small-scale-research-grant-guidelines-for-2011 by mudoc123


									August 2010

Faculty of Education
Small Scale Research Grants Guidelines

A subcommittee of the Faculty of Education Research Committee and Committees within Schools in
the Faculty allocate internal funds to support research within the Faculty. The guidelines and operating
practices for the Faculty of Education Small Scale Research Grants (SSRG) sets out the specific details
of the Faculty level Research Small Scale Research Grants for 2010.

1.       Eligibility
         Research funds are available for:
        All members of academic staff in the Faculty of Education (.5 FTE and greater in the year of the
         application) who are tenured (or who hold at least a two year contract or who have two years
         continuous service).
        The staff member must be PBRF eligible with a job description that requires the undertaking of
        Doctoral students (beyond the provisional year(s) and ONE grant within candidature) may apply
         for conference only.
        Senior tutor‟s must provide evidence of eligibility i.e. verify research percentage of worklo ad
        A member of staff who is also a doctoral student must identify the capacity under which the
         application is made. i.e. EITHER staff OR student.


         Academic staff who have already received a Grant in Aid as part of their research and study
         leave are NOT eligible to hold a grant for conference attendance for the period of their study

2.       Purposes
         Priority will be given to funding applications in the following categories:

     A. Conference attendance to present prestigious or refereed/peer reviewed papers accepted for
        presentation (only one grant per author and one grant per paper). Note: Any award is made to the
        first author of the paper.

         The maximum sum available per conference:

                                International Conference $3000
                                Pacific/ Australia $2000
                                New Zealand $1000

       Note: If a further application for conference funding is made and this application is within
       two years of the previous one, a limit of $4000 applies.

     B. Academic visitors. It is expected that the visit will result in research publications for the host
        staff member and that the visits will be carried out in line with the Faculty of Education
        guidelines for academic visitors. When appropriate, the academic visitor will give a research
        seminar, lecture or similar presentation/s. Funding will normally be to a maximum of $1,000 to
        bring a visitor already in New Zealand to Auckland (e.g., someone on research and study leave
        at another university), or to a maximum of $3,000 for a visitor coming from overseas.

       Note: Academic visitor must hold a tenured academic position or be of significant international
       standing in an area of research. Students are not eligible to be funded as academic visitors, i.e.
       not for PhD students etc.

     C. Support to set up a National or International conference or similar. To be considered in this
        category, the conference must be “open” in terms of participation and attendance. This would be
        a seeding grant of up to $5000. It is expected that this sum would be repaid to the Small Scale
        Research Grants at the conclusion of the conference. The date for repayment would be specified
        in the funding offer from the committee.

     D. Support to set up international collaborations specifically to obtain research funding in line with
        the University‟s stated objectives in this regard. The maximum available is $3000.

     E. Publication cost support. There are times when authors need assistance in order to have a
        research output published. The amount for this would not normally exceed $2,000. Applicants
        are expected to demonstrate that the work cannot be done from resources within the Faculty or
        School in the first instance.

                Writing retreats are not considered for publication support. These should be paid for by
                 the School‟s PBRF funds, or other resources.
                Vanity Publishing – the research grant will not support authors to „pay‟ publishers to
                 publish their work.
                A maximum of $4,000 applies over the life of any one publication

F.      Small Projects. $10,000 will be set aside to fund small projects (if required). A maximum of
        $2,000 per applicant will apply.

3.     What can the funds be spent on?

       A& B: Conferences and academic visitors

       Grants allocated for conferences or academic visitors can be used for:

         Travel and accommodation expenses
         The University‟s agreed travel and accommodation policies should be used to estimate costs
         related to:
        Airfares based on competitive quotes from the University‟s preferred supplier APX Travel
        Motor vehicles The University‟s policy on the use of private vehicles for University business
         should be considered when estimating travel costs. For longer journeys, staff are expected to use
         rental cars at the best competitive rates. When private cars are used for longer trips,
         reimbursement is based on the cost to the University of a Rental Car.
        Accommodation and other allowances should follow the appropriate employment conditions for
         the staff members involved.
        Conference registration
         C & D:
         These categories may entail personnel costs or, in the case of a conference, consumables such
         as printing.
        Research/ editorial assistance
         Assistance may be sought for production assistance for publication such as preparing indexes or
         figures and tables or preparing camera ready manuscripts. Remember to specify clearly the
         demands of the tasks associated with the hourly rate you have requested (this applies to casual

         It is expected that the number of hours required will not be inflated, but equally, staff ar e
         reminded that under-estimating the number of hours can jeopardise the undertaking. The usual
         University of Auckland HR policies and practices would apply.

