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MAJOR RESEARCH EQUIPMENT AND INFRASTRUCTURE INITIATIVE

Guidelines for Funding in 2015

Applications are submitted directly to each Faculty Dean (with approval from the Head of School) for ranking and recommendations to the Deputy Vice-Chancellor (Research)

1. OBJECTIVES1.1. The Major Research Equipment and Infrastructure Initiative is designed to

provide UNSW with a world-class research environment to attract and retain a critical mass of research excellence. Whether it is in the Humanities, Arts and Social Sciences, or in Medical research, Science, Engineering and Technology, our investment in major research infrastructure and equipment is a strategic investment to enable our researchers to work at the cutting edge of local, national and international research.

2. ELIGIBILITY2.1. Applicants must be members of the academic staff of the University, and on the

payroll of the University or have been formally appointed according to established processes for Conjoint or Clinical appointments for Area Health Services or associated research institutions.

2.2. Conjoint and Clinical staff must have all their research productivity (e.g., grant applications, postgraduate research student supervision, publications) submitted through and administered by UNSW to be eligible to apply for support under this scheme.

2.3. Emeritus and Honorary staff are not eligible to apply for support from this scheme.

3. FUNDING SOURCES3.1. The Major Equipment & Infrastructure Initiative scheme is funded from the

University’s Research Infrastructure Block Grant funding. The University’s National Health and Medical Research Council Equipment Grants funding will also be rolled into the Major Equipment & Infrastructure Initiative scheme.

4. TYPES OF EQUIPMENT AND INFRASTRUCTURE4.1. For the purpose of this initiative, major research equipment and infrastructure is

defined as a significant single item (or a complete system) required to support research activity at UNSW.

4.2. Items supported:All items consistent with the RIBG Guidelines1, are valid applications to this scheme. These could include for example:

4.2.1. Support for libraries, data bases, computing centres, animal houses, herbaria;

4.2.2. Major equipment purchase, installation and maintenance;

4.2.3. Equipment and major facilities to underpin research activities – e.g. modifying, upgrading, fitting out laboratories, creating and installing the facility;

4.2.4. Offsetting (or partly offsetting) the salaries of technical staff who support research activities (workshop staff, computing and IT support staff, laboratory technicians, support staff for major instruments and databases etc.);

1RIBG Guidelines are available from the Government website at: https://education.gov.au/research-infrastructure-block-grants

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4.2.5. Providing or improving the infrastructure for Postgraduate Research Students.

4.3. Items eligible under the NHMRC Equipment grants funding:

All items consistent with the following additional criteria, are eligible for support:

4.3.1. The equipment should support the highest quality health and medical research, as supported by the NHMRC (or other competitive grant support);

4.3.2. Consideration to the lack of access to similar equipment in the institution or region; and

4.3.3. The collaborative gain through use of the equipment e.g. multi-user equipment which crosses disciplines, research groups or departments.

4.4. Additional non-RIBG items supported:

4.4.1. Funding for initiatives to support research activity outside the normal DIISR RIBG guidelines may also be considered from the humanities, arts and social sciences.

4.5. Items not supported:4.5.1. The provision of normal office or laboratory infrastructure which would

normally be supplied to members of staff.

4.5.2. Computing equipment designed to support undergraduate teaching programs (e.g. general computer laboratories) or office equipment.

4.5.3. Costs for equipment hire, the acquisition of services or purchase of time on computers, vessels, aerial photography or access to specialised facilities are NOT permitted.

4.5.4. UNSW does not provide ‘grant-in-aid’ or contributions to equipment that will become assets of other institutions. Any items purchased through this initiative must be listed as assets of UNSW. If they are purchased and installed ‘off-site’, they still need to be recorded on the University’s Assets Register with a fractional ownership if the equipment is jointly owned.

4.5.5. Funding cannot be used for major capital works (buildings), rental of accommodation, salaries of teaching and research staff (including the cost of "buying time" to free such staff to do more research); salaries of staff supporting research at the institutional level or staff involved in research administration; postgraduate research student stipends; or travel costs directly associated with individual projects.

5. LEVEL AND DURATION OF FUNDING5.1. There is no lower, or upper limit set on the level funding requested. However

proposals must be significant and will be assessed on the basis that they will make a real and positive contribution to the University’s research effort.

5.2. For Major Research Equipment and Infrastructure above $100,000 there must be a compelling reason why this should not be more appropriately obtained through the ARC Linkage Infrastructure and Equipment Facilities (LIEF) Scheme.2

5.3. Funding for this initiative will be allocated centrally. The payment for equipment and infrastructure will be made by the lead School/Faculty from an approved account on presentation of an appropriate invoice or order.

