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When to amend the forms

Often, an applicant is awarded less money than was requested. In this case they may be asked to provide a revised budget and revised research objectives. As a general rule, if you are awarded less money you should provide less research than was proposed in the application. You will also be required to complete a revised Costing and Consents Worksheet (CCW) as part of the contracting process. The Research Advisor is happy to help you with this process.

At this time, Memorandum of Understanding forms are processed into subcontracts. The Research Advisor will send you the Sub-contract form with most of it already populated for your consideration.

Contract negotiations

The Research & Enterprise Office will work with staff to set up these contracts, and make sure they adequately protech such things as confidentiality, liability, intellectual Property (IP) and publication rights. The Research & Enterprise Office acts as the primary intermediary for communications with external contractors.

A contract is normally forwarded to the University by the research purchaser when a decision has been made by a funding body to purchase research. Sometimes the University is asked to prepare the draft contract. The contract is read and reviewd by the Research Advisor and the Principal Investigator(s).

After any modifications are made, a final version of the contract is signed by the representative of the purchasing body and the Deputy Vice-Chancellor (Research), or an authorised delegate, on behalf of the University.

A standard University of Otago contract form is available from the Research & Enterprise Office although, normally, the funding body will prefer to use its own form.

Contracts should contain as minimum requirement

  • Full contract details for all parties to the contract
  • Statements on the ownership of Intellectual Property and publication rights
  • Statement relating to thesis submission (especially if a student is involved)
  • A statement of confidentiality
  • A statement of governing law
  • A statement allowing either party to withdraw from the contract under appropriate circumstances
  • A statement on liability

Schedules should contain

  • Instructions as to the reporting procedure to the funding body during the course of the contract
  • The date for the submission of the final report
  • The name(s) of the principal investigator(s) or director of the project as well as the name(s), if available, of others engaged in the research and the Department to which each belongs
  • Details of the budget (including whether the funding is to be exclusive or inclusive of GST)
  • Method of payment and payment schedule (including invoice dates, if appropriate, and any requirements for payment e.g. submission of report(s))
  • Description of service or research being processed

Important additional comment

The University of Otago (not an individual staff member) is the binding signatory on all research and commercial contractsand, as such, is required to ensure that any report(s) or product(s) is delivered in accordance with the contract. A failure by employees to abide by contract conditions may place the University in breach of its contractual obligations. The University requires students to sight / sign the contractual agreement if they are involved in the work. The student should also sign a student IP agreement prepared by the UOW Research & Enterprise Office.

Variations to the contract

By its nature, ongoing research may require an alteration to protocols, procedures, timelines, milestones, objectives, etc. contained in the original research contract. Any changes may require the University to notify the research purchaser by letter and to enter into a revision of the research contract.

All renegotiations of contracts must be handled by the Research & Enterprise Office (via the UOW Research and Enterprise Office). Most funding bodies accept that circumstances can change, causing unforeseen delays or changes to the research programme. In this case, a contract variation or an extension can be organised.

You must go through the Research Advisor to notify the funding body of any changes, please notify the UOW Research Office with plenty of time.

The Research Advisor will notify the funding body on your behalf and put forward a request for an extension or variation to your contract. A new costing sheet may also need to be completed to take into account the extra time required or other changes. This, along with the letter of variation, goes to the Financial administrators in Dunedin and they arrange to extend the “life” of the research account so that you can continue to use it.

Note: if you need an extension, then make sure the project is still covered by ethics approval for the extra period of time required.

Obtaining payment from the funder

Payment is recovered in one of three ways:

  1. Research and Enterprise sends invoices to the Funder
  2. The Departmental Administrator sends invoices to the Funder
  3. The Funder pays automatically (e.g. The HRC) If invoices are to be issued by your Department, it will be stated in the letter from the Research and Enterprise Office (Dunedin). Contact your Department Administrator if this is the case.

PhD or master's student on a research project

For students (PhD or master's) who are paid directly from a research account, The Lead PI is usually the supervisor of the student.

(1) Supervisor

When planning a project that is to have a PhD or master's student, the Supervisor needs to consider the following:

  • Clarifying who will be paying stipend ($25,000 per annum is standard), fees (approx. $8,500) and thesis ($550) or research costs ($300) and project costs - variable
  • Ensuring HOD's approval
  • Ensuring that they are shown on CCWs and that their costs are included
  • Ensuring the dissection is open! For payments
  • Ensuring a Student IP Agreement is signed Next Advertise for candidate Select candidate and offer the position. Please be aware the student may not undertake any work on the project until the STUDENT IP AGREEMENT is completed and signed off.

(2) Supervisor & Candidate

  • Settle topic for doctorate

(3) Candidate and supervisor and HOD

  • Get candidate admitted to PHD programme Admission Forms on web at along with all other relevant PhD information. IMPORTANT!! Complete forms - DO NOT SEND TO DUNEDIN - Forms are sent to Trevor Williams who will check all necessary areas have been completed. Any queries contact the Postgraduate Liaison Officer Trevor Williams

(4) Postgraduate Liaison Officer and Associate Dean (Postgraduate Studies)

Postgraduate Liaison Officer gets it signed by the Dean It is then sent to the Dunedin Representative of the PVC, who signs it on behalf of the division.

(5) PhD office

PhD office provides official approval for admission to be actioned. Once approved, about 1-2 weeks, the candidate is informed in writing that their application for admission has been approved with copies to the Supervisor & HOD.

(6) Candidate and Supervisor and Postgraduate Liaison Officer

PhD Enrolment The confirmation letter will also contain the official university enrolment form When the candidate has completed the form they give it to the Postgraduate Liaison Officer. It is then checked and sent to Dunedin with all the necessary paperwork/signatures.

(7) Candidate

As soon as gets a formal copy of PhD admission letter. They should send a copy to the Research & Enterprise Office.

(8) UOW Research and Enterprise Office

The UOW Research and Enterprise Office will then advise funder that the scholarship is in place and money can be released. The Research & Enterprise Office will also arrange for the Student IP contract to be signed before the student begins any work on the project. The student should take legal advice before signing the document.

(9) Supervisor and candidate

Form to set up scholarship payments are completed and forwarded to the Scholarships Office in Dunedin. The Research Advisor will fill out a “Setting up a Research Grant Scholarship” form and forward a signed version to the Research Higher Degrees Postgraduate Scholarship Office. The form can be obtained from the UOW Research & Enterprise Office. Details required to fill out the form

  • Scholarship amount,
  • Frequency of payment,
  • Amount of regular payment (usually made on last Thursday of the month),
  • Candidate's bank account number.

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