        Research related costs for small projects e.g. postage, printing, transcription

Please note that the following will not normally be funded:

      These grants do NOT cover payment to release the staff member from their teaching/service nor
       for research‟s time to attend the conference, write the publication, etc
      Computer hardware of any type
      Computer software freely available to staff
      Equipment purchases
      Overheads or other employment related expenses

4.       Consideration of applications

      Applications for projects which involve the presentation of papers must be accompanied by a
       copy of the abstract and/or paper submitted. If the abstract that is peer reviewed is short (less
       than 1000 words) then it is necessary to demonstrate the likelihood of a published outcome
       by attaching a copy of the paper to be presented. This can be a draft paper or an extended
       abstract (e.g. 2-3000 words). It is advisable to attach a copy of the reviewer‟s report or any other
       evidence of feedback on the paper. Clear evidence of the intention to publish from the
       conference paper must also be included. The decision to fund applications will be based on the

         overall quality of each particular application. When considering an application, the following
         will guide the decision about whether to grant the funding:
        Where the quality of proposals is equal, priority will be given to those who have not sought
         funding in the past. Grants for funding a second or subsequent application will be made only on
         the presentation of evidence that the applicant has a refereed publication related to the previous
         grant published or accepted for publication since the last grant was made (reports of previously
         funded projects should be included in the new application).
        The grants history of the applicant and whether appropriate reports with evidence are received in
         a timely manner regarding the use of earlier grants (normally an applicant could not hold more
         than one grant concurrently).
        The relevance and importance of the conference/ visitor/ publication project for the institution as
         a whole, including the way in which the project supports the development of staff new to
        The degree to which research collaborations among Faculty members are supported by the grant
         in order to promote a culture of research and the generation of research outputs.
        The care taken in specifying, justifying and costing the funding requirements.

5.       Reporting Process:

         A final report (on the template provided) should be provided to the committee granting the funds
         once the purpose for which the funds were allocated has been completed or before the end of the
         year in which the grant is made, whichever is sooner. This report should include a copy of
         publications resulting from the funded research and/or details (full reference) of any forthcoming
         publications and their publication status. Reports from staff hosting academic visitors are
         expected at the conclusion of the visit, including copies of any publications resulting from it (or
         publications in press or in process).

Standard Ope rating Practices for the Faculty of Education Small Scale Research Grant

The Faculty of Education Small Scale Research Grants committee will meet in February and August to
allocate funds for the purposes outlined in the Guidelines for Small Scale Research Grants at the
Faculty of Education. $75,000 was allocated for Small Scale Research Grants in 2010.

Applications will be reviewed by a subcommittee of the Faculty Research Committee consisting of at
least three people. Faculty Small Scale Research Grants Committee decisions will be reported to the
Head of School concerned as the School will be responsible for managing the project accounts and
approving spending.

Successful applicants from the Faculty Small Scale Research Grants will be required to contact the
Research Administrator ( within two months to uplift their funds before
the offer lapses. A project account code for each allocation will be advised by the Research
Administrator. Funds will be transferred to School research accounts and managed through the staff
member‟s (or doctoral student‟s) School accounting system. All expenditure must be coded to this
project code. Normal School approval processes for spending these grants will apply. Original invoices
and receipts will be required in order to claim the money from your research account.

Grants allocated must be spent within the year in which they are allocated or the funding will be

Grants should only be used for the purposes specified in the application. Any proposed change in the
use of 20% or more of the grants awarded should be notified to the committee granting the funds.

These funds may NOT be applied for retrospectively. Approval must be obtained before attending the
conference, undertaking the costs associated with publication etc. However, claims can be made
subsequent to the event, within the same year as the award, provided appropriate documentation is

Applications to the Faculty of Education Small Scale Research Grants should be made on the
appropriate application form. Incomplete applications will not be considered or will receive
second priority. Incomplete applications received BEFORE the due date will be sent back to the
Head of School who signed it.

Available here:

One hard copy and one electronic copy should be submitted to Sharon Boyd, Room N502,
Epsom Campus, Each application must be signed by the Head of
School. Signatures will need to be scanned into your electronic application, please see your
school manager about available scanning facilities.

                                     Application Checklist

   Select appropriate application form from: scale-

   Attach copy of abstract and/or paper

   Attach evidence of peer review or quality control processes. Include a copy of reviewer‟s
    report(s) or any other evidence of feedback

   Show how this proposal aligns with your research platform (a brief research CV or excerpt from
    CV should be attached or cut and pasted)

   Provide clear evidence of the likely quality of any future publications (e.g. indicate where you
    intend to publish)

   Specify and justify funding requirements (attach quotes etc)

   If you have had any previous grant, is the report attached? Is it clear what the published outcome
    from that grant has been?

   Am I happy with the overall quality of this application? If not, I should not proceed.

   Application commented on and signed off by Head of School.

   Applicants must state if they (or someone else) engaged in the project is seeking funds from
    other sources.


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