1. Research and KT Presentation to School of Computing, 19 th November 2010 Melissa Johnson, Finance mel.johnson@port.ac.uk, ext 3309 mel.johnson@port.ac.uk Cindy Roch, Faculty Office cindy.roch@port.ac.uk, ext 2600 cindy.roch@port.ac.uk Wendy Mullee, RKTS wendy.mullee@port.ac.uk, ext 6202 wendy.mullee@port.ac.uk

2. Finance Department Mrs Melissa Johnson Accountant (Research and Commercial) mel.johnson@port.ac.ukmel.johnson@port.ac.uk, ext 3309 November 2010

3. Finance Department – Research Section Responsiblities Pre Award Post Award Provision of Management Information Guidance on Research Activity

4. Preparing the proposal - Finances Difference between cost and price Identifying fEC Directly Incurred Directly Allocated Indirect Costs Exceptions

5. How much of the fEC do sponsors fund? Research Councils Charities European Commission UK Government / Health Authorities Industry and all other sponsors Ownership of IP, ability to publish

6. What if fEC is not met? Some sponsors limit amount of funding Dean’s approval Effect on other activities (eg Teaching) HEFCE requirement – each activity sustainable in it’s own right Non financial reason (REF, foot in door, other benefits)

7. Preparing the proposal Follow the Process for each faculty (Research website - http://www.rkts.port.ac.uk/research_support/) http://www.rkts.port.ac.uk/research_support/ Speak to Cindy Roch Identification of activity and routing Identify the resources Allow plenty of time Peer review

8. Preparing the proposal Is a contract required rather than standard sponsor T&Cs Determination of price Obtain approval within faculty Who can sign off bids Make a note of the deadline and inform relevant parties Electronic application?, Registration?, Central Approval?

9. University or UPEL University is a charity University of Portsmouth Enterprise Limited for commercial activity Finance department decides on routing as it is primarily a Corp Tax decision If research goes through UPEL the income still counts towards the REF

10. Research in context 2009/10 Provisional Figures –Total University + UPEL Income £169m Total External Research / KTP / Fellowship Income £7.0m 4% of total university income Total growth in R/K/F income since 07/08 – £1.1m (19%)

11. Current Hot Topics Impact of the CSR / Browne Review Future of government departments / quangos (HEFCE, RCs) Cut to QR funding? Russell Group pressure (concentration of research funding) Research Sustainability – £2.1bn deficit (UoP £8m deficit - 38% of costs) Future cuts to FEC recovered through research councils? Asset sharing with other faculties / universities?

12. Finance Department – Research Section Contacts Location – University House, 1 st Floor Generic Email address –research-finance@port.ac.ukresearch-finance@port.ac.uk Members of staff –Accountant – Mrs Mel Johnson (3309) –Senior Accountancy Assistants Mrs Sonia Reeves (3133) Mrs Jo Penney (3186) Mrs Elaine Hooke (3186) Miss Jemma Best (3135) –Accountancy Assistants Miss Carly Prior (3133)

13. Contracts What are they, why do we need them and what can they do for you? 19 November 2010 Wendy Mullee Senior Contracts Officer Research & Knowledge Transfer Services

14. Overview Contracts/issues RKTS can advise on The importance of contracts Types of contracts Anatomy of a contract Key provisions

15. Research & Knowledge Transfer Services Role/Remit To negotiate contracts related to research activity and research-led knowledge- transfer but also teaching and teaching led agreements –KT = application of University knowledge –Negotiate best terms for University (and researcher!) –Contracts advisor to Finance/Directorate

16. Role/Remit To manage the University’s Intellectual Property –Knowledge arising from research activity –IP generated by staff is owned by the University –Protection: patents, trademarks, copyright –Exploitation of IP (licensing, spin-out activity) Research & Knowledge Transfer Services

17. RKTS Contracts Support for : Research arrangements –Sponsored research projects (incl. studentships), especially commercial –Academic collaborations (incl. FP7) –Subcontracts –Material transfer agreements (MTAs) Confidential exchange of information Teaching and Teaching-led contracts Consultancy/ provision of University services –UPEL has standard terms –Finance decide UPEL vs University Development and commercialisation of University IP –Licences –Options & Assignments

18. Research & Knowledge Transfer Services No RKTS Contracts Support for: Purchasing agreements –Unless specifically relate to commercialisation projects Contracts of Employment Collaborative Programme Office’s MoUs –As defined by Collaborative Programmes Office - UoP awards BUT always willing to advise on IP issues

19. Research & Knowledge Transfer Services Rubbish IN = Rubbish OUT A good contract should be fit for purpose One size does NOT fit all! There are no ‘standard contracts’ only model contracts, which can be used as a starting point, based on project specifics. Basic letters don’t give enough protection or information In order to negotiate meaningful terms: –Need to be properly informed of the purpose –For research projects informed by Principal Investigator Resources and personnel being utilised in project Project goals/deliverables IP issues – background, likely results

20. Contracts from the other side! The sponsor’s terms and conditions: If you are presented with the other side’s contract: –Remember no such thing as a free lunch! –Do you understand it? –Ask for changes. Indemnity Law Publication Intellectual property Research & Knowledge Transfer Services

21. Anatomy of a Contract Date – Effective Date vs date contract is made Parties – legal entities, making the contract Recitals – set the scene Definitions (capitalised terms) Clauses – main terms and conditions (organised under headings) ‘Boiler plates’ –Jurisdiction –Force majeure Signatures Schedules/Annexes – part of agreement Research & Knowledge Transfer Services

22. IP ownership Who will own the results? What rights does each party have to use the results? Be careful about agreeing to give all results away, without retaining any rights to use… may need them for future research! Think about what expertise and know-how UoP are bringing to the project… this should not be part of the results to be transferred!

23. Research & Knowledge Transfer Services Confidentiality and Publication If working with industry, they will want to keep their information confidential Employees have a duty of confidentiality –BEWARE: students are not employees! –Third party collaborators/subcontractors are not UoP employees Are (any/all) results confidential? Publication – are there any restrictions? –Studentships: there is a Uni requirement for a thesis to be published (after 2 years) PI needs to be familiar with publication terms and confidentiality arrangements - they are responsible for managing project

24. Research & Knowledge Transfer Services Contact Us Research & Knowledge Transfer Services Purple Door, 28 Guildhall Walk, Portsmouth PO1 2DD rkts@port.ac.ukrkts@port.ac.uk, Tel: 6191 www.port.ac.uk/research/researchandknowledgetransferservices/ Contracts & IPR Manager: kate.charles@port.ac.uk, ext: 6203 Senior Contracts Officer: wendy.mullee@port.ac.uk, ext: 6202wendy.mullee@port.ac.uk Contracts Assistant: Gloria.Chan@port.ac.uk, ext: 6191