Handbook

1. In addition to the University Consultancy Policy, the University has a Research and Knowledge Exchange Strategy. This Strategy underpins and supports the University's strategic goal of being ‘committed to international level and world-leading research that is exploited and disseminated for the benefit of our communities’.
2. Building on the progress already made the research strategy for 2015/16 to 2020/21 has the overarching aim of 'investing for excellence'. There are three linked research objectives:
   1. to pursue and support research of the highest quality that is, or has demonstrable potential to become, recognised as internationally excellent or world leading.
   2. to promote and support collaborations and partnerships across the institution and with external partners locally, nationally and globally to enhance research excellence and support knowledge exchange.
   3. to enhance the impact of our research in its broadest terms, and widen dissemination of our research for the benefit of our communities, whether local, regional, national or global, including our staff and students
3. In the context of the Research and Knowledge Exchange Strategy, knowledge transfer activities include applied, user-driven research; consultancy; the management of intellectual property including spin-outs and licensing; collaborative business and community partnerships and similar partnerships. Building on the progress already made under HEIF2 and HEIF3, the strategy for HEIF4 and future knowledge transfer activities has the overarching aim of ‘investing for success’. There are four linked objectives:
   1. to increase the volume of applied, user-driven research and other knowledge transfer activity including commercialisation of intellectual property;
   2. to increase the amount of income derived from business, industry and Small and Medium Enterprises (SMEs) through, user-driven research, consultancy activities and licensing;
   3. to increase the number of collaborations and partnerships with industry through Knowledge Transfer Partnerships and similar schemes;
   4. to ensure that the research objectives (listed above) are not compromised but rather enhanced by knowledge transfer activities.

