Guideline on Prior Review and Control of Research Expenses

Apr 26. 2016

Guideline on Prior Review and Control of Research Expenses

Established on Apr. 25, 2011, in guideline no. 20.

Article 1 (Purpose)

This guideline examines how to determine the appropriate amount of research expenses to spend on research projects conducted by the Ulsan National Institute of Science and Technology (UNIST) and Academy Industry Research Corporation (hereinafter referred to as “the University”) so that the University may ensure the reliability of supporting institutes and the transparent use of research expenses.

Article 2 (Scope)

This guideline shall cover any Research Project Plans from a principal investigator who intends to participate in National Research Development Projects as well as any research projects that a principal investigator joins with financial support for R&D expenses, unless otherwise specified by supporting institutes.

Article 3 (Definitions)

The terms used in this guideline shall be defined as follows:

  1. Prior review of research expenses refers to any prior review made by supporting institutes to examine if the appropriate amount of research expenses are reflected in the Research Project Plan before they enter into a research agreement.
  2. “Prior control of research expenses” means that the Academic Research Support Team examines whether it would be appropriate to change and execute the research expenses before it controls such a change or execution.

Article 4 (Prior Review of Research Expenses)

  • Before submitting the Research Project Plan to the relevant supporting institutes, the principal investigator shall prepare a written request for Research Project Plans and shall submit it to the Academic Research Support Team of the University for prior review through the research expenses management program.
  • The Academic Research Support Team shall confirm the following matters contained in Research Project Plans, as listed in the written request for the Research Project Plans, and shall determine whether to submit said plans to the supporting institutes. And this team shall notify principal investigator of the results of the request. However, the team may ask the Research Committee to examine the research expenses, if necessary.
  1. Rate of participation in internal / external labor costs
  2. Direct cost
  3. Commissioned research expenses
  4. Overhead costs
  5. Participant’s burden rate of cash / kind
  6. Other matters covered by regulations of supporting institutes
  • Principal investigator shall perform follow-up measures according to the results of Clause 2 above.

Article 5 (Prior Control of Research Expenses)

①     The Academic Research Support Team may use the written request or research support system to control research expenses in advance for the following subclauses:

  1. Excess increment
  2. Execution outside of research period
  3. Execution by non-participating researchers
  4. Appropriation and new establishment of expense items
  5. Purchase of instruments and equipment 1 month before completion of research
  6. Other restrictions covered by the regulations of supporting institutes
  • In accordance with relevant regulations of supporting institutes, the Academic Research Support Team shall examine if the respective subclauses of Clause 1 above are appropriate, and then they shall inform the principal investigator of examination results.

Article 6 (Rules of Application)

In regard to prior review and control of research expenses, other matters not specified in this guideline shall be mutatis mutandis covered by relevant regulations of supporting institute.

Supplementary Provision (April 25, 2011)

  1. (Effective Date)

This guideline shall take effect as of the date of its announcement.

  1. (Interim Measures)

The prior review and control of research expenses executed before the enforcement of this guideline shall be considered as based hereon.