Transcript Fundamentals of Research Administration

Fundamentals of Research Administration
Fundamentals of Research
Administration
Gordon Todd
Randolph Haggerty
The Professional Association of Research Managers and Administrators
Fundamentals of Research Administration
Welcome and Introductions
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Aims
be able to define 'research' and understand why it is
important
have a clearer understanding of the relevant
research policy, legislative and funding frameworks
appreciation of the researcher's agenda
know where you fit in the research lifecycle
Who can help you get the job done
have a broad overview of the key aspects of the
research administration role
To meet others and network
The Professional Association of Research Managers and Administrators
3
Association of Research
Managers and Administrators
Fundamentals of Research Administration
But remember….
It is only an introduction, as a group you:
• Are from different functions across the university
• Work in different discipline areas
• Have different responsibilities
• Take advantage of this diversity in discussion
• Please make use of the breaks to network and get to
know each other
The Professional Association of Research Managers and Administrators
4
Fundamentals of Research Administration
What is Research?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
What is Research?
Research and Experimental Development – creative,
systematic work to increase knowledge
Basic Research undertaken primarily to acquire new
knowledge without any particular application or use in
view
Applied Research is original but directed primarily
towards a specific practical aim or objective
Experimental Development draws on existing research
to produce new or improved materials, products,
devices, systems and sources
-the Frascati Definition
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
What is not research?
routine testing and analysis of materials, components,
products, processes, etc;
feasibility studies;
routine software development;
general purpose data collection.
The Professional Association of Research Managers and Administrators
7
Fundamentals of Research Administration
Why do Universities do Research?
The Context of Research
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Overview
Why do we do research?
The competing demands
Trends and issues in research
Changes in research management
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Why do we do research?
Research in the 21st century is less about the pursuit
of knowledge and advancement of learning for its
own sake and more about delivering economic
benefits and an improved quality of life for all
sections of society.
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Why do we do research?
Public funding
Economic competitiveness for the benefit of the nation
Improved quality of life for the population
Private funding
Economic benefits for the funder
Interest / Curiosity
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Research is a ‘Good thing’
Research creates new knowledge
Generating new knowledge is an end in itself
“Intellectual enquiry is worthwhile for its own sake”
David Willetts, Minister for Universities and Science, 20/05/10
Governments are interested in research because it:
fosters global economic performance, & specifically the
country’s economic competitiveness;
increases the effectiveness of its public services & policy;
enhances quality of life, health & creative output of its citizens.
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
UK Research Income
(Source: HEIDI, HESA data)
7,000
6,000
5,000
QR
4,000
Projects
£M
Total
3,000
5% Trend
2,000
1,000
0
01-02
02-03
03-04
04-05
05-06
06-07
07-08
08-09
09-10
10-11
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
University Research
Bigger questions need bigger teams and bigger
resources (equipment, databases, etc.)
═► more collaboration
═► more complexity
In all subjects:
═► Increasing student numbers/teaching requirements mean
less time for research
═► There is little internal money to support research
So, research needs external funding.
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Funded Research
More researchers seeking funding
More competition
More ‘strings’ attached to public funding – value for
money for the taxpayer = IMPACT
Hence more terms and conditions on research
funding
Same issues worldwide!
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Trends and Issues in Research
Complexity, collaboration and inter-disciplinary
Sustainability
Critical mass and selectivity
Knowledge exchange and the impact agenda
Contractual and customer relationships
Governance
Performance assessment.
