© imperial college londonpage 1 research office roadshows john green june 2008 chief co-ordinating...
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© Imperial College LondonPage 1
Research Office Roadshows
John Green June 2008Chief Co-ordinating Officer
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Who does what
Overview of where research management sits in the College
Research Services teams in Faculties:• Pre-award assistance• Post award management of external research funding
Research Office:• Intellectual Property, Material Transfer Agreements (MTAs),
Research Contracting expertise, FP7• Expert support to RS teams• Systems management & development• Support for College research strategy• Audit co-ordination & support
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What Faculties do
• Each has a Research Services Team (RS)
• Teams run by Research Services Manager (RSM)
• Each team has one or more contract specialists
– advise on FEC; authorising applications on behalf of College – advise on funder terms & conditions– accept awards on behalf of College– set up project account codes & budgets on Oracle Grants– prepare invoices & financial statements to funders– verify staff appointments & extensions
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Research Office & what it does
John Green
Chief Co-ordinating
Officer
Lynne Cox
Director of IP & Research Contract
Management
Cindy Lai
Head of Research Support
Scott Rutherford
Research Systems & Information Manager
Celia Caulcott
College Research Manager
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Research Office
John Green
ChiefCo-ordinating
Officer
Lynne Cox
Director of IP & Research Contract
Management
Cindy Lai
Head of Research Support
Scott Rutherford
Research Systems & Information Manager
Celia Caulcott
College Research Manager
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IP and Research Contracting Policy
• Research contracting policy
• Material Transfer Agreements In (transferred from Imperial Innovations 1 April 2008)
• IP management
• FP7
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Research Office
John Green
ChiefCo-ordinating
Officer
Lynne Cox
Director of IP & Research Contract
Management
Cindy Lai
Head of Research Support
Scott Rutherford
Research Systems & Information Manager
Celia Caulcott
College Research Manager
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Research Support
• Policy, Governance, Assurance
• Processes and Procedures
• Audit Co-ordination
• Training & Communications
• Expert Advice to RS, Faculties, other business areas
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Research Support
Procedural Support• first line support• develop and enhance procedures and guidance notes• independent advice and clarification• governance, assurance
Audit Coordination• coordinate high impact funder-initiated audits• support CEC FP6/FP7 audits• preparation of backing documentation; completion of pre-audit questionnaires• contact point for external funders
Training• develop and deliver training for InfoEd and Oracle Grants • monitor and develop training methods• develop RS “New Joiner Programme”• contribute to College-wide Induction programme• account management training and best practice
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Research Office
John Green
ChiefCo-ordinating
Officer
Lynne Cox
Director of IP & Research Contract
Management
Cindy Lai
Head of Research Support
Scott Rutherford
Research Systems & Information Manager
Celia Caulcott
College Research Manager
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Research Systems
• System Support
• Financial month/year end balance and close down
• Support cost centre changes
• Management Information
• System Development, e.g.:– new mechanisms to support CEC FP7 – new systems to manage Intellectual Property
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Research Systems
System Support• first line support• financial month/year end support, cost centre changes• adhoc reporting to support core business
Management Information• lead input into College’s MIS strategy• internal/external information gathering • increase access to information at local level• monitoring data quality• contribute to FEC reporting requirements
System Development• new mechanisms to support CEC FP7 • new systems to manage Intellectual Property• improvements to document management • development for post-award pricing functionality • pilot for Organisational Intelligence reporting suite• Research Services website• ‘tube maps’ to guide operational activity
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Research Office activity – since August 2007
• 2 major audits – NIH and QAV (follows top rating in RCUK Dipstick audit in Feb 07)
• 117 CEC project level audits
• 1,100 business support calls resolved – spanning academics, DA, RS users
• 10 consecutive month end closures on time
• 200 training sessions – covering Reporting, FEC, InfoEd, Post-doc residential, Induction training
• Over 4,800 test steps completed for recent systems development/upgrades
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Research Office
John Green
ChiefCo-ordinating
Officer
Lynne Cox
Director of IP & Research Contract
Management
Cindy Lai
Head of Research Support
Scott Rutherford
Research Systems & Information Manager
Celia Caulcott
College Research Manager
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Strategic support & co-ordination of research• Co-ordination of cross-College research proposals & applications e.g.
– Wellcome Trust EPSRC Medical Engineering Centres call– EPSRC Science Bridges & DTC calls
• Support to cross-College research strategy– College Strategic Research Group– College Operational Research Committee– Cross-College research strategy activities & issues
• Communication e.g.– Briefing on College-wide funding calls– Provision of information on funding bodies etc
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In summary, this is what the Research Office does
• IP and Research Contracting Policy• Research Support• Research Systems• Strategic support and co-ordination of research
• FEC issues• Systems issues• IP and Contracting issues
... now some updates
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FEC issues
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InfoEd & Research Council Indexation
• Not permitted to include indexation when applying to Research Councils (RCs)
• At award, RCs apply own indexation (using GDP deflator); commonly below inflation for pay awards
• Result = Budget awarded insufficient for future pay rises
• No progress in changing RC indexation policy
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Research Council Indexation – what can be done?
