Internally Funded Research Grant Procedure

Internally Funded Research Grant Procedure

Last Update on: 25 January 2023

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  1. Purpose
  2. Scope
  3. Definitions and Acronyms
  4. Pre-Award
  5. Post-Award
  6. Implementation, Compliance, and Reporting
  7. Document Amendment Information
  8. Appendices

 

1. PURPOSE

The purpose of this procedure is to define the steps and responsibilities for the implementation of internally-funded research grant programs. 

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2. SCOPE
  1. This procedure applies to all internally-funded research grant programs.
  2. This procedure applies to all KFUPM faculty, researchers, students, consultants and collaborators. 

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3. DEFINITIONS AND ACRONYMS 
1. Definitions
ABHATHIA research management platform developed at KFUPM.
Co-InvestigatorA research team member responsible for coordinating and working with the Principal Investigator and other research team members in the preparation, conduct, and administration of the research. 
International ConsultantA non-KFUPM faculty member or researcher who is specialized or expert in the field, affiliated with any university of organisation other than those within the Kingdom of Saudi Arabia or their outside-of-the-Kingdom direct affiliates. 
Local ConsultantA full-time KFUPM faculty member or researcher. 
National ConsultantA non-KFUPM faculty member or researcher who is specialized or expert in the field, at any university or organization in the Kingdom of Saudi Arabia. 
Prematurely closed project A project failing to meet all or part of the project requirements in terms of defined milestones, scholarly outcomes and/or timely submission of the final report by the deadline, after any extensions.
Principal InvestigatorThe primary individual responsible for the preparation, conduct, and administration of a research grant and project agreement.
ProjectA product of an approved research proposal that is scientifically reviewed by a competent body and has an allocated fund administered by DR. It generally seeks to systematically investigate a problem through scientific methodologies conforming to academic best practices to achieve the defined research objectives.
Project outcomesScholarly outcomes resulting from the project after its inception with a clear acknowledgement of the project and its number. Projects expected outcomes shall include at least one ISI journal paper per year, per project and research training of KFUPM students. The Islamic and Arabic Studies, College of Environmental Design, and KFUPM Business School are exempted from the ISI journal publication requirement and shall publish in non-ISI journal papers that are of high quality from the approved list by VPRI. 
ProposalA detailed and structured request for funding prepared in accordance with the grant program’s instructions and requirements.
Successfully closed projectA project achieving its objectives and satisfying requirements in terms of defined milestones within the project period.
Type-A ReportA reporting format that a Principal Investigator submits when the project team publishes the required number of outcomes. 
Type-B ReportA reporting format that a Principal Investigator submits in cases where there is no article published under the project. The report shall detail the project’s progress and the milestones completed.
2. Acronyms
FPOFinance and Procurement Office
DRDeanship of Research
ERPEnterprise Resource Planning
ICTCInformation and Communication Technology Center
KFUPMKing Fahd University of Petroleum & Minerals
KSAKingdom of Saudi Arabia
OSROffice of Sponsored Research
PIPrinciple Investigator
RCResearch Committee
ROResearch Office
VPRIVice President of Research and Innovation

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4. PRE-AWARD
4.1 Call for Proposals and Proposal Submission
Step Responsibility Reference

Disseminate a call for proposals for internally-funded research grants, specifying submission instructions and deadlines.

DR and RO ·  Announcement template

Submit a proposal package for an internally-funded research grant, electronically through ABHATHI, including:

  • a proposal (using the appropriate Proposal Template);
  • a duly signed Disclaimer Form; 
  • a similarity report generated using the plagiarism detection tool licensed by KFUPM;
  • documentation specific to internally-funded research grant programs.
PI ·  Proposal Templates
·  Disclaimer Form

Check compliance with compensation requirements:

  • A KFUPM faculty member or researcher is entitled to compensation from a maximum of three internally-funded research grants, unless a special waiver is granted by the Dean of DR.
  • A KFUPM faculty member or researcher can serve as a PI on a maximum of two internally-funded research projects at any one time.
  • A KFUPM graduate/undergraduate student participating in an internally-funded research project is entitled to compensation through only one project at a time.
  • An International/National Consultant participating in an internally-funded research project is entitled to compensation through only one project during any one consultancy period. The consultant shall be of higher rank, or equivalent rank but with higher qualifications than the PI.
  • A KFUPM faculty member or researcher shall not be retained as a consultant in any internally-funded research project, other than in exceptional circumstances where they are retained as a Local Consultant in Startup Research Grants, and Undergraduate Student Research Grants.
  • Where a full-time KFUPM faculty member or researcher is exceptionally retained as a Local Consultant, the services of the Local Consultant shall only be retained in two projects during any consultancy period.
PI and RO  

Check and confirm the completeness and the conformity of the submitted proposal package in terms of documentation. In case of incomplete submission, inform the PI and request additional materials or actions.

RO  

Assign a unique code to the proposal and inform the PI electronically to use this code in all communications related to their proposal.

RO  

 

4.2 Proposal Review, Approval and Agreement
Step Responsibility Reference
Review and screen all proposals received in accordance with the internal DR requirements as stipulated in the call for proposals. RO
For proposals that satisfy the requirements of the DR, send to a minimum of three selected experts in the research area for peer evaluation. These experts shall be research active, have a high h-index, and be from a reputable university.  RC  
Evaluate proposals in light of comments from selected experts. RC Summarized reviewers’ comments
Analyze the proposed budgets and ensure that they are aligned with the DR approved internally-funded research grant program requirements, and revise it in case of non-conformance.   RO Internally-funded research grant program guidelines
Recommend the acceptance, rejection, or further clarification of proposals based on the criteria defined in Appendix A. RC  
Endorse the acceptance/rejection of proposals based on the recommendations of the RC. VPRI  
Collect all approved decisions, and clarify any issues raised by VPRI in consultation with the RC. RO  
Announce the winning proposals at the ceremony for winning proposals. DR and RO  
Upon proposal acceptance, submit the Research Grant Agreement Form to the RO. Obtain relevant signatures of the research team members and the Department Chair. Where the Department Chair is a member of the project, obtain approval from the College Dean. PI Research Grant Agreement Form
Obtain a signature from the Dean of Research on the Research Grant Agreement Form stipulating each party’s roles, responsibilities and commitments, and share the duly signed agreement with the PI. DR Research Grant Agreement Form
Create a grant record on the ERP system to facilitate follow up and processing of financial transactions, procurement and all financial related matters based on the approved budget as well as the start and end dates. PI ERP

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5. POST-AWARD
5.1 Progress Report Submission and Evaluation
Step Responsibility Reference
Using the Progress Report Template, submit a progress report to the RO, electronically through ABHATHI, every six months from the project starting date. PI Progress Report Template
Evaluate the progress report and pass judgment as either approved or not approved. Inform the PI by email about the decision. RO  
For an approved progress report, request employee compensation for eligible project personnel through the ERP system. PI ERP
For an un-approved progress report, return the report to the PI for revision and attention to comments. RO  
Using the Progress Report Template, resubmit the revised progress report that addressed the comments and recommendations of the RO. PI Progress Report Template
Evaluate the progress report, pass judgment as either approved or not approved, and inform the PI by email about the decision. RO  
Where approved, request employee compensation for eligible project personnel through the ERP system. PI ERP

 

