Research Services Division
Research
A. 1. Consult the funding opportunity page on our Funding opportunities web page.
2. Contact Cos-help-deakin and ask for advice concerning the use of the Community of Science (COS) database accessed from our website at the same URL (or simply go directly to the COS web site.)
An introduction to the use of COS is given on our web site and also below.
3. If you have not already received a user
ID and password from COS (Research Services Division pre-registered over 500
known research staff in September 2004) register as a user of the COS
Expertise system. An explanation of the Expertise system is available on
the above web page.
A. The following is a brief guide. For more detailed guidance phone 71320 or email cos-help-deakin.
From the Research Services Division web site select 'Grants and Fellowships' and then select ‘Funding Opportunities'. Scroll and read the page noting the help files which can be downloaded (links at the bottom of the page). Elect www.cos.com, this will link you to the first step for COS. Click the ‘Search Funding Opportunities’ tab at the top of the screen. You are now in the COS Search Engine Page which allows you to enter a ‘Simple’ search or undertake search using more detailed criteria (‘Main Search’).
From here you can choose various ways to find
information using up to thirteen different criteria. For example, choosing from
'Keywords' can help to narrow your search to specific areas of funding. Each
field has a direct link to a comprehensive on-line help file. Save each selection
from the criteria that are of interest to you. At the bottom of this page click
on 'Do the Search' to give you a list of all the different grants, fellowships
etc. You should now check the options which will define the most interesting
results and the degree of further detail to be supplied. Choose between the
three options to define the detail which will be built into the report.
A. Applications should be submitted to the Research Services Division at or Geelong by the advertised internal deadline or at least 10 working days prior to the funding body deadline. Schemes located outside Australia or requiring Deakin to rank applications may require more time for processing and you should check with our grants officers. See the Grants contacts web page for contact information.
The Research Services Division offers advice on preparing grants and will review applications prior to submission providing reasonable time is given. Review dates are published for major grant schemes such as ARC Discovery and Linkage Projects and NHMRC Project Grants.
Applications for all funding, including research funding, fellowships, travel, tenders and consultancy etc can be delivered or mailed to the Waurn Ponds Campus.
A. The Research Services Division provides descriptions of commonly used research personnel positions and salaries as used by Deakin Human Resources. These can be found on our Research Staff Appointment Criteria web page and Costing Research page.
We endeavour to keep pace with changes in on costs but advise that you check the Human Resources website.
Consult the scheme guidelines carefully to see whether the funding body insists on using it's own pay scales, or possibly that of the NHMRC/ARC rather than the university's own scales. In this context, it is worth noting that when an external scale is used in constructing the budget, the actual salary paid to personnel will be the nearest equivalent salary on the Deakin pay scale. This is because there is no allowance for alternative scales within the Industrial Agreement applying to Deakin staff. This has implications for managing grant funds since what the funding body awards will often be less that you actually have to pay. This may well mean some adjustment in the period of employment or, possibly, if the terms of the grant allow, some transference from another head of expenditure within the budget.
Per Diem costs are available from the Financial and Business Services Division website.
However, assessors usually like to see that the applicant has given thought to claiming the most economical way of funding accommodation, meals and local travel so that the loose application of per diem rates may well give the wrong impression. Evidence of real costs for these items is much more convincing.
Further advice can be obtained from the Research Services Division officers on our Grants contacts web page.
A. In the following explanation a distinction must be drawn between applying for a grant-in-aid, where the researcher proposes their own project within the context of a granting scheme, and at the other end of the funding dimension, a research tender where the project is closely pre-defined by the funding body. The general position concerning the funding of infrastructure is dealt with first, then that for applications for grants-in-aid, and finally the position relating to tenders.
Infrastructure costs are incurred by the university for all projects. The upkeep of buildings and equipment, heating, lighting, provision of computing and library facilities are examples of such costs. For a fuller discussion of such expenses see the AVCC document on the AVCC website.
