External Income for Research

This policy covers applications for research projects (where research meets the Tertiary Education Commission (TEC) Performance-Based Research Fund (PBRF) definition of research) and applies to all external funding for research from Research Funders.

This policy will ensure that Otago Polytechnic Limited (Ltd) can:

a. Comply with its contractual obligations with regard to external funding.

b. Accurately report on the Performance-Based Research Fund External Research Income measure and have the evidence to support that report.

c. Ensure that full costs are accounted for in project budgets and recovered where possible.

d. Manage relationships with funding agencies.

This policy will also benefit staff members by protecting them from personal liability and providing them with management support from the Research and Post Graduate Directorate.

TEC Performance Based Research Fund (PBRF) User Manual November 2016 (Appendix C: Guidance on External Research Income)

Definitions

In this policy:

• “Application” includes applications for grants, tenders, estimates, quotes, expressions of interest, proposals, and similar applications for external income from any source, including responses to requests for additional or updated information.
•  “Contract” includes any agreement or arrangement for external funding for research and any variations or changes to a contract.
•  The “team” means any group of one (1) or more Otago Polytechnic Ltd personnel who will carry out the research, consultancy, or commercial work.
•  An“Authorised Person” is the Chief Executive, Deputy Chief Executive (DCE): Corporate Services or Director: Research and Post Graduate Studies (RES) or someone authorised by one of them in accordance with the Delegations from the Board to the Chief Executive and Authorities and Sub Delegations from Chief Executive policy.
• “Research Directorate” refers to Director: Research and Post Graduate Studies, the Research Coordinator, the Research Administrator, the Contracts Manager, and a member of the Financial Services team with responsibility for Research and Post Graduate Studies.

Policy

1. All applications covered by this policy must be approved and submitted by the Director: Research and Post Graduate Studies. The early involvement of the Research and Post Graduate Studies Directorate is strongly recommended.
2. All contracts covered by this policy must appropriately cover the scope of work to be undertaken, payment and reporting schedules, confidentiality, intellectual property, health and safety, liability, and researcher involvement.
3. To protect themselves from personal liability, individual researchers must not be parties to any contract covered by this policy.
4. All contracts must be approved and signed by an Authorised Person (Chief Executive, DCE: Corporate Services or Director: Research and Post Graduate Studies, or authorised delegate) on behalf of Otago Polytechnic Ltd.
5. All applications and all contracts must be supported by a Goods and Services Tax (G) exclusive budget accounting for these costs and showing how at least the direct costs will be met.
6. The final budget must be approved by an Authorised Person (Chief Executive, DCE: Corporate Services or Director: Research and Post Graduate Studies, or authorised delegate) on behalf of Otago Polytechnic Ltd. All expenditure outside or in excess of the approved budget, and all work outside the agreed scope, must be pre-approved by an Authorised Person (Chief Executive, DCE: Corporate Services or Director: Research and Post Graduate Studies, or authorised delegate) on behalf of Otago Polytechnic Ltd.  Non-budgeted expenditure will affect the budget for the relevant team’s College or Service Area.

Roles and Responsibilities:

7. The principle researcher is responsible for:

• Complying with standard research requirements including consulting with Māori and obtaining ethics approval.
• Seeking approvals required under this policy including budgeting.
• Managing work to meet the contractual obligations for outputs including timeframes.
• Providing the Research and Post Graduate Studies Directorate with information required for invoicing and reporting.
• Handling any change in team membership in conjunction with the Head of College or Service Area Director.

8. The Research and Post Graduate Studies Directorate will support the team by:

• Reviewing the application.
• Submitting the application.
• Assisting as required with the negotiation of the contract.
• Handling the invoicing and receipt of funds.
• Assisting as required with reporting.
• Lodging relevant documents and information relating to the application in the Customer Relationship Management (CRM) and (information Security Operations Centre (iSoc) databases.

9. The team will submit the draft application and the internal budget to the Director: Research and Post Graduate Studies or nominee not less than ten (10) working days before the deadline for the application.
10. The Director: Research and Post Graduate Studies or nominee will review the draft application and advise what, if any, changes are recommended within five (5) working days of receipt of the application and before the deadline.
11. The team will submit the final application to the Director: Research and Post Graduate Studies for checking and signing two (2)  working days before the deadline for the application closes.

Approved by

Dr. Megan Gibbons

Chief Executive

Date: 31 May 2022

Policies 

•   Intellectual Property Policy
•   Intellectual Property - Mātauranga Māori Policy
•   Academic Committee Policy
•   Delegations from the Board to the Chief Executive and Authorities and Sub Delegations from Chief Executive Policy