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Changes in research
management
Organisational complexity
Integration of functions
Finance, personnel, legal, governance, communications
Professionalisation of the activity and the people
Active institutional management of research
Whole-process, whole-life management
The Professional Association of Research Managers and Administrators
Fundamentals of Research Administration
The research lifecycle in detail:
developing proposals
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Research project funders
Public Funding Bodies
Research Councils
Government Departments
European Commission
Framework Programmes for Research
Other Notable Funding Bodies
Charities and Learned Societies
e.g. Wellcome, British Academy, Royal Society
Industry
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Research Councils (www.#####.ac.uk)
RCUK: Over-arching body
SSC: Shared Services Council (www.ssc.rcuk.ac.uk)
AHRC: Arts & Humanities
BBSRC: Biotechnology
and Biological Sciences
ESRC: Economic and
Social
EPSRC: Engineering and
Physical Sciences
MRC: Medical
NERC: Natural
Environment
STFC: Science and
Technology Facilities
Council
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Research Councils
Peer-review: high standards and prestige
Important similarities - important differences
Standard format
80% of full economic costs
Je-S – joint electronic submission system
TSB: Technology Strategy Board
A ‘sister-act’ for the Research Councils
KTPs, KTNs, Innovation Platforms, Collaborative R & D
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
NHS
Specialist research
Focus on application to NHS priorities
National and regional level
Department of Health, England www.dh.gov.uk
Chief Scientists Office, Scotland www.show.scot.nhs.uk/cso
Department of Health for Northern Ireland
www.dhsspsni.gov.uk
Department of Health & Social Services, Wales:
www.wales.gov.uk
www.rdinfo.org (health related)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
EC FP7 €50.5B (2007 - 2013)
Sub-programmes;
Co-operation: (10 distinct themes)
Ideas: European Research Council – project specific
People: mobility & training of researchers, etc.
Capacities: research infrastructures
Work Programmes with road maps
when calls will be made for which areas for how much
project types or “instruments”
Information
UK Research Office, UKRO www.ukro.ac.uk
EU information service, CORDIS http://cordis.europa.eu
Horizon 2020
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Charities: Basics
UK Governments have recognised value to society
full costs of projects not met by funders
Funding Councils plug some of shortfall
Strict conditions (community & society) to keep tax advantages
Numerous and varied, most are small local organisations
Give direct help, advice, grants or support
Some are also registered companies, while others are trusts.
Some have particular discipline focus Medical, Social science, etc.
Substantial funds for research or none at all
UK and Overseas
Project grants mainly (some schemes with e.g. RCUK or FCs)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Charities: discipline-focussed
Medical sector one of largest sub-sectors
Wellcome Trust (www.wellcome.ac.uk)
Association of Medical Research
Charities (www.amrc.org.uk)
Learned Societies
Fellowships, projects, travel grants, equipment
Mostly 80% of fEC
British Academy (www.britac.ac.uk)
Royal Society (www.royalsoc.ac.uk) e-GAP submission
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Intelligence building: know your
landscape
University strategy:
future aims, capacity, facilities
University processes and procedures:
approval, authorisation, submission
The Professional Association of Research Managers and Administrators
26
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Know your academics
research interests:
discipline, collaborators, emerging areas of interest
career stage:
early career? potential fellow? panel member/reviewer?
past applications:
success and failures
possible teaching & administration commitments
writing restrictions, heavy teaching load?
The Professional Association of Research Managers and Administrators
27
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Know your ……
Responsibilities
Ethics (www.leeds.ac.uk/ethics)
Legal and IP
Risk
Colleagues
Finance
Legal team
Ethics committees (www.leeds.ac.uk/ethics)
Public engagement professionals
Knowledge Transfer/Business Development professionals
The Professional Association of Research Managers and Administrators
28
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Costing & Pricing
The Professional Association of Research Managers and Administrators
29
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Full Economic Costs (fEC)
TRAC (Transparent Approach to Costing)
Additional money for Research
Industry and other Government Departments should
pay 100% fEC
Onus on universities for financial sustainability,
meeting full costs of all research and infrastructure
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Full Economic Costs
Annual Transparency Review return
Costing of all research on an fEC basis
Research Councils modified funding mechanism
Applications will fund 80%* of fEC
Use of fEC to price work for other funders
Projects for commercial and policy purposes should fund at
least the Full Economic Cost
Show there are sufficient funds to meet the full costs
of all research, year on year, across full spectrum of
activities
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Definition of financial terms (1)
Direct costs
Estates & Indirect rates
Full costs
Cost versus price
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Definition of financial terms (2)
Research grants, research contracts
Cash limited award
Indexation
Fixed price contracts
Virement
Recharges
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Full Economic Costing
fEC is the total cost to the institution of undertaking a
research project. It comprises:
All auditable direct costs arising from the conduct of the
research (directly incurred costs)
all estimated direct costs arising from the conduct of the
research (directly allocated costs)
a full indirect cost recovery and a provision for recurring
investment in the institution’s infrastructure (indirect costs)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
fEC: Project cost elements
Directly Incurred (DI)
Academic time, RAs, dedicated technicians, consumables,
travel, equipment purchase, Research Facilities
Charged on the basis of actual spend
Directly Allocated (DA)
Academic time, pooled technicians, pooled equipment,
Research Facilities, and estates (including infrastructure
technicians) (expressed as £/FTE)
Charged on the basis of estimated costs
Indirect
Expressed as £/FTE
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
What is a budget?
