Research & Enterprise Services (RES)
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MyProjects User
Guides
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Approved: 30/07/2013, Reviewed: 01/04/2015
Research & Enterprise Services (RES)
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Contents
1.
General Guide and Common Fields ................................................................................................ 3
2.
UN Research.................................................................................................................................... 5
3.
4.
2.1.
Research .................................................................................................................................. 5
2.2.
Research Capital Projects........................................................................................................ 7
2.3.
KTP Projects ............................................................................................................................ 7
BDD Commercial ............................................................................................................................. 8
3.1.
Consultancy ............................................................................................................................. 8
3.2.
Facilities................................................................................................................................. 10
3.3.
Teaching ................................................................................................................................ 12
3.4.
Training / CPD ....................................................................................................................... 15
3.5.
Non-Res Funding Capturing .................................................................................................. 17
UN BDD ......................................................................................................................................... 19
4.1.
Collaboration Agreement...................................................................................................... 19
4.2.
Memorandum of Understanding (MoU)............................................................................... 21
4.3.
CDA-Origin Internal and CDA–Origin External ...................................................................... 23
4.4.
MTA Mtls. In & Mtls. Out ...................................................................................................... 24
4.5.
Technology Licence ............................................................................................................... 25
4.6.
Trade Marks .......................................................................................................................... 28
4.7.
Patent Family Project Type ................................................................................................... 30
4.8.
Equity Holding ....................................................................................................................... 32
4.9.
Freedom of Information (FOI) Requests ............................................................................... 34
4.10.
General Other ................................................................................................................... 35
4.11.
Opportunity....................................................................................................................... 36
4.12.
Funding Project ................................................................................................................. 38
4.13.
Initial Interaction ............................................................................................................... 40
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Research & Enterprise Services (RES)
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1. General Guide and Common Fields
This guide is intended to cover the majority of cases for any particular project type. If you have an
outlying case please contact a member of the Policy & Information Team for advice.
Header & Project Details
Company details – should refer to main funder, defined as being the primary funder (for more
information please see guidance on setting up new companies / Form 3 Codes).
SAP Reference – If the client is not in SAP then a new customer account should be requested and
Credit control contacted for credit check. If the client is in SAP then the credit limit should be
checked.
Type and Status – Project type will vary, please see individual project type guides.
Owner - Key contact in RES (Research & Enterprise Services) for the Project
Created by – Person who created project, in the case of a staff member leaving this should be
changed to the owner.
Priority – Unused
Financial Summary (where visible) – See relevant guidance on updating a project
Attributes Section – In this section you can flag up whether the project has specific consideration
e.g. IPR or requires ethical approval, you can also flag whether it is part of a specific funding stream.
(To amend the attributes please see the second tab in the edit project details screen).
Synopsis / Notes – It’s useful to have a short synopsis of the projects, flagging up keys words that
may be associated with it for searching purposes. If there is no value associated with the project
please write “No Cash Value” in the notes field.
Key Documents – These are the agreed key documents that should be associated with each project
type.
Online Forms – For Research only, preliminary ethics forms are currently displayed here.
Related Projects – For projects which are directly related to one-another.
Actions & Activities
Actions: Should be used to set actions for oneself or for other MyProjects users. These should be
succinct. A change in status should normally have an associated entry in the actions tab.
Comments & Activities: Should be used for general notes on the project or to log interactions such
as telephone conversations. Where possible it is best practice to use one text box for multiple
entries on the same issue/problem/activity type just updated with your text along with the date and
your name. Same principle for actions.
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General: It is personal choice on how much information is recorded as notes, but there should be
enough to inform colleagues of what you have been doing on a project and allow them to pick it up in
your absence. It would be expected that brief succinct notes would be entered after a phone call,
meeting or email exchange around a project. In the case where you have to copy detail from another
sources such as an email into the notes please remove as much non-essential information as possible.
Project Team
Client / Sponsor / Funder Team Members
There should be at least one noted contact for each project; this can be a specific named individual
or a general contact. Where possible a specific contact should be named as collaborator, this will
enable them to send emails into the projects.
Academic / Collaborative / Other Delivery Team members
Ordinarily there should always be a PI (Academic) and Administrator (supporting RES Staff member)
associated attached to every project. As complete an academic project team should be added to
each project (one Principle), there is no limit to the number of collaborators. Academic unit support
should be added as ‘support’. Additional role types ‘RA’ & ‘Technical’ are available on some project
types.
Student Team Members
Not currently used.
Documents
MyProjects supports different versions; therefore ideally all key versions of documents should be
uploaded. As a minimum standard final version and signed documents must be uploaded.
Emails
All emails relating to the project should be copied into the project; any named project team
members (including external staff) can send emails into the project provided that they are named.
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2. UN Research
2.1.
Research
Definition: Any project should be classified as a research project where the activities can be classified
under the frascati definition as research.
Status Points (Not all will be needed with every project)
Initial enquiry
 Use up until application submission.
 The key fields to record are: Company Details, Rec’d Date, Rec’d by, Title, PI
Submitted
 Use once application submitted to funder, internal authorisation has been given, costs
signed off, meets funder terms and conditions, university due process followed and all well
with application or issues flagged for review if successful.
 Notes updated with a thought process on application checks carried out and put in for data
entry. Once status changed filed away in cabinet awaiting outcome. Key documents should
have the final submitted application, final agreed financial submission report and a copy of
the fully approved MyProjects Proposals Summary.
 Documents to be uploaded: MyProjects Proposals Summary/application/costings from other
organisations
 The key fields to record are: MyProjects Proposals reference, Internal peer Review (by and
on), Project team (PI from Faculty and Funder), Submission Date, MyProjects Proposals Sign
–off, Upload application, T&Cs, guidelines, appropriate financial submission report, other