2 Further details on the ARC LIEF Scheme is available from the ARC’s website at: http://www.arc.gov.au/ncgp/lief/lief_default.htm

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6. PROCUREMENT6.1. Any acquisition of research equipment or infrastructure under this initiative

MUST be in accordance with the University's Purchasing Policy3.

Purchases must conform to the UNSW quotation and tender process4:

6.1.1. For orders between $3,001 and $30,000 incl GST, a minimum of one written representative quotation is required.

6.1.2. For orders between $30,001 and $250,000 incl GST, a minimum of three written representative quotations is required.

6.1.3. For purchases over $250,001 incl GST, a tender process must be conducted and it is recommended that you contact the UNSW Strategic Procurement team to discuss your requirements and the support services they offer for researchers.

6.2. If these funds will be awarded to you as part of an organisation affiliated with UNSW, then UNSW at all times retains title to goods purchased using these funds. The affiliated organisation is also responsible for: a) maintaining the equipment in good working order unless the goods have, as reasonably agreed between UNSW and the affiliated organization, reached the end of its useful life; and b) protected the goods against theft, loss, damage, or unauthorised use.

7. SPACE REQUIREMENTS, RISK ASSESSMENT & RESOURCE SUPPORT

7.1. Any application for research equipment or infrastructure under this initiative needs to take into account:

7.1.1. The availability of on-going space to house/operate the equipment requested.

7.1.2. Installation requirements for the equipment; these must be fully costed in the budget and the checklist attached is to be completed and signed by the Head of School and Project Manager, in consultation with Facilities Management where necessary.

7.1.3. Any need for refurbishment of existing space to accommodate the equipment. In this case, such costs need to be covered by the School/Faculty budget OR the School/Faculty submission for funding through the Capital Works Program. Such applications can only be supported in principle, subject to approval of the refurbishment budget.

7.1.4. The OHS and Risk Assessment requirements for the design, manufacture, importation, supply, installation/erection, commissioning, use, alteration, dismantling, storage and disposal of the equipment.

7.1.5. The on-going maintenance and technical staff requirements. These costs will need to be covered by the School/Faculty budget.

8. APPLICATION PROCESS8.1. Individuals (or teams of individuals) will need to put forward a strategic case

(max 3 pages – excluding certification page) and obtain approval from their Head of School, using the form attached.

8.2. The application must include the following:

33UNSW’s Purchasing Guidelines can be found on the website at: http://www.fin.unsw.edu.au/OurServices/FinancialOperations_Purchasing_Guidelines.html

4https://www.fin.unsw.edu.au/secure/unsw_allstaff/Procurement_Research_Major_Equipment_MEP.html Please click on the right process to see the workflow and associated templates.

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8.2.1. a clear and concise description of equipment, infrastructure or support requested;

8.2.2. the strategic purpose of the request including the impact the equipment or infrastructure will have on improving UNSW’s research capacity;

8.2.3. a statement of the research programs or groups which will be supported by the equipment or infrastructure;

8.2.4. details of the funding requested including quote/s and budget justification. (Equipment funded under MREII will be expected to undergo a rigorous procurement process to ensure value for money is achieved and probity and risks are managed.  This means that the eventual supplier may or may not be the same as the preferred supplier named in the application.  At the same time it is important that budgets are based on competitive quotes and fully justified.)

8.3. The application must be certified by the relevant Head of School before the completed application is submitted to the Dean for approval.

8.4. Deans will review the proposals and submit these to the Deputy Vice-Chancellor (Research), together with a ranked Faculty list recommended for funding. The Dean should rank applications based on the strategic research priorities for the Faculty.

8.5. The Deputy Vice-Chancellor (Research) will consider the applications with consultation as necessary.

9. TIMETABLE

Please consult with your Faculty regarding internal deadline

Dean’s ranked list along with applications to Office of DVC (R) No later than Wednesday, 29 October 2014

DVC (R) announces funded applications

Within 2 weeks of the 2015 LIEF grant announcement (anticipated early in November, 2014)

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MAJOR RESEARCH EQUIPMENT AND INFRASTRUCTURE INITIATIVE

Application Form for Funding Support in 2015NOTE: When completing this form, please refer to the corresponding Guidelines.

Applications must be lodged with your Faculty (Dean’s Office).

