Principal Investigator’s Pocket Guide to Research Projects Ultimately a Principal Investigator (PI) is responsible for all aspects of their research project, including the academic quality and proper stewardship of the project. Research Administration works with the PI to support project management, and Curtin is responsible for maintaining effective systems and processes. Funding Application Management: The PI coordinates the development of the proposal/application with Research Administration, and should: 1. Work with Research Administration to develop the proposal in a timely manner that allows for review and approval of the proposal prior to submission to external deadlines; 2. Comply with University policies and processes relating to appropriate costings, activities, and external relationships; 3. Meet University and external application related due dates; 4. Determine that the resource requirements to meet the project outcomes is possible with existing or allocated resource commitments; 5. Recognize that his/her signature on the costing approval document and confirmation of the application demonstrates responsibility and accountability for the application submitted to the external body; 6. Declare any conflicts of interest to Research Administration and declare any permits, approvals or other compliance requirements that may impact upon the project. Documentation of Award: The following must be maintained on the official project file held in Research Administration: 7. The notice of award or non-award. In the case of award, the contract (or equivalent) stipulating project scope, deliverables and timelines, restrictions, return of surplus or carryover authority, which must have been negotiated by Research Administration; 8. Correspondence between the University (as represented by the PI, research team, or Research Administration) and the external body and any related parties (collaborators, sub-contractors). Project Management: The PI, as the accountable officer for the project, must: 9. Ensure that no activity begins on the project until all internal approvals (including Ethics), contractual pre-qualifications and/or relevant approvals/permits have been granted; 10. Identify significant dates and activities in the award documentation/contract and ensure that project planning is aligned; 11. Ensure copies of expenditure documentation, reports and deliverables are provided to Research Administration for the official file; 12. At least quarterly, review and verify income/expenditure reports (which may be sourced from Research Administration) and always be aware of funds available for the project; 13. Advise Research Administration if there are any changes to the project, such as changes in named personnel, timeline or scope of activity, and review and confirm the documentation capturing these changes; Version: 20150430 14. Review and approve collaborator/sub-contractor invoices for reasonableness and that associated deliverables are met/received, and notify Research Administration immediately if there are any concerns regarding the performance of the collaborator/sub-contractor; 15. Remain aware of the regulatory framework relevant to the project activities and take any steps necessary for activities to remain compliant (e.g change in DFAT Sanctions, change in legislation). Closing the Project When a project ends (or is transferred/terminated): 16. Prior to the end date of the project, the PI should review, with Research Administration, the project outcomes and financial status. All necessary financial adjustments (journal transfers etc) should be made to ensure a timely close-out; 17. Particular attention should go to ensuring completeness and accuracy of all direct costs made to the project account and whether they are allowed under the award. Assuring that all collaborators/sub-contractors have or will submit all deliverables and invoices. 18. Review and tick off that all obligations under the contract, including reports, acquittals, provision of data, meetings etc, have been met. 19. All documentation pertaining to the project should be archived, and for funded projects these documents should be provided to Research Administration for official capture and archiving. 20. If not already, all research data and primary materials associated with the project should be dealt with in accordance with the Research Data and Primary Materials Policy and using the Research Data Management Planning Tool. Resources – Internal Resources – External Office of Research & Development (ORD) Australian Code for the Responsible Conduct of Research [email protected] (Category 1) CBS: [email protected] HS: [email protected] HUM: [email protected] SAE: [email protected] Human Research Ethics Committee Telephone: (0)8 9266 2784 Email: [email protected] Animal Research Ethics Committee Telephone: (0)8 9266 2784 Email: [email protected] http://www.nhmrc.gov.au/guidelines/publications/r39 National Statement for Research Involving Humans http://www.nhmrc.gov.au/guidelines/publications/e72 Department of Foreign Affairs & Trade – Sanctions list http://www.dfat.gov.au/sanctions/