Realistic financial plan for a specific period of
time
Budgets are the financial reference which costs are
measured against
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Know your funder!
Research Councils, government and charities have
strict rules on what costs are allowed on applications
Rules vary between funders
Essential to check all items requested
Don’t be afraid to phone up and ask if unsure.
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Building a project budget
What costs to consider?
Salary
Travel
Consumables
Equipment
Exceptional items
Estates costs
Indirect costs
Publication
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Salary costs
Categories of staff
Employers’ on-costs (NI, superannuation)
Allowances for national pay increases
Incremental progression, promotion
London allowance
Recruitment costs
Can all staff be funded?
Day rates
Are the staff DI or DA?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Non-salary costs
Travel
Consumables
Exceptional items
Studentships
Equipment
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Equipment
You are budgeting for the equipment you require for
the project NOT a pot of funds to spend on any
equipment you wish
Large pieces of equipment will need quotes
Consider maintenance costs for equipment
Be aware of time lag for large purchases
Be aware of Procurement processes
With RC, different rates of reimbursement
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Other considerations
Is there flexibility between budget headings?
(Virement)
Can you allow for inflationary increases?
(Indexation)
Is this a cash limited award?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Disallowed costs
Charges for services etc. (Recharges) not based on
usage or supported by an audit trail
DI staff <100% not on timesheets
Cost associated with use of central computing
services
General equipment, stationery, telephone and post
etc (used by multiple projects)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Estates costs
Buildings and premises, including maintenance, utilities,
cleaning, safety and security, generic equipment
Different types of space have different rates, eg lab/classroom
Charged on the basis of £/FTE academic, RA & PGR
Based on historic costs and calculated every February, for
implementation 1st March
2007/08 data used to calculate the rate from March 2008UPDATE
YEARS & DATA CHECK WHAT RATES ARE
2007/08 dispensation default rates: lab rate = £10.7k; generic rate
= £6.2k
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Indirect costs under fEC
Charged on the basis of £/FTE academic, RA & PGR
Central services e.g. res. office, personnel, finance, library
Departmental support staff and non-pay
Academic research support time
Institutional restructuring, development, and risk
Based on historic costs and calculated every January, for
implementation 1st February
2007/08 dispensation default rate: £34.5k
2007/08 data used to calculate the rate from February 2008 and so
on
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Costing Systems
Siriusweb
In-house system - KRYSTAL
Excel
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Summary
Financial terms
direct and indirect costs, full costs, cost/price
virement, recharges, cash limit, fixed price
Building a budget
salary, travel, consumables, equipment, exceptional items, estates
costs, indirect costs, inflation
Know your funders
Use check lists and templates
Be prepared and stay calm!
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Proposal Submission
Electronic submission systems:
Joint electronic Submission JeS
RCUK, TSB
JeS Help
e-Gap (Royal Society)
e-Gap 2 (British Academy)
e-Grants (Wellcome Trust)
Leverhulme Online
eGMS (electronic Grants Management System – Cancer
Research UK)
The Professional Association of Research Managers and Administrators
48
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Proposal Submission
You will need to ensure that applicants have
considered the time that may be required for internal
approvals and has completed the application in a
timely manner.
e-mail
Post
Ensure that you have enough time to take into account
postal delivery times also photocopying time if multiple
copies are required.
The Professional Association of Research Managers and Administrators
49
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Submitted - what now?
Know what happens to proposals once they have
reached the funder..
Peer review?
Right to respond?
How long will a decision take?
How will the decision be communicated?
Who accepts the award?
Are resubmissions allowed?
The Professional Association of Research Managers and Administrators
50
Fundamentals of Research Administration
The research lifecycle in detail:
project lifetime and translation
Randolph Haggerty
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
The proposal was successful!
What are the legal implications?
Managing the money & activities
Getting the best out of the project &
making an impact outside academia
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Practicing Safe Intercourse with Partners & Funders
CONTRACTS
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
So what is a Contract?