University costs. Preliminary ethics .
Withdrawn
 Applicable status if application or award is withdrawn at any point in application checking.
File destroyed.
 Ensure that the Reason for withdrawal is stated
Unsuccessful
 Use if the application is rejected by funder, all key documents uploaded (if not yet uploaded)
and file destroyed.
 No further fields needed.
Awarded
 Change to this status once the PI has been notified that the Application has been successful.
Awarded and set up
 Change to this status once all relevant award documents received, set up checklist
completed, data entry of all relevant information required by Contract Financial
Management (CFM) and Management Accounts (MA) into specific MyProjects tabs.
Contractual position assessed and checks on compliance with applicable policies.
 Relevant actions set on CFM and MA to create an account based upon the information in
the set up checklist.
 Key fields: Finance Title (max 20 Characters), Award Letter, Client Order reference, finance
reference (if you do not know the finance reference but have to proceed please type in TBA.
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If you do know the reference please ensure no leading or trailing spaces), VAT status, Date
sent to finance, Award start and Award end date.
Attributes entered as per set up checklist.
Archived
 File removed from cabinet, all key documents that hadn’t been historically uploaded should
be uploaded, put on digital archive list, notes should indicate G&C and box number. Hard
copy docs sent to archive at Team Valley/Balliol.
 Any variations in project data relating to the RES account are subject to completion of a
project variation form submitted to CFM advising of the change to be made and providing
evidence that this is change has been ratified by the Funder.
Specific Tabs Guidance
Header / Project Details Tab
Finance Reference
App Costing/Pricing - Phase created and price for Newcastle taken from the MyProjects Proposals
Summary at data entry stage.
Award Costing/Pricing - Phase created once we receive award paperwork/contract and populated
with the amount of income due to Newcastle only.
In-Kind (In) - Records in-kind contributions to a project by an external organisation. Action set at
award data entry for this to be completed within three months.
In-Kind (Out) - Should be completed to show in-kind contribution to project by Newcastle University.
Very occasional use. Mainly no cash value awards.
Documents - Following folders always used:
- Key Documents – Application, Final Contract should be uploaded here
- Emails – all emails relating to project should have BH copied in or forwarded to BH if
from external source.
- General – correspondence e.g. cover letters for return of contracts.
- Application – copy of final application where multiple docs, and/ or where we are not
the lead. As a general rule application is already uploaded as a key document.
- Award – we upload all documents required to enable CFM to set up the RES account e.g.
MyProjects Proposals Summary, application, contract, setup checklist.
- Variations – variation to contract paperwork.
Upload final executed versions of contracts. Drafts are held on RES drive in the corresponding folder.
Funders/Collaborators - This tab is always used to record Funder and all Collaborators on the
project.
SAP – Feed from SAP system. Used so the PI can see the spend on the project.
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2.2.
Research Capital Projects
The Research capital project type should be used to record donations / capital grants specifically
identified as supporting research e.g. Wellcome Trust grants for a new building. Projects should
always be set up in the UN Research Account.
Guidance is the same as for Research.
2.3.
KTP Projects
The KTP project type should be used only for the KTP scheme and follow the same guide as the
research project type.
The only difference to the research guide is that at the outset the company should be set to the
commercial partner then changed to TSB at award.
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3. BDD Commercial
3.1.
Consultancy
Definition: This project type should be used when a project involves an external source of funding and
work involving professional practice and advice (which is not research as per the Frascati definition).
Examples of this are service evaluations and provision of advisory services.
If you have a consultancy project where the University is the procuring party and it is unrelated to an
external funding stream and you wish to record it. Please set it up as a consultancy project on the KT
account.
When a project fits into this category a KH account (BDD Commercial) should be set up at the initial
inquiry stage, and the Consultancy project type selected.
Status points Not all will be needed on every project
Initial enquiry
 When RES team initially approached by client or internally from an academic
 Input full company details including contact name (check if company already exists on
MyProjects to eradicate duplication, check address is up to date and registration number is
included (through Companies House)
 Source (name whether internal/external)
 Referrer (name)
 Date received
 If new company - carry out credit check with credit control (send company details to salesmaster@ncl.ac.uk)
 Insert details of project team – for client team name the contact for contract, and the
academic team populate with PI and collaborators, and whoever carries out distribution of
monies received
Enquiry being circulated
 When circulating internally to identify appropriate expertise/facility
Response Issued to Client
 When emails are exchanged prior to quote submitted
Quote Submitted
 When proposal submitted to client
 Costs will pull through automatically from MyProjects Proposals System when the link
between projects has been made. Price will be agreed and signed off at the same time.
 *Any change in price must be reflected in the MyProjects Proposals system and signed off.*
 Proposal to be uploaded to Key documents
Enquiry Closed
 When client decides not to proceed
 Provide reason for withdrawal
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PI notified
Order Placed
 When client formally agrees to proceed
 Client returns fully signed proposal, upload to key documents
 PI is notified that the project has been successful
 Purchase Order has been received and uploaded. If no PO, contact name is included in
project details
 Purchase Order date – use date order input onto MyProjects not date on PO (for consistent
kpi reporting)
 If client is not on SAP, request sent to Sales Master for set up along with Purchase
Order/Contract
 Upload new financial account request form onto Key documents tab
 Action sent to CFM to set up financial account
 CFM populate SAP field with account number
 Revenue tab scheduled as to when invoice is to be issued
Work in Progress
 When Order Place tasks complete
 Check with PI that work is complete before issuing invoice
Work Complete
 Action CFM to issue invoice
 After 30 days check if invoice has been paid
 Check with PI (SAgE and HASS)/Management Accounts (FMS) and School Administrator
regarding distribution of funds when invoice is paid
 Distribution populated on expenditure tab
Post-completion Assessment
 When awaiting feedback or case study
Project Closed
 When fund distributed set action for CFM to close financial account
 Close project
Specific Tabs Guidance
Documents - Following folders always used:
 Key Documents – blue form, Proposal/Final Contract should be uploaded here. For
superseded versions of contract – these are saved within emails on project, on versions
option of key documents
SAP – Feed from SAP system. Used for ease of reference.
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3.2.
Facilities
Definition: This project type should be used to record and manage facility usage and hire requests.
When a project fits into this category the BDD Commercial project account should be used.
Status points (Not all will be needed on every project)
Initial enquiry
 When RES team initially approached by client or internally
 Input full company details including contact name (check if company already exists on
MyProjects to eradicate duplication, check address is up to date and registration number is
included (through Companies House)
 Source (name whether internal/external)
 Referrer (name)
 Date received
 If new company - carry out credit check with credit control (send company details to salesmaster@ncl.ac.uk)
 Insert details of project team – for client team name the contact for contract, and the
academic team populate with PI and collaborators, and whoever carries out distribution of
monies received
Enquiry being circulated
 When circulating internally to identify appropriate expertise/facility
Response Issued to Client
 When emails are exchanged prior to quote submitted
Quote Submitted
 When proposal submitted to client
 Costs will pull through automatically from MyProjects Proposals System when the link
between projects has been made. Price will be agreed and signed off at the same time.
*Any change in price must be reflected in the MyProjects Proposals system and signed off.*
 Proposal to be uploaded to Key documents