5.2 Scientific Trip Under Internally-Funded Research Grant Programs
Step Responsibility Reference
For Local, National and International Consultant visits, submit the Local/International Scientific Visit Form and/or Supplementary Visit Form electronically through ABHATHI and in hardcopies to the RO after getting Department Chair approval.   PI ·  Local/International Scientific Visit Form
·  Supplementary Visit Form
Submit the trip request in compliance with allowed trip periods (Ramadan holidays, Hajj holidays, summer vacation, inter-semester breaks and mid-term break). PI  
Submit the trip request at least two weeks before the planned visit if the visit is inside KSA and at least forty-five days before the planned visit for international visits. PI  
Review the trip request in accordance with the original proposed project plan and the availability of funds. Verify that the visit period is in accordance with the allowable trip periods. RO  
For local visits, obtain the approval of the Dean of Research. RO  
For international visits, obtain the necessary additional approval from the VPRI and H.E. the President. RO  
Communicate to the PI, through an Approval Memo, the details of the recommended support after securing all the necessary approvals. RO ·  Approval Memo
After successful completion of the trip, submit a brief achievement report, the original ticket invoice, and a letter of accomplishment from the host (if applicable) to the RO for financial reimbursement. PI  

 

5.3 International Summer Visit Under Internally-Funded Research Grant Programs
Step Responsibility Reference
Submit the International Summer Visit Form electronically through ABHATHI and in hardcopies to the RO after getting Interdisciplinary Research Center Director support to apply.  PI International Summer Visit Form
Submit the out-bound or in-bound trip request in compliance with allowed trip periods (summer vacation). PI  
Submit the out-bound or in-bound trip request at least forty-five days before the planned visit for international visits. PI  

Review the out-bound or in-bound trip application:

  • verify that the visit period is in accordance with the allowable trip periods;
  • verify that sufficient out-bound or in-bound grants are available;
  • confirm preference for applicants with strong proposals who have not availed this opportunity in the past.
RO  
For international out-bound visits, obtain the necessary additional approval from the VPRI and H.E. the President. RO  
For international in-bound visits, obtain the necessary additional approval from the VPRI and H.E. the President. RO  
Communicate to the applicant/affiliate, through an Approval Memo, the details of the recommended support after securing all the necessary approvals. RO Approval Memo
After successful completion of the international summer visit, submit a brief achievement report, the original ticket invoice, and a letter of accomplishment from the host (if applicable) to the RO for financial reimbursement. PI  

 

5.4 Consultant Invitation Under Internally-Funded Research Grant Programs
Step Responsibility Reference

Submit the Scientific Visit Form (Consultant) electronically through ABHATHI and in hard copies to the RO. Attach supporting documents to the Scientific Visit Form, including: 

  • cover letter from the PI;
  • current resume of the consultant;
  • passport copy of the consultant; and
  • letter of consent from the consultant.
PI Scientific Visit Form (Consultant)
Review the request in accordance with the original proposed project plan,  the availability of funds, and consultant eligibility criteria. RO

 

For international visits, obtain the necessary additional approval from the VPRI and H.E. the Rector. RO  
Communicate to the PI, through the Approval Memo, the details of the consultant visit approval (or otherwise) after securing all the necessary approvals. RO Approval Memo
Coordinate with Faculty and Personnel Affairs regarding the visa arrangement. PI

 

After successful completion of the trip, submit a brief achievement report and the original ticket invoice to the RO for financial reimbursement. PI  

 

5.5 Change in Project Team (PI or CI)
Step Responsibility Reference

Submit, electronically through ABHATHI, a formal request for a change in project team (PI or CI) along with a no-objection letter from the Investigator leaving the team, and a consent letter for joining the project team from the new Investigator.  
Confirm with the project team that:

  • in case of the PI withdrawing or relinquishing their duties, one of the approved CI’s or any other actively engaged faculty from the same PI department shall pursue the responsibilities of the PI;
  • the Department Chair can sign as the PI substitute;
  • for all requests for the change in team composition, there shall be no change to the approved project budget for compensation.
PI and RO Team Change Form
Review the request in accordance with the expertise of the new member in the project disciplines. Review the request for PI substitution to ensure it complies with all requirements and seek approval. RC

 

Communicate the approval or otherwise to the PI or the substitute PI via an approval memo after securing all the necessary approvals. RO Team Change Approval Form

 