“A legally enforceable agreement”
There must be:
An offer
An acceptance
A consideration or contribution of value
An intention to create a legal relations
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Benefits of a Contract
A framework for behaviour
Terms & conditions
Procedures
Gives all parties clarity, reassurance, motivation
Funders
Collaborators
Minimises disputes
Facilitates compliance with external requirements
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Funder
Industry
Partners
Fundamentals of Research Administration
Subcontractors
PI
Home
Institution
Research
Collaborators
Suppliers
Students
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Common contracts/ agreements
Research contract
Clinical Research / Clinical Trails
Studentship
Collaboration agreement
European Commission Consortium Agreement
Research sub-agreement / sub-contract
Material Transfer Agreement (MTA)
Confidentiality or Non-Disclosure Agreement (CDA/NDA)
Memorandum of Understanding (MoU)
Licence
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Common Elements
Main Contract
Definitions
Confidentiality and Publication
Intellectual Property
Termination
Liability
Boilerplates (standard text re governing law, no rights to 3rd
party etc)
Often in Annexes
Project Description
Payment Terms and Procedures.
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Things to look out for:
1. Who signs?
Capacity to Contract: In law most individuals or
organisations may enter into a binding contract
An individual provides the signature in either case
Is the individual formally authorised? If not ...
Have risk management/ due diligence checks been made?
The individual signing may be personally liable
The organisation’s insurance may be invalidated
Do you know who your authorised signatories are?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Things to look out for:
2. IP, Intellectual Property
New IP will arise from the project and IP has a value
Whose IP, i.e. do you have the right to negotiate it?
Staff – owned by their institution through their contract
Students – do not have a contract so do they own their IP?
The contract might allow access to IP but which ...
Background IP (not new but perhaps the base of the project)
Foreground IP (to be generated in the project)
Are the terms fair for accessing IP?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Things to look out for
3. Publishing
Publication /dissemination rights are essential
Sometimes not allowed at all
Even conference presentations may be a breach of contract
Contract may describe how permission for may be arranged
Some restriction / checking prior to publication is usually
acceptable
Are your researchers aware that sometimes only a
small change in a paper, conference presentation,
etc. can ensure IP protection without undermining
the quality of the output?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Things to look out for
4. Other unreasonable terms
Indemnities
Inappropriate or inequitable share of risk
Unfair allocation of responsibilities
Unlimited liabilities or beyond what insurance covers
Termination
Uneven ability to initiate termination
Insufficient time to address problems before termination
Doesn’t allow for PGRs to complete or to manage redundancy
Do you know your insurance policies?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Further Help
Intellectual Property Office www.ipo.gov.uk
Information on IP, including special sections on research and
knowledge transfer especially the
Lambert Tool kit www.ipo.gov.uk/whyuse/research/lambert.htm
a set of five Model Research Collaboration Agreements and four
Consortium Agreements and documents that should help you to use
and understand them
Research Contracts – A Researchers Guide (2005-2010)
www.eversheds.com/documents/Research_guide_Aug10-NO_LOGO.pdf
and Checklist
www.eversheds.com/documents/ResearchContractsChecklist.pdf
University of Manchester IP Ltd & Eversheds LLP
What legal firm does you use & how do you access them?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
FINANCIAL AND PROJECT
MANAGEMENT
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Managing projects and finances
Gather all the information
Key Documents: Proposal, Award letter, Contract(s)
Key deliverables, obligations, milestones, start and end dates
Contact details of individuals P.I., partners, collaborators,
funders
Final Budget: in fEC terms, & what is being recovered
Ongoing expenditure tracking and projections
Financial Documents: Invoices, POs, etc.
Staff (e.g. RAs) grade, recruitment, start & end dates,
timesheets
PGRs start & end dates, supervisors.
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Monitoring budgets
Need to look for:
Spend with no income
Income with no spend
Overspending of budget and headings
Does sponsor allow virements?
Start date – is there spend before this date?
End date – is there spend after this date?
DA and indirect costs not being charged
Is expenditure being charged to project that shouldn’t be?
Profile of spend and projection to end of project
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
PIs & problems
PIs (Principal Investigators)
need to look at expenditure to aid project planning
require regular reports
Problems
Speak to PI immediately
Alert relevant administrative unit (Finance, RIS)
If necessary, speak to sponsor, but, if possible
Find solution first
Rationalise solution (improve outcomes, cost-effectiveness,
etc.)
