Applying for Research Funding Procedure

Transcription

1 Applying for Research Funding Procedure Policy Code: RS1925 Table of Contents Purpose... 1 Scope... 1 Legislative Context... 1 Definitions... 1 Actions... 3 Supporting Documents... 4 Responsibility... 4 Promulgation... 5 Implementation... 5 Records Management... 6 Purpose To outline the processes involved in applying for external research funding at Federation University Australia. Scope The procedure covers all categories of external research funding, including funding awarded by national and international bodies, such as the ARC and NHMRC and all levels of government, as well as private industry and the community sector. This procedure applies to all those within the University or any controlled entity, applying for external research funding, including: All staff, including sessional staff, employed by the University; All persons, including Honorary and Adjunct appointees of the University or any controlled entity; Higher Degree by Research students who apply for external research funding or an externally funded scholarship stipend as part of their studies. Legislative Context Australian Code for the Responsible Conduct of Research 2007 (The Code) Definitions Term Research: Definition Research is defined as the creation of new knowledge and/or the use of existing knowledge in a new and creative way so as to generate new concepts, methodologies and understandings. This could include synthesis and analysis of previous research to the extent that it leads to new and creative outcomes. (2015 HERDC Specifications, Pg 7, Section 3) Authorised by: Deputy Vice-Chancellor (Research & Innovation) Document Owner: Director, Original Issue: 25/11/2015 Current Version: 25/11/2015 Review Date: Page: 1 of 6

2 Term Contract Research: Controlled Entity: Research Funding: Research Grant: Definition Research undertaken with an agreement to provide research services under specific negotitated conditions in exchange for specific deliverables. A Company over which the University has control within the meaning of section 3 of the Audit Act 1994 (Vic) and which has adopted this Policy. Funding awarded to a staff member or Higher Degree by Research student to support their research activities. The term generally refers to funding obtained through a competitive process run by govenment, corporations, industry or charitable foundations. Mentor: An academic staff member who has been successfully awarded Category 1 funding or has extensive research experience who can provide advice and guidance to other academic staff. Category 1 Income: Australian Competitive Grants Category 2 Income: Other Public Sector Research Income Category 3 Income: Industry and Other Research Income Consists only of income from those research schemes and programs listed on the Australian Competitive Grants Register (ACGR) for that current year. Consists of income received from other government sources, including: Federal Government schemes and business enterprises NOT listed on the ACGR state and local governments and partly government owned or funded bodies research income from CRCs in which the University was not a core participant or signatory Any research income not meeting the definition of category 1, 2 or 4. Research grants or contract research with Australian or international industry or non-australian Government agencies. Funding through donations, bequests and foundations (both Australian and international) Category 4: CRC Research Income A Cooperative Research Centre (CRC) is created through a Commonwealth Agreement with a higher education provider (HEP). Category 4 income consists of research income received from a CRC in which the University is a core participant (i.e. a signatory to the CRC's Commonwealth Agreement.) If the University is hosting or is a core participant of the CRC (i.e. a signatory to the CRC s Commonwealth Agreement), the income is classified as Category 4. ACGR ARC NHMRC GEOI Costing Pro Forma GAC Income received from a CRC that is hosted by another institution is classified as Category 2. Australian Competitive Grants Register Australian Research Council National Health and Medical Research Council Grant Expression of Interest form internal pre-award form used to obtain /Director or nominee and DVC(R&I) approval to develop an external research funding application, and to provide with preliminary notification of intention to apply. Used to develop research budgets. Grant Approval Coversheet internal pre-award form used to obtain /Director and DVC(R&I) approval to submit a faculty/centre Authorised by: Deputy Vice-Chancellor (Research & Innovation) Document Owner: Director, Original Issue: 25/11/2015 Current Version: 25/11/2015 Review Date: Page: 2 of 6

3 Term Definition reviewed external research funding application, and to provide Research Services with application details for compliance and reporting purposes. Actions STEPS WHO IS RESPONSIBLE? COMMENTS 1. Approval to Apply Researcher 2. Development of Proposal Researcher Associate Dean Research Associate Dean Research 3. Development of Budget Researcher Associate Dean Research Finance team Researcher discusses potential research grant and associated project with their. /ADR/Centre Director signs off the Grant Expression of Interest Form (GEOI). Where the applican is the Executive Dean/Director approval must be sought from a senior signatory i.e. DVC R&I. GEOI form is lodged with Research Services. DVC (R&I) or delegate signs off on GEOI form. Adhering to funding body guidelines and instructions to applicants Chief Investigator (CI) drafts the proposal. CI may seek advice from their Faculty/ Centre or during this process. CIs applying for Category 1 funding may be required to participate in additional application development processes as outlined by the DVC (R&I) CI submits draft project budget, along with a Costing Pro Forma, to Research Services by an agreed date. in conjunction with the Finance team provides comment and advice on the draft project budget/s. If required, the CI makes amendments to the draft budget, following advise provided. Finance office updates costing proforma s on an annual basis as required to support research funding applications. 4. Compliance Review ADR ADR and/or mentor reviews and provides feedback, including technical Authorised by: Deputy Vice-Chancellor (Research & Innovation) Document Owner: Director, Original Issue: 25/11/2015 Current Version: 25/11/2015 Review Date: Page: 3 of 6

