA. 13 Closure of Project Accounts FRC is to close the research project account (FRC and URC) within 3 months from the date of project completion. No reimbursements will be made for any expenditure incurred after the project completion date. 14 Submission of Final Reports PIs are required to submit a Final Report Form RGF5 Tier 1 within 1 month from date of project completion. No reimbursements will be made for any expenditure incurred after the project completion date. PIs who fail to submit the Final Reports will not be eligible for future AcRF Tier 1 and/or Tier 2 grant applications. Approving Authority for: FRC projects Chairman, FRC; URC projects Director, DRA. 15 Compliance of Administrative Guidelines If PI does not comply to the administrative guidelines, the Approving Authority may: (a) withhold or withdraw funding; (b) disqualify the PI from subsequent AcRF Tier 1 and/or Tier 2 funding; and/or (c) carry out any actions as the Approving Authority deems appropriate. 16 Miscellaneous MOE reserves the right to change, including without limitation, modify, delete or replace the information and materials set out in this document unilaterally. MOE shall notify the Universities in writing, enclosing the revised terms and conditions, accordingly. DRA will inform the Faculties/Schools of any changes made by MOE to the forms as well as the terms and conditions of AcRF. 6

Financial Regulations on Expenditure and Payment Universities and PIs should not commit any expenditure before formal approval of a project. Funding for projects are approved based on the Approving Authority s Financial Year funding allocation (e.g. FY2010 1 April 10 to 31 Mar 11). PIs should not issue any purchase orders or incur any invoices or payments before the stipulated Financial Year and formal approval of a project. Use of funds shall be subject to NUS guidelines and regulations. In particular, (i) No new expenditure should be incurred/purchase orders made after the project completion date. (ii) The project account will be closed within 3 months of the project completion end date during which time any outstanding claims for payment (for expenditure incurred/commitments made within the grant award period) must be settled. No claim/s for reimbursement can be made after the closure of project account. To ensure tighter budgetary control, better utilisation of resources and proper budgeting of grant applicants, universities should achieve a minimum utilisation rate of 95% of the total approved budget or suffer a penalty on the baseline budget for the next FY. 7

AcRF or ARF ARC Approving Authority DP(R&T) FRC GLOSSARY Academic Research Fund. Comprises two levels of funding, Tier 1 (administered by the University) and Tier 2 (administered by MOE). Academic Research Council. Approving Authority for Tier 2 projects. Secretariat is Ministry of Education. Refers to FRC, URC or ARC Deputy President (Research & Technology). Faculty Research Committee, chaired by Faculty Dean/nominee. FRC is the Approving Authority for FRC level proposal applications. Financial Year / FY Period: 1 Apr xx to 31 Mar xx (eg. FY2009 1 April 2009 to 31 March 2010) HOD MOE DRA PI TPV Tier 1 Head of Department Ministry of Education. Allocates Tier 1 funding to the University. Administers Tier 2 funding. Division of Research Administration, Office of DPRT. Central Administration Office. Develops, manages and co-ordinates the University s research activities. Principal Investigator Total Project Value of a grant. That is, the amount requested or approved. FRC Level funds projects with TPV less than $180,000/ $150,000 (For Humanities) URC Level funds projects with TPV between $180,000 and $499,999 (Sciences and Engineering)/ $250,000 (Only for Pure Mathematics & Statistics) Tier 2 URC VDR Office ARC Level funds Sciences projects with TPV from $500,000 (Sciences and Engineering)/ $250,000 (Only for Pure Mathematics & Statistics); and ABHSS projects with TPV from $150,000 University Research Committee, chaired by Deputy President (Research & Technology). URC is the Approving Authority for URC-level proposal applications. Vice-Dean of Research Office, Faculty Dean s Office. AcRF Forms please visit the https://staffportal.nus.edu.sg/staffportal/portal/research.html for the latest AcRF forms and guidelines Form LOA Statement of Undertaking/Letter of Acceptance which the PI must submit to accept the grant. Form RGF 1 Tier 1 Form RGF 2 Tier 1 Form RGF 3 Tier 1 Request for project amendments including change in PIs, change in project scope, extension and termination of grants. Request for grant variation within and/or across budget categories. Request for Budget Revision (increase in TPV) Form RGF 4 Tier 1 Form RGF 5 Tier 1 Form RGF 6 Tier 1 Annual Progress Report. To be submitted for ongoing projects for each Financial Year of the project duration. For projects with project completion date between 1 April and 31 August, PI needs to submit Final Report only. Final Report. To be submitted by PI within 1 month from project completion date or prior to PI s departure from NUS (i.e. for resignation cases) For Closure of Project Account. 8

