Tuesday 10th May 2011

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Research Grants & Contracts
Office
Research Seminar
Department of Media and Cultural
Studies
Liz Francis & George Eyre
Summary
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Research Grants & Contracts Office (RGCO)
Funding schemes and Funding bodies
FEC and Costing
Internal procedures for approving
applications
Research Grants & Contracts Office (RGCO)
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The RGCO, part of Finance Dept, provides
administrative, financial and support services related
to externally funded research projects
Pre award: funding information, help with
applications, approval, contract negotiation
Post award: project accounting, approval of posts,
allocation of overheads, financial reporting,
contracts with partners
Policy development
Management information
Training and events
Research Grants & Contracts Office,
Finance Department
Peter Westley
Director of Finance
Liz Francis
Head of RGCO
Craig Bryce
Deputy Head
Sharon Bell
Research Accounts Officer
Rassi Pelpola / Steve Smith
Research Accounts Assistant
Theresa Ball
Costing & Pricing
Accountant
George Eyre
Research Support Officer
Marion Barthram
Research Grants Assistant
Research Grants & Contracts Office structure –
M&CS
Liz Francis
Head of RGCO
Craig Bryce
Deputy Head
Sharon Bell
Research Accounts Officer
Rassi Pelpola / Steve Smith
Research Accounts Assistant
• Project accounting
Theresa Ball
Costing & Pricing
Accountant
George Eyre
Research Support Officer
Marion Barthram
Research Grants Assistant
• Research applications
• Arrangements with partners
• Approval of posts
Research Funding at Birkbeck
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2009/10 – 209 applications (33%)
Income £10,170,195 in 2009/10 (12.5%)
Apr ‘11 contract value £53,051,584
66 different funding bodies
162 active research projects, throughout all Schools
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Media and Cultural Studies
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2009/10 - 2 applications (1 successful)
Income 2009/10 – £64k
2 Active projects, Contract value £267k
Research Funding at Birkbeck
Funder Type
No. of
apps
% of
apps
Successful
Unsuccessful
%
Research Councils,
Royal Soc, British
Academy
115
55%
30
85
26%
UK Based Charities
46
22%
12
34
26%
UK Govt
13
6%
8
5
62%
UK Industry ,
Commerce
2
1%
2
0
100%
EU
23
11%
12
11
52%
Overseas & Other
10
5%
6
4
60%
Total
209
70
139
33%
Help with Applications
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Costing - salaries and overhead-type costs – done
on web-based costing system pFACT
Approval – done using workflow system on pFACT
Electronic submission – may need to set up an
account, e.g Research Council’s Joint Electronic
Submission (Je-S) system
Contractual arrangements
Copies of previously successful applications for
most schemes
Funding Information
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Arts & Humanities Research Council
Economic & Social Research Council
Leverhulme Trust
British Academy
Others…
AHRC (1)
Research Grants Scheme
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Standard route £20k - £1m, Early Career route £20k £200k
Recently changed – no speculative route or practice-led /
applied route.
Up to 5 years duration
80% Full Economic Costing (FEC)
No closing dates
Apply via J-eS
Note page limits for attachments
Submit at least 9 months before proposed start date.
AHRC (2)
Fellowship Scheme
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For early career, mid-career and senior researchers
Aim is not to develop a new project from scratch, but to
build on a project that is already defined
Maximum £120,000 FEC for salary and associated costs
3 - 9 months in duration
80% FEC
No closing dates
Apply via Je-S
Submit between 9 and 18 months before proposed start
date.
