1.0 Identifying Offers of Development Assistance
1.1 Staff members frequently interact with representatives of donor country governments and multilateral organisations at official meetings and events, and there is often scope for discussing possible development assistance in the margins of these meetings. Staff members are encouraged to discuss their own research and possible project work with development partner representatives and to informally enquire about any funding opportunities available.
USP staff should keep DCU Office informed of any such discussions, and must advise the donor that 1) all correspondence from them should be addressed to the Vice-Chancellor and President and submitted to the VC through the DCU, and 2) all correspondence from USP to the (prospective) donor will be routed through the DCU.
1.2 If, during informal discussions, a staff member receives information on funding opportunities, or is invited to submit a formal proposal, they should discuss this information with their supervisor/line SMT member or the Manager, Strategic and International Partnerships as soon as possible. Staff members can also look into possible private sector funding opportunities as per their work and needs. DCU will assist the staff member to follow-up, either by putting together a professional proposal or by monitoring official announcements from that country or organisation relating to their Development Assistance programmes.
DCU will offer advice, guidance and comments on draft proposals and provide necessary templates as and when required for the preparation of project proposals and agreements (MOU/LOA).
1.3 DCU regularly liaises with development partners as per their funding priorities and changing government policies that may impact funding for scholarly research and projects under USP’s priority areas. Frequent conversations with Manager, Strategic and International Partnerships will therefore greatly assist staff members who are seeking funding.
2.0 Thinking Beyond Projects: Toward Strategic Development
2.1 USP staff members are encouraged to consider looking for long-term Development Assistance in their area of expertise, rather than simply thinking along the lines of, and searching for, project-based funding. Staff members who are part of the Strategic Research Themes (SRT), for example, are well-advised to develop large, multi-disciplinary and multiyear funding proposals.
2.2 All staff members should consider developing proposals that would have a sustained impact in their area of work at particular campuses or centres, and should try to develop higher-level or more accessible programmes. Staff members are urged to align their work to the Strategic Plan, and to think about sustainable and quantifiable impacts when considering how to win additional funding or secure donations from new countries or organisations.
2.3 DCU will review, edit and assess proposals from any USP staff member, provided their supervisor and SMT member has already endorsed the proposal. Frequent conversations with the Manager, Strategic and International Partnerships will help staff develop more professional, appealing proposals that will attract funding. For all research related proposals, staff need to work in close consultation with Director Research under the ambit of the Office of the Deputy Vice-Chancellor Research, Innovation and International (DVC RI). Upon clearance and approval by DVC RI, the proposal will be submitted for prospective funding through the appreciate channel facilitated by the DCU.
3.0 Effectively Searching for Development Assistance
3.1 Staff members can either first develop a proposal before looking for suitable funding options, or may identify possible funding opportunities first and then develop targeted proposals. Regardless, early consultations with the Manager, Strategic and International Partnerships will save considerable time and avoid confusion.
3.2 There are many different types of assistance that can be accessed, including funding for scholarships, staff exchanges, equipment, travel, conference attendance and projects. Research initiatives are often funded through the Strategic Research Themes (SRT) funds, but staff members are encouraged to work with fellow scholars in other countries (especially Europe and other ACP countries) to have the best chance at securing multi-year funding arrangements.
3.3 DCU can advise staff members on the funding that is currently available from major development partners and will assist staff members in their searches for other sources of funding. It also works to identify funding sources for projects that have already been developed by USP staff. It is important to note that not all projects or ideas will be funded, and that the search for funding may take some time.
3.4 Some very good ideas do not fit into available funding envelopes, and some Development Partners take more than a year before they release funds for successful proposals. If it seems that there is no funding available for a particular topic, then sometimes small changes can be made, or a different perspective taken, that will result in the topic becoming relevant for available funding opportunities.
