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Research and KT
Presentation to School of Computing,
19th November 2010
Melissa Johnson, Finance [email protected], ext 3309
Cindy Roch, Faculty Office [email protected], ext 2600
Wendy Mullee, RKTS [email protected], ext 6202
Finance Department
Mrs Melissa Johnson
Accountant (Research and Commercial)
[email protected], ext 3309
November 2010
Finance Department – Research Section Responsiblities
• Pre Award
• Post Award
• Provision of Management Information
• Guidance on Research Activity
Preparing the proposal - Finances
• Difference between cost and price
• Identifying fEC
• Directly Incurred• Directly Allocated• Indirect Costs• Exceptions
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
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)
Preparing the proposal
• Follow the Process for each faculty (Research website - 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
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?
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
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%)
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?
Finance Department – Research Section Contacts
• Location – University House, 1st Floor• Generic Email address
– [email protected]• 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)
ContractsWhat 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
Research & Knowledge Transfer Services
Overview
• Contracts/issues RKTS can advise on• The importance of contracts• Types of contracts• Anatomy of a contract• Key provisions
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
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
Research & Knowledge Transfer Services
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
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
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
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
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
Research & Knowledge Transfer Services
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!
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
Research & Knowledge Transfer Services
Contact Us
Research & Knowledge Transfer Services
Purple Door, 28 Guildhall Walk, Portsmouth PO1 2DD
[email protected], Tel: 6191
www.port.ac.uk/research/researchandknowledgetransferservices/
Contracts & IPR Manager: [email protected] , ext: 6203
Senior Contracts Officer: [email protected], ext: 6202
Contracts Assistant: [email protected], ext: 6191