Approval of Externally Funded Projects Procedures by alicejenny

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									                                                          Approval of Externally Funded
                                                          Projects Procedures
                                                          Version:   2.0                 Approved:      Vice Chancellor
                                                                                         Date           27 February 2008

                                                          Administered: Governance       Next Review:   February 210


 Intent                                                               Attributes
 To expand the proportion of income from                              The process ensures:
 profitable (non-traditional) business funded by                       Correct approval processes are followed
 Government and non-Government sources.
                                                                       Projects are properly planned and costed
 Includes course delivery of approved courses
                                                                       Compliance with the University’s approved
 and non-award courses, consultancies,
                                                                          delegations
 research
                                                                       The need for adaptation to suit individual
                                                                          circumstances is taken into account
 This process should be read in conjunction
 with the Guidelines for Externally Funded                             Data on the University’s research is captured
 Projects                                                              The Executive Director Business Development
                                                                          is aware of Business Development activities in
                                                                          the University.
                                                                       Note that in the Schools of Institute of
                                                                          Advanced Studies, the responsibilities of
                                                                          Business Development Officers are
                                                                          undertaken by the Business Manager in each
                                                                          School.




Key:
                    Decision                         Document              Preparation
 Process for the Approval of Externally Funded Projects                                                                   Version 2.00

 Custodian: Executive Director Business Development                                                                        Page 1 of 6
Applying for Funding – Submission Process

Process Step                      Summary of Process                                  Responsibility
Externally Funded                 Staff actively seek and identify opportunities to   All Staff
Project Identified                fund projects through external funding sources
Preliminary                       Initial assessment undertaken in consultation       VET Team/School/Faculty/
Assessment and                    with appropriate Team Leaders, the Faculty’s        BusinessLink
Endorsement                       assigned Business Development Officer in
                                  BusinessLink or Business Manager IAS School
                                  to assess the capability to deliver the project,
                                  the alignment of the project with strategic plans
                                  and the benefits to the University (financial and
                                  other). Staff members are encouraged to use
                                  the Business Plan Template to help them with
                                  this assessment but it may not be necessary in
                                  all cases.
                                  Staff members should seek in principle
                                  endorsement from their HOS before investing
                                  significant time in development of the project.
Development of                    Staff members develop their project                 School/Faculty
Project                           plans/applications with the support of              /BusinessLink/Research
Plans/Applications                BusinessLink/Business Manager IAS School            Office
                                  and/or the Research Office.
                                  The appropriate Costing Models and
                                  Guidelines should be used to cost the project.
                                  The sheet is available from BusinessLink.
Communication                     Business Development Officers should use            BusinessLink/Manager
with other areas of               their networks and liaise with other                BusinessLink
the university                    BusinessLink staff members to ensure there is
                                  no duplication in funding applications and
                                  identify possible opportunities for cross
                                  University collaboration.
Approval of project                      The project proposal/application,
proposal/application                      costing sheet and Project Approval
                                          Form should be submitted for approval
                                          to the following:
                                  HE: All projects go to Dean/Director
                                  IAS/Director IAS
                                  VET: Projects under $10,000 sign off by team
                                  Leader
                                    Projects under $50,000 signed off by NT
                                       Manager
                                    Projects over $50,000 signed by EDBD &
                                       DVCR
                                    Funding guidelines/instructions/any other
                                       supporting documents should also be
                                       provided if necessary. Such as-
                                   - Business Plan
                                   - Project Risk Management Plan



Process for the Approval of Externally Funded Projects                                                 Version 2.00

Custodian: Executive Director Business Development                                                      Page 2 of 6
Applying for Funding – Submission Process

Process Step                      Summary of Process                                   Responsibility
Final Approval                    Following Dean/Director IAS/NT Manager’s             Research
                                  approval the application should be sent to           Office/BusinessLink
                                  either BusinessLink or Research Office:
                                  All research projects (Categories 1 – 4 see
                                  below and refer to guidelines for definitions)
                                  must be sent to the Research Office.
                                  For Category 2 & 3 applications and non-
                                  research projects must be sent to
                                  BusinessLink.
                                  All non-research projects must be sent to
                                  BusinessLink.
                                  For Research projects, the Research Office will
                                  identify whether the application will be
                                  approved by:
                                  DVCR (Category 1 & 4)
                                  or EDBD (Category 2 & 3)
                                  BusinessLink will send all applications they
                                  receive to EDBD for approval.

