Ministry of Education ACADEMIC RESEARCH FUND TIER 2

Ministry of Education ACADEMIC RESEARCH FUND TIER 2 s for Universities and Principal Investigators Approved on 01 Aug 08 1

Academic Research Fund Tier 2 CONTENTS 1. Introduction...3 2. Application and Approval of Project Grant...3 3. Indirect Research Cost & Third Stream Funding...5 4. Disbursement of Grant...7 5. Performance Management...7 6. Reports Submission...9 7. Intellectual Property...10 8. Training & Education Programmes...10 9. Grant Variation...11 10. Budget Revision...12 11. Change of PIs...12 12. Change of Scope of Project...13 13. Grant Extension...13 14. Closure of Project Accounts...14 15. Submission of Final Reports...15 16. Compliance of s...15 17. Miscellaneous...15 2

1. Introduction 1.1. The MOE Academic Research Fund (AcRF) Tier 2 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 2 funds research projects on a competitive basis across Singapore-based universities. Each grant 2 proposal submitted should have a total project value (TPV) of between $500,000 and $1 million over a three - year duration. Projects under the Accountancy, Business, Humanities and Social Sciences discipline cluster with TPV exceeding $250,000 are also eligible for funding under AcRF Tier 2. 2. Application and Approval of Project Grant Application 2.1. Principal Investigators (PI) and Co-investigators 3 (co-pi) need to be full-time academic faculties 4 of NUS, NTU and SMU in order to be eligible for AcRF Tier 2 funding. Collaborators 5 have to be fully based in Singapore 6 and the research funded under AcRF Tier 2 has to be conducted in Singapore. 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 2. 3 Co-investigator means the person or persons named in the Project Grant Approval as a Co-Investigator. 4 The salary of full-time academic faculty 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 collaborators must reside and work in Singapore. In addition, their research labs must be located in Singapore. 3

2.2. The call for AcRF Tier 2 proposals will be held twice a year in Aug and Feb (subject to changes by MOE). Applicants should submit their grant proposals using MOE s prescribed format via MOE s Online Grant Administration System (OLGA). The grant call and closing dates will be communicated to the applicants by the universities Offices of Research (OREs). 2.3. Each grant will normally be capped at S$1.0 mil over a funding period of 3 years, contingent upon satisfactory progress as assessed during annual reviews, although proposals for larger funding for a three-year period may also be considered if well justified. Co-investigators and collaborators shall not send similar versions or part(s) of the current AcRF proposal to other agencies for funding. 2.4. Submitted proposals have to be verified by the OREs and endorsed by the Director of Research (DOR) before it can be considered by MOE for evaluation. PIs should not communicate with MOE directly. OREs shall inform the PIs of the terms set out in this guideline and ensure compliance by the applicants. 2.5. PIs can check the status of their application via the OLGA system. Approval of Project Grant & Ethics Approval 2.6. PIs will be notified of the results of their applications through the OREs. Appeals for unsuccessful applications will not be entertained. 2.7. Proposals which have been rejected for AcRF Tier 2 funding will not be considered in the following grant calls and ORE should ensure that PIs do not resubmit the same proposal for consideration. 4

2.8. 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. 2.9. Where applicable, the PI has to obtain full Ethics Approval and any other research-related approvals (such as risk assessments) from the relevant authorities before the AcRF Tier 2 research grant (WBS) account is activated by the universities' Office of Finance or Office of Financial Services (collectively known as OFN ). The universities' OREs and OFNs should ascertain that the necessary approvals are in place before grant disbursement. 2.10. The start date of the project is the date on which the WBS account for the AcRF Tier 2 project is activated. The activation of WBS account should be within 4 months of the Letter of Offer 7 to the university. 2.11. In the event that any ethics approval is withdrawn or suspended, affected PIs are to inform MOE, through their ORE, of such decisions immediately. MOE reserves the right to withhold funding if ethics approval is not obtained. 3. Indirect Research Cost & Third Stream Funding 3.1. From FY 2007, MOE will support the indirect research cost (IRC) at a flat rate of 20% 8 of the total qualifying direct costs (less exceptional items) of each newly approved AcRF Tier 2 project. Total qualifying direct costs refer to the costs of items approved for funding in the AcRF Tier 2 grant. Exceptional items include but are not limited to: 7 Letter of Offer means the letter that sets out the grants that have been short-listed by MOE. A formal approval by MOE will be given to those who have fulfilled the statutory compliance. 8 The rate of IRC funding is subject to change at any time without prior notification. 5