Framework agreements for each standard test/service - costs signed off at start of period
e.g. one year and then used for each new project (KH) file irrespective of client.
Enquiry Closed
 When client decides not to proceed
 Provide reason for withdrawal
 PI notified
Order Placed
 When client formally agrees to proceed
 Client returns fully signed proposal, upload to key documents
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PI is notified that the project has been successful
Purchase Order has been received and uploaded. If no PO, contact name is included in
project details
Purchase Order date – use date order input onto MyProjects not date on PO (for consistent
kpi reporting)
If client is not on SAP, request sent to Sales Master for set up along with Purchase
Order/Contract
Upload new financial account request form onto Key documents tab
Action sent to CFM to set up financial account
CFM populate SAP field with account number
Revenue tab scheduled as to when invoice is to be issued
Work in Progress
 When Order Place tasks complete
 Facilities manager forwards RES a copy of the final report detailing test results to signal work
is complete.
 Final report is uploaded to MyProjects
Work Complete
 Action CFM to issue invoice
 After 30 days check if invoice has been paid
 Check with PI (SAgE and HASS)/Management Accounts (FMS) and School Administrator
regarding distribution of funds when invoice is paid
 Distribution populated on expenditure tab
Post-completion Assessment
 When awaiting feedback or case study
Project Closed
 When fund distributed set action for CFM to close financial account
 Close project
Specific Tabs Guidance
Documents - Following folders always used:
 Key Documents – blue form, Proposal/Final Contract should be uploaded here. For
superseded versions of contract – these are saved within emails on project, on versions
option of key documents
SAP – Feed from SAP system. Used for ease of reference
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3.3.
Teaching
Definition: This project type should be used when developing the following types of activity:
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Assistance to another organisation to develop a Newcastle-inspired programme
Co-operation with another organisation over the delivery of a Newcastle programme (the
second organisation providing some element of support)
Joint promotion of an activity.
Co-operation with other organisations in bids to support teaching-related activities, e.g. EU
funds such as Erasmus Mundus, Tempus or UK funds such as JISC, Higher Education Academy
and the British Council.
The development of new awards with partner organisations, including the development of
Joint PhD programmes.
When a project fits into this category a KH account (BDD Commercial) should be set up at the initial
application stage, and the teaching project type selected. When first considering a potential
teaching and learning link (UK or overseas) developers are asked to complete an Initial Proposal
Template (IPT) for review by the University.
Status Points Not all will be needed with every project
Initial Application
 When an IPT has been received or assistance sought internally from an academic.
 Input full company details (check if company already exists on MyProjects to eradicate
duplication, check address is up to date). NB Company is in most cases the funding body.
 Insert details of project team – the academic team populate with PI/collaborators and
support.
 Scan and upload key document Initial Proposal.
 Include in the notes IPT number.
 Include Synopsis, can take this from the IPT summary of proposal.
Invitation for Full Application
 When the IPT has been through the IPT approval process and deemed supported (from
HoS/Faculty and Institution).
 Include date of approval of the IPT in the notes.
Full Application Submitted
 If application has been finalised/authorised and submitted to funding body (which is the
company).
 Scan and upload to key document Blue Form.
 Scan and upload to key document Application.
 NB: budgets/mandates/financial and legal identification forms may also be uploaded into
documents at this stage (if applicable).
Application Closed
 If the IPT has not been supported or withdrawn (in actions and activities make a note of
reason for non support).
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If application unsuccessful, upload any feedback received from funding body.
Contract in Negotiation
 If the application submitted is successful.
 In actions and activities note the date of success and ensure relevant emails uploaded.
Contract Accepted
 When agreement/contract/award letter signed by both parties.
 Enter award date (contracts signed) in order date.
 Scan and Upload to key document Award Notificaiton.
 Ensure under costing/pricing that the phases/payment schedule added.
 Include in the notes any exchange rates (if applicable).
 If client is not on SAP, request sent to Sales Master for set up, ensure contact
name/telephone number included.
 Scan and upload new TAL account request form under documents/SET UP.
 Action CFM to create TAL account.
 CFM populate SAP field with account number.
Contracted Work in Progress
 If applicable, partnership/consortium/collaboration agreements should be now put in place.
 Scan and upload to documents once signed/finalised.
 Under revenue ensure payment/invoice schedule outlined.
 As outlined in the contract/payment schedule action CFM to issue invoice(s) over the
lifetime of the project.
 CFM upload invoice.
 As each invoice is raised, after 30 days check if invoice has been paid.
 If financial/reports claims part of the contract, ensure these are being complied with and
ensure documents uploaded.
 Check with PI that project work is completing and meeting milestones
(reports/meetings/blogs etc) are being met. These are crucial to know if payments can be
chased.
 If external audit required ensure completed as outlined in contract and documents
uploaded.
Contracted Work Completed
 Final report/financial claims completed/returned, if applicable.
 Scan and upload report(s) under documents.
 Check all Funding has been received.
Project Closed
 Reconciliation of account, if under/over for small amounts discuss with School Administrator
and using journal transfer ensure account reconciled.
 Scan and upload to documents/REPOST folder.
 Action CFM to complete repost(s).
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Ensure any funder evaluation reports uploaded.
Once distribution completed, request CFM close TAL account.
Specific tab Guidance
Documents - Following used:
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Key Documents – Initial Proposal, Blue Form, Application, Award Notification.
To create – and required by CFM:
 Set up – TAL account request form/Pre-finance Breakdown and Account Details.
 Repost – Where Journal Transfer.
Always ensure final executed versions of contracts have been uploaded.
SAP – Feed from SAP system. Used for ease of reference.
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3.4.
Training / CPD
Definition: This project type should be used for the recording and management of Training/CPD
projects (either accredited or unaccredited) where those projects have been commissioned by or are
majority funded by an external body. For example the commissioning of a short training course for a