The Commonwealth provides reimbursement for costs associated with projects funded under grant-in-aid schemes within the Australian Competitive Grants Register (ACGR), also known as DEST’s Category One list. A current list of these schemes is available from our ACGR web page.
This reimbursement, known as the Research Infrastructure Block Grant (RIBG) is partly dispersed to Faculties for the support of Australian Competitive Grants Register (ACGR) projects, (see Appendix 1) and the balance allocated to cover central infrastructure costs. It is approximately equivalent to 20 cents on every dollar of the funding allocated under the ACGR. This means that each dollar of ACGR funding becomes $1.20. The 20 cents infrastructure funding is thus 20% of the final total covering other costs and the contribution to infrastructure.
Consequently, Deakin does not require a contribution for infrastructure to be built into budgets for applications to ACGR schemes. However, all other applications for grants-in-aid are not subsidised in this way. This is why an amount for infrastructure costs should be built into budgets for such applications wherever this is possible. Currently, the Deputy Vice-Chancellor (Research) has determined that a levy on funding from the IGS* will replace the need for every non-subsidised project submission to include a 20% contribution in its budget, but note that schools may still require a local infrastructure levy.
For research tenders, it is usually the case that the major benefit of conducting the project is for the funding body which will usually claim complete ownership of intellectual property developed as a result of the work. Consequently, it is important that the full costs for conducting the project are charged to the funding body including the total infrastructure costs. Once the infrastructure cost has been identified then this is the amount that will be split evenly between the School/Faculty and the Central Infrastructure Fund. A proforma to assist in estimating full project costs inclusive of infrastructure costs is can be found on our Grants Forms and Guidelines page.
* The Institutional Grants Scheme (IGS) supports the higher education institutions’ research and research training activities, and allows them to fund their activities in accordance with their own strategic judgements. This scheme absorbs the funding previously allocated under the Research Quantum and the Small Grants Scheme. The IGS will be implemented in 2002. Funding under the IGS is allocated on the basis of formula that takes into account each institution’s success in attracting research students (30% of funding), in attracting research income (60%) and in the quality and output of its research publications (10%).
A. Contact the Research Services Division Grants staff and see if it is possible to submit after the internal deadline. Our staff will make every effort to accommodate you provided it is not at the expense of other applicants or the University's reputation.
You should bear in mind that deadlines are set to allow time to review all the submissions for a scheme, arrange for possible corrections, obtain approval by the Deputy Vice-Chancellor (Research) and submit to the funding body by its deadline. Given the DVC(R)'s busy schedule, it is not safe to assume that he will always be at hand to approve a submission at the last minute. Given even the best checking processes, always allow for the fact that you may have missed something that will have to be corrected before it can be submitted. It creates a poor impression on the funding body if we submit a group of applications in good time and then rush in a further application for the same scheme at the last minute.
A. The Research Services Division Application Coversheet is a form that must be completed by the Principal Investigator and submitted with your grant application. It can be obtained from our website on our Forms and Guidelines page.
Its use is compulsory with every funding application submitted other than for ARC and NHMRC schemes.
The Coversheet has been designed to relate information that is required by this office but not always included in the application. It also acts as confirmation that the submission has been approved by the Head(s) of School/Department.
Some details such as Field of Research* and Socio Economic Objective Codes are required for external sources such as the ABS as well as for our own research management needs. The need for Statutory Clearances acts as a reminder to you and to us that these must be in place prior to funding being made available. There is also a reminder that Intellectual Property/Confidentiality matters must be taken up with the University Solicitor prior to the funding agreement being signed.
*Field of Research Codes are elsewhere replaced by the new Research Fields, Courses and Disciplines Codes (RFCD)
A. Let the Grants Unit know.
The contact for Geelong and Warrnambool campuses is Mr David Bridge. The contact for the metropolitan campuses is .