1. Research opportunities can be identified in several ways:
   • Research Professional (formerly ResearchResearch) - a source of funding opportunities and news on research policy and politics. It contains information on calls for bids and gives access to general and subject-specific research-related information. To register complete the online form.
   • UKRO Information Service - a searchable database of European funding opportunities, policy developments and funding news. Tailored emails can be set up. You must register on the website to access this function.
   • Talk to experienced colleagues in related disciplines. They will have knowledge of the funders who are most likely to fund research in your discipline.
   • Contact the Research Support and Governance team (RSG) - if you are looking for funding for a particular project or funding area we can help you identify possible sources.
2. Many funding bodies, such as the research councils, call for bids on specific topics by deadlines. Others operate a responsive mode, without deadlines, which enables you to submit bids throughout the year (for example, Engineering & Physical Sciences Research Council, Economic & Social Research Council). Some others also have a responsive mode but with particular deadlines (for example, Biotechnology & Biological Sciences Research Council, Natural Environment Research Council).
3. Which organisations provide funding for research?
   A wide range of funding bodies from Government Departments to charities provide funding for research. Below is a list of the main funding bodies together with a brief description of the areas they cover and a link for further information. Please note that this list is by no means exhaustive and information on a wider range of funding bodies can be found by consulting Research Professional
4. Research Councils UK (RCUK)
   Set up as a strategic partnership to champion science, engineering and technology, the seven UK research councils work together in RCUKto create a common framework for research, training and knowledge transfer. The Councils, established under Royal Charter, fulfil objectives set out by Government. The Councils are:
   • The Arts & Humanities Research Council (AHRC)
     The AHRC supports research from traditional humanities subjects to the creative and performing arts.
   • Biotechnology & Biological Sciences Research Council (BBSRC)
     The BBSRC funds academic research and training in the non-clinical life sciences.
   • Economic & Social Research Council (ESRC)
     The ESRC is the UK's leading research funding and training agency addressing economic and social concerns.
   • Engineering & Physical Sciences Research Council (EPSRC)
     The EPSRC funds research and training in engineering and physical sciences.
   • Medical Research Council (MRC)
     The MRC promotes research and trains skilled people in all areas of medical and related science with the aim of improving human health.
   • Natural Environment Research Council (NERC)
     NERC provides opportunities for research, training and environmental observations across the full range of issues relating to Earth System science.
   • Science and Technology Facilities Council (STFC)
     STFC funds grants in astronomy, particle physics, space science and nuclear physics and provides access to world-class facilities.
     The following bodies are classed as Research Councils for the purposes of the RAE and similar exercises:
   • British Academy
     The British Academy is the national academy for the humanities and social sciences, providing funding for grants in those areas.
   • Royal Society
     The Royal Society is the independent scientific academy of the UK dedicated to promoting excellence in science. It provides funding for research, education and training in the sciences.
5. UK Charities and Trusts
   Charity-funded research is of vital importance to Higher Education (HE) and to the national research effort. It is comparable in volume to research funded by the research councils - and within the medical field is significantly greater in volume. Charities are also significant research sponsors in the social sciences, social policy, and in the humanities, where there are fewer alternative sources of funding. This has sometimes provided long-term support to researchers and groups and a stimulus to address issues of social, political and practical importance that are not always recognised by traditional academic criteria. The following charities, foundations and societies are significant funders of research:
   Joseph Rowntree Foundation
   The Joseph Rowntree Foundation is one of the largest social policy research and development charities in the UK. It funds a research and development programme that seeks to understand better the causes of social difficulties and explore ways of better overcoming them.
   Leverhulme Trust
   The Leverhulme Trust funds research and education in all disciplines (although it is likely to favour proposals that do not fall under the direct remit of any of the Research Councils).
   Nuffield Foundation
   The Nuffield Foundation's grant-making reflects the Foundation's aim of bringing about improvements in society through research and practical experiment. The activities supported by the Foundation fall into two categories: support of research and innovation that will bring about beneficial social change; and development of research and professional capacity, especially in the sciences and the social sciences, targeted at people in the early stages of their careers.
   Wellcome Trust
   The Wellcome Trust is an independent charity funding research to improve human and animal health. Funding is also available for the study of the history of medicine.
6. European Union
   The European Commission (EC) is a major funder of research. The research it funds is usually covered by the following issues:
   • Research issues affecting more than one country;
   • Scientific expertise being distributed across Europe;
   • Enabling the cost of large-scale projects to be shared between countries.
7. The EC recognises the vital role research can play in helping to address many major issues facing the EU, such as improving industrial competitiveness or quality of life. Only research that is better carried out at European level rather than at Member State level will be funded, so EC research should be distinct from but complementary to research funded by Member States.
   Research is funded in several different ways:
   • Framework Programme for Research and Technological Development (Horizon 2020)
     The Framework Programmes have been running since 1984 and aim to promote European research and technological development by encouraging co-operation between educational and industrial partners in different countries.
     Horizon 2020 is the current major funding programme for research and technological development and runs for the period 2013-2020. Further information can be found on the Horizon 2020 webpage.
   • Other programmes
     Other EC programmes that fund research may concentrate on specific topics (for example, education) or specific activities (for example, collaboration with non-EU countries). Further information can be found at the UKRO site and the Brookes EU site
   • Tenders
     The EC also issues calls for tenders for specific pieces of research. The tender documentation will specify the eligibility criteria, budget, deadline and the format for the application. Further information on current tenders can be obtained from the Tenders Electronic Daily (Ted) Website.
8. Electronic Submission of Research Bids to AHRC, BBSRC, EPSRC, ESRC and NERC (JeS)
   The University is registered to use the Joint Electronic Submission (JeS) system implemented by most of the Research Councils. For further information and help on using the system, go to the login page and click on "system help".
   In order to submit applications you must be registered as a user. Once registered you will be issued with a password and user ID by the research councils which will allow access to JeS-1. Login is via: https://je-s.rcuk.ac.uk/eforms/secure/login.asp.
   For those who are not already registered, a request for access can be made via the login page. Click on "Create Account". Follow the steps as they are laid out. A password and ID will then be issued. Information on which browsers the system will work with can also be obtained from this initial login page.
   Approval of any electronic bid is the same as it is for a paper bid. These vary from Faculty to Faculty, so please ensure that you have complied with the systems currently in operation in your Faculty.
9. Other sources of funding (e.g Government funding)
   Research funded by other sources - industry, business, government departments, local authorities, and so on - is often called contract research. Many of these funders do issue calls for proposals but some can be approached with a good ideas, see for example the British Council. Opportunities might also arise from contact on other matters. Also see Research Professional.
10. Who can help me with this?
    In the Research Support and Governance team (RSG), we can help with completing all research applications and provide advice and guidance at all stages of the process. We can also advise you on appropriate costing. As mentioned earlier, all bids and tenders must be agreed by Faculties and then - via the Research Support and Governance team (RSG) - by the University.
11. Bridging Funds
    Contract research staff might find a gap between the completion of one funded project and the start of another. Their Faculty may apply to the Pro Vice-Chancellor, Research, for bridging funding. For more information, see the website for contract researchers.