company.
When a project fits into this category then the BDD Commercial account should be used.
Status points (Not all will be needed on every project)
Initial enquiry
 When RES team initially approached by client or internally
 Input full company details including contact name (check if company already exists on
MyProjects to eradicate duplication, check address is up to date and registration number is
included (through Companies House)
 Source (name whether internal/external)
 Referrer (name)
 Date received
 If new company - carry out credit check with credit control (send company details to salesmaster@ncl.ac.uk)
 Insert details of project team – for client team name the contact for contract, and the
academic team populate with PI and collaborators, and whoever carries out distribution of
monies received
Enquiry being circulated
 When circulating internally to identify appropriate expertise/facility
Response Issued to Client
 When emails are exchanged prior to quote submitted
Quote Submitted
 When proposal submitted to client
 Costs will pull through automatically from MyProjects Proposals System when the link
between projects has been made. Price will be agreed and signed off at the same time.
*Any change in price must be reflected in the MyProjects Proposals system and signed off.*
 Proposal to be uploaded to Key documents
Enquiry Closed
 When client decides not to proceed
 Provide reason for withdrawal
 PI notified
Order Placed
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When client formally agrees to proceed
Client returns fully signed proposal, upload to key documents
PI is notified that the project has been successful
Purchase Order has been received and uploaded. If no PO, contact name is included in
project details
Purchase Order date – use date order input onto MyProjects not date on PO (for consistent
kpi reporting)
If client is not on SAP, request sent to Sales Master for set up along with Purchase
Order/Contract
Upload new financial account request form onto Key documents tab
Action sent to CFM to set up financial account
CFM populate SAP field with account number
Revenue tab scheduled as to when invoice is to be issued
Work in Progress
 When Order Place tasks complete
 Check with PI that work is complete before issuing invoice
Work Complete
 Action CFM to issue invoice
 After 30 days check if invoice has been paid
 Check with PI (SAgE and HASS)/Management Accounts (FMS) and School Administrator
regarding distribution of funds when invoice is paid
 Distribution populated on expenditure tab
Post-completion Assessment
 When awaiting feedback or case study
Project Closed
 When fund distributed set action for CFM to close financial account
 Close project
Specific Tabs Guidance
Documents - Following folders always used:
 Key Documents – blue form, Proposal/Final Contract should be uploaded here. For
superseded versions of contract – these are saved within emails on project, on versions
option of key documents
SAP – Feed from SAP system. Used for ease of reference.
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3.5.
Non-Res Funding Capturing
Definition: This project type should be used when a project can NOT be classified as research or
consultancy (or derivatives thereof), but when it nevertheless is funding that RES works with. This
quite often will be a capital project. Good examples of this are funders like ERDF, Regional Growth
Fund, European Fisheries Fund, and other Government funds.
When the project fits into this category, a KH account (BDD Commercial) should be set up
immediately at the Initial Enquiry stage, with Non-Res Funding Capturing selected as the project
type.
Status Points (Not all will be needed on every project)
Initial enquiry
 Used when the RES team is initially approached by an academic
 Input full company (the main funding body) details, including contact name (check if
company already exists on MyProjects to eradicate duplication; check address is up to date
and registration number is included (through Companies House))
In Development
 Used when drafting the project bid (either expression of interest/project initiation plan/PIP)
or full business case, according to how the funder operates)
 Upload PIP to Key Documents
Submitted
 Used when full proposal is submitted to funder
 Costs/final price agreed, with match and grant award elements defined (update respective
tabs; match must also be put in award (all contributors, not broken down by phase))
 Upload proposal to Business Case area of Key Documents
In Negotiation
 Used when funder acknowledges receipt of the bid and enters into a negotiation period,
prior to full award
Rejected
 Used if funder declines the application
Withdrawn
 Used if the PI or University decides to not proceed with the application
 Provide reason for withdrawal
 All parties notified
Awarded
 Used when the funder formally agrees to the proposal
 Funder returns fully signed contract/funding allocation letter (upload to FAL area of Key
Documents)
 PI is notified that the project has been successful
 Update the “Regional Details” (revised expenditure plan = budget version number used for
reprofile) and “Attributes” areas of the project details as appropriate
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If client is not on SAP, request sent to Sales Master for set up along with Purchase
Order/Contract
Instruct project to complete OSR request form and send to RES officer
Upload new financial account request form onto Documents tab
Action CFM to set up financial account (providing them with the OSR request form)
CFM to populate SAP field with account number
Claims tab scheduled as to when invoice and claims are to be issued (claims tracked &
uploaded by CFM)
Create new folders (budget, outputs/results, evaluation, State Aid, audit, claims)
Project Closed
 Used when the project has finished its financial and other contractual (i.e. outputs)
obligations
 Closure letter/report is received from funder
 After 30 days, check if invoice has been paid
 Check with Management Accountant all funding has been received
Under Appeal
 Not used – To be deleted
Funder Withdrawn
 Not used – To be deleted
Specific Tabs Guidance
Documents - Following folders always used:
 Key Documents – proposal/final contract should be uploaded here. For superseded versions
of contract – these are saved within emails on project, on versions option of Key Documents
 Emails – all emails relating to project should have KH copied in or forwarded to KH if from
external source
 General – correspondence e.g. further information from clients
 Other folders: budget, outputs/results, evaluation, State Aid, audit, claims
SAP – Feed from SAP system. Used for ease of reference
Claims
 CFM to upload final claim into new folder, put invoice on claims tab
 RES to put value against the invoice
 “Received” tab is not used (equivalent to “Distribute” tab in consultancy)
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4. UN BDD
4.1.
Collaboration Agreement
Definition: A collaboration agreement provides a framework to define the rights and responsibilities
of the project partners to one another.
When setting up this project please ensure you link to the operational project (e.g. Funding,
Opportunity, Consultancy etc) and use the BDD commercial Account.
Status Points (Not all will be used with each Project)
In discussion / Set up





