Research Grants, Contracts and Consultancies Policy

1. Competitive Research Grants
2. Research Contracts and other Research Grants
3. Consultancies
4. Hybrid and other Research Funding Agreements

Definitions

Overview

Staff are encouraged to secure external research funding in support of their research and the University's strategic vision. External funding includes research grants, contract research and consultancies, and is a critical part of the University's activity. Funds from most research activity can be reported to the Commonwealth Government as part of the University's annual research income return, thus generating infrastructure funding as well as providing additional funding for the researchers undertaking the work. This Policy sets out the structures within the University to support and govern that activity, as well as the principles and procedures that apply to the process of seeking and expending external research funding.

Scope and Application

This Policy applies to all University of Adelaide staff, on fixed-term and continuing appointments, who are involved in externally-funded research grants, contracts and consultancies. It also applies to non-staff affiliates and titleholders when undertaking activities within their University role, subject to any conditions of appointment. This Policy does not apply to internal research grants; contracts with publishers for writing and/or publishing works of conventional scholarly output; the assessment of grants; thesis examinations; or creative performances and/or exhibitions.

Policy Principles

1. Staff are encouraged to seek and obtain external funding to support their research and the University's strategic vision.

2. All research funding proposals and agreements must provide sufficient value to the University to justify involvement, be consistent with the University's strategic vision, and be compatible with the efficient discharge of a staff member's duties.

3. All research contracts and consultancies must be priced to cover direct and indirect costs, and allow for distribution of a portion of the income to the University to contribute to infrastructure, support costs and further research activities.

4. In order to achieve the maximum benefit for both staff and the University, all research grants, research contracts and consultancies must be handled by the appropriate section of the University or Adelaide Research & Innovation Pty Ltd, as outlined in the Procedures section of this Policy.

5. The use of University affiliation, staff time or facilities for personal or third party benefit is not permitted, other than when approved under this Policy.

6. Where research activity is commercial in nature and involves competition against private businesses, there is potential for public ownership to create a competitive advantage. Accordingly, in the interests of best practice, the University will adhere to the principle of competitive neutrality as stated in the South Australian Government's Competitive Neutrality Policy Statement.

Delegations of Authority

Key	Authority Category	Authority	Delegation Holder	Limits
Research	Research Agreements	Sign agreements relating to University involvement in research grants, research contracts and consultancies. Sign exchange, partnership, collaboration and affiliation research agreements and research MOUs between the University and other institutions.	VC&P DVC&VP(R)	Council approval required for a major strategic initiative or a significant commercial activity.
Research	Competitive Research Grant Agreements	Sign agreements pertaining to competitive Research Grants.	Director, Research Branch	Up to $1M for Category 1 Grants and $200,000 per agreement for other grants.
Research	Research Agreements	Approve use of any remaining income, after costs and levies are deducted, from research contracts for use in support of the research activities of the researchers delivering the project.	Heads of School/Branch

Procedures

Set out below are the procedures for handling research grants, research contracts, consultancies, and hybrids of research contract and consultancy. In the event of a lack of clarity as to the appropriate area to assist with a research grant, research contract or consultancy, the proposal should be referred to the Deputy Vice-Chancellor and Vice-President (Research) [DVC&VP(R)]. In cases involving bequests and sponsorships, researchers should refer to the 'University Giving Framework'.

1. Competitive Research Grants

A competitive research grant is sponsored research (basic, strategic, applied or experimental) arising from an application to a funding body that typically:

* is subject to a competitive process involving review of project applications by peers who are usually independent from the sponsoring body;

* does not specify a precise research deliverable or outcome other than a report; and

* is defined in scope and objectives by the researcher rather than the funding body.

All competitive research grants are administered by the University's Research Branch.

For grants from sponsors listed on the Australian Competitive Grants Register (Category 1), all income is utilised to cover the direct costs associated with the research project. Indirect costs are usually not claimable. Additional public funding received by the University is used to support some of these indirect costs of research. For other non-Category 1 competitive research grants, income flowing to the University will be distributed in a way specified in the grant application and associated award documentation. In the absence of such direction, this will follow the distribution process for contract research outlined in Section 2 below.