• Shorten staff appointments – common practice and RCs aware
• Move money ("vire") between Directly Incurred heads– e.g. indexation awarded on non-staff costs, so “vire” to Staff
budgets at start of project
• Appoint staff at lower level
• Ensure proposed start date realistic on applications
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FEC Recovery of PI/Co-I Time
• TOAST & modelling => Investigator 15% time on research funded by Research Councils/OGDs
• Sept 2007 review showed less recovery of PI/Co-I time compared to pre-FEC modelling:
• PI average = 4.04 hrs/week
• Co-I average = 2.88 hrs/week
• = <7% being recovered
• Total academic salaries for F/Y 2006/07 = £14 million
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FEC Recovery of PI/Co-I Time
• TOAST & modelling => Investigator 15% time on research funded by Research Councils/OGDs
• Sept 2007 review showed less recovery of PI/Co-I time compared to pre-FEC modelling:
• PI average = 4.04 hrs/week
• Co-I average = 2.88 hrs/week
• = <7% being recovered
• Total academic salaries for F/Y 2006/07 = £14 million
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FEC Technician changes 01/02/08
Directly Incurred – input by choice– dedicated to one research project – justified in Case for Support
New categories for Technicians from 1 Feb 2008 – Pool and Infrastructure:
Pool (Directly Allocated) – input by choice– support more than one project – average hourly rate– justified in Case for Support
Infrastructure (Directly Allocated) – automatically added– provides support: Health and Safety, stores, workshops, laboratory equipment
maintenance, laboratory management, administration– average rate per project FTE – timesheets not required– no justification required
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Costing new categories of Technicians in InfoEd
Pool Technicians– costing similar to existing staff member– select “Pooled Technician – all Labs” on staff picklist– Hourly rate calculated
Infrastructure Technicians– From 1 Feb 2008, Research Councils require Estates and
Infrastructure Technicians costs separated on applications– Use Contingency Workbook to pro-rata costs and attach it to
InfoEd record – on RO website
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Technician Timesheets – summary
• DI Technicians < 100% awarded before 01/02/08 still complete project-related timesheets
• DI Technicians < 100% after 01/02/08 complete ‘comprehensive’ timesheets
• Required if a condition of funding
• Project underway to introduce timesheets for technicians (and administrative staff)
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FEC Technicians – further information
More information on RS website:
• Guidance Notes• Infrastructure Technicians Contingency
Workbook• Q&As raised in Faculty DA presentations
http://www3.imperial.ac.uk/researchservices/fecandgrants/qanda/costs/technicians
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FEC Facilities
• Most equipment and facilities automatically included in Estates rate
• Since 01/02/06, College has adopted usage based charge-out rates for 10 facilities
• Rates of charged-out facilities can be included on applications (including to research councils) because costs deducted from Estates
• Each included as separate line item in InfoEd - select Facility from Direct Costs dropdown
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FEC Facilities
For existing Facilities not in the Charge-Out list(i.e. their costs are within Estates):
• If funder is a Research Council or one which pays FEC, usage charges cannot be included on application
• If funder does not pay FEC, facility usage charges can potentially be included in Price
Charged-out facilities and further guidance at:
http://www3.imperial.ac.uk/researchservices/fecandgrants/qanda/costs/equipmentandfacilities
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Systems issues
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Systems issues
• Imperial not on InfoEd vanilla version; aim to migrate early 2008 delayed- Interface with JeS- Impact on RO resource
• Managing data quality- Increased staff pressures in Faculty Research Services teams
• Increasing complexity of research management- complex processes e.g. FP7, FEC
• Which makes huge challenges for system design and processes
• Rationalising research system development (avoiding duplication)
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IP and Research Contracting Policy
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IP management
• Innovations responsible for:– Commercialisation of College IP
• College IP Executives will be responsible for:– Management of IP – Management of relationship with Innovations– Due diligence– IP advice and support for College investigators
• IP team in the Research Office:
Emma Toumi, Justine Soulieux & Josephine Sutcliffe Research Office – Level 1 Faculty Building, SK
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Research Contracting Policy & Practice
Contracting role of the Research Office:
– Central hub of contracting & negotiating expertise
– Provide specialised advice to the Faculty Research Services teams
– Ensures research agreements consistent with College policies & terms of trade
– Facilitates review or authorisation of deviations from College policies & terms of trade
– Works with Faculties to review their internal approval frameworks
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European Research Funding (FP7)
EU team in the Research Office:
– Specialised advice on all pre-contractual aspects of FP7
– Interprets EU policy– Makes recommendations for strategy and
disseminating FP7 information– Manages contractual negotiations including
Consortium Agreements
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Material Transfer Agreements – (MTAs)• For exchanging materials between two or more organisations• Defines rights & obligations of parties: ownership of modifications, derivatives, any
results & IP• Research Office negotiates & executes MTAs for transfer of materials into College
(MTAs IN). • Faculty Research Service teams deal with MTAs for materials going out of College
(MTAs Out)
College unable to:• Agree an MTA if it conflicts with existing obligations • Agree an MTA that requires a veto on the publication of research results or submission
of a thesis
MTA requests:• complete questionnaire, provide detail, send to MTA mailbox:
[email protected]• Guidance at http://www3.imperial.ac.uk/researchservices/mta
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College Authorisation and Approvals policy
• New policies on Costing & Pricing and on Bid Management, Faculty Approval and College Authorisation approved by Management Board
• Faculties, Business Development and International Office to develop their own policies & procedures which comply with College policies before 1 August 2008
• Underlying procedures developed within this framework will be consistent across all units
• Research Office workshop 19 June
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Thank you
Questions?
http://www3.imperial.ac.uk/researchservices
© Imperial College LondonPage 36