The period up to the contract negotiation phase.
Company : Add in details of industrial Partner/s and/or Academic Partner/s
Synopsis: Briefly describe the project - who are the parties and what is the role of each.
Notes: Note the start date and expiry date of the project & State the IP position.
Project team
- Client/Sponsor/Funder Team members: Contacts in industrial partner
company/academic partner institution.
- Academic/Delivery Team Members: PI- Inventor(s), Co-applicant(s), Support – BDM,
Project Manager.
In negotiation


The period between submission the first draft and close of negotiations.
Upload copies of relevant documents.
Closed no deal

Negotiations are closed, outcome is negative. Record reason.
Agreement in Place

The fully executed document received, upload copy.
Agreement Terminated

Use when project terminates before the end of the project , please record the reason.
Agreement Expired

Use when an agreement has reached the end of its term.
Project Specific Tab Guidance
Key Documents
Upload a copy of the final document.
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Actions
Set reminders to chase up replies to draft agreements sent to Parties.
Set reminder to update status at expiry date.
Costing/Pricing/Revenue/Expenditure
Do not use. This will be done in the BH account.
Documents


Final version of agreement
Any email correspondence relating to agreement.
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4.2.
Memorandum of Understanding (MoU)
Definition: “A Memorandum of Understanding (MoU) is a legal document describing a bilateral or
multilateral agreement between parties. It expresses a convergence of will between the parties,
indicating an intended common line of action and may not imply a legal commitment. It is a more
formal alternative to a gentlemen's agreement, but in some cases, depending on the exact wording,
lacks the binding power of a contract” (taken fromWikipedia).
When a project fits into this category then a KT account (UN BDD) should be set up at the Initial
Enquiry stage, with project type MoU selected.
Status Points (Not all will be needed on every project)
Initial Discussion
 Should be used when initial talks begin.
 Company Details: Input full company details, including contact name and an functional email
address (check if company already exists on MyProjects to eradicate duplication, check
address is up to date and registration number is included (through Companies House). When
overseas unable to check registration number.
 Project Team: At least one contact from the other party should be noted and the University
contact stated.
 Title: Should follow the following format. MoU followed by the counterparty organisation.
e.g. MoU with ITS Indonesia.
 Owner: Alan Tuck.
In Negotiation
 Used when the draft MoU is being finalised.
 Upload draft MoU to documents/draft MoU.
Closed – No Deal
 Agreement not reached. MoU not signed.
 In Actions/Activities include a note advising who has been involved in discussions and
agreement to not proceed.
Agreement in Place
 Once we have received the MoU back and has been signed from all parties, it is uploaded
onto the project as a Key Document.
 Identify date from MoU when it expires and insert action.
Agreement Terminated
 Within the MoU it is usual for either party to have the option to terminate. Scan and upload
relevant document.
Agreement Expired
 One month prior to expiry date, inform PI and the International Strategic Projects Manager.
 If MoU no longer of use.
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Project Specif Guidance
Documents: The following is used:
 Key Document: MoU.
To Create:
 Document/draft MoU.
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4.3.
CDA-Origin Internal and CDA–Origin External
Definition: This project type should be used when Parties are entering into discussions or negotiating
relating to the “Purpose” which is defined in the “Definitions” of the CDA. It requires the mutual
disclosure of Confidential Information.
When a project fits into this category then a KT account (UN BDD) should be set up at the Initial
Enquiry stage, with either project type:
CDA – Origin Internal
CDA – Origin External
Status Points: (Not all will be needed on every project)
Initial Enquiry
 Should be used from initial CDA request to sign off
 Details of all parties contact/address/Company Number etc
 Synopsis: should be populated with a brief project description
 Project Team: At least one contact from the other party should be noted and from the
University, the PI would be the academic.
 Notes: This should note the term of the confidentiality.
 Title: Should follow the following format. CDA Ext or Int (as appropriate) followed by the
nature of the confidential information being discussed (in brief)
Preparing Draft
 Should be used once the request for a CDA has been officially requested.
Submitted
 This status point is used once we are at the stage of sending the document to the other side
for signature.
Closed – Completed
 Once we have received the CDA back and has been signed from all parties, it is uploaded
onto the project under the “Document” tab and then the project is ‘Closed-Completed’.
The various versions are typically found by email trail which is found under ‘Documents’.
Specific Tabs Guidance
Documents
The following folders are usually created within the ‘Documents’ tab:
 Legal: Created if there are accompanying notes or documents to go with the MTA.
 General : Cover letters to the other side, general correspondence.
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4.4.
MTA Mtls. In & Mtls. Out
Definition: This project type should be used whenever Materials are transferred to or from the
University from another Organisation or location. For example when biological samples are sent from
a University Lab to a research group at another institution.
When a project fits into this category then a KT account (UN BDD) should be set up at the Initial
Enquiry stage, with project type MTA Mtls. In selected for incoming materials and MTA Mtls. Out
selected for outgoing material
Status Points: (Not all will be needed on every project)
Initial Enquiry
 Should be used from set-up until the MTA Questionnaire is completed.
 Company Details: Input full company (aka the main funding body) details, including contact
name and an functional email address (check if company already exists on MyProjects to
eradicate duplication, check address is up to date and registration number is included
(through Companies House)
 Synopsis: should be populated with a brief project description
 Project Team: At least one contact from the other party should be noted and from the
University, the PI would be the academic completing the MTA Questionnaire along with
Sarah Larvin as ‘support’ .
 Notes: This should note the materials being transferred to the requesting party.
 Title: Should follow the following format. MTA in or out (as appropriate) followed by the
nature of the materials and the counterparty organisation.
e.g. MTA (out) - Stem Cell – University of Liverpool
 Owner: Sarah Larvin
Preparing Draft
 Should be used once the online MTA Questionnaire has been received back from the
academic in order to prepare the first draft for review.
Submitted
 This status point is used once we are at the stage of sending the document to the other side
for signature.
Closed – Completed
 Once we have received the MTA back and has been signed from all parties, it is uploaded
onto the project as a Key Document and then the project is ‘Closed-Completed’.
The various versions are typically found by email trail which is found under ‘Documents’.
Tab Specific Guidance
Documents
The following folders are usually created within the ‘Documents’ tab:
 Legal: Created if there are accompanying notes or documents to go with the MTA.
 General : Cover letters to the other side, general correspondence.
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4.5.
Technology Licence
Definition: This project type should be used to manage the usage and hire-out of University related
IP.
Open a separate account for the Technology Licence in the UN BDD Account.
Status Points (Not all will be needed for each project)
Initial discussion.
 The period between the initial enquiry and the submission of the Heads of Terms to the
client
 Input full company requesting license details, including contact name (check if company
already exists on MyProjects to eradicate duplication, check address is up to date and
registration number is included (through Companies House)
 Link to parent project (Opportunity and/or Priority/PCT /National filing).
 The synopsis should include.
- The technology the client is interested in licensing
- The status of the IPR around the technology
- The fields and/ or territories the licence is being requested in
- Specify whether the license is software / non software
- The type of licence- exclusive vs non-exclusive
- The term of the licence
 Insert details of project team – for client team name the contact for contract, and the
academic team populate with PI and collaborators, and whoever carries out distribution of
monies received
In Negotiation.
 Heads of terms drafted and circulated for comment
Closed-no deal.
 No agreement was reached on the deal structure, the client was no longer interested,
technology no available. The reason should be recorded clearly in the notes field.
Drafting agreement.
 Heads of terms agreed and passed to the Legal Team for the legal agreement to be prepared
Documents submitted.
 First draft of the legal agreement passes to client for comments.
Agreement in place Legal agreement fully executed.
 A pdf copy of the signed agreement should be uploaded to the documents tab
 Following execution of the agreement the main points of the deal should be summarised
including
1. Exclusive vs non-exclusive
2. Fields of use licensed
3. Territories included in license
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4.
5.
6.
7.
8.
9.
10.
Upfront payment
Milestone payments
Royalty payments including minimums if agreed
Payment schedule
Agreement duration
Summary of how the income will be distributed between Faculty/ Institute/RES/PI
Link the Tech License Project to the appropriate patent project to capture recharge
Agreement terminated
 Legal agreement terminated before the term of agreement is reached. The reason for this
should be recorded
Agreement expired
 The term of the license has been reached
Project Specific Tabs
License Details
License Type- exclusive vs non-exclusive
Licensed Field- fields in which licence is active
Licensed Territories- territories licence covers
Actions
Set up actions for the following (where appropriate)





