Participation in Cooperative Research Centres Policy

1. Application Process
2. Operations and Management
3. Reporting Arrangements

Definitions

Overview

The purpose of this Policy is to set out the basis on which the University will consider, evaluate and manage its participation in proposed and existing Cooperative Research Centres (CRCs).

Scope and Application

This Policy applies to all staff members of the University of Adelaide, and relates to proposals for, and management of, the University's formal participation in CRCs.

Policy Principles

1. All CRC applications involving the University of Adelaide must be approved by the Deputy Vice- Chancellor and Vice-President (Research) [DVC&VP(R)].

2. All CRC Terms of Agreement must be approved by the Vice-Chancellor and President [VC&P]. Where the Agreement is intended to result in a new incorporated structure and/or issuing of shares, the approval of Council is required, following a recommendation from the Finance Committee.

3. Those involved in negotiating CRC agreements must work to ensure that Intellectual Property related to participation in a CRC is managed in accordance with the University's Intellectual Property Policy, including, to the extent practicable, that:

a) Background Intellectual Property (BIP) is expected be made available on a project-specific basis, and that use of BIP should be through a non-exclusive, royalty-free licence. However, if commercialisation is expected, a commercial licence will be negotiated with the University for use of the BIP.

b) Intellectual Property generated by the CRC should be owned legally by the CRC in trust for the participants and the CRC on a project-by-project basis, with the beneficial interests based on the level of contribution to the relevant project, and the CRC being allocated an agreed proportion of the beneficial interest.

c) Students own copyright in their thesis and this right must be protected in CRC research projects, as well as protecting the student's right to prompt, unimpeded examination of their thesis.

d) The publication rights of academic staff are protected. The publication provisions in CRC Agreements will be scrutinized to ensure that they are consistent with these principles.

4. The University will generally not contribute cash directly to new CRCs. However, in those cases where it is proposed that the University should be the lead or a core participant, the CRC is in an area of strategic interest to the University, and a cash contribution is required, any cash that the University agrees to contribute should be tied to projects to be conducted at the University of Adelaide.

Delegations of Authority

Key	Authority Category	Authority	Delegation Holder	Limits
Research	Research Agreements	Approval of all CRC applications.	DVC&VP(R)	Advise Finance Committee
Research	Research Agreements	Approval of an unincorporated CRC agreement, if the University of Adelaide commitment is under $2M for the life of an unincorporated CRC.	VC&P
Research	Research Agreements	Approval of a CRC agreement involving an incorporated entity, or if the University of Adelaide commitment is over $2M for the life of an unincorporated CRC.	VC&P	NT - on the recommendation of Finance Committee and approval of Council.

Procedures

1. Application process

Responsibility: Director, Research Branch

a) Provide overall management of the CRC application process within the University.

Responsibility: Key Researcher

b) To prepare an Expression of Interest for the participation of the University in a CRC, in consultation with the relevant Head(s) of School and Executive Deans, and lodge it with the Research Branch.

c) In considering the inclusion of any in-kind contributions in a CRC application, take into account the following factors:

* how the contributions are justified on the basis of the expected returns;

* how participation in the CRC will affect the staff members' other commitments or eligibility for other grant schemes;

* what alternative sources there are to fund the proposed or similar activities; and

* what contingency plans exist in case the staff member concerned is unable to fulfil his/her obligations.

d) If the Expression of Interest is successful, work with the bid leader (if a different person) to prepare a full application for submission.

Responsibility: Executive Deans

e) To consider CRC Expressions of Interest and, in consultation with the relevant Head(s) of School, make a recommendation to the DVC&VP(R) on whether or not to proceed with an application.

Responsibility: DVC&VP(R)

f) Consider Expressions of Interest recommended by an Executive Dean.

g) Where appropriate, provide approval for the University's participation in an application for a CRC.

h) Advise the University Finance Committee of all CRC applications.

Responsibility: VC&P

i) Approve, within the limits of his/her authority/delegation, the Terms of Agreement associated with the establishment or renewal of a CRC. In the case of an incorporated venture, or where the financial amounts involved exceed his/her authority/delegation, seek the approval of Council, on recommendation of Finance Committee.

2. Operations and Management

Responsibility: Key Researcher

a) Ensure that any research project (or part thereof) allocated to the University of Adelaide is:

* acceptable to the University and compliant with University policies on such matters as ethics, risk management and safety;

* approved by the University and subject to a realistic cost:benefit analysis on the resources, especially the cash, being made available to the University for the project; and

* has a budget which includes a research infrastructure charge of 25%, subject to the negotiation of CRC Participant Agreements.

Responsibility: Managing Director, ARI Pty Ltd

b) Maintain a record of all Background IP and CRC-developed IP, including ownerships and inventorship proportions.

c) Monitor and report on income flows from commercialisation of CRC-related IP, and manage the distribution of income under University policy.

Responsibility: Director, Research Branch

d) Oversee the University's obligations for all CRC-related review and signature deadlines.

Responsibility: All staff

e) If seeking to become a Director or Board member of an incorporated CRC, lodge a request for approval to the DVC&VP(R).

f) If given approval to become a Director or Board member of an incorporated CRC, undertake appropriate training, and ensure adherence to all requirements for declaring and resolving potential conflicts of interest.

g) If proposed for a senior management position in the CRC, including that of Chief Executive Officer, either seek leave of absence without pay from the University, or resign any University-held position.

Responsibility: DVC&VP(R)

h) To approve, or otherwise, requests from University staff members to serve as a Director or Board member of an incorporated CRC.

Responsibility: Supervisors of Higher Degree by Research students

i) As students are not employees of the University, it is essential that their supervisors ensure that student deeds of Intellectual Property assignment (SPPAs) are executed prior to the commencement of student participation in CRC projects.

3. Reporting arrangements

Responsibility: Faculty Finance Managers

a) To review and approve all reports prepared for the CRC and the Commonwealth Government, which confirm in-kind contributions.

b) Properly acquit all funding received for research and research training programs supported by the CRC.

Responsibility: Faculty Responsible Officer

c) Provide the Research Branch with a copy of the CRC's Annual Report, together with a completed Annual Report on Participation in a Cooperative Research Centre that summarises the University's cash and in-kind contributions for the relevant year, and any other appropriate details (e.g. research outcomes, PhD scholarships, etc.) related to the performance of the CRC.

Responsibility: Director, Research Branch

d) Provide relevant Executive Deans and the DVC&VP(R) with an annual summary of the performance of each CRC.

e) Oversee timely completion of CRC reporting requirements.

Responsibility: CRC Board Members

f) Provide a brief written report to key stakeholders in the University of any issues raised at CRC Board meetings.

The Commonwealth Government CRC Program Guidelines are available at: https://www.crc.gov.au/Information/default.aspx

Definitions

A 'Cooperative Research Centre' is a structure established under the Commonwealth Government CRC Program, which provides funding to build critical mass in research ventures between end-users and researchers which tackle clearly-articulated, major challenges for the end-users.

The 'Key Researcher' is the academic staff member who takes responsibility for initial discussions and negotiations with the bid leader on the University's involvement, leading to the possibility of a formal application. He/she coordinates the involvement of other researchers.

The 'Faculty Responsible Officer' is a staff member, nominated by the Executive Dean of the Faculty with majority involvement in a CRC, to assist the key researcher and other staff in the application and operation of a CRC.

Please use the following URL instead of linking to individual documents:
http://www.adelaide.edu.au/policies/2123/