Frequently asked questions: Applying for External Funding (Update May 2012)
The Department of Research & Innovation’s (DRI) FAQ page will guide you through the
stages of applying for funding and gives further information about other related activities
such as contracts and Intellectual Property. Some helpful advice is listed below.
Frequently asked questions
Who manages research grant administration in Schools/Colleges?
Your first point of contact should be your College Research Officer who deals with research
grants. For Colleges without a Research Officer, responsibility for organising administration
of the proposal submission resides with the principal investigator (PI).
Who should I speak to about my application for external funding and subsequent
contract?
If you have any queries talk to your External Funding Officer in the pre award section of DRI.
Your DRI contact point:
Pre award contact points are:
Chris Beynon, External Funding Officer (Including Research Councils, Charities and FP7
Research) for Business and Economics, Law, and Science
Tel: 01792 29 5015 Email: c.beynon@swansea.ac.uk
Bethan Lewis, External Funding Officer (Including Research Councils, Charities and FP7
Research) for Medicine, Arts and Humanities
Tel: 01792 60 6895 Email: b.j.lewis@swansea.ac.uk
Adrian Walters, External Funding Officer (Including Research Councils, Charities and FP7
Research) for Engineering, Human and Health Science
Tel: 01792 51 3724 Email: a.s.walters@swansea.ac.uk
Debbie Saunders, European Funding Officer (Convergence projects, Marie Curie & Non
Research EU).
Tel: 01792 60 2094 Email: d.e.f.saunders@swansea.ac.uk
Julie Williams, Senior External Funding Officer & Head of Pre Award
Tel: 01792 29 5824 Email: j.williams@swan.ac.uk
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If you are unsure of who to contact or have a general enquiry, please contact 01792 295992
or email j.williams@swansea.ac.uk.
What support can pre Award provide?
For proposals and contracts with a total cost of £5,000 or more, DRI can provide:
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A review of all financial aspects of research grants and contract submissions before
sending to funding bodies to ensure quality and consistency;
Advice to academic and administrative staff on research grant applications including
sponsors' terms and conditions;
Advice on EU funding opportunities and on proposal preparation;
Final electronic submission of proposals, including Je-S submission;
Advice on EPSS submission
Contract review and negotiation.
My proposal is not yet complete and my budget is in draft – should I send it to DRI?
Yes, but in order to maximise the added value provided by the Pre Award team, you are
required to submit the final budget and proposal text to DRI at least 5 working days before
the submission deadline. This allows time for checking and amending as required and time
for institutional authorisation. It also enables DRI to bring in colleagues who can provide
valuable advice and input at the bidding stage e.g. HR on staff costing and recruitment or
external agencies we work with.
Can DRI help me write my proposal?
The responsibly for writing the scientific case for support rests with the PI and he/she is
strongly encouraged to seek advice from experienced researchers within the University,
using support structures such as SURF. DRI will advise the PI of the funding body’s terms and
conditions and can provide advice on evaluation criteria and input to standard sections such
as University policies, IP and project management, impact and policy. Time permitting, DRI
can also read through a draft proposal and provide feedback to PIs.
What happens if I submit a budget which is incomplete?
It is important to submit draft documents to DRI well in advance of the submission deadline
(at least 10 working days) so that there is time to review and make corrections to the
proposal. All proposals must be routed through DRI, but DRI will not check and verify
proposals with a total cost of less that £5,000.
You will be contacted and asked for the missing information. This may be via a telephone
call or email. Documents cannot be fully checked and authorised until all of the information
is received and finalised. You need to forward the final project budget and draft application
to your External Funding Officer for verification, and complete the Institutional
Endorsement Form (IEF) at least 5 working days before the submission deadline. Proposals
submitted later than three days preceding a sponsor deadline may not be subject to the DRI
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due diligence review. Currently, DRI will still submit the proposal but any resulting errors will
be the responsibility of the College.
Why does DRI need to have 5 working days to review my proposal/contract?
There are several straightforward reasons for giving DRI adequate time. These include
internal authorisation requirements at Swansea University, getting help with budgets,
advice on completing application forms and drawing on experience with submitting previous
proposals. Mistakes made at proposal stage in terms of budget and intellectual property
provisions could prove costly. Please be aware any financial losses due to miscalculations or
budget omissions will impact directly on the College Business Plan. Please inform us at an
early stage to avoid delays and problems later and bear in mind that there is often a high
volume of grants passing through DRI at any given time. More complicated grants may
require a longer authorisation period, and may be subject to a risk review. Applications for
European funding or major projects can take several months to prepare due to their
complex nature. Please contact us in plenty of time so that we can provide support and
help you maximise your chances of success.