Requests for sales statement from client, either quarterly, bi-annually or annually depending
on the terms of the agreement
Invoicing for upfront payments, revenue payments, milestone payments etc
Reposting of income
Include prompt 6 months before end of license term to renegotiate licence with client or
look for new licensee
Include date of expiry of licence.
Project Team



Client
All contacts in client company involved in license
Academic/Delivery Team Members
PI- Inventor(s)
Support – BDM, Legal Team
Costing/Pricing
Add in phases for licence, for example
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


Upfront payment/ payment on signing
Milestone payments
Royalties
Each year should have a separate phase
Revenue
Add phases to mirror those on the costing/pricing tab. Upload invoices raised to the appropriate
phase.
Expenditure
Add Phases to mirror those on the costing/pricing tab. Annually record the reposting of income to
Faculty/ Institute/RES/PI
Documents







Fully executed Agreement to key document tab
Agreed heads of terms
Financial account set up form
Sales statements
Reposting forms
Any correspondence in relation to the licence
All emails relating to the license
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4.6.
Trade Marks
Definition: Trade marks are used to distinguish goods and services from competitor offerings, the
University may on occasion apply for these to protect its IP or on behalf of putative spin-outs. Use
this project type when applying for trademarks from the intellectual property office. Use the UN BDD
project account.
Link to parent project (e.g. Opportunity, Patent Family etc).
Status Points (not all will be needed on every project)
Preparing Application / Project Set – up





Company: Add in details of industrial Partner on grant or “University of Newcastle BDD
Projects” if there is no industrial Partner.
Synopsis: Briefly describe trademark name
Notes: Trade Marks under consideration and deadlines for application (include conflicting
trademarks if appropriate)
Project team:
- Client/Sponsor/Funder Team members: Usually the UK Intellectual Property Office Patents and Trademarks
- Academic/Delivery Team Members: PI- Inventor(s), Co-applicant(s), Support – BDM,
Project Manager, Administration
Note internal deadline for submission in the note’s
Application Submitted




Use this status point once an application has been sent to the IP Office
Synopsis: Note application number
Notes: Update deadlines and conflicting trade marks information
Upload a copy of the final application.
Not Accepted – Appealing


Use this status point if a negative opinion given by the IP office, but where an appeal is being
pursed. Include reason for refusal in the notes field.
Include all relevant correspondence in the document and email tab.
Accepted & Published

Use this status point for recording when a trade mark has been accepted by the IP Office and
has been published, where it is in the consultation stage before actual registration.
Opposed – Appealing

Use this status point when third party observations or other objections have been raised in
the accepted and published status.
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
Record the objections.
Application Refused

Use this status point if the application is unsuccessful noting the reasons why.
Mark Registered

Use this status point to record a registered decision, please include all final documents.
Project Specific Tabs
Key Documents
Upload a copy of the final application.
Actions
Set up actions for the following (where appropriate)


Internal deadlines for submission (e.g. to patent and trademark office)
Final deadline for submission
Costing/Pricing/Revenue/Expenditure
Do not use.
Documents



Final version of IPO application
Any correspondence in relation to the trademark application
All emails relating to the trademark application
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4.7.
Patent Family Project Type
Definition: This project type should be used for the recording of new/ potential patent applications
and their management. A new project should be opened for each patent filing and any projects linked
to a parent project e.g. Opportunity, Priority or PCT filing.
This project type should be set up on the UN BDD account.
Status Points Not all will be appropriate to each project
Drafting
 Set this as status pre-filing at the Patent Office
 Synopsis, Include:
- Describe detail e.g. PCT/UK priority/ US continuation, EP divisional etc.
- Describe the Invention(s) disclosed e.g. cell line, method of making cell line, use of cell
line for treatment of disease X.
- Note the reason for filing, for example:
i)
Imminent disclosure – e.g. patent/scientific publication/oral disclosure at a
conference (attach actual publication/include reference to conference and date
of disclosure).
ii)
Patent – e.g. for attracting funding.
iii)
Potential commercial application/Licensing opportunity.
iv)
Protect invention prior to entering into collaborative research/funding.
 Company: When managed by Newcastle set as ‘University of Newcastle BDD Projects’ or
when managed
 Notes. Where appropriate include the following information:
- Patent Ownership: e.g. 100% Newcastle or 50% Newcastle, 50% Company etc. Please
reference any relevant agreements.
- Management arrangements when not managed by NCL.
- Note of multiple priority claims.
- Note any Claim amendments made during prosecution e.g. response to US restriction
requirements, revised claim sets filed etc.
- Note any divisional applications.
- Reference immediately relevant Prior art, e.g. inventors own prior art and dates of
disclosure.
- Note whether claims have been filed and whether search report requested?
- If not a first filing, the subject matter added to this application should be highlighted.
- Include a link to the WIPO/EPO/national online file where available.
 Title: Include the 2 letter country code in the Project Title (e.g. GB, WO, EP, US etc).
 Priority Filing date: put in the earliest priority date. Update if first priority is withdrawn and
note in notes section.
Submitted
 Set this as status once application has been filed at the Patent Office.
 Update fields as needed.
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Open