(a) (b) (c) (d) (e) (f) Equipment costing more than S$100,000; Intellectual property that is needed to carry out the proposed R&D work; Subcontracting of non-research work (e.g., the development of tools for the research); Payment to volunteers and research patients; Infrastructural work 9 that is approved as a direct cost of the research grant; and Research scholarship. 3.2. From FY 2008, MOE will provide a Third Stream Funding (TSF) at a flat rate of 5% of the total qualifying direct costs (less exceptional items) of each newly approved AcRF Tier 2 project. Total qualifying direct costs refer to the costs of items approved for funding in the AcRF Tier 2 grant. Exceptional items include but are not limited to: (a) (b) (c) (d) (e) (f) Equipment costing more than S$100,000; Intellectual property that is needed to carry out the proposed R&D work; Subcontracting of non-research work (e.g., the development of tools for the research); Payment to volunteers and research patients; Infrastructural work 9 that is approved as a direct cost of the research grant; and Research scholarship. 3.3. The TSF should be ring-fenced for the AU s Technology Transfer Office to support activities related to academic 9 Infrastructural work is normally not funded under AcRF Tier 2 but, in exceptional cases where it is funded, it will be considered a direct research cost. The exclusion of infrastructural work in the calculation of IRC is to avoid double funding. 6

entrepreneurship and commercialisation of research, such as protection of intellectual property, patent applications, industry outreach and matching grants for industry funding. 3.4. Universities should implement a mechanism to track the actual expenditure of each project (including tracking of expenditure via items and categories) and ensure that the amount of IRC and TSF requested complies with MOE s guidelines. 4. Disbursement of Grant 4.1. 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 2 grant, including IRC funding, as reimbursement for the expenditure incurred. The grant disbursement for AcRF Tier 2 - IRC will be based on the actual expenditure less exceptional items (as listed in 3.1 a - e) incurred by projects approved with effect from FY 07. 4.2. Universities should use MOE s prescribed grant request form to claim for reimbursement for AcRF Tier 2 projects and IRC funding. 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. 5. Performance Management 5.1. 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 7

and commercially feasible. The Universities should keep MOE informed as to the Universities progress in such development, production and/or sale. 5.2. 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. 5.3. 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. 5.4. 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 2 and the MOE s official grant number for the project. ORE shall ensure that the protection of any IP is not compromised as a result of the publication of the research project. 5.5. MOE shall assess the performance of the AcRF Tier 2 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; 8

(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. 6. Reports Submission 6.1. PIs are to submit progress reports for each project annually, or upon request by MOE, using Form RGF4. One softcopy and one hardcopy should be submitted by 31 st August to MOE through the ORE. 6.2. Universities are to submit Annual Appraisal Reports (for Financial Year) by 31 st August to MOE. 6.3. PIs who failed to submit the Annual Progress Reports may be: (a) denied any grant variation or extension until such progress reports are submitted; and (b) issued a Not Submitted status in the Annual Appraisal Report for final reporting. 6.4. PIs do not need to submit their Annual Progress Report if the project completion date falls between 1 April and 31 August. 9

7. Intellectual Property 10 Autonomous University 7.1. The intellectual property created by the autonomous university shall be owned by the autonomous university that receives the AcRF Tier 2 funding. 7.2. 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 non-commercial use. 7.3. 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. 8. Training & Education Programmes 8.1. The Universities shall assign any PIs or any other research staff involved in the research under the AcRF Tier 2 grant to participate in any of the following programmes: (a) Present their research work in MOE schools and institutions of higher learning; (b) Organise teacher enrichment programmes; or 10 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 10

(c) Support MOE s initiatives in creating a research culture in schools and institutions of higher learning. 9. Grant Variation Grant variation across categories 9.1. If there is a need for PIs to re-allocate approved funds across categories without a change in the overall funding quantum, OREs may approve a PI s requests to vary the grant allocation for up to $10,000 per request (up to $20,000 cumulative) without changes in the total project value and research objectives. 9.2. For grant variation above $10,000 per request (up to $50,000 cumulative) without changes in the total project value and research objectives, PIs must seek approval from the University s President through the ORE. 9.3. For grant variation above $50,000 per request without changes in the total project value and research objectives, PIs must seek approval from MOE through the ORE. 9.4. Universities and PIs are not allowed to vary project grants for the purchase of items that have not been approved under the AcRF Tier 2 grants, regardless of variation amount. Variation from EOM and Research Scholarship to other categories is not allowed regardless of variation amount. Grant variation within categories 9.5. All expenditure must be based on the proposed budget listed in the PI s budget phasing form. If there is a need to vary any items within a category without a change in the budget for that category, the ORE may approve a PI s request to vary items up to $20,000. Any variation within categories that is above 11