Present rationalised version to funder
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Closing the project
All projects have end dates
Some have deadlines for the final claim to be
submitted
Some sponsors will impose a financial penalty if the
final claim is not received in time
Consider a review / no cost extensions
Types
Natural end/ end of contract
Termination
Transfer
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Natural end/ end of contract
A project comes to an end
Final figures and a report need to be done
Terms of contract need to be checked
Some sponsors need a listing of all expenditure
Others may need to see invoices over a certain amount
End figures need to be agreed
With the PI
Sign-off
Once agreed final statement of expenditure or invoice can
be raised and sent
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Termination
Check Terms and & Conditions of contract
Sponsor withdraws from project
Project derails
Sponsor may wish to to withdraw
Keep communicating with the PI, School & funder
Produce final invoice/statement
Any expenditure incurred after the closing date of the
project will have to be funded by the School/ Department
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Transfer
Check Terms and & Conditions of contract
Can occur when PI moves institution
Confirm to sponsor stating willingness to relinquish grant
Research Assistants & PGRs
Contract and budget is sent to new institution
Equipment
Occasionally PI will resign and leave sector
See if project can be kept within the Institution
Agree final invoices with School if PI has already left
Follow same procedures as for transfer of projects
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Who Can Help?
Central RIS (http://researchsupport.leeds.ac.uk)
Finance Office (http://www.leeds.ac.uk/finance)
Pre-award
Post-award
HR Office (http://hr.leeds.ac.uk)
Purchasing Office
(http://www.leeds.ac.uk/purchasing)
Colleagues, particularly other Administrators
Know and be known
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
TRANSLATING & EXPLOITING
RESEARCH PROJECTS
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Exploitation: A rose by any other name ...
R&D: Research & Development
Applied Research & Experimental Development
Technology Transfer
Commercialisation
Innovation
Knowledge Transfer
Knowledge Exchange
Impact
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Definitions
Research: “process of investigation leading to new insights, effectively
shared”
(REF, Guidance on Submissions, 2011)
Knowledge transfer :“encompasses the systems and processes by which
knowledge, expertise, and skilled people transfer between the research
environment (universities, centres and institutes) and its user communities
in industry, commerce, public and service sectors.”
(RCUK, KT Categorisation and Harmonisation Project, 2007)
Exploitation: “the process of ensuring that research output is put to good
use, and brings with it, if effectively managed, additional financial and
other rewards to the University and its staff”
(University of Leeds, Research Handbook, 1998)
Translational Research: “helps turn early-stage innovations into new
health products, advancing the innovation to the point where it becomes
attractive for further development by the medical, pharmaceutical or
biotechnology industries”
(Wellcome Trust, www.wellcome.ac.uk, 2012)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Types of exploitation
Divided by beneficiary:
Academic
Non-academic
Contrasting approaches and requirements
RCUK Pathways to Impact
REF Impact (see later)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Exploitation Models
Research
Exploitation
Impact
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Simple & Complex Models
Wellcome Trust Translational Research model
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
University of Glasgow Model
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
The policy framework
Government Strategies
Science & Innovation Investment Framework (UK Treasury 2004)
Innovation & Research Strategy for Growth (UK Department for Business,
Innovation & Skills, 2011)
Politically Sponsored & / or Government Reviews
Race to the Top, Lord Sainsbury (2007)
Ingenious Britain, James Dyson (2010)
Current and Future Role of Technology and Innovation Centres in the UK,
Hermann Hauser (2010)
Review of Business–University Collaboration, Tim Wilson (2012)
Public Sector Funders Respond
Technology Strategy Board (established 2007)
Research Assessment to include Impact (REF 2007)
Pathways to Impact (RCUK, 2010)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
The Impact Bargain
The economy needs universities to drive innovation
& UK Government has increased funding
Universities need
(i) more private (non-government) income and
(ii) to demonstrate impact
But then the financial crisis came along and funding
environment changed for Universities
Cuts in direct government funding (CIF, student fees etc.)
Cuts at public sector and charitable research funders
Still more focus on outcomes of research
Government wants to see ‘impact’ of extra investment
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
What’s a Research Administrator
to do?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
What We Always Do
Look at the (Funding) Drivers
Read the Guidelines
Establish systems
With the objective of ...
