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Procedure: External agreements and funding for research projects

Purpose

The procedure describes the principles by which Research Projects undertaken with external entities are developed and formalised by the University consistent with University community standards, policies, values and interests.

Scope

  1. This procedure applies to all University Staff, Students, Visitors and Visiting Fellows, including those in subsidiaries managing work undertaken by the University.
  2. This procedure applies to all Research Projects whether funded or unfunded, as defined in the Indirect Costs of Research and Consultancies Policy, with the exception of:
  1. philanthropic gifts, bequests and endowments (see Gifts and Fundraising Policy);
  2. Student scholarships that are not for a Research Project; and
  3. procurement activities.
  1. Funding received under Paid Outside Work - the 52 day rule policy is outside the scope of this procedure. This is because any project that includes a research component cannot be undertaken under that policy.
  2. Other definitions relevant to this procedure can be found in the External Agreements and Funding for Research Projects Policy.

Procedure

Research Project Applications and Acceptances

  1. Research Project applications made under the name of the University must only be made with the approval of the Vice-Chancellor or Vice-Chancellor delegated authority in accordance with the University Delegations of Authority Policy.
  2. Certain Research Projects require a specific level of delegation where required by external funders (such as the United States Government).
  3. University Staff, Students, Visitors and Visiting Fellows intending to submit an application for externally funded Research Projects (regardless of the source of funding) must utilise the University’s Costing, Pricing and Approval tool to obtain approval from the relevant delegate before submitting an application.
  4. If the application involves funding from, or collaboration with, an entity outside Australia, it must be approved by the Foreign Interference Advisory Committee.
  5. If the application involves funding from, or collaboration with, business units of companies involved in the tobacco industry, it must be approved by the Deputy Vice-Chancellor (Research). Applications will only be accepted if, in the University’s opinion:
    1. the primary business of the unit is unrelated to the production, manufacture, distribution, promotion or marketing of tobacco or tobacco products; and
    2. acceptance of the funding or collaboration cannot be construed to support the tobacco industry or the tobacco lobby and its activities.
  6. If the application involves funding from, or collaboration with, an industry that the University has otherwise placed restrictions on, it must be approved in accordance with the detail of those restrictions.
  7. Delegates are responsible for ensuring that Research Projects are properly costed in accordance with the Indirect Costs of Research and Consultancies Policy and must not approve applications if costings do not comply with that policy. Delegates must also ensure that all Research Projects are approved through this mechanism and are not undertaken under the Paid Outside Work - the 52 day rule Policy.
  8. When providing approval under the Costing, Pricing and Approval tool, the Delegate is also responsible for determining whether the nature of the work to be undertaken is appropriate and in line with University policies and procedures.
  9. Where a Research Project receives funding without a formal application or receives a different level of funding than applied for, the acceptance of the Research Project must also follow the steps in items 5-11 above.
  10. All Research Projects must have an identified Lead Chief Investigator at the time of application.
  11. The Lead Chief Investigator is responsible for ensuring that:
  1. all participants contributing to the proposed Research Project are identified in the proposal, including their organisations and affiliations;
  2. applications comply with relevant University policies, procedures and guidelines;
  3. applications are of adequate quality and are correct; and
  4. applications are compliant with prospective funder requirements (where relevant).

Research Project Agreements

  1. All Research Projects involving external parties, regardless of whether funds are involved, must be governed by an agreement which details:
  1. any contributions (including funding where relevant) to be provided;
  2. any transfer of rights, such as materials or intellectual property to the third party and their on-going use;
  3. the terms and conditions (including of any transfer of experimental materials where relevant); and
  4. the rights and responsibilities of the parties (including with respect to encumbrances on further research or publications).
  1. All agreements regarding Research Projects must be signed by the Vice-Chancellor or Vice-Chancellor delegated authority in accordance with the University Delegations of Authority Policy.
  2. Certain Research Project agreements require a specific level of delegation where required by external funders (such as the United States Government).
  3. The relevant Delegate has the responsibility to ensure that agreements are not signed unless:
  1. the best possible outcomes for the University in the agreement have been achieved, taking into account the principles laid out in the External Projects and Funding Agreements Policy, the nature of the Research Project, the identity of the funder(s) and/or collaborator(s), and the risks of the project;
  2. the agreement has been reviewed and recommended for signature by the University business areas designated to undertake contract review (Research Contracts Office, the Legal Office, the area responsible for commercialisation and Commercialisation, and ANU Enterprise as appropriate); and
  3. the agreement is consistent with University policies and procedures including the Intellectual Property Policy, Academic Freedom Policy and Indirect Costs of Research and Consultancies Policy.