Administrative Guidelines for Administrators/ Principal Investigators (PIs) 1. Introduction 1.1. The MOE Academic Research Fund (AcRF) Tier 1 supports research in Singapore based autonomous universities 1 that have academic significance and a good potential for creating new knowledge that will benefit the larger academic community. The research outcomes should also drive future research, potentially leading to innovations and discoveries. 1.2. AcRF Tier 1 funds research projects on a competitive basis within the Faculties (i.e. Faculty-level funding approved by FRC) and across Faculties (i.e. University-level funding approved by URC). Each grant 2 proposal submitted should have a total project value (TPV) of (i) less than $180,000 (Science & Engineering)/ $150,000 (Humanities) for FRC projects; and (ii) between $180,000 and $499,999 (Sciences & Engineering)/ $249,999 (Only Pure Mathematics & Statistics) for URC projects, typically over a three - year duration. 2. Application and Approval for Project Grant Application 2.1. Principal Investigators (PIs) and Co-Investigators 3 (Co-PIs) must be tenure-track academic faculty or research track on Faculty EOM budget (such as Research Assistant Professor, Research Associate Professor and Research Professor) 4. Collaborators 5 have to be fully based in Singapore 6 and the research funded under AcRF Tier 1 has to be conducted in Singapore. 2.2. The call for AcRF Tier 1 FRC proposals will be decided by the Faculty. 2.3. The call for AcRF Tier 1 - URC proposals will be held twice a year in Aug/ Sept and Feb/ Mar (subject to changes by DRA). 2.4. Applicants should submit their grant proposals using prescribed forms and format for Tier 1. The grant call and closing dates will be communicated to the applicants by the Approving Authority through its Secretariat/Administrative Office. 2.5. Applicants should consider the respective FRC and URC funding criteria provided in Annex A when deciding on which level of funding to apply for. FRC and URC grants will be capped at $180K and $500K (with reference to point 1.2) respectively contingent upon satisfactory progress as assessed during annual reviews. PIs, Co-PIs and Collaborators shall not send similar version or part(s) of the current AcRF proposal to other agencies for funding. 2.6. Applicants and Approving Authority should refer to the AcRF Tier 1 Fundable/Non- Fundable Items Guidelines when applying for and evaluating proposal applications respectively. 1 Universities include National University of Singapore (NUS), Nanyang Technological University (NTU) and Singapore Management University (SMU). 2 Grant means the fund disbursed under the MOE Academic Research Fund Tier 1. 3 Co-investigator means the person or persons named in the Project Grant Approval as a Co-Investigator. 4 The salary of the full-time academic faculty and/or research track is supported by the institution s block budget. 5 Collaborator means the person or persons named in the Project Grant Approval as a Collaborator. 6 The co-investigators and collaborators must reside and work in Singapore. In addition, their research labs must be located in Singapore. 9