1 APPLICANT/S1.1 FIRST NAME APPLICANTThe first named applicant will be the key contact person for the application for all correspondence. This should be the same person listed as Person 1 below.Personnumber Family name Given Name(s) Phone Fax Email

1*

1.2 PARTICIPANTS SUMMARYPersonnumber Family name Given Name(s) Centre/School/

DepartmentEmail

1*

2

3

4

2 EQUIPMENT OR INFRASTRUCTURE REQUESTEDProvide a short description of the equipment/infrastructure requested.

3 LOCATION OF THE EQUIPMENT/INFRASTRUCTUREProvide a short description indicating where the equipment/infrastructure will be physically located. If the equipment/infrastructure will be installed “off-site”, then provide details of the physical location and address, together with a statement on the fractional ownership.

4 RESEARCH PROGRAMS/GROUPS SUPPORTEDProvide a short description of the research programs/groups which will be supported by the equipment/infrastructure.

5 STRATEGIC PURPOSE OF REQUESTProvide a short description of the impact the equipment/infrastructure will have on improving UNSW’s research capacity and how this ties in with the Faculty’s/UNSW’s strategic priorities.

6

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7 BUDGET SUMMARYAt least one quote must be attached to the application for each item requested. Tenders are to be invited for orders over $250,000 incl GST). If additional funding is being committed from other sources this must be clearly specified.

ITEM DETAILS SUPPLIER $ STAFF COSTS

$ ICT COSTS $ MAJOR PLANT/ EQUIPMENT COSTS (>$5K)

$ TOTAL COSTS

$ REQUESTED CENTRALLY(GST exclusive)

$ SCHOOL/ FACULTY APPROVED CONTRIBUTION(if applicable)(GST exclusive)

CONTRIBUTING SCHOOL(S)/ FACULTY(S)(if applicable)

TOTALS

6.1 Appropriate on-going space is currently available to house/operate this equipment? Yes No

6.2 The installation requirements (refer to attached checklist) of the equipment to be purchased have been taken into account in the above budget estimates?Yes No

6.3 Will there be a need for refurbishments? Yes No

If Yes, will these refurbishment costs will be covered: (i) School/Faculty OR (ii) a separate budget submission will be made via the Stay in Business Capital Funding (coordinated annually by Facilities Management) .

Please provide an estimate of costs: $

6.4 The OHS and Risk Assessment requirements for the design, manufacture, importation, supply, installation/erection, commissioning, use, alteration, dismantling, storage and disposal of the equipment have been taken into account? Yes No

6.5 The on-going maintenance and technical staff requirements have been considered and will be covered by the School/Faculty budget? Yes No

6.6 Has funding been sought from other sources for this application? ARC LIEF Grant Yes No Other External Research Grant Yes No Operating Grant Yes No Strategic Priorities Funds Yes No Other sources Yes No

Please specify:

6.7 This application is eligible for consideration under the “NHMRC Equipment grants funding” criteria? Yes No

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8 BUDGET JUSTIFICATIONBriefly provide a justification and priority for each budget item requested. Costings for major items where only one quote is provided need to be fully justified. If any item is to be jointly owned, or installed “off-site”, this must be clearly specified and justified.

9 APPLICANT CERTIFICATIONThe following certification must be signed by all applicants listed at 1.

I certify to the best of my knowledge that the details provided in this Application Form and any supporting documentation are correct and complete.

I have read and understand the University’s purchasing policies.

Signature of Applicant Name (please print) Date

10 HEAD OF SCHOOL CERTIFICATIONI certify that— I have the resources, space and support to install, operate and maintain the equipment/infrastructure

in my School under the circumstances set out by the applicant(s) and appropriate working and office space is available for any proposed additional staff.

To the best of my knowledge all details on this Application Form are true and complete.

Signature of Head of School ordelegate or equivalent(in black ink)

Name (please print) Date

11 DEAN’S CERTIFICATIONI certify that— This application meets the strategic priorities for the Faculty. I am prepared to host and support the equipment/infrastructure in my Faculty under the circumstances

set out by the applicant(s). To the best of my knowledge all details on this Application Form are correct and complete.Signature of Dean ordelegate or equivalent(in black ink)

Name (please print) Date

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Project Details: [insert project / equipment name]

Project leader [insert]

Project sponsor [insert]

School / Centre / Faculty [insert]

Purchase of [insert name of equipment being purchased]

Currency (if known) [insert AUD or specify other currency]Contract Price or Quote (ex GST) [insert AUD amount or estimated AUD amount if in foreign currency]

Proposed Location - provide full details on p.2 below [insert building / site / lab / room no.]Site preparation + services + installation costs (estimate) – complete below for checklist

[$ ]

Total budget for project [$ ]*Strategic Procurement Contact (if applicable) [insert]

*FM Contact (if applicable) [insert]

*Other Contact(s) if applicable [insert]*Refer to end of document for sources of advice and assistance.

