November NHMRC CI Workshop. Dr Cadence Haynes Senior Research Grants Officer, Research Branch

Transcription

1 November 2014 NHMRC CI Workshop Dr Cadence Haynes Senior Research Grants Officer, Research Branch

2 Welcome thanks for attending Congratulations to Investigators on new grants and fellowship! Purpose of this session: CIs must be fully informed of responsibilities. Smooth operations reflect well on CIAs. Harsh penalties for non-compliance Speakers Legal Services Mr Timothy Graham (Commercial Lawyer) Research Accounting Ms Chelsea Mudge (Manager, Research Accounting) Digital Library Ms Vanessa Barrett (Digital Services Librarian) Aurora Implementation Ms Julie Blake (Manager, Research Systems & Collections) Maintenance of your grant Dr Cadence Haynes (Senior Research Grants Officer) University of Adelaide 2

3 Rules that govern your new award NHMRC Funding Agreement Spending of grant funds University s Obligations Multi-Institutional Agreements Reporting Inspections Acknowledgement obligations Peer-review obligations Consequences of non-compliance Funding Rules Purpose of the award Use of funds Reporting requirements specific to this scheme Universal NHMRC Funding Rules University of Adelaide 3

4 Rules that govern your new award Other NHMRC Policies/Guidelines all available from the NHMRC website NHMRC homepage Administering Grants Use of NHMRC grant funds NHMRC policy on dissemination of research findings (Vanessa will elaborate) Use of DRCs and Flexible Funding Reporting Variations All Approved Standards and Guidelines: Australian Code for the Responsible Conduct of Research (2007) Australian code for the care and use of animals for scientific purposes 8th edition (2013) National Statement on Ethical Conduct in Human Research Updated May 2013 Etc etc etc University of Adelaide 4

5 Session continued Speakers Legal Services Mr Timothy Graham (Commercial Lawyer) Research Accounting Ms Chelsea Mudge (Manager, Research Accounting) Digital Library Ms Vanessa Barrett (Digital Services Librarian) Maintenance of your grant Dr Cadence Haynes (Senior Research Grants Officer) University of Adelaide 5

6 NHMRC CI Workshop Legal Services Tim Graham Corporate Lawyer Adelaide Research & Innovation Pty Ltd

7 NHMRC Funding Agreement and Funding Rules The Administering Institution (UA) must use the Funding in support of the purpose and objectives of each Scheme (NHMRC) as specified in the Funding Policy for that Scheme. The Administering Institution acknowledges that it is required to comply with all of its obligations under this Agreement, including but not limited to: a) managing and being accountable for the Funds; b) conducting the Research Activities in an ethical manner in accordance with NHMRC Approved Standards and Guidelines and all applicable Commonwealth and State and Territory laws and regulations; c) maintaining a high standard of governance; d) ensuring that Participating Institutions perform the research and administer the funds to give effect to the agreement; e) providing information, advice and reports to NHMRC, and obtaining approvals from NHMRC as required under the agreement. University of Adelaide 2

8 Obligation not to start Research until Formal Agreement is signed The Administering Institution must enter into a Formal Agreement with each Participating Institution that is performing any part of the Administering Institution s Research Activities. The Administering Institution must not: - allow a Participating Institution to commence performing any part of a Research Activity; nor - provide Funding to that Participating Institution for that Research Activity, until they have entered into a Formal Agreement. The Administering Institution must retain a copy of each Formal Agreement. University of Adelaide 3

9 Formal Agreement with the Participating Institutions Although the Participating Institutions perform some of the research activities, the Administering Institution: remains responsible to NHMRC for the performance of the grant is required to do all things incidental or reasonably necessary to give effect to the funding agreement. acknowledges that it has an on-going obligation to monitor; and report on each Participating Institution's adherence to the terms of its Formal Agreement. To fulfil the above the Funding Agreement will require the Participating Institution to act in a manner that is consistent with, and enables the Administering Institution to give effect to, all of the Administering Institution's obligations. University of Adelaide 4

