Document Currently Under Review
Current Status: Under Review - With Editor 6 September 2017
To outline the processes involved in applying for external research funding at Federation University Australia.
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.
|Research:||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)|
|Contract Research:||Research undertaken with an agreement to provide research services under specific negotitated conditions in exchange for specific deliverables.|
|Controlled Entity:||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.|
|Research Funding:||Funding awarded to a staff member or Higher Degree by Research student to support their research activities.|
|Research Grant:||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||Consists only of income from those research schemes and programs listed on the Australian Competitive Grants Register (ACGR) for that current year.|
|Category 2 Income: Other Public Sector Research Income||
Consists of income received from other government sources, including:
|Category 3 Income: Industry and Other Research Income||
Any research income not meeting the definition of category 1, 2 or 4.
|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.
Income received from a CRC that is hosted by another institution is classified as Category 2.
|ACGR||Australian Competitive Grants Register|
|ARC||Australian Research Council|
|NHMRC||National Health and Medical Research Council|
|GEOI||Grant Expression of Interest form – internal pre-award form used to obtain Executive Dean/Director or nominee and DVC(R&I) approval to develop an external research funding application, and to provide Research Services with preliminary notification of intention to apply.|
|Costing Pro Forma||Used to develop research budgets.|
|GAC||Grant Approval Coversheet – internal pre-award form used to obtain Executive Dean/Director and DVC(R&I) approval to submit a faculty/centre reviewed external research funding application, and to provide Research Services with application details for compliance and reporting purposes.|
|STEPS||WHO IS RESPONSIBLE?||COMMENTS|
|1.||Approval to Apply||
Associate Dean Research
|2.||Development of Proposal||
Associate Dean Research
|3.||Development of Budget||
Associate Dean Research
Deputy Vice-Chancellor (R&I)
- 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
- 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 Executive Dean and Associate Dean Research or Centre Director, as well as others on their research team, including, where appropriate, an internal or external mentor.
- Responsible for meeting all designated internal and external funding application deadlines and requirements.
Executive Dean/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 Executive Dean/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 Executive Dean/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 Executive Dean 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.
- Provide advise on the development of, and feedback on, the draft budget to Research Services and or Chief Investigator.
The Applying for Research Funding Procedure will be communicated throughout the University via:
- 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;
- inclusion on the University Policy, Procedure and Forms website; and/or
- distribution of e-mails to Head of School / Head of Department / University staff; and/or
- documentation distribution, eg. posters, brochures.
- Other - please describe
The Applying for Research Funding Procedure will be implemented throughout the University via:
- Information Sessions; and/or
- Training Sessions; and/or
- Other - please describe
|Title||Location||Responsible Officer||Minimum Retention Period|
|Grant Expression of Interest Form||Research Services||Director, Research Services||7 years|
|Grant Approval Coversheet||Research Services||Director, Research Services||7 years|
|Costing Pro Formas||Research Services||Director, Research Services||7 years|
|Funding Applications||Research Services||Director, Research Services||7 years|
|Funding Agreements, Contracts and variations||Legal Office - Central Filing Systems||Legal Office||7 years after contract has expired|