Why do I need authorisation?
All applications and contracts for external funding require authorisation from your Head of
College and DRI, in particular the budget, before submission. This is to ensure conformity
with University strategy and compliance with University and funding body procedures.
When it comes to obtaining signature or negotiating a project with the sponsor you will
require the signature of an authorised signatory in DRI or Finance to participate legally.
Details of the timetable for submission is provided at:
http://www.swansea.ac.uk/research_innovation/ResearchandProjectSupport/Preaward/SubmissionPolicyProcedures/
What is the IEF?
The Institutional Endorsement Form (IEF) must be completed for all applications submitted
for external funding. Please complete the form, attach a copy of the funding application and
return to the Department of Research and Innovation at least three days before submission.
The IEF must be printed and signed by both the PI and a College authorised signatory.
The Head of College confirms the following on signing the IEF: “I confirm this project
complies with all relevant University policy including conflict of interest and that any
additional insurance requirements have been considered. I hereby give my authority for the
proposal to be submitted to the sponsor/funder and for DRI to enter into negotiations,
where appropriate, on behalf of the University.”
Is my Project Research or Consultancy?
The IEF asks whether the project will be Research (R code) or Consultancy (C code).
Research is defined by the conventions set out in the Frascati Manual, the internationally
recognised methodology for collecting and using R&D statistics. It defines research as
follows:
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Research and experimental development (R&D) comprise creative work undertaken on a
systematic basis in order to increase the stock of knowledge, including knowledge of man,
culture and society, and the use of this stock of knowledge to devise new applications.
The term R&D covers three activities: basic research, applied research and experimental
development.
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Basic research is experimental or theoretical work undertaken primarily to acquire
new knowledge of the underlying foundation of phenomena and observable facts,
without any particular application or use in view.
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Applied research is also original investigation undertaken in order to acquire new
knowledge. It is, however, directed primarily towards a specific practical aim or
objective.
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Experimental development is systematic work, drawing on existing knowledge
gained from research and/or practical experience, which is directed to producing
new materials, products or devices, to installing new processes, systems and
services, or to improving substantially those already produced or installed. R&D
covers both formal R&D in R&D units and informal or occasional R&D in other units.
The Frascati Manual lists situations where certain activities are to be excluded from R&D
except when carried out solely or primarily for the purposes of an R&D project. These
include: routine testing and analysis of materials, components, products, processes, etc;
feasibility studies; routine software development; general purpose data collection. The later
stages of some clinical drug trials may be more akin to routine testing, particularly in cases
where the original research has been done by a drug company or other contractor.
The classification of externally funded activity as Research within the coding structure (R or
V coded) is essentially governed by three main limitations:1) Activity must comply with the Frascati definition for Research.
2) HESA guidance will take precedent although this is formulated on Frascati definition
e.g. specific DTA and CTA activity is excluded and although the activity may be
Research if Swansea is not delivering the work per se it cannot include the activity in
REF (see guidance issued by Management Board below).
3) Activity must be governed by a time limited contract for a specific purpose. Typically,
the sponsor will define a budget but internal discretion may be applied in cases
where it is not.
Other externally funded activity not meeting the Research definition and requirements
stated above may be classified as other services rendered (C coded) provided:
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Activity must be governed by a time limited contract for a specific purpose. Typically, the
sponsor will define a budget but internal discretion may be applied in cases where it is
not.
Submitting Applications
How do I get Access to online systems e.g. Je-S?
Online electronic submission applications are used by the Research Councils, various
charitable organizations, the EC and MOD and some industrial and overseas funders.
For Je-S, (used by The Research Councils) the Je-S website will take you through the steps
necessary to create a Je-S account: https://je-s.rcuk.ac.uk
Other funders: As a general rule, the funder’s website will have details on how to register
with the funder. If unsure, contact your External Funding Officer.
How are Proposals Authorised?
All applications and contracts for external funding require authorisation from your Head of
College and DRI, in particular the budget, before submission in line with Swansea University
submission procedures.
The authorisation procedure is summarised below:
Step 1: Final costing (over £5000) checked by DRI, overhead contribution estimated, budget
deemed viable and approved by a Head of College.
Proposal finalised and ready to submit, along with any required attachments.
Step 2: Internal SU authorisation is given using the Institutional Endorsement Form.
PI completes data on IEF, using final agreed budget and proposal details.
