Appropriation and Execution Of Research Fund Research Management

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Appropriation and Execution Of Research Fund Research Management Team

Appropriation and Execution Of Research Fund Research Management Team

External Research funds of University for characterization of Science and Technology 2, 764 2,

External Research funds of University for characterization of Science and Technology 2, 764 2, 902 [June 1 st, 2016] (unit: billion KRW) 2, 612 KAIST 1, 854 1, 650 POSTECH 1, 733 1, 108 457 507 750 488 UNIST 219 2013 2014 2015 2016 울산과학기술원 2

1. Management of research project 2. Research note 3. Overhead cost

1. Management of research project 2. Research note 3. Overhead cost

1. Management of Research project

1. Management of Research project

Management of research project outline Management process of research project Announcement of research project

Management of research project outline Management process of research project Announcement of research project Manage execution of research fund Submit the research plan Change the research plan Make an agreement Report the research result Create research project and claim research fund Report the use of research fund 울산과학기술원 5

Management of research project Agreement Process National R&D Program Research Management Team 1 ~

Management of research project Agreement Process National R&D Program Research Management Team 1 ~ 2 Days Specialized Institution Research Management Team Head Researcher 3 ~ 5 Days 1 Day 1 ~ 21 Days • Review research plan & written agreement * Written or electronic * Deposit research approval Day 2 fund • Notice aboutcreating a researchproject *Afterconfirming. Specialized institiuton’s approval • Submit electronic research plan *Attach writtenagreement & researchplan * approval time needed * Apply for research card Company 5 ~ 7 Days Research Management Team 1 ~ 2 Days • Confirmingandapprovalof cardinformation • Create research project * Issueand mailout * Start using researchfund * Receivecardand deliver itto Headresearcher Day 6 울산과학기술원 6

Management of research project Agreement Process Project funded by a corporation, Government-funded research institution

Management of research project Agreement Process Project funded by a corporation, Government-funded research institution Research Management Team 1 ~ 2 days • Review research plan & written agreement Technology Commercialization Accounting Firm Center 2 ~ 3 days 1 ~ 2 days • Review section of intellectual property rights • Review VAT * Optional Corporation (Institution) Research Management Team 2 days ~ 4 weeks 1 ~3 days 1 day • Mediate agreement clauses • Stamp and mail written agreement * May be delayed by review process of * Delivery period needed • Receive written agreement stamped by both sides corporate legal team Day 2 Day 5 Head Researcher Research Management Team 1 ~ 5 days 1 ~ 2 days • Submit electronic research plan • Create research project * Approval time needed Research Management Team • Claim research fund * Submit expense report Finance Team Corporation (Institution) • Issue research fund invoice • Deposit research fund Day 6 Finance Team • Confirm deposited fund * May start processing personnel expenses of participated professors Start using research fund Day 11 Day 13 울산과학기술원 7

Management of research project Main points Guidelines for UNIST-funded Research Projects Research Brand Program

Management of research project Main points Guidelines for UNIST-funded Research Projects Research Brand Program Classifications Excellent Researcher Program Future-Core New Faculty /Future-Innovative Fund Etc. Presidential Research Fund Futurestrategic Fund (on-going) Future. Research Support Fund for leading Funds from Major Research Specialized Local Grants Fund Government Application of Project-based System(PBS) X X X X Participation rate of full-time faculty(Unpaid) O O O X X X X* X X X X X Collection of Overhead Cost Limitation of participating in National R&D Program Inclusion of Students/part-time faculty labor expenses Included in evaluation of faculty achievements Notes   O O O X O If applicable, participation rate should be included X X O X O   Acknowledgements specify your affiliation with UNIST X specify your affiliation with UNIST   Interim Evaluation O X X O O O O specify project number (mandatory) Application of regulations on Management of   National R&D Projects 울산과학기술원 8

Management of research project Main points Guidelines for UNIST-funded Research Projects Research Brand Program