AHRC (3)
Research Networking Scheme
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For networks, workshops or seminars
To support collaboration and the exchange of ideas
Up to £30k FEC (additional £15k to cover international
participants/activities)
Up to 2 years duration
80% FEC
No closing dates
Apply via Je-S
Decision within 4 months from the end of the month in which
you apply
AHRC (4)
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AHRC Responsive mode
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2009/10 – Standard Grants 48/258 – 19%
Research Leave 114/595 – 19%
BBK Responsive mode
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2009/10 – Standard Grants 0/0 – 0%
Research Leave 1/8 – 12.5%
ESRC (1)
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Research Grants Scheme
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£200k > £2m
Recently changed – no small applications <£200k
considered
Up to 5 years duration
Flexible re subject area as long as within ESRC's remit
80% FEC
No closing dates
Apply via Je-S
6 sides of A4 for research proposal
Most decisions within 26 weeks
ESRC (2)
Recent revisions to Funding Schemes, “fewer but more flexible
research schemes”
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Future Leaders scheme – to be announced in May 11
 Will replace postdoctoral fellowship and first grants scheme.
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Large grants and centres – to be announced in May 11
 will be integrating large grants and centre competitions
http://www.esrc.ac.uk/funding-and-guidance/fundingopportunities/
ESRC (3) - Fellowships
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Professorial Fellowships
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support leading social scientists working in the UK
Fellow given freedom to pursue their own innovative and creative research
agendas
Provides;
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Fellow’s time (up to 60%)
additional research assistance costs
PhD studentship
Up to 3 years
80% FEC
Usually announced in October, closing date in December, peer
review February to April, interviews are in May and decisions made by end
of July. Awards are expected to commence the following October at the
earliest.
Knowledge Exchanges/Placement Fellowships
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private, public and civil society sectors
ESRC (4)
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Research Seminars - multi-institutional groups of academic
researchers, PG students and non-academic users who meet regularly
to exchange information and ideas with the aim of advancing research
within their fields
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non-fEC and are limited to £15,000
travel and expenses for speakers and participants
secretarial costs
stationary postage copying and telephone
hire of rooms and facilities.
Another £3k available if strong case for
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enhancing knowledge transfer
impact for non academic users
and/or the inclusion of international academics at events and/or the holding of
events abroad.
WILL be running 2011/12 details to be announced in May 11
2009 – 146/41 – 28%
ESRC award rates
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ESRC Responsive mode;
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2009/10 – Standard Grants 94/682 – 14%
Small Grants 124/653 – 19%
2010/11 - Standard Grants 61/541 – 11%
(to date) Small Grants
81/340 – 24%
Birkbeck responsive mode
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Success rate for 09/10: 2/6 (33%)
Success rate for 08/09: 2/5 (40%)
Success rate for 07/08: 2/8 (25%)
Success rate for 06/07: 4/8 (50%)
Leverhulme Trust (1)
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Research Project Grants
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“support for innovative and original research projects of high
quality and potential, the choice of theme and the design of
the research lying entirely with the applicant”
Up to 5 years; < £500k for research assistance, PhD
Students, replacement teaching, other direct costs
Most awards ~250k for 3 years
Any topic
2 stage application process, outline must be accepted prior
to submitting full application (up to 12 weeks)
full appl deadlines Sept, Dec and March
Leverhulme Trust (2)
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Research Fellowship
 open to experienced researchers
 up to £45k
 research expenses ‘over and above normal living costs’ including
reasonable replacement teaching
 3 – 24 months
 Next round announced Sept ‘11
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Major Research Fellowship
 Open well-established and distinguished researchers
 Provides a replacement staff member to cover the period of the
Fellowship and £5k p.a. expenses.