Project Management Responsibilities of the Lead Chief Investigator

  1. When managing Research Projects, the Lead Chief Investigator takes primary responsibility for:
  1. ensuring all University Staff, Student, Visitors and Visiting Fellows involved in the Research Project comply with University policies and procedures including the Responsible Conduct of Research Policy;
  2. ensuring any approvals required by external entities such as the Australian Government are obtained (e.g. ethical biosafety and DTCA) and ensuring that the Research Project is undertaken in compliance/agreement with approved protocols and conditions e.g. data storage and security;
  3. ensuring that the Research Project does not commence until all relevant University approvals are in place and there is a fully executed agreement signed by the appropriate delegate in accordance with this procedure;
  4. ensuring that research data is stored and managed in accordance with the Research Data Management Procedure;
  5. managing the Research Project effectively, including understanding and communicating University and agreement requirements (including milestones, intellectual property ownership and any transferred rights, publication process, confidentiality and any other encumbrance or restriction on the use of research) to all University Staff, Students, Visitors and Visiting Fellows involved in the project;
  6. liaising with the Research Contracts Office and the Legal Office to obtain documentation (where necessary) from Students, Visitors and Visiting Fellows with respect to intellectual property, including intellectual property assignment, and confidentiality (in adherence with the Intellectual Property Policy, Student Intellectual Property Procedure and the Intellectual Property Protection and Commercialisation Procedure);
  7. timely delivery of all obligations and deliverables required by the agreement;
  8. undertaking risk assessment and management consistent with the Risk Management Policy; and
  9. ensuring effective financial management in line with University policies and the requirements of the agreement.
  1. Lead Chief Investigators may seek assistance and support in the carrying out of the above responsibilities from their local area research management office.

Responsibilities of Senior University Staff

  1. School Directors are responsible for the conduct of their Staff, Students, Visitors and Visiting Fellows, and their compliance with all University policies and procedures, including this procedure.
  2. College Deans are responsible for ensuring a rich academic environment supporting high quality research. This includes adequate peer review, encouraging pursuit of appropriate funding, and completing obligations and deliverables to a high standard.
  3. The Deputy Vice-Chancellor (Research) is responsible for institutional oversight of research, compliance with University-wide research management policies and procedures, and compliance with all legal and ethical requirements.
  4. The Vice-Chancellor or a Deputy Vice-Chancellor may suspend or terminate any Research Project for non-compliance with this procedure. Research Projects may also be terminated if required by the Australian Government under the Australia’s Foreign Relations Act 2020.

Record-keeping and Management

  1. All applications, projects and associated activity and artefacts must be accurately and completely recorded in the University research management enterprise system in accordance with the relevant guides and standard operating procedures.

Delegations relevant to this procedure

  • 000326: Submit applications for grants, research contracts or consultancies on behalf of the university to any funding agency.
  • 000327: Sign all grant agreements and research contracts (excluding contracts involving the commercialisation of IP).
  • 000328: Sign consultancy agreements
  • 000329: Determine the level and extent of the University’s involvement in a CRC, partnership, joint venture or other formal research collaboration where the University contributes cash or in-kind
  • 000330: Sign contracts involving the commercialisation of IP within portfolio responsibilities
  • 000331: Sign non-disclosure agreements relating to University Intellectual Property
  • 000332: Sign materials transfer agreements relating to University Intellectual Property

Information

Printable version (PDF)
Title External project funding and agreements
Document Type Procedure
Document Number ANUP_012818
Version
Purpose The procedure describes the principles by which projects for external funding are sought and accepted by the University consistent with University community standards, values and interests.
Audience Staff-Academic-Research, Students-Graduate-Research
Category Academic
Topic/ SubTopic Research - Grants & Consultancies
 
Effective Date 8 Oct 2024
Next Review Date 8 Oct 2029
 
Responsible Officer: Chief, Research and Innovation services
Approved By: Deputy Vice-Chancellor (Research and Innovation)
Contact Area Office of Research and Innovation Services
Authority: Australian National University Act 1991
Public Governance, Performance and Accountability Act 2013
Public Governance, Performance and Accountability Rule 2014
Delegations 326

Information generated and received by ANU staff in the course of conducting business on behalf of ANU is a record and should be captured by an authorised recordkeeping system. To learn more about University records and recordkeeping practice at ANU, see ANU recordkeeping and Policy: Records and archives management.