2007
From:
Research and Development
Date:
21st May 2007
Subject:
Research Grants Policy and Procedures
External Non-Commercial Research Grants: Application, Research 1
Administration and Accounting Procedures
Introduction
Policies for general research administration, the management of commercially contracted
research and the management of intellectual property have been agreed and implemented.
The purpose of this policy and procedures document is to give specific focus to the
processes for application, research administration and accounting for external noncommercial research grants to such as the MRC, Wellcome Trust, Research Charities and
NHS schemes by Trust members of staff.
The policy and procedures are similar to those of the University of Oxford and will ensure
not only a systematic approach and consistency in the application, research administration
and grant accounting processes but will also provide better management information
about the range and type of applications being submitted and the success rate. The
procedures are designed to be as simple as possible for researchers to complete. It is
estimated that there are between forty and fifty such applications per year from Trust
members of staff, ranging from a few £k to several hundred £k. Consequently it is difficult
to estimate current grant income but it is likely to be about £1m pa.
Grant Application
The R&D Department is responsible for the processing of all externally-funded research
grant applications and awards received by the Trust. In order to do this the Trust requires
all applications made to funding bodies to be checked and endorsed by the R&D
Department on behalf of the Trust before the application is submitted. This is done to
ensure that:
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The funds requested are sufficient to cover the research being undertaken e.g. that
correct and up-to-date salary scales are being used.
The costing rules of the Trust have been applied correctly e.g that the appropriate
level of indirect costs have been applied.
The call on the Trust’s Support for Science R&D budget is correctly calculated.
The Trust would be in a position to accept the grant should the application be
successful e.g. that appropriate facilities are available to house the project.
The proposed project can be logged on to the Trust’s R&D database.
Research Administration
There are four steps for the principal investigator (PI) to achieve Trust endorsement.
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Obtaining and completing the funding body’s application form.
Obtaining the approval of the application by the PI’s clinical directorate
management i.e. Clinical Director, Directorate Manager and Finance Manager
Submission of the application form and a copy of the grant terms and conditions to
the R&D Department.
Signatory approval by the Medical or Deputy Medical Director once the application
has met the Trust’s requirements and return to the PI.
Accounting
There are six steps in the accounting process as follows:
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The R&D Finance Manager will check the costing information on the application
covering both the research costs being sought from the funder and the Support for
Science costs from the Trust’s R&D budget.
The R&D Finance Manager will consult the PI and the Clinical Directorate Finance
Manager if changes have to be made.
If the application is successful then the PI should inform Clinical Directorate
management and the R&D Department and, assuming that the award is to be
accepted, a copy of the letter and research grant contract confirming the amount
and administrative arrangements/conditions for the award must be sent to the
R&D Department.
If the awarded amount is substantially different from that applied for, the R&D
Finance Manager will assist in identifying ways in which the project might be recosted.
Once the award has been accepted the R&D Finance Manager will establish an
account for the project within a dedicated section of the Trust’s recoverable
accounts system for non-commercial grants and expenditure on the project can then
begin.
The R&D Finance Manager will ensure that the project is being correctly accounted
for with help from the PI and Clinical Directorate Finance Manager and that
information on the project’s income and expenditure is routinely available to them.
University arrangements
It is recognised that some Trust researchers use the University of Oxford system for grant
application and accounting processes because of their academic links and honorary
contracts. The Trust’s policy and procedures are similar to those of the University and will
apply to all applications not administered via the University. The University Research
Grants Office informs the Trust’s R&D Department of all relevant applications which it
administers on behalf of Trust employees. The Trust will work with the University’s
Research Grants Office to ensure that the best interests of both the PI and the Trust are
covered within applications administered via the University.
Communication
A copy of the policy and procedures has been sent to all PIs, Divisional and Directorate
Chairmen, Divisional Directors and Finance Managers and Directorate Managers. It has
been posted on the R&D website and, by arrangement, seminars will be run on this and
related R&D subjects.