Although an offer of funding will normally
refer to a chief investigator and a specific project, the research is undertaken
in the name of Deakin University. Students and staff do not have authority to
accept research grants or fellowships, or to accept conditions of award on behalf
of the University. In many cases, funding agencies require chief investigators
and heads of department to sign the funding agency’s acceptance of offer
form, but those signatures alone do not constitute a formal acceptance of responsibility
by the University. The funding agency’s offer form or contract must be
sent to the Grants Unit in all cases. All Heads of School responsible for investigators
working on a project are required to sign an ‘Acceptance of Contract’
form which is available from the Forms and Guidelines
web page.
A. Assuming that the Funding Agency has provided a contract, the Grants Unit will organise for the university solicitor to check the contract to ensure it complies with Deakin policy. In instances such as the University-Industry Partner component of an ARC Linkage Project, the Research Services Division will suggest a proforma as the basis for forming a legal agreement. Contact our Contracts and Finance Officer, Ms Marian De Groot to discuss any concerns you have in relation to a proposed contract. Where the work is to be wholly or partly performed by a student, you should also speak to the Scholarships Officer, Ms Belinda Lee.
An increasing proportion of research grants are linked to complex research agreements, which place obligation on the university in relation to intellectual property, publications and confidentiality. Some funding agencies also require the University to enter into further agreements with other parties where research is collaborative, or will be subcontracted out. The university’s solicitor is available to provide advice on research agreements and contracts.
As a general rule, the university will only accept agreements, which allow intellectual property to be owned by the university, which do not impose restrictions on publication, and which do not impose other forms of confidentiality on staff and students. There are occasions, however, where confidentiality clauses may be necessary. For example, a period of confidentiality may be required to provide time to obtain patent protection before new discoveries become public knowledge; or a funding agency might request that no publicity be given to a particular project without its prior approval being obtained, with the proviso that such approval will not be unreasonably withheld. Staff and students should only sign confidentiality agreements, which have been sanctioned by the university solicitor.
Negotiations with the funding body can be undertaken by the Contracts and Finance Officer on behalf of the chief investigator concerning modifications to the contract, in consultation with the university solicitor.
A. When the contract has been finalised it will then need to be signed by the Deputy Vice-Chancellor (Research) for Deakin University. The Grants Unit will arrange this. You should also ensure that the Head of School has signed an Acceptance of Grant form available from our Forms and Guidelines page.
A. The ATO have ruled that in-kind support for a project constitutes a taxable supply in the same way as the provision of funds. This means that there is a need to find a way of showing that the tax liability associated with such contributions has been dealt with. The ATO ruling suggests that in most cases the value of what the University supplies to the Client can be said to equal the value of what the Client provides to the University including the in-kind support. What remains is a form of paperwork exchange that is sufficient to record this in a way that will enable both sides to satisfy the tax office. Our preferred method of doing this is described in Appendices 2 and 3. The first describes the requirements and the process, while the second is the suggested way that we approach the Client. Since clients generally turn to the investigator with whom they have been working for an explanation, it is important that the investigator has some understanding of what is involved here. Any questions about this should be addressed to the Research Liaison Officer within Financial Services, Ray Darker (Telephone 03 5227 2667).
A. Not unless you have all the necessary clearances. Clearances for human and/or animal experimentation and for research involving biological hazards (genetic manipulation, potent carcinogens and teratogens and ionizing radiation) must be obtained before work commences on any grant. It is wise to have this in progress before you apply to the funding body for funds. Application forms are available from the appropriate Committee Secretary or the Human/Animal Ethics web site.
Where written evidence of clearance is required by a funding agency and that is not available at the time of application, the chief investigator is responsible for ensuring that a copy goes to the funding agency when it becomes available (unless other arrangements have been made with the relevant Committee Secretary). If this occurs after a grant offer has been accepted subject to that approval being obtained, the Grants Unit must also be notified in writing, so that access to the research account can be granted.
A. When the necessary clearances have been obtained, the Grants Unit will make a request to Financial & Business Services for an account code. This code is a unique number according to the faculty, school and the type of grant awarded. The Grants Unit will notify the Chief Investigator, the Faculty Administration Manager and the School Executive Officer when the account code has been established by Financial & Business Services.