5.6 Purchasing through Internally-Funded Research Grants
Step Responsibility Reference
Submit a request to get approval for any budgeted purchase at the beginning of the project life cycle and not towards the end. PI  
Obtain a no-objection letter from the ICTC and submit to the RO for all purchases of information and technology based item(s) like computers and printers, irrespective of the amount. PI No-objection letter from ICTC
Submit the ICTC Procurement Form to the RO. PI ICTC Procurement Form
Forward the request along with a copy of the budget to the ICTC after obtaining approval from the Dean of Research. RO ·  ICTC Procurement Form
·  Copy of the budget
If the item(s) is tag-able, take the original invoice and item(s) to the Store House for visual inspection, get the invoice stamped, and submit the stamped invoice, inspection certificate and Direct Purchase Form to the FPO. PI ·  Inspection certificate
·  Direct Purchase Form
·  Original invoices
If the item(s) is/are not tag-able, submit invoices to the FPO for reimbursement/supplier. PI  
For item(s) with amounts more than or equal to SAR 1000 and less than SAR 30,000, submit a purchase request electronically through ABHATHI and in hard copies to the RO. Attach supporting documents to the request. The supporting documents are; Cover Memo, quotations from different suppliers for each equipment/service, and a Comparison Check-list. PI ·  Cover Memo for Submitting Quotations
·  Comparison Check-list
·  Copies of quotations.

Review the request regarding the availability of funds and project active period.
Where necessary, advise the PI that:

  • under no circumstances will payment requests of any kind be entertained once a project is closed financially;
  • no benefits can be claimed where a Type-B Report is submitted until proof of accepted articles under the project is provided to DR;
  • no financial benefits can be claimed under an internally-funded research grant that was prematurely closed.
RO  
If the request is approved by the RO, send a memo to the PI to initiate and make the purchase order with the approved supplier and amount. RO  
Take the original invoice and item(s) to the Store House for visual inspection and get the invoice stamped. PI ·  Inspection certificate
·  Original invoices
Submit the stamped invoice, inspection certificate and Direct Purchase Form to the FPO. PI ·  Inspection certificate
·  Direct Purchase Form
·  Original invoices
Process the request for reimbursement/supplier payment after obtaining the receiving report from the KFUPM Store House. FPO  
Communicate with the PI to create an expense record on the ERP. FPO  
Forward the approved request to the Director of Financial Affairs along with a copy of the budget reflecting the availability of funds under a specific category. FPO  

 

5.7 Requesting Publication Support
Step Responsibility Reference
Submit a request for funding (covering open access fees, or mandatory and page charges for accepted Q1 and Q2 articles) after getting Department Chair approval.
Where the Department Chair is a member of the project, obtain approval from the College Dean. 		PI  
Review the request for funding (covering open access fees, or mandatory and page charges for accepted Q1 and Q2 articles) in accordance with the approved scientific council requirements and the availability of funds under a specific category for an internally-funded research grant project. RO  
Communicate with the PI to create an expense record on the ERP in case of an approved request. RO  
Forward the approved request along with the original documents to the Director of Financial Affairs along with a copy of the budget reflecting the availability of funds under a specific category. RO  
Return the completed documents to the Department Chair in case of not complying with the scientific council requirements. RO  

 

5.8 Requesting Publication Support
Step Responsibility Reference
Submit a formal project extension request to the RO, where required, close to the end date of completion of the project. PI  

Based on the PI justification, recommend the extension and forward the request for approval of the Dean of Research.

  • For project durations of 18 months or less, two 6-month extensions may be granted;
  • For project durations of more than 18 months, a maximum of three extensions may be granted.
RO  
Forward any project extension request above two or three times to the RC for any project with periods less than or greater than 18 months respectively. RO

 

Evaluate the merit of the project extension request. RC

 

Communicate with the PI the final decision after securing all the necessary approvals. RO Approval Memo

 

5.9 Request for Budget Transfer
Step Responsibility Reference

Submit a Budget Transfer Request Form specifying the reason and justifying the need for a budget transfer from one budget head to another. The proposed budget transfer should not exceed the maximum allocated amount for the receiving head, other than a:

  • transfer from equipment to compensation; or
  • transfer from any budget head to scientific visit (including conference attendance).
PI Budget Transfer Request Form
Review the request in accordance with project progress reports, completion date and the availability of funds and if required, seek additional information from the PI. RO

 

Communicate with the PI advising the final decision after verifying compliance with DR requirements regarding funds transfer and having Dean of Research approval. RO Approval Memo

 

5.10 Final Reporting
Step Responsibility Reference
Submit the Scholarly Outcome Form to the RO within one month of the project completion date. In exceptional circumstances, the submission date may be extended, but any requests shall be made in writing and approved by DR before the original submission period expires.
Confirm with PI that non-compliance with final reporting deadlines may result in non-payment of the final instalment of compensation and may affect future funding requests submitted by the PI. 		PI Scholarly Outcome Form
Submit a brief final report (i.e. Type-A Report) along with copies of all publication(s) mapped to the project objectives, electronically through ABHATHI, to the RO. PI Type-A Report
Alternatively, submit a detailed report (i.e. Type-B Report) electronically through ABHATHI to the RO in the event there is no article published under the project.
Confirm with the PI that where a Type-B Report is submitted, the status of the project will be financially-on-hold until proof of accepted articles under the project is provided to DR. 		PI Type-B Report
Perform an initial screening to verify adherence to the DR requirements in terms of outcomes and acknowledgement. RO  
Send the final report to experts from reputable universities for peer evaluation, where possible to the reviewers of the original proposal. RO  
Return any final report that does not pass RO screening along with comments to the PI for revision. RO  
Send the final report along with the peer evaluation report to the RC. RC  
Evaluate the final report and the peer evaluation report. Pass judgement on the final report and tag it as either approved or requires revisions and clarifications. RC  
Submit a bound copy along with a CD containing the final report and scholarly outcomes of the completed project and proceed to claim the final compensation. PI  
Prematurely close a project from a PI that fails to submit a final report one year after the end of the project. RO  

 

5.11 Final Reporting
Step Responsibility Reference

Prepare a list of approved/rejected progress or final reports that contain the names of all project participants within the relevant period and transmit it to the FPO.

RO  

Create a payment request in the ERP after approval of the progress or final report in cases where the research team members or research support team have a valid KFUPM employee ID.

Project participants  

Approve/reject, through the ERP, the payment request.

PI

 

Submit a hard copy of the payment request form (attach copies of ID proof) to the FPO after approval of the progress or final report in cases where the research team members or research support team does not have a valid KFUPM employee ID.

PI Payment Authorization Form

Review the submitted payment request and pass recommendation.

FPO  

Forward the approved request to the Director of Financial Affairs along with a copy of the budget reflecting the availability of funds under a specific category.

FPO  

 

5.12 Acknowledgement and Affiliation
Step Responsibility Reference
Acknowledge KFUPM funding (along with the project number) in all publications and other outcomes resulting from a funded project.
Note that any publications or other outcomes with no acknowledgement (including the project number) will not be considered to be part of the project. 		PI and CI
Comply with KFUPM and funding agency requirements regarding acknowledgement and affiliation. PI and CI

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6. IMPLEMENTATION, COMPLIANCE, AND REPORTING
  1. The Director of the OSR is responsible for monitoring the implementation of this procedure, using the following performance indicators:
    • the number of internally-funded research grants allocated, annually, under each program;
    • the number of issues reported regarding internally-funded research grant programs;
    • the number of non-compliance reports.
  2. Deans and Chairs are responsible for ensuring compliance with this procedure.
  3. Non-compliance with this procedure shall be immediately reported to the OSR.

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7. DOCUMENT AMENDMENT INFORMATION
Version #Amendment DateAmendment Description
1Month, date, year 

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8. APPENDICES

Appendix 1: Flowchart Showing the Steps for Procurement 

Appendix 2: List of Internally-Funded Research Grant Programs

Appendix 3: General Criteria for the Evaluation of Proposals

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