File reference: [reference number]
[Date]
[First name Last name]
[Title]
[Organisation] 7
[Address 1]
[Address 2]
[CITY / Post code]
Dear [First name]
Centres of Research Excellence funding
1.
I refer to [name of University's] (University) application to host [Name of CoRE] (CoRE).
2.
On [date] the Tertiary Education Commission (TEC) agreed to fund the University to host the
CoRE.
3.
This letter sets out:
4.
(a)
the funding (Funding) that the TEC has decided to provide to the University for the CoRE;
and
(b)
the conditions on which the funding will be provided.
Please confirm your acceptance of the Funding, the conditions, and terms by signing this letter and
returning it to the TEC by [insert date].
Purpose of Centres of Research Excellence
5.
6.
The purpose of a Centre of Research Excellence is to:
(a)
undertake excellent research; and
(b)
support the development of world class researchers in areas of importance to New Zealand's
future development.
A Centre of Research Excellence demonstrates academic strength as well as progress towards
impacts with public good or economic benefits.
Payment of Funding
7.
Subject the University's compliance with paragraph 12 and the funding conditions in this letter, the
TEC will give the University Funding to host the CoRE from 1 January 2016 to 31 December 2020
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(Funding Period). The TEC will pay the Funding in accordance with the payment schedule
attached as Schedule 1 to this letter.
8.
The Funding is paid under section 159ZC of the Education Act 1989, and in accordance with the
Determination of Design of Funding Mechanism: Centres of Research Excellence (CoRE Funding
Mechanism).
9.
The TEC may, under section 159ZF of the Education Act 1989, suspend or revoke some or all of
the Funding if the TEC is satisfied on reasonable grounds that:
10.
(a)
the University has not complied, or is not complying, with a condition on which funding has
been given under section 159ZC (as specified in this letter); or
(b)
the University has not provided, or is not providing, adequate and timely information required
by the TEC or Ministry of Education (the Ministry) under section 159ZD.
The TEC's ability to pay the Funding depends on Government continuing to appropriate sufficient
funding for CoREs.
Future allocations
11.
The University acknowledges that:
(a)
the TEC makes no promise (express or implied) that it will give the University any other
funding to host the CoRE, during or after the expiry of the Funding Period; and
(b)
the University has no legitimate expectation that the TEC will do so.
Annual plans and Outcomes Statement
12.
Before the TEC will provide the Funding to the University, the University must:
(a)
(b)
13.
have agreed with the TEC before 31 August 2015:
(i)
an Outcomes Statement that specifies what the CoRE will achieve over the Funding
Period, as per the guidelines provided by the TEC; and
(ii)
a Plan for the first two calendar years of the Funding Period (2016, and 2017) in
accordance with paragraph 13; and
have received confirmation from the TEC that it agrees to those documents.
The Plan must:
(a)
be submitted in accordance with the TEC's guidelines;
(a)
be consistent with the Performance Measurement Framework (PMF);
(b)
set out how the CoRE will make progress in the first three years of the Funding Period
toward achieving the outcomes in the Outcomes Statement (for example, the pathway to
outcomes);
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(c)
outline the activities and research programme that the CoRE will undertake in each calendar
year to which the Plan relates;
(d)
outline the key milestones and deliverables that the CoRE will achieve in each calendar year
to which the Plan relates;
(e)
specify how the activities and deliverables are aligned with the outcomes set out in the
CoRE's Outcomes Statement; and
(f)
set out the budget for each calendar year to which the Plan relates using the template
provided by the TEC.
14.
When the TEC has agreed to the Outcomes Statement submitted by the University, the Outcomes
Statement will be appended to this letter as Schedule 2.
15.
When the TEC has agreed to the Plan submitted by the University, the Plan will be appended to
this letter as Schedule 3.
Conditions
16.
The Funding is subject to the following conditions.
COR001 Reporting: University to supply information to the TEC relating to funding
This condition is imposed under section 159ZD(1) of the Education Act 1989.
As specified in section 159ZD(1) of the Education Act 1989, it is a condition of receiving funding
under section 159ZC of the Education Act 1989 that the University must supply to the TEC or the
Ministry, any financial, statistical, or other information that the TEC or the Ministry (as the case may
be) requires the University to supply.
