Externally Funded Research Grant Procedure
Last Update on: 29 November 2022
Jump to:
- Purpose
- Scope
- Definitions and Acronyms
- Client-Funded Research Grant
- Externally Sponsored Research Grant
- Implementation, Compliance, and Reporting
- Document Amendment Information
1. PURPOSE
The purpose of this procedure is to define the steps and responsibilities for the administration of externally sponsored/client funded research grants.
2. SCOPE
- This procedure applies to all externally sponsored/client funded research grants.
- This procedure applies to all KFUPM faculty, researchers, students, consultants, postdocs and collaborators.
3. DEFINITIONS AND ACRONYMS
| 1. Definitions | |
|---|---|
Client-Funded Research
| Research that is defined by specific terms and conditions outlined in a research contract and agreed by all parties involved. It clearly specifies the manner in which the work is to be carried out, a budget that itemizes the expenditure of funds, and a schedule of project deliveries and payment. Financial support for such research stems from a public or private sector entity outside the University. The research effort focuses on and addresses a specific problem identified by that entity. |
| Externally Sponsored Research | Research that is financed by grants dispersed after a general ‘call for proposals’ is announced. Typically, several wide-ranging research areas are covered in this category. |
| Principal Investigator | The primary individual responsible for the preparation, conduct, and administration of a research grant and project agreement. |
| Project | A 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 Outcomes | Scholarly outcomes resulting from a project after its inception with a clear acknowledgement of the project and its number. Expected outcomes may vary based on the type and size of grant. |
| Proposal | A detailed and structured request for funding prepared in accordance with the grant program’s instructions and requirements. |
| Research Management System | A research management platform used for the management of all research projects. |
| Successfully Closed Project | A project achieving its objectives and satisfying requirements in terms of defined milestones within the project period. |
| 2. Acronyms | |
|---|---|
| ARC | Applied Research Center |
| CD | Center Director |
| DPU | Design and Publication Unit |
| DR | Deanship of Research |
| ERP | Enterprise Resource Planning |
| FPO | Finance and Procurement Office |
| IRC | Interdisciplinary Research Center |
| JRC | Joint Research Center |
| OSR | Office of Sponsored Research |
| PBEC | Proposal and Budget Evaluation Committee |
| PM/PI | Project Manager/Principal Investigator |
| RFP | Request for Proposal |
| RMS | Research Management System |
| TEC | Technical Editing Committee |
| VPRI | Vice President of Research and Innovation |
4. CLIENT-FUNDED RESEARCH GRANT
4.1 Pre-Award
| Step | Responsibility | Reference |
|---|---|---|
| Prepare the Letter of Intent or RFP | Client | Letter of Intent template |
| Receive the RFP from the client | OSR Contract Office | |
| Submit the Project Number Request Form | PI Research Center (IRC/ARC/JRC) | Project Number Request Form |
| Prepare the Proposal and submit to the CD | PI | Proposal template |
| Review the Proposal | CD | |
| Format and/or screen the Proposal | DPU | |
| Undertake technical editing and review of the Proposal | TEC | |
| Revise the marked draft of the Proposal, if necessary, to comply with comments by TEC, and submit the revised Proposal to the PBEC | PI | |
| Review technical and budget aspects of the Proposal | PBEC | |
| Send the marked-up copy of the Proposal to the PI | PBEC | |
| Revise the marked draft of the Proposal, if necessary, to comply with comments by PBEC, and submit the revised Proposal to the DPU | PI | |
| Format and/or screen the Proposal | DPU | |
| Co-ordinate Proposal review rounds | TEC PI | |
| Finalize the Proposal and submit to OSR | PI | |
| Submit the Proposal (with a Proposal Transmittal Letter) for approval | VPRI DR | Proposal Transmittal Letter template |
| Send the Proposal (with a Proposal Transmittal Letter) to the client | Contract Office OSR | Proposal Transmittal Letter template |
4.2 Post-Award
| Step | Responsibility | Reference |
|---|---|---|
| Prepare the project payment schedule | Contract Office OSR | |
| Create the project monitoring workflow and project deliverables in RMS | OSR | |
Receive requests based on project need:
| PM/PI |
|
| Review submitted requests and process them accordingly | FPO | |
| Request the PI to submit a Progress/Final Report | OSR Contract Office |
|
| Submit the Progress/Final Report in RMS | PI | |
| Send the Progress/Final Report to TEC | OSR | Progress/Final Report template |
| Conduct technical editing of the Progress/Final Report | TEC | |
| Receive the edited Progress/Final Report and revise as required by TEC | PI | |
| Upload the final Progress/Final Report to RMS | OSR | |
| Send the Progress/Final Report to the client (copy the PI) | Contract Office OSR | |
| Send a memo to FPO to release payments (copy the PI), upon client approval of the Progress Report | Assistant Dean DR | |
| Send a memo to FPO to release payments, upon client approval of the Final Report | VPRI Dean, DR | |
| On receipt of the Final Report, close the project based on the achievement of project objectives and deliverables | OSR | |
| Close the contract | Contract Office OSR |
5. EXTERNALLY SPONSORED RESEARCH GRANT
5.1 Pre-Award
| Step | Responsibility | Reference |
|---|---|---|
| Call for Proposal is received | OSR | Template |
| Prepare the Proposal | PM/PI | Proposal template |
| Screen the Proposal and assign a reference number | OSR | Guidelines received from the external sponsor |
| Review the Proposal and Budget based on guidelines received from the external sponsor, if necessary | OSR/PBEC | Guidelines received from the external sponsor |
| Send the Proposal to the external sponsor for their feedback | OSR/PI |
5.2 Post-Award
| Step | Responsibility | Reference |
|---|---|---|
| Once the project is approved, create project workflow monitoring in RMS (wherever applicable) | OSR | |
Receive requests based on project need:
| PM/PI |
|
| Review the submitted request and process them accordingly | FPO | |
| Submit the Progress/Final Report | PM/PI | Progress/Final Report template |
| Review the Progress/Final Report | OSR |
|
| Approve the Progress/Final Report | VPRI DR | |
| Send the Progress/Final Report to the external sponsor for their feedback | OSR | |
| Submit feedback on the Progress/Final Report | External sponsor | |
| Accordingly, submit notification for processing of invoices/payables | OSR | |
| Invoice | FPO | |
| Receive | External sponsor | |
| Communicate with PM/PI and accordingly process requests | FPO | |
In case of Final Report:
| FPO/OSR |
|
6. IMPLEMENTATION, COMPLIANCE, AND REPORTING
- The Director of OSR is responsible for monitoring the implementation of this procedure, using the following performance indicators:
- Number of external sponsored/client research grants allocated, annually, under each program;
- Number of issues reported regarding external sponsored/client research grants;
- Number of non-compliance reports;
- Number of new equipment procured through these grants;
- Number of Scholarly Outcomes resulting from these grants.
- Deans and Chairs are responsible for ensuring compliance with this procedure.
- Non-compliance with this procedure shall be immediately reported to the OSR.
7. DOCUMENT AMENDMENT INFORMATION
| Version # | Amendment Date | Amendment Description |
| 1 | Month, date, year |