Management of research project Main points Guidelines for UNIST-funded Research Projects Research Brand Program Classifications Future-Core /Future-Innovative Excellent Researcher Program New Faculty Fund Presidential Research Fund Etc. Support Fund Research Future-leading for Major Funds from strategic Specialized Fund Research Local Fund(on-going) Grants Government - Research Paper (within 2 years of - Achievement completing your Report Submission of Research- Achievement Report research ) (within 1 Report (within 1 month of - Achievement month of Achievements completing your Report completing (Submission Period) research ) (within 1 month of your completing your of completing your research ) - labor cost of full- labor cost of time - labor cost of full-time -labor cost of fullfaculty full-time - labor cost of fullfaculty time faculty Research What cannot be faculty time faculty -Research - Research Allowances - Research included in the Budget - Research Allowances ※ equipment - equipment Allowances -Equipment - equipment exceptions(general Notes - Achievement Report (within 1 month of completing your research ) - labor cost of full-time faculty - Research Allowances use) * Collecting Indirect Cost from new projects will be under consideration according to budget situations each year. ※ Participation rate of UNIST Basic Research Programs is less than 5%. (According to National R&D Projects) ※ Equipment budget of New Faculty Fund must be less than 30% of the total budget / Presidential Fund already submitted equipment budget is exceptional ※ Guidelines of National R&D Projects is applied to all UNIST Basic Research Programs, and later can be modified due to budget situations ※ Other UNIST funds not listed above will follow same criteria according to characteristics of the project 울산과학기술원 9

2. Research note

2. Research note

Research Notebook 1. Grounds for making and managing Legislation and Utilization (1) Ministry of

Research Notebook 1. Grounds for making and managing Legislation and Utilization (1) Ministry of Science, ICT and Future Planning instructions • Article 10 (Possession) 1) Lead research institution have a ownership of research notebook as typical product of National R&D project according to the agreement. 2) Researchers cannot have the original research notebook. When researcher want to have the duplicate for utilization, researchers will follow UNIST dean ’s determination. • Article 11 (Retention / Management) 1) UNIST dean has a responsibility for retention and management Research notebooks which are produced by National R&D project. (2) Utilization • • • Research plan, process and record achievement Learn knowledge and know-how Evidence of independent research Specify inventor and author Protection for research result 울산과학기술원 11

Research Notebook 2. Process (1) Management Authority • Ideas should be expressed in a

Research Notebook 2. Process (1) Management Authority • Ideas should be expressed in a clear narrative style. Each individual entry should be intelligible to another investigator without specific explanation. • When the project close and the researcher retire, researchers should return the research notebook to Project investigator. Management team Researcher • 2 nd Responsible for research notebook education and retention • Inspection on Research notebook for verification fidelity and management • When the project stop and close, Head researcher should return the research notebook to Research management team. Head Researcher • Enact and enforce systematic regulations • Produce and distribute research notebooks 울산과학기술원 12

Research Notebook 2. Process (2) Management flow chart Application Researcher Head researcher’s approval Fill

Research Notebook 2. Process (2) Management flow chart Application Researcher Head researcher’s approval Fill in Research notebook Inspection Return/ Taking over (Project close/ Retirement) Head researcher’s approval Head researcher Research notebook distribution Management team Accept return Utilization Retention (30 yrs. ) 울산과학기술원 13

3. Overhead cost

3. Overhead cost

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) University Identity Research Institute a

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) University Identity Research Institute a University a Research Institute Overhead cost Indirect cost + Labor cost (in cash) UNIST’s Ratio of collection 23. 664% of Total project budget more than 28% of Total project budget (Indirect cost = 31% of Direct cost) (Indirect cost 23. 664% + Labor cost (4. 336%) ※ PBS (Project Based System) - The shortage of labor cost is covered by research projects. - The ratio of collection will be decided by the planning committee annually. - 28% in 2016 (planning committee, Dec. 14, 2015) 울산과학기술원 15

Overhead cost PBS Overhead Cost (Indirect Cost + Labor cost) Scope: Specific Research Institute

Overhead cost PBS Overhead Cost (Indirect Cost + Labor cost) Scope: Specific Research Institute in which the labor cost is not 100% secured Participation rate: Ratio of labor cost paid by the project against the participating researcher’s total annual salary (100%) 1) Appropriation of labor cost in new R&D project: up to 130% of the sum of all participation rates in R&D projects in progress 2) For researchers having reached the maximum, participation rate cannot be appropriation for the purpose of calculating linked cost category 3) UNIST, KAIST, GIST, and DGIST: the unpaid participation rate can be appropriation up to 30% per project, but research allowance cannot be appropriated. 4) Participation rate of the basic research projects of Government-funded research institutions and specific research institutions is also included. ※ Calculation for unpaid labor cost might be different depending on the project. It’s recommended to check the regulation of the managing institute. 울산과학기술원 16

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Scope : Projects started after