Project submitted                 If approved the application/proposal submitted       BusinessLink/Project
                                  to the funding source as per instructions.           Leader/Research Office in
                                                                                       the case of Category 1 & 4
                                  N.B. All Category 1 & 4 applications must
                                                                                       grant applications
                                  be submitted by the Research Office
Registry File                     At this point BusinessLink staff must put the        BusinessLink/Research
created                           documentation for non-research projects on           Office
                                  the file for funding submissions applicable to
                                  each Faculty or on the Central File for Cross
                                  Faculty projects: Reg File # 2005/0237.
                                  For research projects, the Research Office will
                                  create a registry file.
Details entered on                The registry file number entered into                BusinessLink/IAS
SharePoint                        SharePoint with the date the submission was          Business Managers
                                  made. The BusinessLink staff must ensure
                                  that all relevant details and documents have
                                  been entered into SharePoint (liaising with the
                                  Research Office where necessary for Category
                                  2 & 3 projects).
Application                       Feedback will be sought from the funding body        BusinessLink/Research
unsuccessful                      as to why the application was unsuccessful           Office
                                  and this information entered on SharePoint and
                                  recorded in the registry file. This information is
                                  important to inform future applications. All
                                  relevant parties will be notified of the outcome
                                  of the application.




Process for the Approval of Externally Funded Projects                                                   Version 2.00

Custodian: Executive Director Business Development                                                           Page 3 of 6
Putting an Agreement in Place

Process Step                      Summary of Process                                   Responsibility
Application                       All relevant parties will be notified of the         BusinessLink/Business
successful–                       outcome of the application. For non-research         Manager IAS
individual registry               projects, an individual registry file must be        School/Research Office
file created                      created at this time for successful projects,
                                  Registry will remove the documentation from
                                  the central file and create a new file. Details to
                                  be entered on SharePoint.
Agreement/Contract Reference should be made to the Guidelines                          BusinessLink
review             and related documents in reviewing                                  EDBD/RO/DVCR
                   agreements/contracts.
Contract                          Any necessary negotiation should be                  BusinessLink
negotiation                       undertaken (in line with the project proposal).      EDBD/RO/DVCR
                                  Concerns regarding Intellectual Property
                                  clauses which do not comply with CDU policy
                                  should be referred to the Manager
                                  BusinessLink for advice in the first instance.
Contract checklist                A contract checklist should be completed for         BusinessLink/Research
                                  each contract before taken to EDBD or DVCR           Office
                                  for signing. Checklist available from
                                  BusinessLink.
Contract signing                  Reference should be made to the Guidelines           BusinessLink/Research
                                  for the Approval of Externally Funded Projects       Office
                                  to identify who is delegated to sign the
                                  contract.
Contract recorded                 BusinessLink staff must ensure that all relevant     BusinessLink/Research
and documents                     details and documents have been entered into         Office
lodged on registry                SharePoint (liaising with the Research Office
file                              where necessary).
                                  For all projects a copy of the contract must be
                                  supplied to the Executive Officer and lodged on
                                  the registry file.
Invoice raised                    BusinessLink staff supply a copy of the              BusinessLink
                                  contract to the staff member responsible for
                                  raising invoices relating to the contract (e.g.
                                  EO’s, HOS assistants).
                                  This excludes research projects where the
                                  Research Office is responsible for raising the       Research Office
                                  invoice.




Process for the Approval of Externally Funded Projects                                                   Version 2.00

Custodian: Executive Director Business Development                                                        Page 4 of 6
 Monitoring the Agreement

 Process Step                      Summary of Process                             Responsibility
 Method for                        The staff member responsible for delivery      Staff member/BusinessLink
 monitoring put in                 of the project and BusinessLink will put in
 place                             place an appropriate process for monitoring
                                   the agreement to ensure compliance with
                                   the contract (i.e. deliverables, milestones)
                                   and that invoices are raised as and when
                                   required.
 Contract completed                Once delivery as per the contract is           BusinessLink
                                   complete, BusinessLink staff/Business
                                   Manager IAS School will enter the
                                   completion date on SharePoint with any
                                   final reports/project outcomes and
                                   comments. All paperwork is to be
                                   forwarded to Registry and logged in the
                                   appropriate file.


Related Processes, Guidelines and Documents:
Guidelines for Externally Funded Projects
Costing models and guidelines
Approval Form for Externally Funded Projects
Standard Agreements
Business Plan Template

Research Funding Categories
Category 1: National Competitive Grants (refer to the Research website for details)

Category 2: Funding from State/Territory and Local Government sources, other
Commonwealth Government funding not in Category 1.

Category 3: Funding from ‘other’ sources e.g. industry, NGO’s, donations and bequests and
international funding sources

Category 4: CRC applications




 Process for the Approval of Externally Funded Projects                                               Version 2.00

 Custodian: Executive Director Business Development                                                    Page 5 of 6
                                     Document History and Version Control
Version          Date                              Authorised Officer   Amendment Details
1.00             25th May 2005                     Vice-Chancellor      Original issue of Process for the Approval of
                                                                        Externally Funded Projects.
2.00             27th February 2008                Vice-Chancellor      Rewrite of Process.




Process for the Approval of Externally Funded Projects                                                          Version 2.00

Custodian: Executive Director Business Development                                                               Page 6 of 6

								
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