The research grant account is managed by the grantees with ultimate signing authority for expenditure residing with the Head of School. In most cases, funds will be invoiced centrally using the grant account. This means that the project receives a short term advance from the University while the actual funds are awaited from the funding agency. The Research Services Division has a dedicated officer - Ray Darker within Finance Services Division who manages this on the investigator’s behalf. Because the ATO has ruled that Grants of Financial Assistance’ attract GST, invoicing will normally include an amount to cover this tax, although this will be deducted from the payment on receipt and not complicate amounts within the grant account itself. Some agencies create their own ‘Recipient Created’ invoices, or if a Commonwealth Government agency, like the ARC, pay us what is termed an appropriation of funds which is tax exempt. However, in all cases we will want to monitor the receipt of funds so that we know that project support is progressing smoothly.
A. Most contracts state the reporting requirements of the chief investigator. Always ensure that you have a copy of this document and any related terms and conditions. The contract will state the time frames for the progress reports and the financial reports required by the funding body. The Grants Unit will arrange for any financial reports to be undertaken by Financial & Business Services for the requested time frame. It is the chief investigator’s responsibility to provide the Grants Unit with the progress report so that both reports can be sent to the funding body within the specified time-line. These reports are usually linked to subsequent payments by the funding body. Grant holders will be likely to receive reminders about milestones in association with updates on invoicing.
Please Remember: All communication with funding agencies on financial matters and reporting must be directed through the Grants Unit.
The following criteria are currently used to determine which research grants are included in the ACGR:
The criteria for inclusion in the ACGR may change for subsequent years.
The Higher Education Research Data Collection (HERDC) gathers information on the value and source of competitive research funding received by institutions through ACGR schemes. RIBG allocations are derived from Category 1 data collected for the two most recent calendar years.
The HERDC includes the Australian Defence Force Academy (ADFA). A separate data return is required from the University of New South Wales for ADFA. ADFA data is included for the RIBG calculation.
For the current listing of the ACGR, refer to the Specification for the HERDC on the DEST web site. For further information on the HERDC, refer to the latest version of the document "Higher Education Research Data Collection - Specifications for Preparing Returns" on the same web site.
“IN KIND CONTRIBUTIONS” - GST REQUIREMENTS
This is really a case of bureaucracy gone mad and complying with this ATO requirement involves quite a bit of effort on our part. However, whilst only minimal input is required from the Industry Partner, receiving the necessary paperwork from us could create some uncertainty for them.
Hopefully this information sheet can assist clarify two points:
ARC Spirt, Linkage and other grants have an mutually agreed In kind contributions component to be itemised as industry support in ARC funding applications. It is an ARC prerequisite that these amounts are then confirmed in the Industry Partner agreement with Deakin, to be signed off prior to commencement of the research program.
In kind contributions are considered “supply items”. They are the value of our research efforts balanced against the value of the use of the Industry Partner facilities, equipment and supervision by personnel.
The University has identified that as part of the GST reporting requirements to the ATO (ATO Ruling GSTR 2000/11) it is necessary to exchange tax invoices for the GST liability associated with the contracted amount of in-kind contributions
The tax invoices to be provided to/by the Industry Partner for the project in the financial year to which it relates. Therefore this will apply from 01 July 2002 forward.
There is no effect. We exchange invoices of equal value.
The exchange of the invoices results in the GST being able to be accounted for on both Deakin’s and the Industry Partner’s GST BAS returns. For the Industry Partner this shows as both a purchase (of our research effort) and a sale (the use of their facilities etc by us) both are for the same agreed value. In effect there is a neutral GST and a neutral cash transfer.
Ask the Industry Partner to consult their financial advisor rather than get too involved in this side of things.
If there is a need for further explanation please contact me on 03 5227 2667 or at darker@deakin.edu.au.
Ray Darker
Research Support Officer - Finance