10 Formal Agreement must specify, outline, require, describe, use, provide: Financial Accountability: amount of the Funding... the role of, and any financial or in-kind contribution to be provided by, accountability by the Participating Institution in dealing with Funds received/including repayment of Funds Research Accountability: the Research Activity to be undertaken each party s responsibilities for the payment of salaries and any Stipends for the Specified Personnel; the respective roles and responsibilities of personnel ensure sound governance, including notification/management of breaches of the Australian Code for the Responsible Conduct of Research (2007) or misconduct; reduce scope of, or terminate if NHMRC Funding Agreement is terminated or reduced in scope University of Adelaide 5

11 What is in the Formal Agreement? Information Transparency/Accountability: access to information/premises; record keeping all assistance needed to report to NHMRC IP/Moral Rights/Conflicts NHMRC logo and acknowledgement University of Adelaide 6

12 Questions? University of Adelaide 7

13 NHMRC CI Workshop Chelsea Katsikitis Manager, Research Accounting Financial Services

14 Financial Management of NHMRC Grants Research Accounting what we do and our role in NHMRC grant management Direct Research Costs (DRCs) Travel Costs Conference Costs Responsibilities/Expectations of CIs Acquittals and Carry Forwards Research Accounting Contact Details University of Adelaide 2

15 Research Accounting What We Do Research Reporting Compilation of HERDC income data Calculation of research support funding to be distributed to Affiliate Organisations Monitoring compliance with funding agreements Provision of income data and FOR codes for ERA & ABS Project Specific Project code creation Invoicing Processing collaborator payments Annual Financial Statements & Acquittals Queries University of Adelaide 3

16 NHMRC Income in Context Total Cat 1 NHMRC ARC GRDC Other University of Adelaide 4

17 Research Accounting s Role in NHMRC Grant Management Project Code Creation - Only when ethics approval obtained - Generally one code per grant - Notification of code creation ed to School Finance Officer and CIA Receipt NHMRC funds - Received monthly in arrears - Distributed to projects according to NHMRC payment advice Distribute funds to Affiliated Organisations and Collaborators Prepare and submit acquittals by 30 April - Reviewed by School Finance Officer and CIA - CIA to certify that the funds have been spent in accordance with the agreement and on the approved research objectives University of Adelaide 5

18 NHMRC Direct Research Costs Guidelines NHMRC made changes to their direct cost guidelines which took effect from 1 January Funding provided by NHMRC for a Research Activity may be spent on a cost incurred in relation to that Research Activity that satisfies all of the following requirements: The cost must be integral to achieving the objectives and outcomes of the Research Activity as set out in the Application for Funding for that Research Activity, as approved by NHMRC; The cost must be directly related to the grant proposal as set out in the Application for Funding for that Research Activity, as approved by NHMRC; and The cost must not be for a facility or an administrative cost that would be provided by an institution in the normal course of undertaking and supporting health and medical research. University of Adelaide 6

19 Travel Costs Travel costs are only DRCs for a Research Activity, such as field work, research collaborations or for use of facilities in other countries, if the travel costs are directly related to the approved research objectives of that Research Activity. Airline membership, health insurance and travel insurance are generally not considered to be DRCs. All travel, accommodation, meals and incidentals must be in accordance with the relevant travel policies and procedures of the Administering Institution. Restaurant meals, alcohol and other hospitality are generally not direct research costs University of Adelaide 7

20 Conference Costs Conference costs are only DRCs for a Research Activity if the conference and related travel costs are directly related to the approved research objectives for that Research Activity and attendance at the conference is for the purpose of presenting the outcomes of that Research Activity. University of Adelaide 8

21 Responsibilities/Expectations of Chief Investigators Manage the project within the budget approved by NHMRC Spend funds only for the purpose of conducting the project Ensure the costs are allowable Ensure eligible costs are charged to grants in a timely manner Review expenditure regularly University of Adelaide 9