Set this as status when patent is pending or granted.
Update fields as needed.
Closed
 Set this as status when Patent is withdrawn, rejected or annulled.
 Update fields as needed.
Project Specific tabs / Actions
Patent Details
Fill in the fields:
 Priority Country: Use the drop down to select country (GB, US etc.)
 Patent application title: Use the official title.
 Application number:
 Agent: Patent Attorney
 Agent Case number: Enter the unique reference number used by the patent attorney for
this filing.
 Grant Number: Enter the Patent Number
 PCT submission date: Date of actual filing (note this is not necessarily equal to the filing
deadline).
Actions
Set up actions for (on the date and a reminder 2m in advance):
 PCT filing due date
 Estimated date of publication
 Office action response deadlines
 Deadlines for filing divisional/continuation applications.
Project Team
 Patent attorney contact details
 Contact details of manager if third party.
 PI- Inventor(s)
 Support – BDM
Documents
 Add patent as filed to key documents
 Create specific folders for patent office filing documents, invoices, prosecution
correspondence etc.
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4.8.
Equity Holding
Definition: This project type should be used to record any equity investments and holding the
University has in outside companies e.g. in spin-outs.
When the project fits into this category, the UN BDD project account should be selected.
Status Points: Not all will be needed on every project
Create Project / Pre-Formation
- Rec’d Date; Date project set up
- Rec’d by; main contact
- In the case of spin out company the title should include the provisional or actual company name in
the format “KT No.” “Spin out, JV etc.” “Name”
e.g. KT100279 - Spin-Out - Dymeryx Ltd.
- Include form 3 code – typically F: UK Industry
- Set up as a subset of an “Opportunity” (e.g. link) where this exists
- Rec’d Date; Date project set up
- Rec’d by; main contact
- Notes: Include brief summary of the commitment to patent costs where relevant
- Details: Briefly state the company purpose around the technology.
Closed No Company
- Move to this status if the spin-out is not going to progress. Ensure you record the reason for noprogress.
Company Formed
- Move to this status after Companies House registration. Record companies house details in the
synopsis
Dormant
- Move to this status if the company does not actively begin trading.
Company Trading
- Move to this setting when chargable activity begins e.g. company the company has active accounts.
- After setting this status the ownership and responsibility for maintaining the project transfers to
New Holdings (details)
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Ceased Trading
- Move to this setting if chargeable activities stop and the company reverts to existing only in name.
- Ensure the date and reason is (where possible) recorded.
Equity Sold
- Move to this status when all the University stock has been divested and commercial interests has
ceased.
Project Specific Fields
Equity Summary
Holding Valuation – leave blank for Newcastle Holdings future Use
Equity Holding – edit and set “event Type” to “ Initial share issue” on the “Holding Details” tab and
record holdings on “Holding Line Items” tab leave share price and company value at zero.
Newcastle Holdings will determine whether to update Future revisions to the Equity Holding Tab
Actions
Comments as necessary to inform others who may need to pick the project up -in the event of your
death for example, which could itself occur on an early schedule should you be absent for another
reason and leave your colleagues in the mire.
Project Team

Company Officers and contact details excluding those who are University staff who should be
included in Founders And University Support along with Support – BDM(until such point as the
company is trading at which this should be changed to a member of the Venture Unit .
Support should also include amember of the legal team. Include Student team members as
necessary.
Documents




Include folders to contain licence agreements, Business plans, Equity Casework Committee
submission, market studies etc.
Key Documents
Recommend permission letters to VC is dropped
BDM loads Equity Committee Minutes and Heads of Terms
Member of legal team load all other documents
Costing /Pricing , Expenditure and Revenue tabs
Rarely appear to be used – Legal could record costs. Leave blank for Newcastle Holdings future Use
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4.9.
Freedom of Information (FOI) Requests
Definition: This project type should be used for recording FOI requests and should be primarily be
used to record email correspondence about the request and about any information gathering
exercise that is carried out to fulfil the request. All FOI requests should be recorded by the
Governance team in ISS.
FOI requests are recorded on the UN BDD account
Status points
Open









When a FOI request is received
A title – a meaningful title should for quick recognition of the nature of the request.
Enter full details of the individual or company making the request (always check to see it
their details are not already listed before making a new record)
Synopsis area should be populated with a description of the request, date received and
therefore key response dates.
Source (name whether internal/external)
Referrer (name)
Date received
Insert details of project team –
o For client/sponsor/funder add the name of the person making the request should be
added.
o For Academic / Collaborator / Other Delivery Team Member add the new of the
staff in the Governance Office at Newcastle University who are responsible for
collating the response to the request.
Time spent dealing with the request should be detailed on the notes.
Project Closed
 When project the requested information has been collated and sent to the requester.
 Not sure if a copy of the submitted response should be saved as a document in the system
Tab Specific Guidance
Documents - Following folders always used:
 Emails – all emails relating to project should have KH copied in or forwarded to KH if from
external source
 A full copy of all correspondence should be kept in the folders, including the orginal request
and the final response from the institution.
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4.10. General Other
Definition: This project type should be used for the recording of projects where no other category
suitably describes their purpose. Examples of use include applications to regulatory bodies, licence
agreements and the recording of participation in competitions. The project type is used to set actions
and to store email correspondence.
Status points:
Open






