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Procedure: National Institutes Grant

Purpose

The purpose of this procedure is to support the implementation of the National Institutes Grant Policy by defining the process for allocation, expenditure and accountability of the National Institutes Grant (NIG).

Procedure

Allocation and expenditure of the NIG

Allocation

  1. The direct allocation of the NIG will continue to be distributed to organisational units in existing proportions in the 2018 and 2019 calendar years.
  2. The 2020 direct allocation of the NIG to organisational units will be dependent upon the outcome of the 2019:
  1. review of progress against existing strategic goals for the expenditure of the NIG (the NIG Goal Review), and
  2. NIG Bids.
  1. Each subsequent year’s direct allocation will be dependent upon the outcome of the previous year’s NIG Goal Review and NIG Bids.
  2. The indirect allocations of the NIG will be distributed in accordance with their individual governance arrangements.

Expenditure

  1. Each organisational unit in receipt of a direct allocation of the NIG must establish strategic goals for the expenditure of that allocation.
  2. Goals for the expenditure of the NIG are:
    1. in the form of an agreement using the NIG Goal Agreement Template, and
    2. approved by the NIG Panel.
  1. Each agreement is made on a rolling triennial basis, to be reviewed and updated annually.
  2. Each goal:
  1. demonstrates alignment with the purpose for which the NIG is provided to the University, as specified in the policy;
  2. is strategic, rather than operational or transactional in nature;
  3. where reasonable, fully considers and incorporates genuine cross-school collaboration;
  4. is challenging or ambitious (a stretch goal);
  5. clearly identifies measures of success for year-on-year progress, and
  6. is commensurate with the scale of the direct allocation of the NIG allocated to the organisational unit.
  1. Except as provided for in section 8 or in the case of NIG Bids (where further guidance is provided in the NIG Bid Guidelines), there are no further restrictions on the type of activities that may be included in a goal.

Goal-setting process

  1. During the first quarter of the calendar year, organisational units, with a direct allocation of the NIG establish proposed goals for the expenditure of that allocation using the NIG Goal Agreement Template.
  2. Between April-May of each calendar year, the NIG Panel convenes to discuss the proposed goals with each organisational unit, ensuring the proposed goals meet the criteria prescribed in section 8 of this procedure.
  3. Following the NIG Panel discussion referred to in section 11, the NIG Panel may:
    1. approve the proposed goals;
    2. approve the proposed goals subject to modification; or
    3. reject the goals.
  4. Goals are approved by the NIG Panel no later than 30 June of each calendar year. Approved goals are provided to both the Council and the Senior Management Group for noting at their first available meeting following the approval of the goals by the NIG Panel.
  5. The NIG Panel consists of the following members:
  1. Vice-Chancellor
  2. Provost
  3. Chief Operating Officer
  4. Deputy Vice-Chancellor (Research and Innovation), and
  5. at least one Dean of an ANU College other than the ANU College which the relevant organisational unit is a member of.
  1. Each organisational unit is represented during the panel discussions by the following people:
  1. Dean of the relevant ANU College
  2. Director of the organisational unit, and
  3. up to two members of staff to be nominated by the Director of the organisational unit.
  1. In addition to the people identified in section 15, the Dean of the relevant ANU College may also nominate up to two observers to attend the panel discussion.

NIG Bids

  1. For subsequent years following the first year of NIG Panels referred to in section 11, NIG Bids may be submitted to the NIG Panel.
  2. In addition to meeting the criteria prescribed in section 8 of this Procedure, NIG Bids must also satisfy the NIG Bids Guidelines as published from time to time.
  3. A successful NIG Bid increases the direct allocation of the NIG from the following calendar year onwards, subject to the NIG Goal Review as set out below.

Accountability of the NIG

  1. Expenditure of the NIG is accounted for through annual review and reporting processes.

NIG Goal Review

  1. For subsequent years following the first year of NIG Panels referred to in section 11 the NIG Panel undertakes a review of progress made against existing goals.
  2. The NIG Panel reviews progress against the 12 month progress goals established in the previous year to determine whether they have been:
    1. met
    2. exceeded, or
    3. not met.
  3. The NIG Panel’s review is supported by:
    1. self-Assessment Reports submitted by the relevant organisational unit(s);
    2. a review of the Self-Assessment Reports by the relevant Dean, and
    3. a discussion with the organisational unit(s) during the NIG Panel discussions.
  4. The NIG Goal Review informs the NIG Panel’s decision on the direct allocation of the NIG for the following calendar year.

Reporting process

  1. The expenditure of the NIG is reported annually through the NIG Report, coordinated through Planning and Performance Measurement.

Delegations relevant to this procedure

  • 215: Approve annual University budget.
  • 216: Authorise variations within annual University budget.
  • 217: Allocation of budgets

Information

Printable version (PDF)
Title National Institutes Grant
Document Type Procedure
Document Number ANUP_018017
Version 2
Purpose The purpose of this Procedure is to support the implementation of the National Institutes Grant Policy by defining the process for allocation and expenditure of the National Institutes Grant (NIG) through the establishment of strategic goals.
Audience Staff, Staff-Academic, Staff-Academic-Research, Staff-Professional
Category Administrative
Topic/ SubTopic Finance - Budgets
 
Effective Date 19 Oct 2018
Review Date 3 May 2021
 
Responsible Officer Director, Planning and Performance Measurement
Approved By: Vice-Chancellor
Contact Area Planning and Performance Measurement
Authority Australian National University Act 1991
Public Governance, Performance and Accountability Act 2013

Related Content

Policy
National Institutes Grant