22 ORBIT Project Reporting University of Adelaide 10

23 Acquittals and Carry Forwards Dates to Remember 31 December 2014 Carry forward requests for final year projects Constitutes variation to grant Request submitted by CIA on RGMS 30 April 2015 Annual financial statements Carry forward requests (>25% of grant funding) for continuing grants are no longer required. University of Adelaide 11

24 Acquittals and Carry Forwards (Continued) Acquittals prepared according to expenditure in PeopleSoft Research Accounting review acquittal non-allowable expenditure will be queried acquittal to School Finance Officer with cc to CIA School & CIA to review expenditure for accuracy and completeness CIA to certify that funds have been spent in accordance with the agreement Any unspent funds on completion of the project must be returned Spikes in expenditure in final year will be investigated by NHMRC Non-compliance may result in NHMRC suspending funding University of Adelaide 12

25 Research Accounting Website & Address University of Adelaide 13

26 Vanessa Barrett, Digital Services Librarian Open Access and complying with NHMRC policy Life Impact The University of Adelaide

27 NHMRC policy on dissemination of research findings Effective on 1 July 2012 NHMRC therefore requires that any publications arising from an NHMRC supported research project must be deposited into an open access institutional repository within a twelve month period from the date of publication

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29 What information needs to be submitted to the institutional repository and when? Publication metadata (i.e. journal name, title, author list, volume, issue, page numbers etc) must be submitted to the institutional repository as soon as possible after the paper is accepted for publication, no matter when (or if) the paper itself will become openly accessible. The manuscript/journal article should be submitted to the institutional repository as soon as possible after the publication date. The repository manager will ensure that the manuscript/journal article is made available at a date that complies with the journal s copyright transfer agreement. If the copyright transfer/licence agreement does not allow the article (or manuscript) to be made available within twelve months of the date of publication, it needs to be made available as soon as possible after that date. If the journal never allows the article to be made available, this information must be provided at the time of Final Report submission. Institutions may wish to use a publicly available holding note to explain that copyright/licensing restrictions prevent inclusion of a particular article on the repository until a specific date.

30 Which version of the manuscript/journal article do I need to make available via the institutional repository? There are numerous versions of the article that can be made available via the institutional repository. Both the author s version of the article (Word document) after peer-review, with revisions having been made and the publisher s version (e.g. journal version with final pagination and formatting) are acceptable under this revised policy. Journals may have different policies regarding what version of a manuscript or article can be made available, and timing of this availability. This information should be included in any copyright/licensing agreement. To find further information regarding which version of a paper can be uploaded to your institutional repository, consult your librarian or the SHERPA/RoMEO database of international publisher policies, which provides a great deal of detail: OAKList covers the policies of Australian journals:

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32 University of Adelaide Aurora

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34 Aurora Aurora upload files

35 How we can help Production of material for education and information See Advice and help on discovering Open Access policies of publishers Help with depositing and describing publications via Aurora Recording and reporting on funding acknowledgements in publications Vanessa Barrett Digital Services Librarian

36 November 2014 NHMRC CI Workshop Dr Cadence Haynes Senior Research Grants Officer, Research Branch

37 You have a new grant Congratulations!... What s next? Return of Award Acceptance Form... University of Adelaide 2

38 Administered by a different University? Do you need to defer the start date? A titleholder from SA Path, RAH, WCHN, TQEH or WCHRI? 3

39 Ethics and compliance approvals: Animal/human component of project delayed? Fill out what will ultimately be required here, and advise RB of when that will be RB will advise NHMRC RGMS will be updated (payments not disrupted) 4

40 You have a new grant Congratulations!... What s next? Return of Award Acceptance Form Additional Info into RGMS University of Adelaide 5

41 Data Collection at Award Chief Investigators As (CIAs) on successful applications are required to provide the following information, needed to administer grants, before payments begin: a plain English summary of the proposed research; and ethics details, where applicable University of Adelaide 6

42 University of Adelaide 7

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44 University of Adelaide 9

45 Data requirements where ethics committee approvals are not needed If, in Part A of your application, you answered no to the questions relating to human and animal ethics clearances, the Grantee Admin: Properties page will display as follows: University of Adelaide 10