4.0 Responsibilities related to Development Assistance
4.1 Staff members interested in securing Development Assistance must be honest and realistic with DCU about their capacity (in terms of staff knowledge, available time, and office space) and understanding as related to the management of development funds. If shortfalls in capacity are an issue, then DCU can provide training and may suggest cooperation with relevant staff members and sections to give projects the best chance of success.
4.2 Project spending must be restricted to allowable expenses, should be fully acquitted, and must be adequately reported on a timely basis. The securing of funding is not itself the end goal. All funded projects and programmes must be managed skilfully, completed on time, and reflect positively on both the University and the Development Partner. Whilst not all projects progress according to plan, the implementers must work diligently and keep DCU and their supervisors informed of project achievements and any challenges encountered. The performance of staff who manage projects will be taken into account in their performance assessments undertaken annually by Human Resource Department.
4.3 DCU is responsible for alerting the Senior Management Team and relevant sections within the University of confirmed or probable funding opportunities. It also informs staff of academic topics and activities in which interest has been expressed by external partners. In addition, the Office monitors and evaluates funded projects and ensures that timely and outcome-based narrative and financial reporting is produced. This reporting must be submitted to DCU, which will finalise the documentation and submit it, on behalf of the Vice-Chancellor and President, to the Development Partner which has provided the funding.
4.4 On receipt of external funding, the Finance Section contacts DCU for approval and confirmation. DCU must confirm that 1) project funds have been acquired as per the procedure and; 2) that it facilitated the signature of the final Agreement. The DCU will provide this confirmation to Finance for projects that have been created and funded through its processes and signed by the Vice-Chancellor and President or his delegate. DCU will not confirm funding and the creation of a vote-code if due process was not followed.
4.5 The line SMT member responsible for the implementation of the Agreement is obligated to ensure that all project-based staff are recruited only for the permissible life of the project. It is essential that the contracts of project-based staff explicitly state that their validity extends only for the duration of the project; such contracts are only renewable subject to project extensions and the availability of funds and their satisfactory performance. It is prudent for the SMT member responsible to involve both the HR and DCU to ensure that the University abides by all necessary requirements. The line SMT member is also obligated to work with the HR Section to ensure that staff departing from projects are replaced in a timely manner, thus avoiding disruptions to project implementation. Similarly, the SMT member is responsible for ensuring that departing project staff provide all necessary handover notes and project reports to enable the smooth transition and induction of new appointees.
4.7 Besides being responsible for the overall delivery of the project outcomes and efficient acquittal of project funds, the Project Coordinators/Managers must ensure that reports are prepared and submitted in a timely manner. The reports must include both progress updates and information on project finances. All reports, endorsed by the relevant SMT member, are subject to review by DCU prior to submission to the funding agency. Reporting deadlines are clearly stipulated in Agreements, and Project Coordinators/Managers are also regularly reminded of deadlines by the Monitoring, Evaluation & Reporting (MER) Officer in DCU . The MOU and other reporting templates can be accessed from https://www.usp.ac.fj/index.php?id=21871
4.8 The Project Coordinator/Manager should produce reports that are results-focused and outcomes-based. Any report that is simple activity-based narratives will be returned by DCU for revision. Good reports highlight achievements and forward-looking strategies for the project. The financial reports should be presented in a manner that depicts the planned expenditure for the reporting period and makes a clear comparison to the actual budget of the Project. Where there has been a deviation from the approved project budgets, the Project Coordinator is required to provide justifications and strategies to address these.
4.9 For information on the sub-delegation of funds received through development assistance, refer to the Sub-Delegation Policy and Procedure (Policy No. 6.33.21).
5.0 Processes and Timeframes
5.1 Staff should adhere as closely as possible to the following steps and timeframes when soliciting, documenting, and managing funding assistance from Development Partners:
5.1.1 DCU receives notification from a current or prospective Development Partner on Calls/Requests for Proposals and determines if this is relevant to USP’s Strategic Priority areas. DCU disseminates the key information with relevant templates and deadlines to the SMT, who in turn are required to share the information with relevant schools, sections, institutes /centres and campuses.