Responsibility: All researchers

a) In applying for a research grant, seek the direct costs of salaries, on-costs, equipment and consumables, and, where allowable, the indirect costs of overheads and infrastructure.

b) In developing a budget, use the pricing advice set out in Attachment 1.

c) Seek endorsement for any proposed research project from the Head of School, allowing sufficient time for proper review, and lodge the application with the Research Branch by the internal closing date.

Responsibility: Head of School/Branch

d) Carefully consider the application and endorse it if a successful outcome would: provide sufficient return to the University to justify involvement; be consistent with the University's strategic vision; and be compatible with the efficient discharge of a staff member's duties. Where a Faculty financial contribution is involved, the relevant Executive Dean must also provide endorsement.

Responsibility: Director, Research Branch

e) Ensure that the application satisfies the criteria for a competitive research grant.

f) Ensure that Head of School endorsement is obtained for the proposal.

g) Provide assistance to researchers in scoping and pricing the proposal.

h) Endorse and submit the research grant application if it satisfies the relevant criteria.

i) If the grant application is successful, negotiate any other terms of the agreement, ensuring it contains only appropriate progress and reporting requirements.

j) Execute the contract and inform the staff member of relevant obligations.

k) In instances where indirect costs are involved, arrange for them to be distributed in accordance with the grant rules and application. In the absence of such direction, this will be done in accordance with the process for contract research outlined in section 2.

2. Research Contracts and Other Research Grants

A research contract is entered into with an industrial or public sector organisation, following a tendering or negotiating process. Its aims, objectives and project milestones are typically determined by, or in negotiation with, the funding body. The project typically involves an agreed program to provide research services as well as provisions in relation to the ownership or use of intellectual property. This category also includes any non-competitive Category 2 or Category 3 grant.

All research contracts are handled by Adelaide Research & Innovation Pty Ltd (ARI).

Research contracts should be priced at a mutually agreeable rate, to meet full direct and indirect costs and generate an appropriate return, including provision for the distributions set out in Attachment 2. Exemptions to this pricing requirement may exist for projects funded by charities, or foundations that are registered as charities in their legal jurisdictions, except where the granting body rules allow for such recovery. Guidance on pricing is contained in Attachment 1.

In order to enhance research activities within the University, and provide incentives to re-invest in research areas, the off-the-top amount deducted administratively for research contracts (15%) has been deliberately set at a lower rate than that for consultancies (20%).

In relation to a research contract, income flowing to the University will be allocated as follows:

* The costs of carrying out the research to have first priority.

* 15% of the total distributed in equal shares to the School, Faculty and DVC&VP(R). The latter component will be returned to the faculties to support strategic research initiatives, following discussion with the Executive Dean of the Faculty involved.

* The remainder is to be used in support of the research activities of the research group carrying out the work, and with approval of the Head of School/Branch.

Responsibility: All researchers

a) Engage with ARI as early as possible in relation to potential research contracts, and work with ARI in the development of the proposal and contract (including all relevant information, e.g. ethics clearances, any proposed sub-contracts or potential conflicts of interest).

b) In developing a budget, discuss this with the Head of School/Branch before finalising it, consult with ARI, and use the pricing advice set out in Attachment 1. Ensure that the budget is sufficient to cover all direct and indirect costs and provide a sufficient margin.

c) Seek endorsement for any proposed research contract from the Head of School/Branch, allowing sufficient time for proper review, and lodge the proposal with ARI.

d) Once the contract is signed, perform the work, provide the deliverables and comply with the obligations specified in the resulting contract.

Responsibility: Head of School/ Branch and Executive Dean/Executive Manager*

e) Endorse the application if a successful outcome would: provide sufficient return to the University to justify involvement; be consistent with the University's strategic vision; and be compatible with the efficient discharge of a staff member's duties and compliance with other applicable policies. (* If the responsible person is the proponent of the research contract, then endorsement must be provided by their line manager).