While MOE encourages AcRF Research Scholars to gain as much exposure in research as possible, MOE does not allow these students to be hired as paid student assistant (e.g. graduate student researcher) using other form of AcRF funding (e.g. Tier 1 or Tier 2 research grants). Approval of Project Grant & Ethics Approval 2.7. Budget requests for exceptional items or items not fundable under AcRF Tier 1 require approval by Director, DRA for FRC proposals and Deputy President (Research & Technology) for URC proposals. 2.8. PIs will be notified of the results of their applications through the Approving Authority s Secretariat/Administrative Office. Appeals for unsuccessful applications would not be entertained. 2.9. Applicants whose proposals have been rejected for AcRF Tier 1 funding are ineligible for resubmission in the same form. 2.10 Applicants, whose proposals have been invited for resubmission, may do so during the next grant call, but has to provide a point-by-point rebuttal to the expert panel s comments and address any concerns raised. 2.11 PI must submit the Letter of Acceptance [Form LOA] and Budget Phasing Form to the Approving Authority within 2 weeks from the date of the initial approval notification. At the same time, PI should submit application(s) for Ethics Research Compliance(s) to the relevant Compliance Office(s), if applicable. The Ethics/Research Compliance Approval should be submitted to the Approving Authority within 5 months from the date of the initial approval notification. 2.12 The start date of the project is the date on which the WBS account for the AcRF Tier 1 project is activated. The project must start within 6 months from the Approving Authority s initial approval notification to the PI. As such, PI should not delay in seeking the necessary ethical and/or research compliance approvals so as to ensure timely project commencement. 2.13 Where applicable, PIs have to obtain full Ethics Approval (applicable for projects involving cells, humans or animals etc) and other research-related approvals from relevant authorities before the AcRF Tier 1 research grant (WBS) account can be activated. For multi-institution projects or trials, Ethics Approval must be obtained from each participating institution. For projects with revision, an updated ethics approval is required before fund disbursement. If research is to be conducted outside of Singapore, PIs are responsible for liaising with the relevant authorities on any regulations to be adhered to, and obtaining the necessary approvals before account activation and project commencement. PIs bear the full responsibility to ensure that proper approval is obtained. The Approving Authority s Secretariat/Administrative Office should ascertain that the necessary approvals are in place before WBS activation. 2.14 PIs of on-going projects which required ethical review annually or once every two years must keep the Approving Authority informed of any changes to the protocol. PIs who are in the process of obtaining new ethics approval for new trials or for new procedures are not allowed to use the AcRF to conduct recruitment or to carry out parts of the research requiring ethics approval. PIs bear the full responsibility to ensure that proper ethics approval is obtained for the projects or parts of the projects. 10

2.15 In the event that any ethics/research compliance approval is withdrawn or suspended, affected PIs are to inform the Approving Authority of such decisions immediately. Approving Authorities/MOE reserves the right to withhold funding in such situations. 3. Disbursement of Grant 3.1. Universities should in the first instance pay for the expenditure incurred for approved projects and subsequently claim for reimbursement from MOE. MOE will disburse the AcRF Tier 1 grant as reimbursement for the expenditure incurred. 3.2. Universities should use MOE s prescribed grant request form to claim for reimbursement for AcRF Tier 1 projects. The form should be submitted on a bimonthly basis according to MOE s stipulated grant release schedule and submission deadline. The claims for reimbursement submitted by the Universities must be certified as true and correct by the Chief Financial Officer and Internal Auditors of the respective Universities. 4. Performance Management 4.1. The Universities should use its best efforts and due diligence to develop the project with a view of making the project commercially viable in Singapore, as promptly as is reasonably and commercially feasible. The Universities should keep MOE informed as to the Universities progress in such development, production and/or sale. 4.2. In the absence of exploitation or commercialisation opportunities in Singapore, the Universities should submit to MOE a request for consent to exploit the project overseas. As a condition of granting such consent, MOE will require an agreement with the Universities to be signed. 4.3. The Universities agree to register intellectual property (IP), insofar as IP is registrable, under the IP registration system in Singapore and any foreign governmental agency which requires such registration, and the Universities shall pay all costs and legal fees in connection therewith. 4.4. The Universities may publish at any symposia, national, international or regional professional meetings or in any journal, thesis, dissertation, newspaper or otherwise. All publications shall acknowledge the funding support by MOE by citing the Grant name Singapore Ministry of Education Academic Research Fund Tier 1. Universities shall ensure that the protection of any IP is not compromised as a result of the publication of the research project. 4.5. The Approving Authority shall assess the performance of the AcRF Tier 1 projects using the following benchmarks: a. Number of manpower recruited and trained under the AcRF grant; b. Number of publications and their impact factors; c. List of invitations to speak at conferences or seminars; d. Number of patents filed and granted; e. List of awards related to the project funded; f. Licensing revenues; and g. Overall management of research project. 5. Reports Submission 5.1. PIs are to submit progress reports for each project annually, or upon request by the Approving Authority, using Form RGF4 Tier 1. One Softcopy and one hardcopy should be submitted to the Approving Authority through the Department and Faculty as applicable. 11