The University must ensure that before 31 March of each year the CoRE supplies to the TEC an
annual report that:
(a)
is in accordance with the TEC's guidelines;
(b)
complies with the reporting requirements specified in the PMF, which is attached as
Schedule 4 to this letter (including financial monitoring information);
(c)
contains sufficient information to enable the TEC to easily make an informed assessment of
the overall operational health of the CoRE and whether the CoRE is on track to deliver the
expected outcomes as per the agreed Outcomes Statement;
(d)
provides a comparison between the CoRE’s planned financial performance, non-financial
performance, and actual performance;
(e)
if the CoRE’s actual performance varies significantly from the planned financial or nonfinancial performance, explains how and why;
(f)
reports against the Plan for the relevant calendar year, and clearly specifies the progress
made on all aspects of the Plan for that calendar year;
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(g)
updates, as appropriate, the status of the CoRE's collaborative partners (Collaborative
Partners) (refer to condition COR009);
(h)
describes how the University has ensured that the CoRE is well-managed and governed; and
(i)
specifies any change to the key personnel set out in Schedule 5 to this letter.
COR002: University to submit another Plan
This condition is imposed under sections 159ZD(1) and 159ZD(2)(b) of the Education Act 1989.
The University must:
(a)
submit to the TEC a Plan for the last three calendar years of the Funding Period (2018, 2019,
and 2020) before 1 February 2017. The Plan must:
(i)
be submitted in accordance with the TEC's guidelines;
(ii)
be consistent with the PMF;
(iii)
specify how the CoRE will deliver on the outcomes in the Outcomes Statement by the
end of the Funding Period;
(iv)
outline the activities and research programme that the CoRE will undertake in each
calendar year to which the Plan relates;
(v)
outline the key milestones and deliverables that the CoRE will achieve in each calendar
year to which the Plan relates;
(vi)
specify how the activities and deliverables are aligned with the outcomes set out in the
CoRE's Outcomes Statement that the TEC has agreed to; and
(vii) set out the budget for each calendar year to which the Plan relates using the template
provided by the TEC; and
(b)
receive confirmation from the TEC that it agrees to the Plan by 30 November 2017.
The TEC may require the University to amend the Plan for 2018, 2019, and 2020 before the TEC
agrees to it.
COR003: University to continue to be a tertiary education institution
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
The University must, during the Funding Period, continue to be a tertiary education institution.
COR004: University to ensure CoRE uses Funding to meet mission statement
This condition is imposed under section 159ZD(2)(b) of the Education Act 1989.
The University must ensure that the CoRE uses the Funding to align with the mission statement for
CoREs attached as an Appendix to the CoRE Funding Mechanism.
4
COR005: University to ensure CoRE uses Funding in accordance with the Plans
This condition is imposed under section 159ZD(2)(b) of the Education Act 1989.
The University must ensure that the CoRE uses the Funding to perform the activities and research
programmes, and meet the key milestones and deliverables specified in the agreed Plan (the first
Plan for the period 2015-2017 and the second Plan for 2018-2020) in accordance with the budget.
COR006: University to request TEC's permission to vary Plans
This condition is imposed under section 159ZD(2)(b) of the Education Act 1989.
The University must ensure that the CoRE does not make an amendment to an agreed Plan
without the TEC's prior written consent.
COR007: University to ensure compliance with the PMF
This condition is imposed under section 159ZD(2)(b) of the Education Act 1989.
The University must ensure that the CoRE complies with the PMF attached as Schedule 4.
COR008: University to ensure Funding is used by tertiary education organisations
This condition is imposed under section 159ZD(2)(b) of the Education Act 1989.
The University must ensure that at least 50% of the CoRE's annual Funding is used by, or
allocated to tertiary education organisations. This requirement may be varied by mutual
agreement. The TEC may amend this condition upon request if the TEC is satisfied that it is
necessary or appropriate to do so to give effect to the CoRE’s Annual Plans.
COR009: University to only reallocate funding to Collaborative Partners
This condition is imposed under sections 159ZD(2)(a) and 159ZD(2)(b) of the Education Act 1989.