Responsibility: Head of School/Branch

f) Ensure that any remaining income is used in support of the research activities of the research group delivering the project.

Responsibility: Managing Director, ARI Pty Ltd

g) Provide assistance to researchers in scoping and pricing the proposal.

h) Ensure that Head of School/Branch and Executive Dean/Manager endorsement is obtained for the proposal.

i) Negotiate Intellectual Property ownership and other terms of the contract with the sponsor or funding body (and in consultation with the staff member).

j) Execute the contract and any related sub-contracts, and inform the staff member of relevant obligations.

k) Monitor the performance of the contract and ensure appropriate invoicing and distribution of funds.

3. Consultancies

A consultancy involves the purchase by external agencies of an individual staff member's professional skills and expertise (perhaps with concurrent access to University equipment or facilities), to work on a specific project. The consultant will receive remuneration which may be directed into his/her University consulting fund or taken personally, subject to satisfactory compliance with tax and related reporting requirements.

All consultancies are handled by Adelaide Research & Innovation Pty Ltd.

Consultancies must be priced at commercial market rates, taking into account all direct and indirect costs and generating an appropriate return, including provision for the distributions set out in Attachment 2. Detailed guidance on pricing is contained in Attachment 1. Exemptions to this pricing requirement exist for projects funded by charities (or foundations that are registered as charities in their legal jurisdictions), except where the granting body rules allow for such recovery.

In relation to a consultancy, income flowing to the University will be allocated as follows:

* The costs of carrying out the work (other than the costs of the staff member's time) to have first priority on the remaining funds.

* 20% of the total income distributed in equal shares to the School, Faculty and DVC&VP(R). The latter component will be returned to the faculties to support strategic research initiatives, following discussion with the Executive Dean of the Faculty involved.

* Any remainder may be taken as personal income or directed to the staff member's School consulting account, to be spent on work-related expenses.

Responsibility: All researchers

a) Engage with ARI as early as possible in relation to potential consultancy contracts, and work with ARI in the development of the proposal and contract (including all relevant information, e.g. ethics clearances, any proposed sub-contracts or potential conflicts of interest).

b) In developing a budget, discuss this with the Head of School/Branch, consult with ARI, and use the pricing advice set out in Attachment 1.

c) Seek endorsement for any proposed consultancy from both the Head of School/Branch and the Executive Dean/Manager, allowing sufficient time for proper review, and lodge the proposal with ARI.

d) Perform the work, provide the deliverables and comply with the obligations specified in the resulting contract.

Responsibility: Head of School/Branch and Executive Dean/Manager*

e) Endorse the application if the consultancy is compatible with the faculty's mission, the efficient discharge of a staff member's duties and complies with other applicable policies. (* If the responsible person is the proponent of the consultancy, then endorsement must be provided by their line manager).

Responsibility: Managing Director, ARI Pty Ltd

f) Provide assistance to researchers in scoping and pricing the proposal.

g) Ensure that Head of School/Branch and Executive Dean/Manager endorsement is obtained for the proposal.

h) Negotiate Intellectual Property ownership and other terms of the contract with the sponsor or funding body (and in consultation with the staff member).

i) Execute the contract and any related sub-contracts, and inform the staff member of relevant obligations.

j) Monitor the performance of the contract and ensure appropriate invoicing and distribution of funds.

4. Hybrid and other Research Funding Agreements

a) Where it is proposed to pursue an external engagement that is part research contract and part consultancy, the engagement must be partitioned into separate, interlinked agreements for the research contract and the consultancy, each following the above procedures.

b) Any other research funding agreements which do not fit any of the previous categories, should be directed to the DVC&VP(R) for consideration.

Definitions

Category 1 Research Grants: National Competitive Grants (Commonwealth Competitive Grants and Non-Commonwealth Competitive Grants)

Category 2 Research Grants: Other Public Sector Funding (Local Government; State Government and Other Commonwealth Government)

Category 3 Research Grants: Industry and Other Funding (Australian Contracts; Australian Grants; Donations, Bequests and Foundations; International Funding and Other Funding)

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http://www.adelaide.edu.au/policies/122/