Project ManagerI confirm that the proposed site is suitable for the equipment, the site/space/room has been approved for this purpose and new services required to be installed have been identified and budgeted as per the detailed checklist below.

Name Signature Date

Head of School / Centre / Dean of Faculty (as appropriate)I confirm that the space proposed is available for this project and that the costs of installation have been budgeted.

Name Signature Date

Name Signature Date

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S I T E S E R V I C E S A N D I N S T A L L A T I O N C H E C K L I S T

A N D B U D G E TMAJOR EQUIPMENT PROCUREMENT

GRANT APPLICATION

Guide Notes: You must fill in all yellow highlighted fields. Delete all Guide Notes in the final draft of this document.

Project Name: [insert project name]

Site installation checklist#

Proposed location:Site / building / floor / room no.

[Is this room allocated to your project? if not then contact FM for space review. If major refurbishment is required you will need to consult your Faculty space representative as well.]

Specialist laboratory / site /room info

[Insert any specialist laboratory/site information - e.g. PC2 lab, clean room, laser lab, magnet lab.]

Site installation requirements have been obtained from suppliers?

Yes / No

Services review carried out by;

[insert names of FM contacts, Lab Managers / Operations Manager / other]

Specialist services required (add others where needed; provide suppliers specifications where applicable)

Service Category Services in the site / roomService neededY / N

Service already availableY / N

CommentsPlease include details for those services which need to be added for the project (i.e. Y-needed but N-not already available)Attach the relevant manufacturer’s site installation details where applicable, and where detailed costings are being requested from FM

Power 3 phase power15 amp powerAdditional power capacity / circuitsOther special power (specify)UPS or power conditioning

Heating/Cooling Cooling waterChiller / heat exchangerClose control of A/C (temp / humidity / pressure)A/C or ventilation to deal with increased heat loadCryogen supply

Speciality Gases Helium recoveryGas reticulation / specialist gases

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Gas dryers or other conditioning

Environmental Control

Ventilation / extraction / other specialist exhaust systemsO2 depletion alarmOther gas or system alarmsHEPA filtered air / other clean-roomPC2 / biosafety cabinet or relatedFume cupboardSafety interlocks (eg laser lab)

Floor Infrastructure

Heavy equipment – floor loading issuesAnti-vibration table / other large infrastructure

IT / Storage IT cabling / new portsOther IT infrastructure

General Other water supply (specify)Sink and/or handwashSafety shower and/or eyewashCompressed airCardax reader, back to base alarm, other security or access control

Other SpecifyEg: other WHS measures?Other special services?

Site compatibility Issues Check

Equipment causes vibration, electrical or magnetic interference?

Equipment is vibration sensitive, sensitive to electromagnetic interference?Other - specify?

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Specialist Delivery Costs (not included in purchase contract)

Crane, specialist removals contractor, scaffolding, other ?

Delivery and Installation Any other special delivery or installation requirements?

Delivery access has been confirmed Yes / No (Door widths, corridor route, goods lift, forklift access, loading dock access is compatible with equipment dimensions)

Services works /additions costed by [attach costings or estimates]

Any other comments [insert any other relevant comments]

Installation budget [$ insert budget amount ]School / Centre / Faculty Installation budget Confirm School / Centre / Faculty budget is available for installation]

# If your project involves a straightforward upgrade (e.g. a new detector on existing equipment) you may feel that the checklist is not necessary. However even in cases of apparently simple purchases or upgrades, it may be that for example, power, IT, or health and safety requirements have changed since the last time similar equipment was purchased. We therefore ask you to check the latest requirements.

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*Contacts for Advice and Assistance completing this form

Division of ResearchGrainne Moran, MW Analytical Centre, 9385 4642, g.moran@unsw.edu.au

Facilities ManagementYour building/faculty CFM or Greg Kaplan, Associate Director, Asset Management, FM, 9385 3831, greg.kaplan@unsw.edu.au

Strategic ProcurementRefer to the Research and Major Equipment section of: http://www.fin.unsw.edu.au/OurServices/FinancialOperations_Procurement_WCH.html

School / Faculty advice**Where significant re-allocation of space, re-configuration of existing space, or Faculty-level financial and/or strategic support for refurbishment is required for a major project, please consult your Head of School/Centre and the relevant contact for your Faculty (see list below)

Faculty contacts

ASB - ASB Research Office at asb.research@unsw.edu.au

Canberra - Suzanna Holmes

COFA – Lynn Greenwood

Engineering - Emma Bowen

FASS – Parinder Cardosa

FBE – Rob Young

Law – Gemma Nevin

Medicine - David Coomber; Jo-Anne Tee

Science – Gaby Caus

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