© Imperial College LondonPage 1 Research Office Roadshows John Green June 2008 Chief Co-ordinating Officer

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

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

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

Research Office 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

IP and Research Contracting Policy Research contracting policy Material Transfer Agreements In (transferred from Imperial Innovations 1 April 2008) IP management FP7

Research Office 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

Research Support Policy, Governance, Assurance Processes and Procedures Audit Co-ordination Training & Communications Expert Advice to RS, Faculties, other business areas

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

Research Office 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

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

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

Research Office activity – since August 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

Research Office 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

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

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

FEC issues

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

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

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

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

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

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

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)

FEC Technicians – further information More information on RS website: Guidance Notes Infrastructure Technicians Contingency Workbook Q&As raised in Faculty DA presentations fecandgrants/qanda/costs/technicians

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

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: a/costs/equipmentandfacilities

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)

IP and Research Contracting Policy

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

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

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

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: Guidance at

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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