1. PRINCIPLES

ANU advances knowledge through excellence in research, education and community engagement, and in particular by:

• adding to the world's stock of knowledge through original inquiry and intellectual discourse
• enhancing understanding of Australia - its economy, society, culture and environment - and its position in the region and the world
• exploring the important problems and issues that confront the nation, the region and the world, and working to provide solutions
• informing the public through leading open discussion of those issues.

To position itself as one of the world's top universities, the ANU needs to secure external funding from all appropriate national and international sources.  Vigorous and successful competition for external funding is the 'lifeblood' of a university.  To this end, all academic staff are encouraged, and expected, to seek out external funding for their activities.  

1.1 Nature of Work Undertaken

This policy covers all externally-funded grants, consultancies and contracts for research, teaching and training purposes.

Grants, consultancies and contracts undertaken by staff of the University:

• should be appropriate to a university,
• should be broadly acceptable to the University community,
• should be unlikely to infringe the general freedom of enquiry of the University and of the staff concerned,
• should be consistent with the recognised professional expertise of staff undertaking the work, and
• should not place the staff member's own interest above that of the University.

This policy does not cover:

• Contracts where the University is acquiring consultancy services or purchasing goods and services
• Individual Consultancies, where individual staff members consult with external organisations in their own name or the name of their company which, are dealt with in the Policy on Undertaking Individual Consultancies and Professional Practice (52-Day Rule) available at http://policies.anu.edu.au/policies/52_day_rule_undertaking_individual_consultancies_and_professional_practice/policy
• Sale of equipment and facilities
• Student fees and conference fees

1.2 Definition of Grants and Consulting

Grants are agreements in which a funding agency provides, under generic terms and conditions, funds to support the cost of a project or program to support academic activities, including research and teaching. They are awarded after a competitive process and generally allow the researcher(s) to propose the program of activity within broad parameters. There are often no specific deliverables to the funding agency, other than the provision of progress and final reports. Grants require a financial acquittal and the return of any unspent funding to the funding organisation.

Contracts are individually negotiated agreements to provide services under specific terms and conditions, for an agreed cost.  Contracts cover collaborative research activities as distinct from grants and consultancies.  Contracts generally include a financial surplus.   

Consultancies involve the provision of expert advice or assistance by researchers on behalf of the University on a commercial basis to an external organization, for an agreed cost. The University would usually make a profit on the consultancy and any funding remaining after work on the consultancy has finished does not have to be returned to the client.

The Intellectual Property provisions of all grants, contracts and consultancies are subject to the University's Intellectual Property Policy http://policies.anu.edu.au/policies/intellectual_property/policy

1.3 Benefits to the University in Terms of Eligibility for Inclusion in Australian Governments Research Funding Calculations

Research income contributes to the funding the University receives through Commonwealth Government performance-based funding schemes.  The University seeks to maximise research grants, contracts and consultancies passing through the University or controlled entity such as ANU Enterprise to increase this funding. 

http://www.innovation.gov.au/Research/ResearchBlockGrants/Pages/default.aspx

2. Roles and Responsibilities

2.1 Applying for External Funding

All applications for external funding are made on behalf of the University at the discretion of the Vice-Chancellor or delegate in accordance with the University's Delegations of Authority Policy (http://policies.anu.edu.au/policies/delegations_of_authority/policy).

Applicants for external funding are responsible for the quality and content of their applications and for adhering to the University's policies. 

Deans, Directors and Heads of Departments must:

• provide leadership to ensure that their College, school, faculty, centre or department has a culture supportive of obtaining external funding, and to ensure their area takes advantage of all relevant funding opportunities, 
• have in place an agreed and professional process, including adequate internal mentoring and peer review to ensure the quality of grant applications including a process to check that the application meets the requirement of the funding agency,
• assist academic staff to identify relevant external funding sources and prepare high quality applications through advertising researching opportunities, workshops, applications checks, management of internal peer review processes, and individual specialist advice.

The ANU Research Services Division (RSD) is responsible for institutional oversight of research management activities through the administration of University-wide policies and procedures. The RSD acts as the institutions interface between designated funding agencies in order to meet external agency requirements.

2.2 Managing External Funding

The management of externally-funded grants, consultancies and contracts is a combined effort of researchers, Heads of Departments, Deans or Directors, College Administrative Areas and Central Support Units.

Recipients of external funding are responsible to their Heads of Departments and their Deans or Directors for the management of the project, including, but not restricted to the following: 

• ensuring that they (and their team members, including students) are fully informed of and comply with University policy, administrative, funding agency requirements associated with the project
• compliance with the Benchmarking of Educational Quality and Standards Policy
• intellectual property management in accordance with the Intellectual Property Policy
• obtaining any required ethical clearances and related approvals in accordance with the Code of Responsible Practice in Research
• effective risk assessment and management, including environmental health and safety
• the financial management of the project in accordance with University policies and procedures and College practice.
• the successful outcomes of the project, including meeting any project milestones that might be set under the Funding Agreement and subsequent variations to it.