PI prints IEF and signs hard copy, passed to HoC.
Head of College signs IEF.
DRI signs IEF
IEF retained with copy of final proposal in DRI.
Step 3: Submission to Funding Body
either E-submission
PI submits to College approver
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College approver approves and submits to DRI approver pool
DRI approver submits to funding body
or Paper submission.
Head of College signs proposal form
DRI authorised signatory signs for proposals up to £500k
DRI confirms checks have been made and will then take paperwork to Finance to sign for
proposals over £500k
Paper copy returned to PI for submission to funding body.
Who are the authorised signatories in DRI?
In line with Swansea University Financial Policies and Procedures, proposals and contracts
must be signed by an authorised signatory. Once the contents of the contract have been
agreed by all parties, the contract must be signed by a University authorised signatory, listed
below (not the Head of College). In some instances, PIs or students may also need sign.
DRI authorised signatories for all proposals and for contracts up to £500k:
Head of Department of Research and Innovation – Jan Nielsen
Deputy Head of Department of Research and Innovation – Ceri Jones
Research Support Manager – Colin Elvins
Senior External Funding Officer – Julie Williams
Research and Innovation Accountant – Huw Evans
Who are the authorised signatories in Finance?
DRI will take paperwork to Finance to sign for contracts over £500k:
Signatories in Finance include: Director of Finance – Phil Gough, Senior Assistant Director of
Finance – Annette Jones.
What happens when my grant is successful?
The pre award section of DRI provides support with the acceptance of proposals. DRI also
provides central administration of all research grants and contracts awarded to the
university including initial cost-code set up and set up of budget. Post award tasks include
funding authorisation for staff appointments, sponsor invoices and claims, compliance of
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expenditure with sponsor rules, final audit and close-down of grants. PIs will need to involve
DRI in transfers to/from other higher education institutions
The procedure for obtaining Head of College Approval is summarised below:
1. Offer of grant made;
2. Head of College Acceptance form is issued to PI to sign and accept offer of grant;
3. Form passed to HoC to sign to confirm that DRI can enter into negotiations and
accept the award, if required;
4. Upon completion of negotiations, DRI will sign the contract on behalf of the College
and the code will be issued;
5. Once signed on behalf of the University and the Sponsor, one fully executed copy is
retained by DRI. It is advisable for the PI to also keep a copy to refer to during the
project.
If required, negotiations with the funding body can only be entered into and concluded once
the HoC form is signed and received by DRI. The length of negotiations varies depending on
the funding body and for standard contracts such as RCUK, they are not usually required.
Once negotiations are complete a financial code will be allocated and the PI notified.
What is the process for managing contracts, collaboration agreements and sub contracts?
DRI is responsible for negotiating and approving the terms of all externally funded related
agreements on behalf of the University and for providing advice about research-related
contractual and intellectual property matters. Research Councils and major sponsors have
standard contracts that in most cases do not require much negotiation. DRI can assist you
with agreements covering:
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Sponsored research including subcontracts
Research-related and consultancy services for industry
Confidentiality and non-disclosure of information
Transfer of proprietary materials
Any other sponsored work involving the university
At proposal submission, the budget and proposal should have been checked and authorised
by the College and DRI in line with the University submission procedures and this will form
the basis of the contract or grant agreement.
DRI has a number of model contracts available and a library of reference contracts. This
includes Sponsors’ standard contract which are often used as the basis for negotiations.
Examples of the types of contract available in DRI include:
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Sub-contracts to other universities
Collaboration and Consortium Agreements
Material transfer agreements (MTAs)
Confidentiality agreements (NDAs)
Further guidance is available from your External Funding Officer in DRI.
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Do I need a Collaboration Agreement or a Sub-contract?
One contracting party (normally the sponsor, or lead contractor in a subcontract or
consortium) will produce the first draft. Contracts with industrial partners typically require
more negotiation.
To summarise:
If Swansea University is involved in a collaborative proposal and the collaborator is named
in the proposal, then your EFO will take the lead on initiating the collaboration agreement
or for reviewing agreements sent to Swansea by the lead sponsor. If the collaborator or
sub-contractor is not named, your College may be able to make use of a simple template
agreement prepared by DRI. For sub-contracts with value <£10k, the College may be able to
process through a purchase order.
Values between £10k and £30k, DRI can advise if required. For values >£30k, you should
contact the procurement office.
Further guidance is available from your External Funding Officer in DRI and from the
Procurement Office in Finance.
What advice is available on Intellectual Property?