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Scope : Projects started after Sep. 28, 2015 ~ Dec. 31, 2015: Appropriation of unpaid labor cost is possible Application Principles: all external-funded projects(28% of total project budget is collected) Exception 1) Technology Infrastructure projects (Only the projects appropriating equipment, facility construction cost for establishing technology platforms) => Total project budget(except equipment, facility construction cost) × Officially announced indirect cost percentage < 28% , No need to appropriate labor cost(PBS) 2) Fostering Human Resource programs(ex: BK 21 plus project, Education support program, ITRC etc. ) => Total project budget × Officially announced indirect cost percentage < 28% , No need to appropriate labor cost(PBS) 3) Projects not able to appropriate labor cost(ex: NRF Humanities&Social Science projects, Student research program, R&E projects, KRF etc. ) ÞTotal project budget× Officially announced indirect cost percentage < 28% , No need to appropriate labor cost(PBS) 울산과학기술원 17

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 4) Indirect cost ratio

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 4) Indirect cost ratio separately announced projects => Officially announced indirect cost percentage + labor cost (4. 336%) < 28% 5) If researcher’s minimum participation rate is fixed. => Able to adjust percentage between indirect cost and labor cost = 28% (Total overhead cost has to be 28%) (Only available for projects which can appropriate indirect cost separately ) 6) Project funded by a corporation => Indirect cost(30% of Total research budget) > 28%, No need to appropriate labor cost(PBS) (For projects' indirect cost below 28% of the total project budget, labor cost(PBS) appropriation is required) 7) Samsung Future Technology Cultivation Projects => Officially announced indirect cost percentage + labor cost (4. 336%) < 28% 울산과학기술원 18

Overhead cost PBS Collected amount (2016. January ~ June. ) 87, 435 (unit: 1,

Overhead cost PBS Collected amount (2016. January ~ June. ) 87, 435 (unit: 1, 000 KRW) 71, 723 56, 502 43, 290 38, 605 26, 096 24, 078 13, 582 M N E U E E D H E M S E E C H E E C E S L S S N S 2, 566 461 S B A D G S 울산과학기술원 19

Overhead cost PBS Samples Principles: 28% of total project budget is collected Total project

Overhead cost PBS Samples Principles: 28% of total project budget is collected Total project budget: ₩ 200 million , Period: Jan 1 st, 2016 ~ Dec 31 st, 2016 If a full-time professor(A) participates alone Classification Ratio of collection (total project budget) Collected amount (total project budget x ratio of collection) indirect cost 23. 664 % ₩ 47, 328, 000 (200 million x 23. 664 %) labor cost 4. 336 % ₩ 8, 672 , 000 (200 million x 4. 336 %) sum 28 % ₩ 56, 000 <How to calculate participation rate> Last year’s salary total(year-end tax adjustment base): ₩ 116, 100, 000 (available in UNIST portal) Monthly salary(₩ 9, 675, 000) x participation period(12 months) x participation rate(x) = ₩ 8, 672, 000 participation rate (x) = 7. 47% ※ Labor cost percentage based on total project budget and participation rate is different. 울산과학기술원 20

Overhead cost PBS Samples Principles: 28% of total project budget is collected Total project

Overhead cost PBS Samples Principles: 28% of total project budget is collected Total project budget: ₩ 200 million, Period: Oct 1 st, 2015 ~ Dec 31 st, 2016 If a full-time professor(A) participates alone Classification Ratio of collection (total project budget) Collected amount (total project budget x ratio of collection) indirect cost 23. 664% ₩ 47, 328, 000 (200 million x 23. 664%) labor cost 4. 336% ₩ 8, 672 , 000 (200 million x 4. 336%) sum 28% ₩ 56, 000 <How to calculate participation rate>( Need to calculate year 2015, 2016 separately ) Last year’s salary total(year-end tax adjustment base) : ₩ 116, 100, 070 (available in UNIST portal) 2015(Unpaid labor cost) Monthly salary(₩ 9, 675, 000) x Participation period(3 months) x Participation rate 10%(flexible) = ₩ 2, 902, 000 2016(PBS) Monthly salary(₩ 9, 675, 000) x Participation period(9 months) x participation rate%(x) = ₩ 8, 672, 000 x=9. 96 % (PBS is only adjusted for the period after Jan 1 st, 2016) 울산과학기술원 21