The University may choose the partners with which it will collaborate. An initial list of Collaborative
Partners is specified in Schedule 6 to this letter. However, the University must ensure that the
CoRE:
(a)
updates the TEC each year on the status of the Collaborative Partners through its annual
report (refer to condition COR001);
(b)
notifies the TEC of its intent to appoint another Collaborative Partner during the year; and
(c)
only reallocates Funding to Collaborative Partners for the purpose of carrying out the CoRE's
agreed Plans.
COR010: University to manage relationships with Collaborative Partners
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
The University must manage the relationships with the Collaborative Partners of the CoRE to
ensure that the CoRE achieves the outcomes specified in the Outcomes Statement and the agreed
Plans. This includes managing:
5
(a)
the respective role and responsibilities of the University and the Collaborative Partners in
respect to the governance and management of the CoRE;
(b)
the respective roles and responsibilities of the University and the Collaborative Partners in
respect to allocating the Funding between them, and the undertaking of the activities
specified in the agreed Plans;
(c)
the appropriate processes for regular communication with the Collaborative Partners with
regard to undertaking and monitoring the progress in completing the activities and
deliverables specified in the agreed Plans, including participation in any review;
(d)
the appropriate processes for resolving any difference or dispute that might arise between
the University and the Collaborative Partners in relation to the activities specified in the
agreed Plans, or the Funding; and
(e)
confidentiality obligations of the University and the Collaborative Partners.
COR011: University to comply with any review undertaken by the TEC
This condition is imposed under section 159ZD(2)(b) of the Education Act 1989.
The University must ensure that the CoRE complies with:
(a)
(b)
any review undertaken by the TEC in respect of the performance of the CoRE. A review may
be:
(i)
directed at any aspect of the CoRE's performance; and
(ii)
undertaken at any time with reasonable notice; and
the mid-term review that will:
(i)
assess whether the CoRE has made satisfactory progress against the agreed Plan
for 2016, and 2017; and
(ii)
determine whether or not to agree to the Plan for 2018, 2019, and 2020 submitted by
the University in accordance with condition COR002.
COR012: University to ensure consents and approvals are obtained
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
The University must ensure that it obtains and keeps up to date all consents and approvals that are
required, including statutory and ethical consents, in relation to all activities undertaken in
delivering the agreed Plans.
COR013: University to ensure compliance with codes of practice
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
The University must ensure that the CoRE complies with the professional standards and ethics that
are relevant to the University and the type of research being undertaken.
6
COR014: University not to use Funding for capital items unless specified
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
The University must ensure that the CoRE:
(a)
does not purchase capital items (in whole or in part) with the Funding unless:
(i)
the capital items are specified in Schedule 7 to this letter; or
(ii)
the University has received prior written agreement from the TEC to purchase the
capital item; and
(b)
if the CoRE receives prior agreement from the TEC in accordance with subparagraph (a)(ii)
above, advises the TEC when it purchases the capital item;
(c)
manages and maintains the capital items that have been purchased with the Funding in a
responsible manner; and
(d)
cooperates with any audit of capital items purchased with the Funding.
COR015: University to ensure depreciation on certain capital items not charged against
Funding
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
If the Funding is used to purchase a capital item in accordance with COR014, the University must
ensure that depreciation on the capital item is not charged against the Funding.
COR016: University to notify the TEC of any issues
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
The University must notify the TEC as soon as practicable if:
(a)
there is a delay in performing the activities specified in an agreed Plan;
(b)
the University is unable to comply with the PMF (refer to condition COR007), or another
funding condition specified in this letter;
(c)
there is a material change in the status or involvement of any Collaborative Partner;
(d)
there is a change in the active involvement of the key personnel of the CoRE who are
specified in Schedule 5 to this letter; or
(e)
any required consent or approval referred to in condition COR012 is unavailable or if the
consent or approval cannot be obtained by the date by which it is required.
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COR017: University to provide access to the TEC or to authorised agents
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
The University must provide reasonable and timely access and information to the TEC or its
authorised agents to inspect the CoRE to satisfy the TEC that the University is meeting the funding
conditions specified in this letter.