1. The Government has allocated additional funds for research in Higher Education but has required, as a quid pro quo, transparent costing of teaching, research and other activities at institutional level. This requirement resulted in the Transparent Approach to Costing (TRAC), a costing methodology which has been implemented in varying degrees in Higher Education since 1999/2000. TRAC showed that all research was under-funded, if its full cost was calculated. In response, the Government awarded additional funding for research both on a recurrent basis (as QR and the Science Budget) and as capital through SRIF (Science Research Infrastructure Fund). However, the condition accompanying the additional funding was that Institutions must take responsibility for their own financial sustainability, particularly with regard to the research infrastructure. This has led to the introduction of the concept of Full Economic Cost (fEC), which is derived from TRAC.
2. To enable Brookes staff to calculate costs using fEC, the University subscribes to an off-the-shelf costing package called Worktribe. This will calculate all the indirect costs relating to a project. You will only need to include details relating to the direct costs. Once the fEC has been calculated, the costing tool will also show the difference between what the fEC is and what the funder will pay. For further information and guidance on using Worktribe, see: HERE
3. Having identified a project and an opportunity for research funding, you should run the potential costs through Worktribe to see how feasible it is for the bid to progress. This can be done with help from the Research Support and Governance team (RSG), or from Research Administration staff within your Faculty. Once the Faculty has given initial permission for the bid to be developed, you should work on the proposal, using the funder's forms. You also need to complete the requisite forms, following your Faculty's procedure including assessment by the Faculty's Grant Panel, for receiving internal Faculty approval.
4. In addition, and at an early stage, please contact us in the Research Support and Governance team (RSG) to discuss the bid, how it should be structured to meet the funder's requirements, and likely direct costs. Funders will always give clear information about the form your application should take. Do follow their instructions to the letter - failure to do so might invalidate your whole proposal.
5. This is a summary of the general process but the actual process within individual faculties may vary:

Procedures for progressing research

Assumptions

• Worktribe will be used for all bids to establish the actual cost of undertaking a project
• For bids to the Research Councils, it has been confirmed that the level of support will be 80% of the fEC
• For bids to charities or the EU, full use should be made of the staff in the Research Support and Governance team (RSG) to establish the extent to which the funder will recognise fEC and how to submit costings in those circumstances.

Pricing

Usually, bids to Research Councils, Charities, the EU and some Government Departments require costings to be displayed as part of the bid. However, actual costs should not normally be shown within proposals to commercial organisations. In a commercial proposal the price should be quoted and, if appropriate, a breakdown of the price into broad categories can be included. Contact RSG for advice on this.

Where the amount charged to the funder is not based on a cost based formula pricing principles for research and consultancy are being established and disseminated by RSG. (e.g. if the funder is a commercial organisation and the ownership or exploitation of the research lies with them, then the price should be significantly more than the fEC. If the University is retaining all of the IP, the results will be freely published and the work will contribute to the enhancement of the UK research base then the price could be set just above the level of the fEC etc).

Agreement Protocols

Agreement from the Dean(s)of the Faculty(ies) submitting the bid, or from staff in the Faculty to whom that authority has been delegated (usually Research Directors) must be confirmed before the bid can be formally submitted to the University, for final agreement.

Once the above has been obtained, University agreement will be sought via RSG and once RSG have undertaken their usual checks.

If a bid is awarded, and is confirmed as viable, the award letter must generally be signed by the University, via RSG. RSG will then set up the new activity code. In cases where an award letter is not issued a Contract will be raised between the Funder and Oxford Brookes University which must be signed by both parties. Research Council awards are forwarded to RSG and accepted via the Je-S website after confirmation is received from the PI.

Staff submitting Expressions of Interest would need to be clear that an EoI submitted with either no or very rough costings did not commit the University to any financial outlay before a full fEC had been completed. They should use Worktribe as good practice to establish broadly what the costs are likely to be as it is unusual for a costs in an EoI to change very much when a full bid is submitted. Faculty approval at least should always be received before submitting an EoI to ensure that the appropriate staff time can be committed in the way outlined.

Running the project

A checklist for Principal Investigators is available as part of this Handbook (see the checklist in the appendices).

There are procedures in place for project monitoring in Faculties each year and random, sample monitoring by the University. Part of the monitoring process in the Faculties should be to review the actual costs of the project as well as the income received from the funder. RSG have in conjunction with Finance and Legal Services developed record keeping guidelines for projects which have to be audited.

Exclusions from bidding

Any member of staff who has not updated the three times a year time analysis return to comply with TRAC will not be eligible to bid for external funding.

For bids which have not been costed using fEC and where agreement for the work has been given by the member of staff rather than the University, the University will calculate the fEC of the work and the first charge on any income will be to cover the indirect costs incurred by the University and the Faculty NOT the direct costs associated with the work.