Providing effective support to researchers
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Drivers (Funding)
Exploitation-specific schemes
Identify opportunities & funding calls
Develop responses and support proposals
Opportunities within existing schemes
Understand additional guidelines
Incorporate into advice to academics
Indirect funding
Metrics-driven KT funding
REF Impact
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Systems, Policies and Processes
Valuing knowledge
Including industry-funded work in standard (costing and)
pricing of research
IPR Evaluation
Protecting Knowledge
Research contracts and negotiation
Ensuring supply through new research activity
Collaboration
Effective working with KT professionals
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Managing Impacts
IMPACT
IMPACT
IMPACT
Research
Engagement with Users
‘Project’
IMPACT
IMPACT
IMPACT
Predict & Enable the
Pathway to Impact
Capture Case Studies of
Impact Achieved
The Professional Association of Research Managers and Administrators
Managing the engagement
with users and delivering impact
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Research exploitation
Is not new
Is subject to trends
Is impacted by politics
Is non-linear and complex
Is a crowded professional space
But can be managed by effective research support
The Professional Association of Research Managers and Administrators
Fundamentals of Research Administration
The project lifecycle in detail:
REF, audit and statutory returns
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Types of Reporting
Internal
External
Statutory
Optional
Process assurance (past funding)
Targeted & specific
Data gathering
Influencing future funding
Random checks
Performance monitoring
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Reporting, Audit and Monitoring
Department
Programmes
Project
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
PROJECT LEVEL
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Project Audit
Funder may investigate project records
Check against proposal, offer letter &/or contract
e.g. EC FP7 projects (these are likely to change for
Horizon2020?)
May need a ‘Certificate on the Financial Statement’
Costs need to be certified when EC contribution > €375,000
Cost of audit can be charged to project
For grants of 2 years or less then only one audit is required at
the end of the project
How are EC audits arranged in your institution?
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
REVIEW AT THE PROGRAMME
PROCESS LEVEL
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Internal Audit
Often conducted by external contractors to:
Check the adequacy and effectiveness of systems
Financial, management control and their operation
Provide independent opinion on internal controls
Check that policies and procedures are working correctly to
ensure compliance with internal and external regulation
Risk management
Budget monitoring
Examples: Annual Audit of Sustainability Strategy,
REF Management, Ethical Review procedures
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Programme Level (External) Audit
Conducted by funder on processes related to their funding
e.g. RCUK’s Assurance Programme
www.rcuk.ac.uk/about/aboutRCUK/aims/units/Pages/Assurance.aspx
Used to give RCs assurance that funding is used for the
purpose required
Review frequency & type depends on research intensity
Visits depend on RCUK funding and other factors
Visits will last two to three days and incorporate up to one day
for review
Part of the review tests TRAC procedures
Unsatisfactory visits will result in a re-visit within 12 months or 3
if serious
A pre-visit information request will continue to be made.
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
RCUK Assurance
Check financial elements e.g.
DI costs is expenditure incurred and recorded in line with RC’s terms
Payment in advance is this in line with expenditure
Estimate on DI costs is this robust
Looks for good communication across institution
Review control processes
Good tool for RO powerful lever to secure compliance
There are three stages to FAP
Pre-visit – gather information
The Visit – meetings, internal audit, procurement and Review of the
files
Post visit – resolve outstanding actions, publish report, grade
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
REPORTING AT SCHOOL,
DEPARTMENT, ETC. LEVEL
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Academic Department Level
Generally internal – but be aware of sensitivities and egos
Management information
Research spend
Grants awarded
PGR activity
Staff changes
Avoid double counting!