 2 –3 years
 4.00pm on 6 May 2011 (result December)
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Early Career Fellowship
 2 year award, Trust pays up to 50% of the employment cost (up to max
of £23k), plus research expenses up to £6,000 pa, deadline 10 March
Leverhulme Trust (3)
Programme awards
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Call date & topic set each year by LT. £1.75m up to 5
years
International Networks
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Max £125,000, up to 3 years, 3 deadlines per year
Artists in Residence
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Max £15,000 for 10 months, 2 deadlines per year
Leverhulme Trust (4)
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Success Rates
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Research grants
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Research Fellowships
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2007 – 18%
2008 – 16%
2009 – 15%
Major Research Fellowships
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2007 – Outline – 43%, Full – 47%, Combined – 20%
2008 – Outline – 44%, Full – 49%, Combined – 22%
2009 – Outline – 48%, Full – 39%, Combined – 19%
2007 – 14%
2008 – 13%
2009 – 14%
Early Career Fellowship
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2007 – 13%
2008 – 12%
2009 – 13%
British Academy (1)
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Humanities and social sciences
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Postdoctoral level
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Applicants resident in the UK
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Complement the schemes of the AHRC and ESRC
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Major focus on individuals through Postdoctoral and
Mid-Career Fellowships
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New International partnerships and mobility
British Academy (2)
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Small Grants
 SCHEME CLOSED
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BA Research Development Awards (BARDA)
 CURRENTLY SUSPENDED
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Conference Support and O/S Conference Grants
 SCHEMES CLOSED
British Academy (3)
Postdoctoral Fellowships (3 years)
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For outstanding early career researchers. 2-stage application, deadline: October
applicants are expected to be at an early stage of their academic career.
Provides fellow’s salary plus limited research expenses and FEC costs (directly
allocated costs, including mentor’s time, estates, and indirect costs).
45 awards
‘New’ British Academy Mid-Career Fellowship Scheme (6 – 12 months)
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aim is to free applicants from normal teaching and administrative commitments
support outstanding individual researchers with excellent research proposals, and to
support outstanding communicators
awards to individuals employed at UK universities, particularly to support mid-career
scholars , normally within no more than 15 years from the award of their doctorate
deadline March
It is not expected that the total value of an award will exceed £200,000 FEC
35 awards
Senior Research Fellowships (1 year)
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to complete major programme of research: privately funded, non-FEC, 7 awards
Newton International Fellowships (2 years)
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In conjunction with the Royal Society, Early career: for overseas scholars, deadline
April
British Academy (4)
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Full list
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British Academy/Leverhulme Trust Senior Research
Fellowships and Thank-Offering to Britain Fellowship
Country-specific Agreements
International Partnerships
Mid-Career Fellowships
Postdoctoral Fellowships
Special Funds
UK-Latin America and the Caribbean Link Scheme
Visiting Scholars
Europe
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Research mainly funded via 7th Framework Programme
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Co- operation - Collaborative Research Programme
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Collaborative/multi-national requirement
Call driven
Ideas - Frontier Research (European Research Council)
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Starting Grants (call opens July ’11)
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Advanced grants
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1.5m€ over 5 years
PI must have PhD awarded in last 2 - 12 years
PI expected to spend min 50% of time on project (funded)
2.5m€ over 5 years
SSH deadline 6 April
No PhD time eligibility but “only exceptional research leaders”
PI with track record of significant research achievements in the last 10 years
PI expected to spend min 30% of time on project (funded)
People - Marie Curie Schemes
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'mobility' requirement
Applications….
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Over the last 2 years the department has
submitted applications to:
AHRC, British Academy, Technology Strategy Board.
Preparing a good proposal
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Guidance notes on constructing a good proposal to the ESRC Research Grants Scheme:
http://www.esrc.ac.uk/funding-and-guidance/guidance/applicants/how-to.aspx
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Part 1
Allow yourself time
Study your funding source
Read the rules
Discuss your application
Justify your costings
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Part 2
Content and presentation
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Part 3
Dissemination and impact
Check the details
If you are successful
If you are unsuccessful
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EPSRC: Preparing a Proposal:
http://www.epsrc.ac.uk/funding/apprev/preparing/Pages/default.aspx
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NERC: How to win money for research:
http://www.nerc.ac.uk/funding/application/howtowin.asp
Full Economic Costing (fEC)
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Introduced by the Government in 2005
Used as basis to cost research projects, but
very few funders will pay 100% of FEC
Research Councils pay 80% of FEC
Other funders pay according to their own
terms and conditions
We use pFACT to calculate the FEC
What makes up fEC?