7. At a very early stage, consider any possible implications regarding Intellectual Property Rights (IPR), Professional Indemnity (PI) insurance, ethics approval and third party participants (such as students, collaborators, suppliers of data). We can offer you guidance on these important points. Please note that all applications must be submitted to RSG in full, with their accompanying Faculty approval at least one week before the formal bid deadline.
8. Bids and Tenders
   Be aware of the difference between a bid and a tender. A bid allows both the Faculty and the funding body more flexibility, in that the Faculty can bid knowing it might be possible to negotiate about the sum of money involved and what activities it can undertake for that amount. Once that is done, a contract will be drawn up which the University can agree. A tender - which should be defined in the sense of "to present for acceptance" - is much more binding. Once the funding body has agreed to the tender submitted, it is up to the Faculty to deliver the project. Should an error have been made in the costings, the Faculty will not normally be in a position to change the tender.

1. Remember that the fEC of a project will not change, whoever the funder is. The price the funder will pay will be determined by their funding rules. The Research Councils will currently pay 80% of the fEC of a project. Other funders will generally reimburse all direct costs relating to a project, and some, like the EU, will pay some additional indirect costs. The full cost of undertaking the proposal must be considered by the Faculty concerned, together with full details of the level of reimbursement to be made by the funder.
2. In completing funding applications, always follow the funding body's guidelines - remember, at the Research Support and Governance team (RSG), we can help you with this. Issues can include, for example, a particular funder's regulations regarding indirect costs, whether staff costs should include future pay awards, and what consumables can be included.
3. Having worked out the fEC, you need to be aware of what costs can be claimed from funders. Typical cost issues to be aware of include:
   1. Costs relating to staff
      Worktribe will calculate staff costs, including on-costs, incremental drift and inflation increases. When completing the costing on Worktribe, you will still need to think of all the staff costs to include such as:
      • Have all possible staff costs been attributed to the project?
      • If there is a requirement for a technician, administrator or secretary to perform a direct role relating to the project, has their time been included?
      • Note that general (i.e. non-direct) technical time is covered in the estates rates and administrative staff costs in the indirect costs?
      • Is there already a computer for this member of staff, and any other important equipment?
      • t this stage the Faculty should also consider where any additional member(s) of staff would be accommodated.
   2. Studentships
      Worktribe must include all costs. Which costs can be claimed are usually very dependent on the funder's requirements. Typically, look out for our fee rate to be included (consider EU or overseas) and bursary, if applicable. Any equipment required by the project that can be costed in, should be.
   3. Equipment
      Worktribe must include all costs. Consideration should be given to ensuring that all the necessary equipment been costed in. In almost all cases, VAT should be included (the EC is the only major funder that does not pay VAT, although VAT is exempt if the equipment is being used for medical-related research). Any major equipment purchase should consider depreciation, where the funder asks for this to be calculated. This is usually worked out as a pro-rata cost over the length of time that the University is involved in the project.
   4. Travel and subsistence
      Worktribe must include all costs. Any mention of any travel (national or international), should include estimated direct cost. The University's Financial Handbook gives per diem rates and travel costs can be estimated from websites for train and plane travel.
   5. Consumables
      Worktribe must include all costs. See Identifying Cost for possible consumables to be included in a proposal. Some funders will state that certain items are deemed to be included as part of the indirect costs so those cannot be claimed under this heading. Often, however, significant items can be specified separately, such as, say, the costs relating to a major mailing (for example, questionnaires). Sometimes an item that we might think of as equipment is classed by the funder as a consumable. A typical example might be a laptop, and cost often dictates where the item should be claimed. In almost all cases, VAT should be included (the EC is the only major funder that does not pay VAT).
   6. Anything else?
      Do read through your proposal again to identify any hidden costs not included in the budget. For example, do you need access to another institution's database, which might have cost implications? If you are using subcontractors, have their costs and associated VAT been included?
   7. Do things add up?
      It may sound silly, but costing submissions do not always add up. These should be checked, as should the overhead calculation!
4. Items to consider
   This section lists items to consider including in the project costing. As each funder's guidelines vary please check its terms and conditions to ensure that it considers these items eligible for consideration.
   1. Consumables
      • General consumables;
      • Audio/video tapes;
      • Stationery and office supplies;
      • Telephone, fax and specialist postal costs, directly attributable to the project.
   2. Equipment
      • Small items of equipment;
      • Equipment maintenance;
      • Equipment relocation/installation costs;
      • Equipment rental/access charges;
      • Equipment energy costs;
      • Equipment insurance.
   3. Computing costs
      • Computing costs including software licences and computer consumables, directly attributable to the project;
      • Specialist access to external or central computing.
   4. Other costs
      • Payment of fees to subjects/participants;
      • Specialist publications, not obtainable through the institution;
      • Casual assistance (for example, for interviewing, transcription, secretarial);
      • Cartography/photography/reprographic services;
      • Discrete survey costs;
      • Assistance in preparation of material for computer processing;
      • Reprints and page charges for journals;
      • Recruitment costs;
      • Fieldwork fees;
      • Consultancy fees;
      • Animals - purchase and maintenance;
      • Animal and plant licence fees;
      • Library fees;
      • Costs associated with archiving.
   5. Dissemination costs
      • Cost of producing reports and working papers;
      • Printing;
      • Seminars;
      • Costs related to attending or running conferences;
      • Costs for setting up websites.

