MAJOR RESEARCH EQUIPMENT AND
INFRASTRUCTURE INITIATIVE
Guidelines for Funding in 2015
Page 1 of 13
Applications are submitted directly to each Faculty Dean (with approval from
the Head of School) for ranking and recommendations to the Deputy ViceChancellor (Research)
1.
OBJECTIVES
1.1. 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.
ELIGIBILITY
2.1. 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 SOURCES
3.1. 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 INFRASTRUCTURE
4.1. 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.);
1
RIBG Guidelines are available from the Government website at:
https://education.gov.au/research-infrastructure-block-grants
Page 2 of 13
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 FUNDING
5.1. 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.
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
2
Page 3 of 13
6.
PROCUREMENT
6.1. 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.
8.
The on-going maintenance and technical staff requirements. These
costs will need to be covered by the School/Faculty budget.
APPLICATION PROCESS
8.1. 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:
UNSW’s Purchasing Guidelines can be found on the website at:
http://www.fin.unsw.edu.au/OurServices/FinancialOperations_Purchasing_Guidelines.html
3
4
https://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.
Page 4 of 13
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 ViceChancellor (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)
Page 5 of 13
MAJOR RESEARCH EQUIPMENT AND INFRASTRUCTURE INITIATIVE
Application Form for Funding Support in 2015
NOTE: When completing this form, please refer to the corresponding Guidelines.
Applications must be lodged with your Faculty (Dean’s Office).
1
APPLICANT/S
1.1
FIRST NAME APPLICANT
The 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.
Person
number
Family name
Given Name(s)
Phone
Fax
Email
1*
1.2
PARTICIPANTS SUMMARY
Person
number
Family name
Given Name(s)
Centre/School/
Department
Email
1*
2
3
4
2
EQUIPMENT OR INFRASTRUCTURE REQUESTED
Provide a short description of the equipment/infrastructure requested.
3
LOCATION OF THE EQUIPMENT/INFRASTRUCTURE
Provide 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 SUPPORTED
Provide a short description of the research programs/groups which will be supported by the
equipment/infrastructure.
5
STRATEGIC PURPOSE OF REQUEST
Provide 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.
Page 6 of 13
6
BUDGET SUMMARY
At 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
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
Capital Funding (coordinated annually by Facilities Management)
.
Please provide an estimate of costs:
No
OR (ii) a separate budget submission will be made via the Stay in Business
$
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?
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
Yes
No
Please specify:
6.7
This application is eligible for consideration under the “NHMRC Equipment grants funding” criteria?
Yes
No
Page 7 of 13
7
BUDGET JUSTIFICATION
Briefly 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.
8
APPLICANT CERTIFICATION
The 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
9
Name (please print)
Date
HEAD OF SCHOOL CERTIFICATION
I 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 or
delegate or equivalent
(in black ink)
10
Name (please print)
Date
DEAN’S CERTIFICATION
I 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 or
Name (please print)
Date
delegate or equivalent
(in black ink)
Page 8 of 13
SITE SERVICES AND
INSTALLATION CHECKLIST
AND BUDGET
MAJOR 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 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)
Contract Price or Quote (ex
GST)
Proposed Location - provide
full details on p.2 below
Site preparation + services +
installation costs (estimate) –
complete below for checklist
Total budget for project
*Strategic Procurement
Contact (if applicable)
*FM Contact (if applicable)
[insert AUD or specify other currency]
*Other Contact(s) if applicable
[insert]
[insert AUD amount or estimated AUD amount if in foreign currency]
[insert building / site / lab / room no.]
[$ ]
[$ ]
[insert]
[insert]
*Refer to end of document for sources of advice and assistance.
Project Manager
I 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
Page 9 of 13
Project Name: [insert project name]
Site installation checklist#
Proposed location:
Site / building /
floor / room no.
Specialist
laboratory / site
/room info
Site installation
requirements have
been obtained from
suppliers?
[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.]
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)
[Insert any specialist laboratory/site information - e.g. PC2 lab, clean room, laser lab, magnet lab.]
Yes / No
Service Category
Services in the site / room
Power
3 phase power
15 amp power
Additional power capacity /
circuits
Other special power (specify)
UPS or power conditioning
Cooling water
Chiller / heat exchanger
Close control of A/C (temp /
humidity / pressure)
A/C or ventilation to deal with
increased heat load
Cryogen supply
Helium recovery
Gas reticulation / specialist
gases
Heating/Cooling
Speciality Gases
Service
needed
Y/N
Service
already
available
Y/N
Comments
Please 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
Page 10 of 13
Environmental
Control
Floor
Infrastructure
IT / Storage
General
Other
Gas dryers or other
conditioning
Ventilation / extraction / other
specialist exhaust systems
O2 depletion alarm
Other gas or system alarms
HEPA filtered air / other cleanroom
PC2 / biosafety cabinet or
related
Fume cupboard
Safety interlocks (eg laser lab)
Heavy equipment – floor
loading issues
Anti-vibration table / other
large infrastructure
IT cabling / new ports
Other IT infrastructure
Other water supply (specify)
Sink and/or handwash
Safety shower and/or eyewash
Compressed air
Cardax reader, back to base
alarm, other security or access
control
Specify
Eg: other WHS measures?
Other special services?
Equipment causes vibration,
electrical or magnetic
interference?
Site compatibility Issues Check
Equipment is vibration
sensitive, sensitive to
electromagnetic interference?
Other - specify?
Page 11 of 13
Specialist Delivery Costs (not included in
purchase contract)
Crane, specialist removals
contractor, scaffolding, other ?
Services works /additions costed by
Any other special delivery or
installation requirements?
Yes / No (Door widths, corridor route, goods lift, forklift access, loading dock access is compatible with equipment
dimensions)
[attach costings or estimates]
Any other comments
[insert any other relevant comments]
Installation budget
School / Centre / Faculty Installation
budget
[$ insert budget amount ]
Delivery and Installation
Delivery access has been confirmed
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.
Page 12 of 13
*Contacts for Advice and Assistance completing this form

Division of Research
Grainne Moran, MW Analytical Centre, 9385 4642, g.moran@unsw.edu.au

Facilities Management
Your building/faculty CFM or Greg Kaplan, Associate Director, Asset Management, FM, 9385
3831, greg.kaplan@unsw.edu.au

Strategic Procurement
Refer 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
Page 13 of 13