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Directly Incurred (DI) costs
Directly Allocated (DA) costs
Indirect costs
Exceptional items: e.g. project studentships
Research Councils will pay 80% of DI, DA and
Indirect Costs; 100% of Exceptional Items
Directly Incurred costs
These are actual costs
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Project dedicated staff: e.g. Research Assistants
Travel and subsistence
Consumables
New equipment, up to £50,000
*Research Councils allow virement between headings
Directly Allocated costs
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PI costs: based on max 1650hrs/yr
Estates costs: Premises costs, cost per FTE of
academic and research staff, current rate for officebased research is £6,448
Shared staff time, e.g. support staff who work
across more than one project
These are based on estimated costs, not actual
Directly Allocated costs cannot be vired
Indirect Costs
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Costs that are incurred by the College in
providing the necessary infrastructure and
support for the project. This includes central
services such as recruitment, personnel,
financial accounting and payroll services;
central provision of libraries; computing
services; committees; and departmental
support.
cost per FTE of academic and research staff,
currently £34,597
DI Costs - Salary costs (1)
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Salary costs are the payroll cost to the
College, inc. employers NI and pension, e.g.
RES2 pt 31 for 1 year:
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Annual Salary
£30,870
London Allow
£2,934
National Insurance
£2,418
Pension scheme
£5,409
TOTAL annual cost £41,631
Salary costs (2)
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What is the appropriate salary scale? May
need to contact HR
London Allowance?
Full-time or part-time?
Start and end dates?
Incremental date (1 Oct)
Which funder?
Inflation?
Salary costs (3)
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Principal & Co-investigators’ time
Research Assistants
Technical and Admin staff
Hourly rates may apply for small grants;
School to advise
Possible need for timesheets, e.g. EU
DI costs - Non-salary costs
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Travel and subsistence for fieldwork, visiting colleagues, other
premises, conferences
Project workshops, meetings, dissemination
Office consumables (stationery etc)
Photocopying and printing
Post, phone, fax
Specialist books and journals
Computer software and consumables
Laboratory consumables/materials
Subscriptions
Equipment and any special adaptations needed for its use
Insurance and maintenance for special equipment
Advertising and recruitment of new posts
Casual/agency assistance – e.g. for data entry, transcription, translation
Consultants' fees or bought in services
Examples of budgets
EXAMPLE
100% FEC
80% FEC
Pre-FEC
Charity
Research
Assistant
41,631
33,305
41,631
41,631
Consumables
6,000
4,800
6,000
6,000
Travel
4,000
3,200
4,000
4,000
Total DI
51,631
41,305
51,631
51,631
Principal
Investigator
11,360
9,088
0
0
7,480
5,984
0
0
18,840
15,072
0
0
Indirect Costs
40,133
32,106
19,150
0
Total
110,604
(100%)
88,483
(80%)
70,781
(64%)
51,631
(47%)
Directly
Incurred
(DI)
Directly
Allocated
(DA)
Estates
Total DA
College Approval procedures pFACT
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Set out in the College's Financial Regulations, as
approved by Governors
All external research grants must be authorised for
submission through the pFACT system.
All approval stages to be completed prior to
submitting to the funding body
RGCO – webpage
http://www.bbk.ac.uk/rgco/researchgrants/applicatio
n/authorization.shtml
College Approval procedures pFACT
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The application should only be submitted
once all the stages have been completed.
Each approver should be given at least three
clear working days (that’s NINE days prior to
deadline).
Paper applications that require institutional
signatures should be passed to the RGCO at
the same time that the applicant completes
their stage of the pFACT sign-off
http://pfact.bbk.ac.uk/login.aspx
www.bbk.ac.uk/rgco
Contact information
Research Grants Office:
www.bbk.ac.uk/rgco
Liz Francis: extn 3146
George Eyre: extn 3144
[email protected]
[email protected]
Steve Smith /
[email protected]
Rassi Pelpola : extn 3149 [email protected]
Financial statements and reports
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