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Preamble |
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This document is concerned with the principles
and procedures to be followed when a researcher:
(i) ceases to work at the University and seeks to transfer
a research grant and/or equipment and materials obtained for
the purpose of prosecuting the research to a new institution;
or
(ii) receives grant funds administered by another institution
or requests that grant funds or equipment be transferred from
the University to another institution to support activities
associated with the grant. |
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Definition
Equipment and materials is defined as any item of a permanent
nature with a life expectancy of at least two years. Books,
journals, glassware and plastic-ware, and materials, items
or components purchased to repair an item of equipment are
usually regarded as consumable items.
The decision as to what constitutes an item of grant-funded
research equipment or materials that is the subject of a transfer
request is a matter for the relevant AOU to determine on a
case-by-case basis.
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| 1. |
General Principle |
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The University will endeavour to ensure that
grant funds and equipment are deployed in a manner which best
achieves the outcomes expected from the research that has
been funded. |
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| 2. |
Principles Relating to Transfer of
Grants and Equipment |
| 2.1 |
Where the terms of an externally funded
grant address the issue of ownership and disposal of grant-funded
equipment and changes to key personnel, including transfer of
researchers and equipment to other institutions, the terms of
the grant will apply. |
| 2.2 |
All equipment purchased from internal
University funds is the property of the University. |
| 2.3 |
External research grants and equipment/materials
purchased from such funds, and which are still needed for the
prosecution of the staff member's research projects, may be
transferred with a staff member transferring to another institution. |
| 2.4 |
Requests to transfer external research
grants held jointly with other staff members of the University
and requests to transfer associated grant-funded equipment/materials
will be the subject of specific recommendations in each case,
following wide consultation between all of the investigators
named in the research grant application and the relevant Head(s)
of AOU. |
| 2.5 |
Internal University research funds and
equipment purchased from such funds may not be transferred.
However, in the event that it can be shown that items purchased
from such funds are not required by any other staff member,
the transferring staff member may make a case for transferring
the items, providing that the staff member or the staff member's
new institution reimburse the University the reasonable market
value of any items to be transferred. |
| 2.6 |
Requests to transfer items purchased
with both external research funds and internal University funds
will be the subject of specific recommendations in each case,
following wide consultation between the relevant Institute Research
Director, all the investigators named on the grant application
and the relevant AOU. |
| 2.7 |
Inter-institutional negotiations with
respect to the transfer of grants and equipment will be undertaken
by the Office of Research, in consultation with the relevant
Research Institute Director and Faculty Head. |
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| 3. |
Decision-Making Process in Relation
to Requests to Transfer Research Grants and/or Equipment |
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The process to be followed in relation
to a request by a departing staff member to transfer the administration
of a grant and/or items of grant-funded equipment/materials
to another institution are as follows (a flow chart and checklist
that summarise this process can be found at Attachment 1 and
2): |
| 3.1 |
It is the responsibility of the Head
of AOU, when advised of the pending resignation or retirement
of a staff member to arrange immediately for the preparation
by the staff member of an inventory of all grants, research
equipment and materials under the supervision/control of the
staff member. This list should be provided at least three (3)
months before the expected date of departure (or as soon as
practicable after the date of departure is confirmed). The list
should identify any grants and/or research equipment/materials
the staff member wishes to transfer to another institution. |
| 3.2 |
The Head of AOU shall:
(i) inform the Office of Research about any grant that has
been requested to transfer; and
(ii) request information from the Inventory Officer about
the depreciated value of any equipment that has been requested
to transfer, if relevant. |
| 3.3 |
The Office of Research shall provide
the Head of AOU with:
-a copy of the grant application;
-details of the nature and duration of funding;
-details of any staff paid from the grant;
-balance of grant funds to date; and
-details of any equipment purchased using grant funds. |
| 3.4 |
The departing staff member, the
other investigators named on the grant and the Heads of AOU
of all investigators shall seek initial agreement on the following,
with particular reference to the relative time commitment
of each investigator on the project:
-whether administration of the grant should be transferred
to the staff member's new institution (this would normally
be the case for single investigator grants);
-for grants held jointly by multiple Flinders investigators,
whether administration of the grant can remain at the University
under the supervision/control of another Flinders investigator
named on the grant, with the possibility of some of the grant
funding being transferred for expenditure by the transferring
staff member at the new institution;
-for grants held jointly by multiple Flinders investigators,
whether administration of the grant should transfer to the
new institution, with the possibility of some of the grant
funding remaining at the University for expenditure by Flinders
investigators involved in the grant;
-items to be retained by the University;
-items to be transferred, including dates from which items
can be removed;
-payment for items to be transferred, if applicable, including
the apportionment of any revenue to be shared between AOUs.