3. Records Management

The University is responsible for maintaining an enterprise system to record externally-funded grants, contracts and consultancies.  The applicant(s), recipient(s), Deans and Directors have responsibility for ensuring and maintaining the accuracy of this data.

4. Costing and Pricing

Grants and consultancies must be entered into with a proper understanding of the costs of the work to the University, provisions for the recovery of those costs, the ownership of intellectual property, issues of liability and confidentiality, and any other matters that protect the University's interests in the work. Details of costing and pricing are set out in the Procedures to this Policy.

Costing of contracts and consultancies must also be carried out in accordance with the University's responsibility under the Federal Government's policies on competitive neutrality http://www.finance.gov.au/financial-framework/financial-management-policy-guidance/competitive-neutrality.html and cost recovery

 http://www.finance.gov.au/financial-framework/financial-management-policy-guidance/cost-recovery.html

5. IP Use, Control and Ownership

Intellectual property use, control and ownership will be as agreed with the funding organisation and will accord with the ANU's Intellectual Property Policy (http://policies.anu.edu.au/policies/intellectual_property/policy).

6 Promotions Criteria

The University may recognise the ability to attract external funding  and performance in consultancies undertaken on behalf of the University as criteria for academic promotion, in accordance with the Academic Promotions Policy and Procedures

http://policies.anu.edu.au/procedures/academic_promotions/procedure

7 TERMS AND CONDITIONS OF GRANTS, CONSULTANCIES AND RESEARCH CONTRACTS

7.1 Terms and Conditions of Contracts and Agreements

It is essential that agreements with outside organisations be entered into on terms and conditions that protect the interests of both the University and individual staff. In accepting agreements, the University will seek to obtain the most favourable conditions possible; however, it recognizes that agreements are subject to negotiation between itself and the funding agency and that at times some compromises will be required.

Colleges are responsible for ensuring that agreements and contracts meet the University's requirements and represent the best possible outcomes for the University.   Where appropriate, Colleges will seek advice from relevant units including the Legal Office and the ANU's Research Office, subject to the Delegations of Authority Policy (http://policies.anu.edu.au/policies/delegations_of_authority/policy).  Where ANU Enterprise is involved, they have a similar responsibility.

Details on delegations for University signatory authority for research-related grants, consultancies and contracts are available at http://info.anu.edu.au/ovc/delegations.

7.2 Agreements that will not be accepted by the ANU

7.2.1 Agreements which compromise Academic Freedom and the integrity or reputation of the ANU

The ANU recognises that bodies providing funding for research and/or education programs are entitled to specify the fields and scope of the programs, and to monitor their quality and timeliness. However, the ANU will not accept funding where:

• the funder requires a dominant position in the appointment of relevant staff; or
• the funder has any right to interfere in, or alter, or prevent publication of, the outcome generated by the ANU's researchers and teachers in delivering the funded program. The ANU does recognise that commercial or other considerations might sometimes require delays in publication.

7.2.2 Acceptance of Funding from the Tobacco Industry

Direct funding from foundations primarily funded by the tobacco industry will not be accepted. Direct funding from business units of companies involved in the tobacco industry will not be accepted if, in the opinion of the Deputy Vice-Chancellor (Research), the unit is engaged directly in the production, manufacture, distribution, promotion or marketing of tobacco or tobacco products as its primary business; or acceptance of the funding involves any promotion or advertising that can be construed to support the tobacco industry or the tobacco lobby and its activities. Acceptance of funding from business units of companies involved in the tobacco industry will be possible if, in the opinion of the Deputy Vice-Chancellor (Research), the primary business of the donor unit is unrelated to the tobacco industry; and acceptance of the funding cannot be construed to support the tobacco industry or the tobacco lobby and its activities.

7.2.3 Students

The ANU will not enter into agreements and contracts which limit, in any way, the ability of a student to meet the examination requirements of the University, for example, by: restricting the inclusion of research results in their thesis, limiting seminars which are part of the course requirements (noting that some confidentiality conditions may be required to protect agreements between parties), allowing the funding agency to vet the thesis before its submission, limiting the ability of the University to have the thesis examined or by delaying the submission of the thesis.  If necessary, the University may agree to ensure that the thesis or an appendix to the thesis remains confidential to the University and the examiners for a specified period of time.  Provision for this is made in the Doctor of Philosophy Rules.

8. POLICIES RELATING TO PARTICULAR TYPES OF GRANTS, CONSULTANCIES AND RESEARCH CONTRACTS

This section outlines policies specific to certain types of grants, consultancies and research contracts.

8.1 Formation of NIH-funded Research Consortia

This section of the policy relates specifically to consortium agreements entered into for US National Institutes of Health (NIH) grants. Consortium agreements entered into by the ANU must comply with the requirements specified in the NIH Policy statement: http://www.nih.gov/

9. Appeals

The resolution of appeals regarding the administration of this Policy is the responsibility of the Deputy Vice-Chancellor (Research).

10. Review

The Director, Research Services Division, will review the policy every three years.

Updated: 23 February 2012 Principles

Updated: 12 October 2011 Assigned Responsible Executive

Modified: 2 February 2007