4 STEPS WHO IS RESPONSIBLE? COMMENTS Mentor content, grammar, spelling, etc. the proposal. coordinates a compliance review of the full proposal, including liaising with Finance and Legal Offices, as required. 5. Final Preparation Chief Investigator ADR 6. Submission Chief Investigator Deputy Vice-Chancellor (R&I) CI makes final amendments to the application. signs the Grant Approval Coversheet (GAC), which is forwarded to together with the full application and costing pro-forma. coordinates a final compliance check of the full proposal before submission to the funding body. The DVC (R&I) or delegate signs off on submission. In most cases, submits the application to the funding body. In some instances, particularly for online applications, the CI will be responsible for submission. At any time the DVC (R&I) has the discretion to defer applications that have not been submitted through the appropriate channels or the application has included unauthorised commitments, such as cash or in-kind support. Supporting Documents Research Funding Policy Delegations Contract, Financial, Staffing and Tender Policy Delegations Contract, Financial, Staffing and Tender Procedure Grant Expression of Interest Form Grant Approval Coversheet Costing Pro Forma for the relevant scheme Responsibility Chief Investigator Drafts and finalises research funding applications, including the budget, adhering to the funding body requirements and guidelines, and to University policies and procedures. Communicates with their and Associate Dean Research or Centre Director, as well as others on their research team, including, where appropriate, an internal or external mentor. Authorised by: Deputy Vice-Chancellor (Research & Innovation) Document Owner: Director, Original Issue: 25/11/2015 Current Version: 25/11/2015 Review Date: Page: 4 of 6

5 Responsible for meeting all designated internal and external funding application deadlines and requirements. /Centre Director As indicated by the signing of the Grant Expression of Interest Form, approves the proposed infrastructure, resources and financial implications, including time release, of the research team should the application be successful,. Through the Grant Approval Coversheet, the /Centre Director approves and recommends the final submission of the funding application, including any financial commitment and overheads as outlined in the Budget Costing Pro-forma. The /Centre Director is responsible for all Faculty/Centre related matters as they relate to the proposed project. Associate Dean of Research Provides guidance to the Chief Investigator regarding research funding opportunities, such as assisting with development, reading and feedback on project drafts, etc. Makes recommendations to the regarding the grant competitiveness and submission. Deputy Vice Chancellor (Research & Innovation) Approves the development and subsequent submission of all research funding applications. Authorises submissions and contracts/agreements as specified under the University's Delegations - Contracts, Financial, Staffing and Tenders Policy. Advise the Chief Investigator on the internal and external compliance requirements Advertises all internal compliance and submission guidelines and deadlines Organises review of applications and contracts/agreements from other University areas including the Legal Office to assess that applications adhere to University policies, procedures and practices Records all relevant information for research data collection and reporting purposes. Finance Provide advise on the development of, and feedback on, the draft budget to and or Chief Investigator. Promulgation The Applying for Research Funding Procedure will be communicated throughout the University via: 1. an Announcement Notice under FedNews website and through the University Policy - Recently Approved Documents webpage to alert the University-wide community of the approved Policy; 2. inclusion on the University Policy, Procedure and Forms website; and/or 3. distribution of s to Head of School / Head of Department / University staff; and/or 4. documentation distribution, eg. posters, brochures. 5. Other - please describe Implementation The Applying for Research Funding Procedure will be implemented throughout the University via: 1. Information Sessions; and/or Authorised by: Deputy Vice-Chancellor (Research & Innovation) Document Owner: Director, Original Issue: 25/11/2015 Current Version: 25/11/2015 Review Date: Page: 5 of 6

6 2. Training Sessions; and/or 3. Other - please describe Records Management Title Location Responsible Officer Minimum Retention Period Grant Expression of Interest Form Grant Approval Coversheet Director, 7 years Director, 7 years Costing Pro Formas Director, 7 years Funding Applications Director, 7 years Funding Agreements, Contracts and variations Legal Office - Central Filing Systems Legal Office 7 years after contract has expired Authorised by: Deputy Vice-Chancellor (Research & Innovation) Document Owner: Director, Original Issue: 25/11/2015 Current Version: 25/11/2015 Review Date: Page: 6 of 6