-A written record of discussions will be retained by all
parties. |
| 3.5 |
The Head of AOU of the transferring
staff member will forward recommendations on the transfer of
grants and/or equipment and the sale price, if appropriate,
including the apportionment between AOUs of any revenue to be
shared as per 5.2, to the Head of Faculty and the relevant Institute
Research Director. |
| 3.6 |
In the absence of agreement, all information
provided under 3.2 and 3.3 and submissions from all investigators
named on the grant shall be submitted to the Head of Faculty
and the relevant Institute Research Director. Each investigator
shall be invited to provide information on what has been achieved
to date in relation to prosecution of the project, what remains
to be achieved, how it is to be achieved, with what resources
and by whom. The Head of Faculty and Institute Research Director
will evaluate evidence and argument, especially the relative
time commitment to the project of each of the investigators
and make a judgement as to how the grant funds and equipment
should best be deployed in order to achieve the outcomes expected
from the research that has been funded. |
| 3.7 |
Following consultation with the Head
of Faculty, the Institute Research Director will advise the
Office of Research of any grant which has been recommended to
transfer. The Office of Research will liaise with any relevant
external granting bodies to seek approval for the transfer of
the grant. |
| 3.8 |
A schedule listing equipment and materials
which may be removed will be drawn up which, when signed by
the Head of Faculty and the Institute Research Director, will
become the authority by which the equipment and materials may
be removed from the University. |
| 3.9 |
The schedule listing equipment and materials
items for transfer shall be provided to the University Inventory
Officer and will include information about whether ownership
of the equipment is to vest in the new institution or is to
be retained by the University. |
| 3.10 |
Inter-institutional disputes involving
the transfer of grants and/or equipment will be negotiated by
the Deputy-Vice-Chancellor (Research) and the Office of Research,
in consultation with the relevant Research Institute Director
and Faculty Head. |
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| 4. |
Removal of Equipment from the University |
| 4.1 |
Where ownership of the equipment is
to vest in another institution, it will so vest when the equipment
is removed from the University to be transported to the new
institution. |
| 4.2 |
Approval of the removal of the equipment
to another institution is subject to the following conditions:
(i) All costs of removal to the other institution will be
met by:
-the grant, if the conditions of the grant so permit and
if funds are available for the purpose in the grant; or
-the other institution.
(ii) Where the University will retain ownership of the equipment,
all costs of returning the equipment to the University when
the project ends and, if so required, reinstallation at its
original site, will be met as in 4.2(i).
(iii) Costs of removal includes the cost of any structural
alterations or minor works necessary to remove the equipment
from its site and, if occasion arises, to reinstall the equipment
when it is returned to its original site.
(iv) Insurance
-Where the ownership in the equipment is to vest in another
institution, that institution is responsible for arranging
all insurance it requires to cover the equipment from the
time it is removed from the University.
-Where the University retains ownership in the equipment,
the University will arrange insurance cover for the equipment
while in transit to and from the other institution and while
at that institution. |
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| 5. |
Revenue from the Sale of Research
Equipment |
| 5.1 |
Should the terms of the grant specify
that research equipment may be disposed of only as directed
by the grantor and the revenue generated by the disposal returned
to the grantor, the terms of the grant will apply. |
| 5.2 |
Where the University's procedures
apply, application of revenue received as reimbursement for
transferred equipment shall be in accordance with the following
principles:
-Where the research grant was a block grant to an AOU or
research group, the revenue shall be available to that AOU
or research group.
-Where the research grant was for a specific project, the
revenue shall be available to the AOU or research group of
which the transferring staff member is a member.
-In any case where it appears that more than one AOU or research
group is entitled to share the revenue, the revenue shall
be apportioned between those AOUs or research groups in such
shares as the Head of Faculty and Institute Research Director
determines after consultation with all stakeholders. |
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| 6. |
Grant Funding Shared between Institutions |
| 6.1 |
Prior to transferring funds to another
institution to support the activities on a grant that is administered
by the University, the agreement of the other institution shall
be obtained that the institution will comply with the funding
body conditions, including the requirement to provide a financial
acquittance of the funds so transferred at the end of the funding
year. |
| 6.2 |
Prior to expenditure of any grant funds
received by the University, where the grant is administered
by another institution, the University and the other institution
shall each sign a letter of agreement containing details of
the grant (investigators, title, funding source) and the amount
of funding to be transferred to the University. |