5.2 PIs who failed to submit the Annual Progress Reports may be: a. denied any grant variation or extension until progress reports are submitted; and/or b. issued a not submitted status in the Annual Progress Report for final reporting; 5.3 PIs do not need to submit their Annual Progress Report if the project completion date falls between 1 April and 31 August. 6. Intellectual Property 7 6.1. The intellectual property created by the university shall be owned by the university that receives the AcRF Tier 1 funding. 6.2. In consideration of the funding provided under the Academic Research Fund, the university shall grant the Ministry of Education (MOE), upon the written request of MOE, free of any additional charge, a perpetual, non-exclusive licence to use, adapt, modify, reproduce or sub-licence the IP to any government agencies in Singapore for noncommercial use. 6.3. If MOE decides to participate in the licensing arrangement with the university, MOE shall prepare and enter into an appropriate licensing agreement with the university setting out the terms in the preceding paragraph. 7. Training & Education Programmes 7.1. The University shall assign any PIs or any other research staff involved in the research under the AcRF Tier 1 grant to participate in any of the following programmes: (a) Present their research work in MOE Schools and Institutes of Higher Learning; (b) Organise teacher enrichment programmes; or (c) Support the Approving Authority s/moe s initiatives in creating a research culture in Schools and Institutes of Higher Learning. 8. Grant Variation 8.1 Grant variation across categories If there is a need for PIs to re-allocate approved funds from one category to another without a change in the overall funding quantum, approval should be obtained from the respective Approving Authorities as follows, before incurring any expense: For Tier1 FRC projects FRC may approve all variation requests for FRC grants Notes FRC may also delegate the approving authority for variation requests to the Departments if preferred. For Tier 1 URC projects Up to $50,000 per request (up to $50,000 cumulative) without change in the total project value and research objectives approval from FRC. Above $50,000 per request without change in the total project value and research objectives approval from DRA. 8.2 Grant variation within categories 7 Intellectual Property means all know-how and intellectual property rights (including patents, copyrights, trademarks, designs, trade secrets, rights in confidential information, mask-works, and semi-conductor lay-out designs) worldwide arising under statutory or common law, and whether perfected. The university shall also procure that their RCE s research team which may include matriculated students, staff and other parties (external consultants or independent contractors) to enter into a written agreement to assign the IP to the university. 12

All expenditure must be based on the proposed budget listed in the PI s budget phasing form. If there is a need for PIs to re-allocate funds for approved items within EOM, within Equipment or within OOE (from/to Materials & Consumables, Overseas Travel, and Training/Misc) without a change in the budget for that category, approval should be obtained from the respective Approving Authorities as follows, before incurring any expense: For Tier1 FRC projects FRC may approve all variation requests for FRC grants Notes FRC may also delegate the approving authority for variation requests to the Departments if preferred. For Tier 1 URC projects Up to $20,000 per request approval from FRC. Above $20,000 approval from DRA. 8.3. AcRF Tier 1 project grant variations must be submitted using the prescribed forms (Form RGF2 - Tier 1). 8.4. PIs are not allowed to vary project grants for purchase of items that are not fundable under AcRF Tier 1, regardless of variation amount, unless formal approval is given by Faculty Dean/ Nominee (FRC projects) and DP(R&T) (for URC projects). For variations of exceptional items under FRC funded projects, VDR Office is to copy DRA in their approval conveyances to PIs. 8.5. General Policy on purchase of equipment: There shall be no purchase of equipment 3 months before project completion date. PIs should take note of this in managing their grants. 9 Budget Revision 9.1. In the course of the project, if there is a good reason for PIs to request for an increase in the previously approved funding quantum, PIs must seek approval using the prescribed form (Form RGF3 Tier 1). 9.2. The following authorities will be consulted for the budget revision: FRC Projects Chairman of FRC URC Projects Director, DRA The budget augmentation will be borne by the Approving Authority. The decision of the Approving Authority is final and conclusive. No further appeals will be entertained. 9.3. For any exceptional items or items that are not fundable under AcRF Tier 1 in the AcRF Tier 1 Fundable/Non-fundable guidelines, approval is required from Director, DRA for FRC projects, and DP (R&T) for URC projects. 10 Change of PIs/ Change of Scope of Project 10.1 The PI, through the Faculty, will provide the Approving Authorities 3 months notice if the: a. PI wishes to transfer to another University; b. PI s contract has expired; or 13

