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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 http://www.otago.ac.nz/study/phd/index.html 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 trevor.williams@otago.ac.nz

(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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