Research Project Account Set Up

2

Research Project Account Set Up - Project overview

Objective: A

streamlined, timely, efficient, well documented

and well governed process

Who’s impacted?• Chief

Investigators• Faculty Research

Managers• Research Office• Financial Services• HDRO

Scope:From: Funds are

awardedTo: Funds can be

accessed

Research Project Account Set Up

Project Team:• Staff from RO &

Financial Control

• ADR, Faculty Research Manager,

Faculty Finance Manager and HDRO reps

Who was consulted?

• ADRs• Faculty

Research Managers• Chief

Investigators• Other Critical

Friends

How?1. Mapped and asked for

feedback on the old process

2. Generated ideas for improvement and designed the new

process3. Implemented the new

process

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Issues and solutions

Problem Solutions

Coversheet seen as an administrative burden by CIs

• Rebranded as Application and Project Lifecycle Information (APLI) to more accurately reflect its intent

• Information is entered by the most appropriate staff member (subject matter expert)

• CIs only complete the information needed on how they want their project coded (e.g., FOR /SEO codes ) and who can access their account information

• NB: Changes have been made to Post-Award, not Pre-Award

CIs needing to manually request access to financial reporting for each project

• Financial Control will organise access for CIs (and other nominated staff) to Integrated Reporting

Lack of transparency in how application is progressing through post-award process

• Additional automated notifications keep stakeholders (including CI and FRM) informed of progress and trigger the next process step

Approval from Faculty required both Pre- and Post-Award

• Approval only required at Pre-Award• This means that all research projects must go through pre-

award processing

Faculties required to generate invoices and send funds to non-lead institutions

• Invoicing for all but a minority of projects will be done by Financial Control. This includes receipt of funds from granting body and pass-through to non-leads

Inconsistencies and duplications in data collection between IRIS and Finance 1

• HERDC codes assigned before the project account is set up• Synchronised lists of Funding Sources, Administrative and

Funding Organisations and HERDC will be used in IRIS and Finance 1

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Overview of the new process

Research Project Account Set Up

Funding body, CI, student or other

staff notifies Post-Award of outcome

Are the Pre-Award sections of APLI

complete and a final application attached?

CI and RO Teams complete the Post-Award

sections of APLI

Y

RO Pre-Award Team notifies CI to complete the

Pre-Award process

N System notifies CI that additional information is

required

CI (or most appropriate staff member) updates

APLI with the requested

information

RO Post-Award Team checks and

finalises APLI

System notifies OFS of the project

details and account

requirements

OFS sets up the Project Account, account in HRIS, and organises CI

access to Integrated Reporting

OFS notifies all relevant support staff across the

University of the project account

details

Is additional information required?

Y

N

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Application & Project Lifecycle Information (APLI)

Research Project Account Set Up

Collects all of the information required across the project lifecycle, including internal and external reporting

Ensures information is entered by the most appropriate person (subject matter expert)

Enables CIs to decide how they want their project coded (FOR, SEO) and who can access their account information

Eliminates the need for faculty and finance staff to clarify, check or provide additional information when the project account is being set up

Note: Changes have been made to Post-Award, not Pre-Award

APLI overview

6Research Project Account Set Up

Section Core Purpose Completed By

1. Application Details Identifying the project and all internal and external sources of funding

Chief Investigator & Research Office

2. Investigator’s Details Recording the lead investigator and any conflicts of interest

Chief Investigator & Research Office

3. Ethics & Biosafety Details

Supporting the assessment of ethics and biosafety requirements during the application process

Chief Investigator

4. Resources & Commitments

Enabling the assessment of project implications for the department, faculty and University

Chief Investigator

5. Related Documents Keeping key project documents in an accessible location throughout its lifecycle

Chief Investigator & Research Office

6. Lead CI Certifications & Pre-Award Submission

Facilitating review and approvals Chief Investigator

7. Post-Award Enabling CIs to decide how their research is coded and who can access their account informationCreating a summary of key project dates and funding and links between project and related ethics/biosafety approvals

Chief Investigator & Research Office

8. Contracts /Legal Facilitating the review or development of contracts/agreements

Research Office

9. Financial Arrangements

Collecting information required for project account set up

Research Office

Pre

-Aw

ard

Post

-Aw

ard

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APLI Quick Guide for Chief Investigators

