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Research Funding. Dr Campbell Thomson. Research Services. Overview. Context Competitive Grant Funding - Constructing a research budget - Infrastructure and full costing - Cost versus price Block Grant funding - SRE, ERA and transparent costing Roles and responsibilities. Overview.

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Research funding

Research Funding

Dr Campbell Thomson

Research Services


Overview
Overview

  • Context

  • Competitive Grant Funding

    - Constructing a research budget

    - Infrastructure and full costing

    - Cost versus price

  • Block Grant funding

    - SRE, ERA and transparent costing

  • Roles and responsibilities


Overview1
Overview

  • Context

  • Competitive Grant Funding

    - Constructing a research budget

    - Infrastructure and full costing

    - Cost versus price

  • Block Grant funding

    - SRE, ERA and transparent costing

  • Roles and responsibilities


Context
Context

Government investment into research 2010-2011


Context cont
Context (cont.)

  • Government investment into higher education research is about 41%

  • Dual funding system:

    • Competitive schemes: $1.6 billion (ARC + NHMRC)

    • Block funding schemes: $1.7 billion

  • Competitive grants encourage researchers to compete on quality and impact; Block funding provides a research base to allow institutions to make strategic choices


Overview2
Overview

  • Context

  • Competitive Grant Funding

    - Constructing a research budget

    - Infrastructure and full costing

    - Cost versus price

  • Block Grant funding

    - SRE, ERA and transparent costing

  • Roles and responsibilities


Competitive grant funding
Competitive Grant Funding

2009

  • ARC competitive funding $550 million

  • NHMRC competitive funding $625 million

  • Other competitive programs $400 million

    (including CRCs) $1,575 million


Overview3
Overview

  • Context

  • Competitive Grant Funding

    - Constructing a research budget

    - Infrastructure and full costing

    - Cost versus price

  • Block Grant funding

    - SRE, ERA and transparent costing

  • Roles and responsibilities


Constructing a research budget
Constructing a research budget

  • Forms the basis on which your project is funded

  • A well constructed budget should include all direct costs of your project

  • A well justified budget should increase your chances of having these direct costs funded

  • 2005 ARC Discovery Project round UWA’s average grant size increased from $248,000 to $360,000






Other direct project costs
Other DIRECT project costs

  • Equipment

  • Maintenance and travel

  • Overseas per diem and accommodation (ATO)

  • Relocation and appointment expenses (HR)

  • Animal agistment costs

  • Occupational health and safety costs

  • External audit costs


Indirect project costs
INDIRECT project costs

  • Laboratory/office space

  • Existing research support/administrative support

  • Libraries

  • Power and lighting

  • Computer services and telecommunications

  • Building maintenance/cleaning


How to calculate indirect costs
How to calculate indirect costs

  • Percentage of direct costs

  • Apply a multiplier against all professional salaries

    - High cost school/centre – 127%

    - Medium cost school/centre – 114%

    - Low cost school/centre – 100%


Overview4
Overview

  • Context

  • Competitive Grant Funding

    - Constructing a research budget

    - Infrastructure and full costing

    - Cost versus price

  • Block Grant funding

    - SRE, ERA and transparent costing

  • Roles and responsibilities


Infrastructure
Infrastructure

  • Infrastructure = indirect costs

  • When to apply infrastructure charge:

    On all research grants, contracts, tenders and consultancies with the exception of:

    - Australian Competitive Grants

    - Bona fide donations

    - Scholarship stipends

  • Full infrastructure should be applied if IP or publishing rights are not fully retained


How to calculate infrastructure
How to calculate infrastructure

  • Percentage of direct costs – 35% or 15%.

    Current University policy

  • Apply a salary multiplier against all professional salaries - 127%, 114%, 100%

  • Contracts and tenders must be fully costed to comply with competitive neutrality policy

    NOTE: All contracts and tenders must be submitted through the Research Grants Office and must be signed by an authorised signatory


What happens to infrastructure recoveries
What happens to infrastructure recoveries

  • 68% to the school/centre

  • 32% to central services

    - 35% to Universities Facilities (ACU/CMM etc.)

    - 35% to Academic Services (Research Services/Legal Services/Financial Services etc.)

    - 30% to the Library




Overview5
Overview

  • Context

  • Competitive Grant Funding

    - Constructing a research budget

    - Infrastructure and full costing

    - Cost versus price

  • Block Grant funding

    - SRE, ERA and transparent costing

  • Roles and responsibilities


Cost versus price

indirect (in-kind + Facilities & Admin)

direct

Cost to Res. Org.(Full Economic Cost)

direct

overhead

Price to Client

$

Cost versus price

  • Price: Amount charged or paid by the research sponsor

  • Cost: The sum of all costs, direct and indirect, associated with a research project


Overview6
Overview

  • Context

  • Competitive Grant Funding

    - Constructing a research budget

    - Infrastructure and full costing

    - Cost versus price

  • Block Grant funding

    - SRE, ERA and transparent costing

  • Roles and responsibilities


Metrics herdc
Metrics (HERDC)

