Application


This policy applies to all Principal Investigators and other staff members of the University who have Head of Department (HoD) accounts maintained and accounted for in Auckland UniServices Limited (UniServices) at the IRiS Programme go-live date, 4 April 2018

Purpose


To provide a framework for the uses to which HoD accounts may be applied from 4 April 2018

Introduction


The University has introduced new policies for the incentivisation of research and consulting activity which apply from 4 April 2018.  The effect of these new policies is that, from that date, funds held in UniServices HoD accounts will be transferred to equivalent accounts in the University.  Further funds will be able to be added to those accounts only from contracts that are in progress at 4 April 2018

Policy


Note - Prior to 4 April 2018, balances of HoD accounts will be confirmed in writing with Principal Investigators and other University staff members who have HoD accounts maintained in UniServices  

1.    The balances on these accounts will be available for spending under the existing rules, subject to (4) below and confirmation from the Vice Chancellor, on an annual basis at the time of setting the University budget, that expenditure from these accounts does not compromise the overall financial position of the University

2.    With respect to contracts still active on 4 April 2018, the distribution of funds to the credit of the HoD account is to continue until the closure of the research or consulting project

3.    Principal Investigators and other University staff who have HoD accounts are to continue to receive advice with respect to the balances and movements on their HoD account

4.    The UniServices policy “Use of Funds in HoD Accounts” dated 11 January 2017 includes the following directions which remain relevant in the policy for the expiry of these accounts:

  • Funds in HoD accounts may not be transferred to other institutions.  Where an academic ceases to be eligible for an HoD account through resignation or retirement or any other reason the balance on that account will expire to the credit of the relevant faculty administration account
  • Funds in HoD accounts are to be used exclusively for academic purposes.  This includes conference travel, books, subscriptions, office equipment, research, research equipment, academic and student research or scholarships.  If in doubt, the HoD administrator in the Research Operations Centre will determine what expenditure is allowable
  • HoD account holders may not draw any personal remuneration from the account either directly or indirectly
  • Employment of staff: Staff members may be employed from the HoD account if the outcome supports further research activity (refer to item 5 below)
  • Equipment purchases: Funds may be used to partially or fully fund purchase of research equipment for an academic unit.  Equipment purchased through an HoD account is the property of the University

5.    With respect to item 4 above, staff employed from the HoD account may be employed only by the University and their hiring is subject to the recruitment and appointment policies of the University

6.    By default, all contract proceeds or deficits are to be credited/debited to an HoD account  

7.    Any variation to this (e.g. personal payments for consulting work) must be agreed to and signed off in the HoD Approval Letter prior to work commencing on a contract

7.    The HoD accounts will continue to be tracked in relation to expiry dates  

8.    The existing expiry policy which states: “any balances not utilised within three years expire to the credit of the relevant faculty administration account” will continue to be applied

Definitions


The following definitions apply to this document:

HoD account means Head of Department (HoD) account and is an account set up for University research and academic purposes.  HoD accounts are funded from contract proceeds and revenue such as royalty payments. 

Principal Investigator is the named researcher responsible for leading and carrying out the research project and delivering the outputs relating to a funded research project

Staff member refers to an individual employed by the University on a full or part-time basis

University means the University of Auckland and includes all subsidiaries

Document management and control


Owner                         Group Financial Controller

Content manager          Financial Services

Approved by                 Chief Financial Officer

Date approved              23 March 2018

Review date                 23 March 2021