DRI is responsible for protecting intellectual property rights and coordinating the
exploitation of new intellectual property through licences or spin-out companies.
An outline of the Department of Research and Innovation's Intellectual Property services
and processes is available on the University website:
http://www.swan.ac.uk/business-and-industry/access-toip/intellectualpropertyandrelatedpolicies
Initial enquiries should be directed to 01792 606555 or info@swanseainnovations.co.uk
European and Overseas Research
Who do I talk to about European funding?
For initial advice on EC (FP7) proposals, proposal writing and consortium agreements you
should speak to your External Funding Officer or Julie Williams who leads on European
Funding opportunities in DRI. J.williams@swansea.ac.uk tel: 01792 295824. For European
Funding Programmes in the areas of Structural Funds, Interreg, Innovation, Life Long
Learning, Marie Curie and non-research Funding, you should contact Debbie Saunders,
European Funding Officer d.e.f.saunders@swansea.ac.uk tel: 01792 602094.
What is the University’s P.I.C.?
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Swansea’s P.I.C. (Participant Identity Code) is 999862033
The P.I.C. is used on the EC’s online submission system for FP7 and allows some of the
institution’s admin details to be pre-filled from the EC’s database. Applicants must still
obtain authorisation from the University to submit proposals.
What is the University’s cost model/rate for indirect costs for FP7 Applications?
Swansea University uses the Special Transition Flat Rate, which means that our indirect
costs are calculated on the basis of a flat rate of 60% of our direct costs.
This applies for Collaborative research projects. Please consult DRI for advice and also refer
to the European Research Funding FP7 2011 Information Guide.
Who is the University's authorised signatory/contact person for legal information, etc.?
At the application stage the P.I.C. (Participant Identity Code) should be sufficient. This will
pre-fill the forms with the necessary admin information.
If you need further details, or if the proposal has been accepted and you are at the stage of
filling in Grant Preparation Forms, the admin details you will need for the Grant Proposal
forms are:
For proposals the authorised signatory is Julie Williams, Senior External Funding Officer,
j.williams@swansea.ac.uk tel +44 1792 295824 or Ceri Jones, Deputy Head of Department
of DRI, c.d.jones@swansea.ac.uk tel +44 1792 295992.
The ‘Person in charge of administrative, legal and financial aspects in this project’ will be
your External Funding Officer. Please refer to the DRI contact points listed above. It is
important that this contact point is in DRI to enable us to interact with the claims etc. once
the project is approved for funding.
What exchange rate should I use?
You should use the current rate for proposals provided by DRI which is updated monthly.
DRI currently has a FP7 spreadsheet which is a costing tool to build up your FP7 budget.
Please contact DRI to request a copy and advice on preparing the budget.
Once a contract is in place, claims for grant in Euros must always be prepared in
consultation with DRI and signed off by an authorised signatory. Claims prepared in Euros
are on the basis of the exchange rate that would have applied either on the date that the
actual costs were incurred or on the basis of the ECB rate applicable on the first day of the
month following the end of the reporting period.
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Research Conduct and Ethics
I have an ethics form to fill in, is there anyone who can help me with this?
This will depend on what level of help you need and which College you are in.
Link to University ethics statement http://www.swansea.ac.uk/registry/academicguide/OtherUniversityRegulations/EthicsPolic
y/
School committees may have guidance on their web-pages e.g. Business and Economics http://www.swansea.ac.uk/sbe/research/ethics.php
ESRC has a requirement that all proposals must follow an ethics review; hence reference to
the guidance above.
A University policy is being prepared.
I have NHS Ethics Approval, why do I need University approval too?
A number of activities require ethical scrutiny/approval by an outside body (e.g. the NHS).
However, the matter also needs to be referred to the relevant departmental/subject-level
ethics committee so that it can consider the project from a departmental/University
perspective.
How can I get information about insurance covers at Swansea?
Information is held in the Finance Department by the Insurance Administrator, Alison
Spence.
Alison is contactable on +44(0)1792 295434, or by e-mail: a.j.spence@swansea.ac.uk
Further detail on insurance can be found here:http://www.swansea.ac.uk/Finance/StaffInformation/Insurance/
Where do I find VAT number, Bank Account details and SWIFT codes, charity number etc?
Contact DRI for these details. A link to these details will shortly be available via the intranet.
Detailed information on VAT is available from the Finance Department.
http://www.swan.ac.uk/finance/staffinformation/vat/
Does the University have a DUNS number?
The D-U-N-S Number for Swansea University is 232227629. This is required for submission
of some international proposals.
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