PI s employment with the University has been terminated. Nomination of new PI 10.2 PIs who wish to nominate new persons to take over their projects must obtain approval from the Approving Authority by submitting the CV of the nominees and documentary concurrence from their HODs and Faculties, using Form RGF1 Tier 1. 10.3 New PIs are required to seek concurrence from their HODs and sign a Letter of Acceptance for each of the projects. 10.4 In the event that the PI could not find any suitable person to take over the project, or the change of PI is not approved by the Approving Authority, the Approving Authority reserves the right to terminate funding for the project. 10.5 The change of PIs will have to be approved by the Approving Authority. The decision of the Approving Authority is final and conclusive and no further appeals will be entertained. Change of Scope of Project 10.6 Any change of scope of the project, submitted using Form RGF1 Tier 1 will have to be supported by the Faculty and approved by the Approving Authority. 11 Grant Extension 11.1 In the course of the project, PIs who need a longer time than the previously approved project duration must seek the Approving Authority s approval for project grant extension. The need for grant extension should be project-based and not merely for continuation of manpower appointment/s. In the latter case, for continuation of manpower appointments beyond the approved project duration, PIs should seek alternative funding sources (e.g. bridging loan or grant). 11.2 The total period of grant extension is capped at 6 months, unless there are very compelling reasons to extend for a longer period. 11.3 Request for grant extension should be submitted to the Approving Authority at least 3 months before the project s completion date, using Form RGF1 Tier 1. The Approving Authority reserves the right to reject any late request. The request for grant extension must be well-justified and be accompanied by evidence of satisfactory progress (e.g. copies of publication arising from the research, abstracts of conferences attended, schedule of actual implementation, expenditure statement etc). 12 Termination of employment and/or project grant 12.1 The PI is responsible for informing the Approving Authority, through the Faculty, at least three (3) months before their contract expires with the university or if there is a termination of employment by the university. 12.2 Current University guidelines on resignation/termination of appointment shall apply. Please refer to Procedure for Handing Over Projects due to Resignation of PIs (https://staffportal.nus.edu.sg/staffportal/research/manage/resignation.html) for 14

more information. 12.3 Faculty should explore all possible options to bring the project to proper completion (e.g. change in PI) before consideration of project termination. 12.4 The Faculty should closely monitor such cases and ensure that the guidelines are met, and that a Final Report is submitted prior to the PI s departure. 13 Closure of Project Accounts 13.1 All projects are expected to be completed within 3 years from the start date 8 of the project. 13.2 Faculties are to close the research project account within 3 months from the date of project completion. The Approving Authority will not reimburse any expenditure incurred after the project completion date. 13.3 OFS should use Form RGF 6 Tier 1 to close the account for the entire batch of projects and return any unspent funds upon completion of all projects within the same batch. 13.4 PIs should not issue any new purchase orders after the project completion date. 14 Submission of Final Reports 14.1 PIs are to submit their final reports within 1 month after the project completion date, together with all the publications or any other materials that is requested by the Approving Authority, using Form RGF5 Tier 1. The Final Report should reach the Approving Authority within 3 months after the project expiry date. The PI must clear any outstanding payments within 1 month from project completion date. 14.2 PIs who fail to submit the Final Reports will not be eligible for future AcRF Tier 1 and/or Tier 2 grant applications. 15 Compliance of Administrative Guidelines 15.1 In the event of non-compliance of this administrative guidelines, the Approving Authority reserves the right to: 16 Miscellaneous (a) withhold or withdraw the funding; (b) disqualify the PI from subsequent AcRF Tier 1 and/or Tier 2 funding; and/or (c ) carry out any actions as the Approving Authority deems appropriate. 16.1 MOE reserves the right to change, including without limitation, modify, delete or replace the information and materials set out in this document unilaterally. MOE shall notify the Universities in writing, enclosing the revised terms and conditions, accordingly. 16.2 DRA will inform the Faculties/Schools of any changes made by MOE to the forms as well as the terms and conditions of AcRF. 8 The start date of a project is the date reflected in the budget phasing form submitted by the PI to the Approving Authority. 15