Reported to Head &/or University Committee
Compared to
external benchmarks
targets
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
EXTERNAL AUDIT & REVIEW
AT INSTITUTION LEVEL
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Institutional Level
More often statutory and external
Annual audit of accounts (company requirements)
Submissions to HESA (funding body requirements)
Annual accountability / TRAC Returns (funding body
requirements)
Often subject to devolved administration variations
REF
Period review of research quality
Drives main grants for research from funding bodies
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Reporting
Use outcomes of audit to improve project management
Actively engage with internal audit: steer auditors to areas
your think need light shed upon them
Use internal investigations to improve the service you
provide
Seek to improve the research reports for management to
underpin better decision-making
Understanding HESA helps information flow through the
institution and produces valuable benchmark information
Improve quality and quantity of proposals
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
RESEARCH EXCELLENCE
FRAMEWORK (REF)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
REF replaces RAE (Research Assessment Exercise)
www.ref.ac.uk
HEIs submit to one or more Units of Assessment, UoAs
(subjects, disciplines)
For each UoA to which a submission is made:
4 outputs per researcher (allowing for personal circumstances)
examples of impact outside academia (Case Studies)
data on research funding and students (from HESA)
description of the structure and strategy for research
Key Documents:
Produced by REF: Guidance on Submissions and Panel Criteria
Produced by each HEI: Code of Practice (for fair selection)
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
REF Principles
Called REF2014 but HEIs submit information in 2013
UoA Expert Panels review, judge & announce in 2014
Not all researchers are submitted
Allowances made for researchers with less than 4
outputs dues to personal / special circumstances
Results produced in the form of quality profiles
Funding bodies use results to provide annual grants
The more people you submit the more you get
The more lower quality you submit the less FTE you get
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
RAE2008 quality profiles
Overall Profile for each Panel
Quality level 4*
3*
2*
1* u/c
% of Research
20
Activity
25
30
15
70%¹
10
20%¹
Research Outputs
4 world leading
3 international excellence
2 internationally recognised
1 nationally recognised
Unclassified – not research or
nationally recognised
10%¹
Research Environment
Esteem Indicators
4*
3*
2*
1*
u/c
4*
3*
2*
1*
u/c
4*
3*
2*
1*
u/c
15
25
35
15
10
25
25
15
20
15
30
20
10
20
20
¹ Panels could vary these weightings (though outputs could never be less than 50%)
Results will be used for funding up to 2014/2015
The Professional Association of Research Managers and Administrators
Association of Research
Managers and Administrators
Fundamentals of Research Administration
REF2014 quality profiles
Overall Profile for each Panel
Quality level 4*
3*
2*
1* u/c
% of Research
20
Activity
25
25
15
65%¹
15
15%¹
Research Outputs
4 world leading
3 international excellence
2 internationally recognised
1 nationally recognised
Unclassified – not research or
nationally recognised
20%¹
Research Environment
Research Impact
4*
3*
2*
1*
u/c
4*
3*
2*
1*
u/c
4*
3*
2*
1*
u/c
15
25
35
15
10
25
25
15
20
15
30
20
10
20
20
¹ These weightings fixed for al UoAs
Results will be used for funding from 2015/2016
The Professional Association of Research Managers and Administrators
Examples
products, technology, processes,
Associationservices,
of Research standards / protocols, spinManagers and Administrators
outs, new business , skilled employees,
consultancy or training
policies, public service , technology,
Public Policy
education or curriculum, national
and Services
security, international development
Economic
Society, Culture
and Creativity
Health
Practitioners
Professions
Environment
Public
Engagement
public discourse , community
regeneration
Indicators & Evidence
sales, turnover, profits or
employment,
licences,
jobs,
Fundamentals of Research
Administration
investment funding
changes to public, policy / legislation
/ regulations / guidelines, quality,
accessibility or cost-effectiveness of
public services
visitor numbers / feedback, reviews /
debate in the media, increased stem
engagement in non-he education
clinical trials, patient outcomes,
public health or health services
drugs, treatments, prevention or
therapies, diagnostic technologies,
quality of life
and professional standards, best practice, national or industry standards or
guidelines or training, improved service guidance, behavioural change of
professionals
product(s), process(es) or service(s)
sales / improvements, environmental
environmental policy, management of impact, reference to research in
natural resources, risks or hazards,
government papers
reduction in co2 or other damaging
emissions
engaging the publicThewith
research
audience, media coverage, sales,
Professional Association of Research Managers and Administrators
downloads, and / or access to web
content, increase in participation
Association of Research
Managers and Administrators
Fundamentals of Research Administration
Preparing for
Who is the REF lead for the University of Leeds?
Key dates –
Eligible staff 31st Oct 2013
Submission date 29th Nov 2013
Publication/ outputs 31st Dec 2013
Anomalies
Research income means expenditure, in-kind funding
Gamesmanship - sharing publications
Look at http://www.ref.ac.uk
http://researchsupport.leeds.ac.uk/index.php/academi
c_staff/research_assessment/ref
Birmingham, 16 February 2011
The Professional Association of Research Managers and Administrators
111
Fundamentals of Research Administration
Final remarks and evaluation
The Professional Association of Research Managers and Administrators