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47 Data requirements where ethics committee approvals are not needed You must still enter: - Your plain English Summary About the plain English summary Describe the research in terms suitable for release to the media. Avoid the use of highly technical terms. Be brief and describe the overall aims of the research and expected outcomes in a manner the general public will understand. This information will be made available, if requested, to members of the public, journalists, etc. It may also be used for the purposes of reporting on grants to Parliament. Note that this information plays an important part in relaying research outcomes to the public and, as such, should be written in a manner appropriate for the intended audience. University of Adelaide 12

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49 Data requirements where ethics committee approvals are needed If, in Part A of your application, you answered Yes to the questions relating to human and/or animal ethics, the Grantee Admin: Properties page will display according to your response. For example, where a yes response was provided to human research ethics clearance and a No response for animal ethics, additional questions related to human ethics will appear on an Ethics - Human sub-page in the drop-down menu under Properties. University of Adelaide 14

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52 Ethics/Approvals Notifying NHMRC and the University The NHMRC will not release funding until copies of Ethics Approvals are provided. The Director of the Research Branch signs off on each Approval notice when we forward it to the NHMRC. Timetable for Ethics Committee meetings available: Human ethics: The University of Adelaide accepts ethics approval for clinical staff members who have been granted approval by one of the following hospital Human Research Ethics Committees (HREC): Royal Adelaide Hospital Ethics Committee Human Research Ethics Committee (The Queen Elizabeth Hospital, Lyell McEwin Hospital and Modbury Hospital) Women's and Children's Health Network Human Research Ethics Committee SA Health Human Research Ethics Committee The Southern Adelaide Clinical Human Research Ethics Committee (Flinders Medical Centre and Repatriation Hospital) Notify UoA using the online form. University of Adelaide 17

53 You have a new grant Congratulations!... What s next? Return of Award Acceptance Form Additional Info into RGMS Assist RB to prepare a collaborative agreement if required. University of Adelaide 18

54 Collaborative Agreements - MIAs If your grant names CIs who are employed at other institutions, we are required to enter into a Multi-Institutional Agreement. This is specified in the NHMRC Funding Agreement as Tim explained You would already have received an from RB asking you specify how much of your budget (if any) needs to be distributed to your collaborators: APP CIA Bloggs The University of Adelaide University of Sydney RMIT TOTAL $127, $147, $122, University of Adelaide 19

55 Collaborative Agreements - MIAs If your grant names CIs who are employed at other institutions, we are required to enter into a Multi-Institutional Agreement. This is specified in the NHMRC Funding Agreement as Tim explained You would already have received an from RB asking you specify how much of your budget (if any) needs to be distributed to your collaborators: APP CIA Bloggs The University of Adelaide $100,000 $100,000 $110,000 University of Sydney $27,359 $47,359 $12,359 RMIT $0 $0 $0 TOTAL $127, $147, $122, RB will contact the other Institutions and arrange for the MIA to be executed it is helpful if your collaborators can contact their Research Branch to expedite this process. If you have OS collaborators the process may be a bit more complicated. University of Adelaide 20

56 You have a new grant Congratulations!... What s next? Return of Award Acceptance Form Additional Info into RGMS Assist RB to prepare a collaborative agreement if required Clinical Trial Agreement(s) if required University of Adelaide 21

57 Clinical Trial Agreements Medicines Australia templates routinely accepted by all domestic hospitals etc. University of Adelaide 22

58 Clinical Trial Agreements Medicines Australia templates routinely accepted by all domestic hospitals etc. If you are engaging with an OS hospital, CTAs are still required, RB and Tim Graham will help with negotiations on terms and conditions. University of Adelaide 23

59 Reporting Progress Reports All Research Support grants must submit Annual Progress Reports via RGMS: Project Grants Development Grants Centres of Research Excellence (CREs) Partnership Projects With the exception of Scholarship grants, all People Support grants require the submission of Mid-Term Progress Reports through RGMS: Early Career Fellowships Career Development Fellowships Research Fellowships Practitioner Fellowships University of Adelaide 24