  • Research income categories:

    • Category 1 income: ACG e.g. ARC, NHMRC

    • Category 2 income: Public Sector

    • Category 3 income: Industry

    • Category 4 income: CRCs

  • Publication categories:

    • A1: Book

    • B1: Book chapter

    • C1: Refereed journal article

    • E1: Refereed conference article


  • Diisr block funding flows 2009
    DIISR block funding flows 2009

    • Research Infrastructure Block Grant (RIBG) $220 M

      - % share ofmost recent two years Category 1 Income

    • Research Training Scheme (RTS) $615 M

      - % share of HDR student completions (50%), % share of Category 1,2,3,4 income (40%), and % share A1,B1,C1 and E1 publications (10%)

    • Institutional Grants Scheme (IGS) $325 M

      - % share of Category 1,2,3,4 income (60%), % share of HDR student load (30%), and % share A1,B1,C1 and E1 publications (10%)


    Diisr block funding flows 2010
    DIISR block funding flows 2010

    • Research Infrastructure Block Grant (RIBG) $220 M

    • Research Training Scheme (RTS) $615 M

    • Joint Research Engagement (JRE) $325 M

      • % share of Category 2,3,4 income

  • Sustainable Research Excellence (SRE) $300 M

    • % share of Category 1 income moderated by quality and indirect cost drivers

  • Collaborative Research Networks (CRN) $50 M


  • Overview7
    Overview

    • Context

    • Competitive Grant Funding

      - Constructing a research budget

      - Infrastructure and full costing

      - Cost versus price

    • Block Grant funding

      - SRE, ERA and transparent costing

    • Roles and responsibilities


    Sustainable research excellence sre
    Sustainable Research Excellence (SRE)

    • 2009/10 budget reform to boost Australia’s competitiveness by:

      - Increasing the number of research groups performing at world-class levels

      - Addressing the shortfall in funding of indirect costs of Australian Competitive Grants (ACGs)

      - Return of 50 cents in the dollar of ACG income


    Sre block funding
    SRE block funding

    • 20% baseline on % share of ACG income

    • 13% for universities who sign up for Excellence in Research for Australia (ERA) and transparent costing (TC) – based on % share of first $2.5M ACG (threshold 1)

    • 67% for universities signed up for ERA and TC – based on % share of ACG above $2.5M moderated by quality (ERA) and costs (TC) (threshold 2)


    Sre moderated by quality
    SRE moderated by quality

    • Excellence in Research Australia (ERA) initiative

      • Publications over a 6 year window by FOR

      • Discipline specific outputs peer reviewed

      • Esteem factors

  • Results published at FOR level (1,2,3,4, or 5)

  • UWA had 91% of assessable two-digit FORs rated at world class or above (3,4,5)

  • Ei moderator


  • Sre moderated by costs
    SRE moderated by costs

    • Transparent costing (TC) based on reported indirect costs and the effort of staff directed towards ACG research (staff survey)

    • UWA reported 50% of time spent on research and 26% of time spent on ACG research activity

    • Total indirect costs at UWA = $276.8M; ACG indirect costs 26% of $276.8M = $72.0M; ACG indirect costs/ACG income = $72.0M/$84.1M = 85.6 cents in the dollar

    • TC moderator


    Sre threshold 2 funding
    SRE threshold 2 funding

    • Two pools:

      Share of ACG income x TC moderator = Share of TC pool

      Share of ACG income x Ei moderators = Share of Ei pool

    • One pool:

      Share of ACG income x TC moderator x Ei moderator = Share of total pool

    • Ei could be share of research outputs in FORs rated 3,4 or 5 as a proportion of total research outputs


    Overview8
    Overview

    • Context

    • Competitive Grant Funding

      - Constructing a research budget

      - Infrastructure and full costing

      - Cost versus price

    • Block Grant funding

      - SRE, ERA and transparent costing

    • Roles and responsibilities


    Roles and responsibilities
    Roles and responsibilities

    • Research Grants Office:

      - Opening PGs to accept funds

      - Preparing financial schedules as per contracts

      - Notifying CIs/school managers/finance officers

      - Invoicing funds as per contract

      - Preparing financial statements

      - Audits as required


    Roles and responsibilities1
    Roles and responsibilities

    • Business Unit:

      - Day to day management of the research PG

      - Ensuring expenditure according to terms & conditions (NHMRC has issued an eligible direct costs schedule)

      - Providing regular updates to CIs on expenditure & balances

      - Ensuring other income is not invoiced to research PG

      - Notifying RGO when milestones are complete to initiate invoices

      - Notifying RGO of any changes, variations or extensions


    Further information
    Further information

    • Internal guidelines

      (http://www.research.uwa.edu.au/staff/applying-for-funding)

    • Contacts

      (http://www.research.uwa.edu.au/staff/contact)

      QUESTIONS ?