COR018: University to repay over-funding
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
If the University receives Funding that is greater than it should have been, or that it was not entitled
to receive, the University must treat the amount of the over-funding as a debt due to the Crown
that:
(a)
is repayable on demand; and
(b)
may be offset against all or any funding, or any sum of money payable by the TEC to the
University.
COR019: University to repay unspent funding
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
If the University does not use all of the Funding it receives for the purposes for which it was
provided by 31 December 2020, the University must repay any unspent Funding to the TEC by
31 March 2021.
COR020: University to ensure use of data
This condition is imposed under section 159ZD(2)(a) of the Education Act 1989.
The University must ensure that data that is not personal, confidential, or classified:
(a)
is released for reuse in accordance with the Government's1:
(i)
Declaration on Open and Transparent Government;
(ii)
New Zealand Data and Information Management Principles; and
(iii)
New Zealand Government Open Access and Licensing (NZGOAL) framework; and
1
The following documents provide the foundation for open data policies for Government Departments:
Declaration on Open and Transparent Government: http://ict.govt.nz/programmes/open-and-transparentgovernment/declaration-open-and-transparent-government
Data management principles: http://ict.govt.nz/programmes/open-and-transparent-government/new-zealand-data-andinformation-management-princi/
NZGOAL: http://ict.govt.nz/guidance-and-resources/information-and-data/nzgoal/ (promotes use of Creative Commons licence
- gives a pre-licence for sharing of copyright works (e.g. databases) – promotes the use of the most open CC licence so
changes and commercial use is allowed – unless commercial sensitivities or personal info involved.
8
(b)
is made public within a reasonable amount of time.
For the purposes of this condition, "data" means the data and findings produced as part of the
CoRE carrying out its Annual Plans, and the available interpretations and explanations of such
data and findings in a form that facilitates their uptake and application by the public.
Intellectual property
17.
All rights, title, and interest in intellectual property developed by the University, the CoRE, or
Collaborative Partners when carrying out the activities to deliver the agreed Plans are owned
exclusively by the University or Collaborative Partners as appropriate.
18.
The University must not use the TEC's name or logo without prior written consent and then only in
accordance with the TEC's instructions.
Indemnity
19.
The University undertakes to indemnify the TEC from any claim, demand, cost (including legal
costs), action or proceeding of any nature that may arise at any time from the CoRE’s performance
of any activity, including any actual or alleged infringement of third party intellectual property rights.
Contact person
20.
The University's contact person is the person named in Schedule 5 to this letter, or any other
person advised to the TEC in writing.
21.
Please contact the Manager, University Investment, [insert] if you have any questions about the
Funding, or the conditions set out in this letter.
Yours sincerely
[insert sign-off]
9
Acceptance of conditions of funding
Please confirm your acceptance of the conditions and terms set out in this letter including the Schedules
by printing two copies of this letter and signing both copies in the space provided below.
You must return this form either by emailing a scanned copy to the University Investment Team
Administrator at the TEC [email address] with the subject line “CoRE funding letter”, or by sending it to
the following address:
The Manager
University Investment
Tertiary Education Commission
44 The Terrace
Wellington
You must return one copy (by email or post) of the signed letter to [insert name and address] by [date
month 2015], and should keep the other copy for your records.
By signing below you agree that [University name] accepts the conditions of Funding set out in this
letter and the Schedules.
Signature:
Name:
Position:
University:
Date:
10
SCHEDULE 1
Payment Schedule
[This Schedule will list the payments to the CoRE hosted by the University (TEC and will address GST)]
11
SCHEDULE 2
Outcomes Statement
[The Outcomes Statement for the CoRE (to be agreed by the TEC)]
12
SCHEDULE 3
2015-2017 Plan
[The Plan for the CoRE for 2016 and 2017 (to be agreed by the TEC)]
13
SCHEDULE 4
Performance Measurement Framework
[Insert PMF]
14
SCHEDULE 5
Key personnel
[Specify the key personnel for the CoRE (to be provided by the University)]
15
SCHEDULE 6
Collaborative Partners
[Specify the Collaborative Partners of the CoRE (to be provided by the University)]
16
SCHEDULE 7
Capital Items
[Specify the Capital items for which the CoRE may use the Funding (to be agreed by the TEC)]
17