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 1): collection under 28

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 1): collection under 28 % of total project budget , labor cost not collected Total project budget ₩ 2 billion , establishing technology platforms ₩ 1. 2 billion, research period 2016. 01. ~2016. 12. 31. (12 months), Project aiming to establish technology platforms (indirect cost ratio is announced separately, 17% of direct cost = 14. 529 % of total project budget) (2 billion - 1. 2 billion)× 14. 529 % = ₩ 116, 232, 000 Classification Ratio of collection (total project budget) Collected amount (₩) [(total project budget- establishing technology platforms) x ratio of collection] indirect cost 14. 529 % 116, 232, 000 (800 million x 14. 529 %) labor cost 0% 0 sum 14. 529 % 116, 232 , 000 울산과학기술원 22

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 2, 3) : collection

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 2, 3) : collection under 28% of total project budget , labor cost not collected Total project budget ₩ 200 million, research period 2016. 01. ~2016. 12. 31. (12 months) indirect cost ratio is announced separately , 17 % of direct cost = 14. 529 % of total project budget Classification Ratio of collection (total project budget) Collected amount (₩) (total project budget x ratio of collection) indirect cost 14. 529 % 29, 058 , 000 (200 million x 14. 529 %) labor cost 0% 0 sum 14. 529 % 29, 058, 000 울산과학기술원 23

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 4) : collection under

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 4) : collection under 28 % of total project budget Total project budget ₩ 200 million, research period 2016. 01. ~2016. 12. 31. (12 months) participating 2 full-time professors (indirect cost ratio is announced separately , 17% of direct cost = 14. 529% of total project budget Classification Ratio of collection (total research budget) Collected amount (₩) (total project budget x ratio of collection) indirect cost 14. 529 % 29, 058 , 000 (200 million x 14. 529 %) labor cost 4. 336 % 8, 672, 000 (200 million x 4. 336%) sum 18. 865 % 37, 730 , 000 울산과학기술원 24

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 5) : collection 28%

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 5) : collection 28% of total project budget / The ratio of indirect cost and labor cost are flexible. Total project budget ₩ 600 million, , research period 2016. 01. ~2016. 12. 31. (12 months) Head researcher’s minimum participation rate is 30% The calculation for participating rate of a full -time professor a full-time professor(A) ’s annual income(last year-end tax adjustment ): ₩ 116, 100, 000 (available in UNIST portal) personal monthly salary (₩ 9, 675, 000) x participation period(12 months) x participation rate(30%)= ₩ 34, 830, 000 600 million x ratio of collection %(x) = 34, 830, 000 x (%) = 5. 805 % after calculation ratio of labor cost(5. 805%), calculate direct cost(28%-5. 805%=22. 195%) Classification Ratio of collection (total project budget) Collected amount (₩) (total project budget x ratio of collection) indirect cost 22. 195 % (=28 % - 5. 805 %) 133, 170, 000 (600 million x 22. 195 %) labor cost 5. 805 % 34, 830, 000 (600 million x 5. 805 %) sum 28 % 168, 000 울산과학기술원 25

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 6) : Project funded

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 6) : Project funded by a corporation / collection 30% of total project budget Total project budget ₩ 100 million, research period 2016. 01. ~2016. 12. 31. (12 months) Indirect cost (30% of Total research budget) > 28% , Do not need to appropriate labor cost(PBS). Classification indirect cost Ratio of collection (total project budget) 30% Collection amount (₩) (total project budget x ratio of collection) 30, 000 (1 00 million x 30%) Exception 6 -1) : Other project funded by a corporation / collection 28% of total project budget Total project budget ₩ 100 million, research period 2016. 01. ~2016. 12. 31. (12 months) Indirect cost ratio is announced separately , 17% of direct cost = 14. 529% of total project budget Classification Ratio of collection (total project budget) Collection amount (₩) (total project budget x ratio of collection) indirect cost 14. 529% 14, 529, 000 (1 00 million x 14. 529 %) labor cost 13. 471 % 13, 471, 000 (1 00 million x 13. 471 %) sum 28 % 28, 000 울산과학기술원 26

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 7) : Samsung Future

Overhead cost PBS Overhead cost(Indirect cost + Labor cost) Exception 7) : Samsung Future Technology Cultivation Project / collection 19. 226% of total project budget Total project budget 500 million , research period 2016. 01. ~2018. 12. 31. (36 months) participating 2 full-time professors(indirect cost ratio is announced separately , 17. 5% of direct cost = 14. 89% of total project budget Classification Ratio of collection (total project budget) Collected amount (₩) (total project budget x ratio of collection) indirect cost 14. 89 % 74, 450 , 000 (500 million x 14. 89 %) labor cost 4. 336 % 21, 680, 000 (500 million x 4. 336 %) sum 19. 226 % 96, 130 , 000 울산과학기술원 27

Q&A

Q&A

Thank you

Thank you