Financial Regulations on Expenditure and Payment 1 Universities and PIs should not commit any expenditure before formal approval of a project. 2 Funding for projects are approved based on the Approving Authority s Financial Year funding allocation (eg. FY2010 1 April 10 to 31 Mar 11). PIs should not issue any purchase orders or incur any invoices or payments before the stipulated Financial Year and formal approval of a project. 3 Use of funds shall be subject to NUS guidelines and regulations. In particular, (a) No new expenditure should be incurred/purchase orders made after the project completion date. (b) The project account will be closed within 3 months of the project completion date during which time any outstanding claims for payment (for expenditure incurred/commitments made within the grant award period) must be settled. No claim/s for reimbursement can be made after the closure of project account. 4 Universities and PIs may vary the allocation within their approved budget for the grant, subject to the conditions stated, and shall be responsible and accountable to MOE for all variations approved. 5 Faculties and PIs must seek approval from the Approving Authority for any increase in the previously approved funding quantum. 6 To ensure tighter budgetary control, better utilisation of resources and proper budgeting of grant applicants, universities should achieve a minimum utilisation rate of 95% of the total approved budget or suffer a penalty on the baseline budget for the next FY. 7 Universities and Pls are to follow Universities procurement procedures to ensure that all purchases made using AcRF grants are value for money. 8 Universities should ensure that there are adequate internal financial controls and processes as well as adequate cost control measures to ensure that resources are utilised prudently and cost inefficiencies are minimised. 9 As and when directed by MOE, Universities will allow an auditor appointed by MOE to carry out an audit of its financial and related processes/procedures pertaining to the utilisation of AcRF grants. 16

Annex A Tier 1: FRC funding criteria Tier 1: URC funding criteria Criteria for AcRF Tier 1 funding Principal Investigators must be tenure-track, research track on Faculty EOM budget (such as Research Assistant Professor, Research Associate Professor and Research Professor) or Emeritus faculty members. Staff from the Research Institutes/Centres who do not hold any joint academic appointment with the Department; and research staff (e.g. research fellow, post-doctoral research fellow, visiting staff etc) are not eligible to apply. For staff on teaching or practice tracks, since their primary role is teaching, they should not receive Tier 1 funding unless the importance and quality of the proposed research are strongly endorsed by the HOD and Dean. CRITERIA FOR FUNDING a. The excellence of the proposed project. b. The innovation of the Research. c. The track record and/or promise of the Principal Investigator. d. Priority to bridging funding to maintain key research personnel for up to 1 year whilst academic staff resubmit an external grant application that has narrowly failed to achieve funding. e. Priority to areas of excellence that lack appropriate external funding agencies. f. Special initiatives of the Faculty. g. Lowest priority to established staff (with the exception of Emeritus Professors) working in areas where external funding is readily available. They are expected to seek research funding from external grantors (which includes MOE Tier 2 funding). Established staff who submit meritorious research applications in areas outside the themes of external granting agents may be considered at the Tier 1 FRC level on a case-by-case basis. h. Co-funding of URC-level proposals (i.e. Total Project Value between $180K and $500K) on a case-by-case basis as requested by URC. Principal Investigators must be tenure-track or research track on Faculty EOM budget (such as Research Assistant Professor, Research Associate Professor and Research Professor). Staff from the Research Institutes/Centres who do not hold any joint academic appointment with the Department; and research staff (e.g. research fellow, post-doctoral research fellow, visiting staff etc) are not eligible to apply, nor are staff on the Teaching or Practice tracks. CRITERIA FOR FUNDING a. The excellence of the proposed project. b. The innovation of the Research. c. The track record and/or promise of the Principal Investigator. d. Priority to novel interdisciplinary interactions. e. Priority to areas of excellence that lack appropriate external funding agencies. f. Established staff are not eligible for Tier 1 URC funding in areas where funding is readily available elsewhere. They are expected to seek research funding from external grantors (which includes MOE Tier 2 funding). g. Generally no award to academic staff who have received cumulative amounts of $500K from URC in the past 5 years. 17