60 Grantee Administration Conditions & Milestones University of Adelaide 25

61 To submit Progress Reports University of Adelaide 26

62 Reporting Deadlines Progress Reports Depend on the scheme Generally, due 31 March in Year 2 & 3 + year after final funding year (for 3 year grants) Automated reminder will be send 4 weeks prior to due date. Final Report NOT VIA RGMS, still hardcopy submission Due June 30 in year after Final Year Automated reminder will be send 4 weeks prior to due date. Submit to the Research Branch (raohealth@adelaide.edu.au) - we will keep copies on record and forward to the NHMRC Financial Reports Managed by Research Accounting University of Adelaide 27

63 Acknowledgements Any correspondence, public announcement, advertising material, research report or other material produced that relates to NHMRC-funded Research Activity, must acknowledge the Grant from the NHMRC and/or the provision of any Co-Funding from the NHMRC. Specify the Grant Identification Number (APP ) Specify that the contents of the published material are solely the responsibility of the Administering lnstitution, a Participating lnstitution or individual authors and do not reflect the views of NHMRC. Don t use the NHMRC logo without prior written consent (ie. on posters or presentations) University of Adelaide 28

64 Peer Review Obligations It is a condition of receiving NHMRC funding that you make yourself available (free of charge, but subject to reasonable notice) to review or assess applications in your area of expertise. You may be required to review at least five (5) separate Scheme applications each calendar year. University of Adelaide 29

65 Consequences of non-compliance Cut off funding / require funding be returned Charge interest on any outstanding amount Integrate indicators of timely submission of Reports into Profile section of RGMS Block submission of applications, and award of new grants, until overdue Reports are submitted University of Adelaide 30

66 Changes to the planned research Add New Non-CI Team Member Change in Research Plan Change of Supervisor Defer Grant Start Date Defer in-progress Grant Extend Grant Duration Extended Leave Request (longer than 3 months duration) Modify Non-CI Team Member Relinquish Grant Remove Non-CI Team Member Transfer Administrative Institution Update CI Team Membership and Structure CIA must submit Grantee Variation through RGMS Restrictions on the amended dates that can be requested Extend Grant Duration for grants with end dates approaching University of Adelaide 31

67 Grant Management Grantee Variations Note you will only see Grants where you are a named CI Please double check that your variation has been submitted to RAO. University of Adelaide 32

68 RGMS Variations 1. CIA completes fields, uploads necessary attachments 2. Check CIA Entry Complete then Save/Submit 3. Research Branch ( RAO ) must approve and certify, then Submit to NHMRC 4. NHMRC will notify once outcome determined, or if more information is required University of Adelaide 33

69 Updating your Profile/CV on RGMS Instructions about what details are required for each scheme, and how to add publications to your RGMS CV are available on the NHMRC website: University of Adelaide 34

70 Publications arising from NHMRC funding Make sure NHMRC-funded publications are deposited in AR&S AND Select Yes from the drop-down menu University of Adelaide 35

71 Research Integrity Advisors University of Adelaide 36

72 More Info & who to contact Subscribe to the Research Branch Bulletin! Follow links from Please direct all queries (application, legal, financial, post-award) to Research Branch or Secretariat (for Affiliates/Titleholders) University of Adelaide staff Contact the Research Branch directly Affiliates/Titleholders (hospitals/sa Pathology) Contact the appropriate Health Unit Secretariat: IMVS/RAH/SA PATHOLOGY WCHN TQEH WCHRI TBD Katherine McPhail Gwenda Graves Kathy Kingston University of Adelaide 37

73 Research Branch Location: Level 7, 115 Grenfell Street Phone: Slides/podcasts from information seminars Research Branch Bulletin Individual contacts for various areas available from our website. Health & Biomedical queries (Incl. NHMRC) University of Adelaide 38