5.1.2 A draft proposal, including a budget, is developed in consultation with the Line Manager and the relevant SMT member. Once cleared by the SMT member, the draft proposal is submitted to DCU. All proposals must be aligned with the Priority Areas under the University’s Strategic Plan. The budget should reflect a minimum 20% management fee/overhead on the total project cost. If a Development Partner will only fund management fees of less than 20% of the total budget figure, then the Faculty/Section responsible should request a waiver from the Vice-Chancellor and President through their respective SMT. A waiver is not guaranteed and depends on overall benefits to the University as determined by the Vice-Chancellor and President.
5.1.3 DCU will review the draft proposal and its budget in a timely manner, and feedback will be provided to the drafters through the responsible SMT member within five working days. A final proposal and budget (cleared by the SMT member) should be returned to the DCU within seven working days. Although seven working days is the timeframe to which DCU attempts to adhere, circumstances such as the necessity of obtaining legal opinion may cause delays. Should the advice of the University lawyers be required, then this must be facilitated by the requesting unit.
5.1.4 The Manager, Strategic and International Partnerships submits the proposal to the Vice-Chancellor and President with supporting documentation and proof of approval from the line SMT for endorsement. The proposal is submitted to the respective Development Partner as soon as possible after it has been endorsed by the Vice-Chancellor and President (with a target of five working days).
5.1.5 The time it takes for a Development Partner to review a proposal varies greatly. DCU will liaise with the Development Partner, if appropriate, during the decision-making process. If the Development Partner decides to fund the project, then DCU will immediately notify the relevant SMT member. The staff earmarked to implement the project will work with DCU to modify the template Funding Agreement or assess and amend the template provided by the Development Partner. The Funding Agreement, generated or edited by USP, must then be approved by the line SMT within three working days.
5.1.6 It is very important at this stage to carefully consider risks, and to ensure that these are adequately addressed so that the University is not exposed to any liabilities. If there are any legal implications and binding clauses in the Agreement, then it must also be reviewed by the Director Assurance and Compliance. If there is a further need for external legal opinion/vetting, the requesting School/Section/Institute/Campus will need to access the services of the USP lawyers. The cost of the legal advice is to be borne by the requesting Faculty/Section/ Institute/Campus (with a target completion time of ten working days).
5.1.7 Once the Agreement has been legally vetted and cleared by the Development Partner, the USP Focal Point must access the online submission form to formally request approval and signatures. Upon submission, DCU will process this and the system generates a sign-off request to the line SMT member, following this, the system then submits it to the Vice-Chancellor and President for final approval and signature (within five working days). The signed original Agreement is then forwarded to the funding agency for signature by DCU.
5.1.8 Upon receipt of the original countersigned version of the Agreement from the Development Partner, one original copy is submitted to the Office of the Vice-Chancellor and President and one copy is retained by DCU. A copy is given to the implementer of the project, together with a cover letter highlighting important deadlines and actions. The Development Finance Officer facilitates the creation of vote codes for projects and communicates with the Project Implementer to generate an invoice for payment, as per the Schedule of Payments in the Agreement (with a target of three working days for completion of this stage). Refer to Appendix 1 for Processes and Timeframes for Seeking Development Assistance (Proposal Development, Contracts, Reporting and Project Management).
6.0 Enforcement
6.1 In cases where a member of staff is found to have breached this Procedure, then that staff member’s supervisor should discuss the situation with the Manager Strategic and International Partnerships. They will then inform the Vice-Chancellor and President and recommend appropriate action. In extreme cases, the matter will be brought before the Staff Disciplinary Committee.
7.0 Contact
7.1 Development Assistance is crucial to the implementation of the current USP Strategic Action Plan . All staff members are encouraged to work with the DCU to source Development Assistance that will support achievements within their areas of work. For further information, queries or concerns regarding this Policy or Guidelines, please visit the DCU Web Site or contact the Manager, Strategic and International Partnerships on dcu@usp.ac.fj