When RES teams are initially approached by client or internally
Input full company details including contact name (check if company already exists on
MyProjects to eradicate duplication, check address is up to date and registration number is
included (through Companies House)
Source (name whether internal/external)
Referrer (name)
Date received
Insert details of project team – for client team name the contact, and the academic team
(where appropriate) populate with PI and collaborators.
Closed
 The stage at which a project is closed will depend on its nature
Tab Specific Guidance
Documents - Following folders always used:
- Emails – all emails relating to project should have BH copied in or forwarded to BH if
from external source.
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4.11. Opportunity
Definition: This project type should be used for recording projects where an academic comes forward
with a commercialisable idea e.g. an invention / service / product.
When a project fits into this category, then the Opportunity project type should be selected in the
UN BDD Account.
Status Point – Not all will be needed in every project
Open – up until preliminary evaluation.
 The following information must be recorded:
- Title of opportunity
- Brief description
- Rec’d date
- Rec’d by
- internal/external
referrer,
- company details
University scientist details,
Preliminary Examination – Business development manager and will assess the business opportunity
form and
 Identify type of opportunity (service, patent, licensing opportunity, research collaboration).
 A preliminary assessment will be completed to include description of opportunity,
ownership, funding source, patent search, freedom to operate search, publication search,
market opportunity, potential partners, summary and recommendations
 Ensure internal authorisation has been given to proceed with opportunity. Upload Signed
preliminary opportunity assessment questionnaire to my projects.
 Action/activity tab updated with a thought process on opportunity checks carried out.
Closed- Prelim.Eval
 Applicable status if opportunity is not going to be further developed due to eg prior art. The
Reason for closure must be documented
Full Evaluation
 If preliminary opportunity assessment questionnaire is approved then dependent on
opportunity type some /all the following activities may be initiated:
- identify partners (external or internal) and approach, put CDA in place
- negotiate heads of terms and agreement,
- negotiate costing/pricing, royalties
- consult with patent lawyer and file a priority patent if required.
- contact the venture team, evaluate and initiate the spin out process if applicable.
Note all these activities should follow the Universities internal approval process and appropriate
project types created and linked.
Dormant
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
Applicable status if opportunity not progressing. The Reason for dormancy must be
documented.
In Development
 Once partners (external or internal) have been identified, negotiations on IPR, heads of
terms and cost/pricing can be initiated. The opportunity may be closed at this point and
eg Spin Out or Technology Licence project set up. The opportunity project should be
linked to the new project (eg Spin Out) using the create sub project function. The
costing/pricing tabs will be populated as required.
Closed - Not Progressing
 Applicable status if opportunity not progressing, the Reason for closure must be
documented.
Closed – Spin Out
 Applicable status if opportunity not progressing. Use the create sub project to link
opportunity project to spinout project
Closed – Technology Licence
 Applicable status if opportunity not progressing. Use the create sub project to link
opportunity project to Technology Licence project
Specific Tabs Guidance
Actions/Activities
 Comment allows updates and comments on progress/ issues to be recorded
Project Team
 Internal University PI- Inventor(s)
 External Company
 Support – BDM
Costing/Pricing - Phase created and price for Newcastle taken from the blue form or agreement /
contract depending on what had been negotiated at data entry stage.
Award Costing/Pricing - Phase created once we have agreement paperwork/contract completed
and populated with the amount of income due to Newcastle.
Revenue - Records revenue to a project by an external organisation.
Expenditure - Should be completed to show expenditure to project by Newcastle University.
Documents
The following folders are usually created within the ‘Documents’ tab:
 Legal: Created if there are accompanying notes or documents to go with the MTA.
 General : Cover letters to the other side, general correspondence.
Upload final executed versions of contracts. Drafts should be e-mailed as attachments to KT.
SAP – Feed from SAP system. Used so the PI can see the spend on the project.
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4.12. Funding Project
Definition: The funding project type is used to record opportunities generated from academics which
they would like to fit with a translational grant fund, or where they plan to plan to submit an
application to a certain funding scheme. For example a clinician would like to get in some funding for
a clinical trial that s/he would like to run. This project would be set up whilst a translational funding
scheme was identified that fits the opportunity, and the agreements were negotiated.
Link to parent project (e.g. Opportunity, Patent Family etc).
Status Points (Not all will be appropriate to each project)
In preparation
 The period between the initial enquiry and the submission of the funding application.
 Input full company (main funder) detail including contact name (check if company already
exists on MyProjects to eradicate duplication, check address is up to date and registration
number is included (through Companies House). If there is no industry partner or
organisation then add ‘University of Newcastle BDD Projects’.
 Synopsis area should be populated with a brief project description
 If new company - carry out credit check with credit control (send company details to salesmaster@ncl.ac.uk)
 Insert details of project team – for client team name the contact, and the academic team
populate with PI, Collaborators and support staff including the BDM
 Notes should include (where appropriate) Funding calls under consideration and deadlines
for application plus a list of interested commercial partners.
Submitted
 The period between submission of the application to the funding body, and receipt of a
positive or negative outcome.
 Expected notification dates should be recorded.
 The final version application should be uploaded onto the projects in the document tab.
Pending
 The period between a positive output and award.
Enquiry Closed
 Funding application unsuccessful or award received.
Specific Tab Guidance
Actions
Set up actions for the following (where appropriate)
 Internal deadlines for submission (e.g. to JRO)
 Final deadline for submission
Costing/Pricing/Revenue/Expenditure
Do not use. This will be done in the BH account.
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Documents




Final version of funding application
Agreed heads of terms
Any correspondence in relation to the funding application
All emails relating to the funding application
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4.13. Initial Interaction
Definition: This project type should be used for interations of any type with an external party where
the future outcome is not known. This may be an impromptu meeting with a company or an contact
from a conference/exhibition.
When a project fits into this category, then the Initial Interaction project type should be selected in
the UN BDD Account.
Status Point – Not all will be needed in every project
Open – up until In Development.
 The following information must be recorded:
- Title of opportunity
- Brief description
- Rec’d date
- Rec’d by
- internal/external
- referrer,
- company details
In Development –
 The Business development manager will be taking the interaction further.
 Action/activity tab updated with the form of development
Closed - Not Progressing
 Applicable status if interaction not progressing, the Reason for closure must be
documented.
Closed – Progressing
 Applicable status if interaction is progressing. Use the create sub project to link to
appropriate projects. Links to existing projects can be made via the Project Details tab on
the related project.
Specific Tabs Guidance
Actions/Activities
 Comment allows updates and comments on progress/ issues to be recorded
Project Team
 Internal University PI
 External Company
 Support – BDM
Costing/Pricing - N/A
Revenue - N/A
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Expenditure – N/A
Documents
The following folders are usually created within the ‘Documents’ tab:
 Key Document: Use this solt for any document associated wit the interaction.
 Commercial Development Enquiry : Use this if there is a Commercial Development Enquiry
Form associated with the interaction
SAP – N/A
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