1. Application Details

• Enter the external reference number and project title

• Select type of project, fund source and research themes

2. Investigator Details

• Indicate any Conflicts of Interest

• Download Certification templates

3. Ethics & Biosafety

• Provide preliminary information on ethics and biosafety approvals

4. Resources & Commitments

RO will:• Create a new

fund source in IRIS if required

RO will:• Identify if a contract and/or account

are required• Record key project dates• Enter budgets for all fund sources• Provide links to MQ’s research policy

and specific project terms and conditions

RO will:• Select the type of contract/agreement

required• Identify any related agreements or

sub contracts• Record contact details for external

parties• Specify the MQ contributions and

indirect cost rate• Record project milestones and

deliverables• Declare Intellectual Property and

Publication Rights

5. Related Documents

• Attach all relevant documents including your Application and Investigator Certification

6. Lead CI Certifications &

pre-Award Submission

• Provide project details for approval by your Head of Department or other relevant approval levels

7. Post-Award

• Select HDR student type and number of stipends being requested

• Indicate Teaching Relief required

• Provide details on resourcing needs including IT, equipment, facilities and implementation /safety requirements

RO will:• Add other

investigators if required

• Select FOR and SEO codes and research type

• Confirm ethics and biosafety requirements and approval numbers (if available)

• Indicate who else needs access to Integrated Reporting

• View and accept MQ research policy requirements and project terms and conditions

8. Contracts 9. Financial Arrangements

RO will:• Identify whether invoices will be

issued by Financial Control or the Department

• Indicate the invoice currency and GST requirements

• Provide contact details for payments to be made to collaborating organisations

• Indicate any contractual restrictions or requirements

• Identify if funds can be used for HR expenses

• Forward the relevant data and information to OFS to enable your project account to be set up

• The RO Post-Award Team and your Faculty Research Manager will provide you with support to complete your project account set up.

Pre

-Aw

ard

• Your Faculty Research Manager and/or Faculty Partnership Manager will provide you with support to complete your application.

Post

-Aw

ard

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Finance details identified at the outset

Research Project Account Set Up

APLI will address key set-up questions for each funding source, including:

• What are the invoicing needs and who will be doing them?

• What currency will the funds be received in? Does GST need to be added?

• Are payments to non-leads required?

• Does the contract mandate that interest should be applied on unspent funds?

• Are there contractual restrictions on spending?

• Does the Indirect Costs Policy apply to this project, and at what rate?

• Can HR expenses be charged to the fund sources?

• Can unspent funds be retained at the end of a project?

• What HERDC code will be assigned to this fund source?

These questions will be answered by Research Office (not CI).

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Support from Financial Control

• Projects will be set-up in HR unless employee costs are not permitted by the funding body

• Integrated Reporting will be set-up on behalf of the CI and nominated persons. Drop-in training clinics will be provided on Integrated Reports

• Communications email to CI on successful set-up of project has been re-written to clarify the support they can expect from Finance

• All possible invoicing will be performed by Financial Control:Financial Control: Departments:

Collecting income from funding partners

When the contract has specific milestone dates for invoicing

OR

When invoicing for reimbursement of expenses is done at the same time a periodic financial report is due

There are any other invoicing arrangementsThis should be the minority of cases and Financial Control will regularly update departments to ensure they know when to invoice

Passing on income to non-lead institutions

When payment information is in the agreement

When payment information is not in the agreementThis alleviates an administrative burden on department staff

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Key outcomes

Research Project Account Set Up

More accurate and timely input into reporting for HERDC, ARC, ERA and NHMRC

Increased control for CIs over how their project accounts will be set up

Increased clarity in when and how project accounts set up

More holistic approach to project administration, account set up and reportingReduced administrative requirements on departments and CIs

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Next steps

Research Project Account Set Up

CIs will be provided access to and training on APLI including the Quick GuideInformation and support for department staff on changes to invoicing processes

Further briefings for and communications to faculty, RO and OFS staff

Wiki page available with more information

Post implementation review

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Continuous improvement

Research Project Account Set Up

Pre-Award processes

Integrated Reporting

Project budgeting and forecasting

Future improvements will be made in:

Questions?