$20,000 must be submitted to MOE for approval. 9.6. Variation of budget for Research Scholarships is not allowed regardless of variation amount. 9.7. All information for AcRF Tier 2 project grant variations must be submitted to MOE using the prescribed forms (Form RGF2), through the OREs. MOE s decision is final and appeals will not be entertained. 10. Budget Revision 10.1. 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, universities and PIs must seek MOE s approval using the prescribed forms (Form RGF3), through the OREs. 10.2. The following authorities will be consulted by MOE for the budget revision: (a) Chairman of Academic Research Council for change in total project value up to 20% of funding (cumulative); or (b) Academic Research Council for change in total project value over 20% of funding (cumulative). 10.3. The budget revision will have to be approved by the Academic Research Board. The decision of the Academic Research Board is final and conclusive and no further appeals will be entertained. 11. Change of PIs 11.1. The PI, through the ORE, will provide MOE 3 months notice if 12

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. Nomination of new PI 11.2. PIs who wish to nominate new persons to take over their projects must seek MOE s approval and submit the CV of the nominees and documentary concurrence from their HODs and university, using Form RGF1, through their ORE. 11.3. New PIs are required to seek concurrence from their HODs and sign a Letter of Acceptance for the project. 11.4. 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 MOE, MOE shall terminate funding for the project. 11.5. The change of PIs will have to be approved by MOE. The decision of the MOE is final and conclusive and no further appeals will be entertained. 12. Change of Scope of Project Any change of scope of the project will have to be supported by the University's ORE and approved by MOE using Form RGF1. The decision of the MOE is final and conclusive and no further appeals will be entertained. 13. Grant Extension 13.1. In the course of the project, PIs who need a longer time than the 13

previously approved project duration must seek MOE s approval for project grant extension. 13.2. The total period of grant extension is capped at 6 months, unless there are very compelling reasons to extend for a longer period. 13.3. Request for grant extension should be submitted at least 3 months before the project s expiry date, using Form RGF1. MOE 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). 13.4. The request for grant extension has to be approved by MOE. The decision of MOE is final and conclusive and no further appeals will be entertained. 14. Closure of Project Accounts 14.1. All projects are expected to be completed within 3 years from the start date 11 of the project. 14.2. Universities and PIs are to close the research project account within 3 months from the date of project completion. MOE will not reimburse any expenditure incurred after the project completion date. 14.3. OFN should use Form RGF6 to close the account for the entire batch of projects and return any unspent funds upon completion of all projects within the same batch. 11 The start date of a project is the date reflected in the budget phasing form submitted by the PI to MOE through the ORE. 14

14.4. Universities, through their OREs and/or OFN, should communicate to PIs not to issue any new purchase orders after the project completion date. 15. Submission of Final Reports 15.1. PIs are to submit their final reports, together with all the publications or any materials that is requested by MOE, within 3 months after the project completion date, using Form RGF5. 15.2. PIs who fail to submit the Final Reports will not be eligible for future AcRF Tier 2 grant applications. 16. Compliance of s 16.1. In the event of non-compliance of this administrative guidelines, MOE reserves the right to: (a) withhold or withdraw the funding; (b) disqualify the PI from subsequent AcRF Tier 2 funding; and/or (c) carry out any actions as MOE deems appropriate. 17. Miscellaneous 17.1. 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. 15

Financial Regulations on Expenditure and Payment 1 Universities and PIs should not commit any expenditure before formal approval of a project by MOE. 2 For projects approved in January, PIs should not issue any purchase orders or incur any invoices or payments until the new financial year (i.e. in April). 3 Universities and PIs may vary the allocation within their approved budget for the grant, subject to the conditions stated, and shall be responsible to inform MOE of the variation. 4 Universities and PIs must seek MOE s approval for any increase in the previously approved funding quantum. 5 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. 6 Universities and Pls are to follow Universities procurement procedures to ensure that all purchases made using AcRF grants are value for money. 7 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. 8 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