1. Research Project Account Set Up

2. 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 awarded To: 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 process 3.Implemented the new process

3. 3 Issues and solutions ProblemSolutions 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

4. 4 Overview of the new process Research Project Account Set Up

5. 5 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

6. APLI overview 6Research Project Account Set Up SectionCore PurposeCompleted By 1. Application DetailsIdentifying the project and all internal and external sources of funding Chief Investigator & Research Office 2. Investigator’s DetailsRecording the lead investigator and any conflicts of interestChief Investigator & Research Office 3. Ethics & Biosafety DetailsSupporting 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 DocumentsKeeping key project documents in an accessible location throughout its lifecycle Chief Investigator & Research Office 6. Lead CI Certifications & Pre-Award Submission Facilitating review and approvalsChief Investigator 7. Post-AwardEnabling CIs to decide how their research is coded and who can access their account information Creating a summary of key project dates and funding and links between project and related ethics/biosafety approvals Chief Investigator & Research Office 8. Contracts /LegalFacilitating the review or development of contracts/agreements Research Office 9. Financial Arrangements Collecting information required for project account set up Research Office Pre-Award Post-Award

7. 7 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. Contracts9. 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-Award Your Faculty Research Manager and/or Faculty Partnership Manager will provide you with support to complete your application. Post-Award

8. 8 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).

9. 9 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 arrangements This 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 agreement This alleviates an administrative burden on department staff

10. 10 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 reporting Reduced administrative requirements on departments and CIs

11. 11 Next steps Research Project Account Set Up CIs will be provided access to and training on APLI including the Quick Guide Information 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

12. 12 Continuous improvement Research Project Account Set Up Pre-Award processes Integrated Reporting Project budgeting and forecasting Future improvements will be made in:

13. Questions?