Governance

Policies and procedures

Policy No.
UP07/2
Function
Research
Authoring Organisational Unit
Office of Research - Central Unit
Date Approved
01/08/2005 Revised 24/08/2020
Next Review Date
24/08/2023
Approving Body
Senate

The University of Western Australia

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University Policy on: Indirect Cost Recovery (Infrastructure) on Research Grants and Contracts

Overtype Policy Name with the name of the policy. This must convey specifically, accurately and succinctly what the policy addresses eg Award of Honours, Study Leave.

Purpose of the policy and summary of issues it addresses:

The purpose of this policy is to ensure that research grants and contracts undertaken by UWA include provision for indirect cost recovery.

 

This policy applies to all staff and students of the University, including adjunct and honorary appointments, who intend to or have submitted a research grant or contract administered by the University.

This must be in Normal, Policy style.

Provide a brief summary of the reasons for the policy and issues it addresses. This section is designed to stand alone. The aim is to provide the reader with enough information to make a decision about whether or not this is the policy they are looking for. It must not be longer than 200 words.

Example 1

This policy defines the nature and purpose of study leave provisions for academic staff and sets out eligibility criteria and other conditions that apply.

Example 2

This policy seeks to rationalise the award of honours across the University by addressing such issues as: entry standards, course content and structure, supervision, assessment, examination, grades, classifications, benchmarking and the maintenance and provision of documentation relating to these matters. It is based on resolutions of the Academic Board flowing from the 1999 report of the Honours Working Party.

Definitions:

In this policy and any associated procedures,

the University means The University of Western Australia

Australian Competitive Grants are grants listed on the Australian Competitive Grants register at https://www.education.gov.au/australian-competitive-grants-register .

Charitable Trust/Foundation is an organisation established for charitable purposes and recognised as such by the Australian Taxation Office (ATO).

Bona fide Donation is a gift made to the University to fund a broad target area for which there is no restriction placed by the donor.

Direct costs are costs that are directly attributable to undertaking the project including salaries and salary on-costs of staff employed on the project, consumables, specialised laboratory and facility user charges, travel, equipment purchases and other maintenance costs.

Indirect costs are costs incurred by the University in support of research, including but not limited to existing facilities and equipment (including laboratory and office space), UWA-funded research assistance and technical support, administrative support, libraries, computer services, telecommunications, power and lighting, and building maintenance and cleaning.

Infrastructure is an alternative term used for indirect costs.

Chief Investigator is the lead researcher responsible for the conduct of the research project.

 

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Policy statement:

 

1 General Principles

 

1.1 The University adopts a transparent methodology for costing research projects in alignment with the National Competition Policy.

 

1.2 The minimum amount of funding requested from a granting body/sponsor must comprise the total of all direct and indirect costs of a research project.

 

1.3 Where a research grant does not provide for indirect costs the University makes provision for indirect cost recovery by subsidising the indirect cost from elsewhere within the University.

 

1.4 The University seeks to price research grants and contracts to cover all direct and indirect costs, with the indirect cost recovery component calculated as 35% of the direct costs of the budget. This infrastructure charge applies uniformly across all eligible research contracts (refer clause 1.8 below), without consideration of the sponsors restrictions imposed on publishing or claims against project Intellectual Property (IP).

 

1.5 The University may charge infrastructure by applying a multiplier against academic staff salaries, as illustrated in Appendix 1. Some funding agencies prefer this indirect cost recovery model because it is more transparent with academic salaries being costed on the basis of total time spent on the project; inclusive of a 127% infrastructure charge for laboratory based disciplines and a 100% multiplier for non-laboratory based disciplines.

 

1.6 Once funding for a research project has been received:

 

the direct cost component is distributed to the Chief Investigator to be used to carry out the project; and

the indirect cost component is distributed to a central pool for use on strategic initiatives.

 

1.7 Where a researcher or research group negotiates a price for a project in excess of the minimum indirect cost recovery, the additional funds is distributed to the Chief Investigator.

 

1.8 Research grant and contract income exempt from an infrastructure charge includes:

 

Australian Competitive Grants;

projects funded by Charitable Trusts/Foundations, except for projects funded by Overseas Trusts and Charitable Foundations which are considered on a case-by-case basis;

bona-fide donations; and

funds specifically for a student stipend.

 

1.9 Projects funded by major international competitive schemes (e.g. NIH, NSF) are subject to a reduced rate of indirect cost recovery, in accordance with the funding rules of the relevant scheme.

 

1.10 Other exemptions from an infrastructure charge may be sought on the following grounds, but not limited to:

 

research funds received from a UWA spin out company;

UWA licensee.

 

1.10.1 Applicants seeking exemption from an infrastructure charge must submit the Request for Variation to Indirect Costs Recovery (Infrastructure) form to the Deputy Vice-Chancellor (Research).

Policy or Procedure?

Policies are statements of the principles1 which govern decision-making.

Procedures are the functional steps used to implement policies.

1 Principles in this context are to be understood as being both broad and detailed.

The policy statement makes clear the intent of the policy. It must be written in clear, precise and direct language. Short sentences are preferable. Any specialist words or acronyms must be defined at the beginning of the statement. (A guide to writing styles will be available soon.)

If the policy includes procedural elements you will need to identify these as Procedures by including this word above the relevant text. The procedures style from the styles drop-down list must be applied to the whole of the procedures text, including the word Procedures. Note: Administrative procedures can be approved by the relevant Director.

Related forms: (Link)

 

Request for Variation to Indirect Costs Recovery (Infrastructure) form

 

 

Provide links to any forms associated with the policy (eg Approved Leave form) and/or to information on on-line submission.

Note: Forms are a means through which policy is processed, not made. Forms must reflect policy and must not be used to create policy.

 

TRIM File No:

F59930

Insert the appropriate TRIM file number. All policies must have a TRIM file for storing information relating to policy development and other related information. Note this is not the policy number. Apply for a TRIM file number at http:/intranet.uwa.edu.au/page/38742

 

Contact position:

Director, Research Enterprise

State the name of the position that is to be contacted for any queries regarding the policy, eg University Secretary. Note: As this will link through to the Universitys Contact Directory, the position name must be given exactly as it appears in that directory.

 

 

Related Policies or legislation:

National Competition Policy at https://ncp.ncc.gov.au/

Provide details of, and, if appropriate, web links to, other policies, legislation or committee resolutions that relate to the subject of the policy, if known, eg Statute(s), University General Rule(s). If unsure what these might be, try one or more of the following:

Conduct a search on TRIM.

Make an enquiry to Archives and Records.

Seek help from staff in the relevant section.

If related policies are stored in University Policy format on the University Policies site, please provide the relevant policy number(s).

 

 

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