For further information or for advice on the rules and regulations of individual funding bodies please contact us in the Research Support and Governance team (RSG).

1. Indirect costs are those costs which impact on all activity the University does but cannot be directly attributable to a particular project. Each Faculty has its own indirect cost rate:
   • Financial services, including account maintenance, payment of invoices and salaries and collection of income;
   • Insurance costs, including Professional Indemnity (but excluding court awards in North America, Canada and any territories within their jurisdiction), third party accident and all risks;
   • Central services such as the Research and Business Development Office and Legal Services and other central services supporting research;
   • All central promotion costs;
   • Learning Resources (where the project does not include a significant identifiable cost);
   • Depreciation of centrally provided equipment and machinery, repairs and insurance.
2. Faculty indirect costs include:
   • Time listed on staff Time Allocation Survey returns as "support for research";
   • Phone charges and incidental stationery (where the project does not include a significant identifiable cost);
   • Photocopying costs;
   • Research infrastructure costs such as rooms, buildings for research;
   • General Finance and human resource costs, which are devolved to Faculties (Project-specific administrative costs should be charged directly to the project).
3. Estates costs are the same across the University. There are two rates: one for office-based projects and one for laboratory-based projects. Estates costs include the cost of maintaining, lighting and heating all the University's buildings. It also includes cost of basic technical support. Project-specific technical support should be charged directly to the project.

1. Any research and consultancy activity that involves an outside body must be formally approved by the Faculty. However, Faculties do not have the authority to submit any proposal for research or consultancy that has not been agreed by the University. Failure to get formal agreement from the University may also cause problems with indemnity insurance cover. If there is no insurance cover, you could be personally liable for any liabilities. For bids which have not been costed using fEC and where agreement for the work has been given by the member of staff rather than the University, the University will calculate the fEC of the work and the first charge on any income will be to cover the indirect costs incurred by the University and the Faculty NOT the direct costs associated with the work.
2. Proposals should be agreed through the formal mechanisms that exist within your Faculty. These typically include agreement by the Faculty's Finance Department, Research Manager, Grants Panel, or equivalent and Dean of Faculty or equivalent.
3. Proposals, including costings, must then be sent to us in the Research Support and Governance team (RSG) for final agreement, whether or not a formal University signature is required on the document. It is a requirement of the University that formal agreement is sought in advance of any research funding bid being submitted. We will obtain all University signatures and return the proposal to you for submission to the funding body.
4. All bids must be submitted to the University seven days before the deadline. This means that the proposal itself as well as Faculty approval must be received by the Research Support and Governance team (RSG) seven days before the deadline.
5. The full approval process is listed under Progressing a draft application, but is repeated here, from the point at which an award is made:

Faculties normally submit their own proposals. Always send the number of copies the funding body asks for, in the way specified and by the deadline.

Once the outcome of a project has been notified, successful or otherwise, you should advise the Faculty and the Research Support and Governance team (RSG) of the details. Only the University's Senior Management Team can sign award letters, contracts and collaboration agreements. However, Principal Investigators should understand the nature of the agreements being undertaken and how it might affect the running of the project.

• Read and follow the guidance notes provided by the funder, Faculty and University
• Contact the Research Support and Governance team (RSG) (x4064) and/or the Faculty Research Support staff well in advance - take advantage of their experience
• Be sure your proposal meets the aims and objectives of the scheme and demonstrates this explicitly
• Be clear about your research questions, aims and objectives, context and research methods
• Make sure there are precise aims and objectives with identified milestones
• How significant and important is the project and what contribution will it make to advancing knowledge and understanding in the area?
• Make sure the timetable for the research is realistic
• Does the proposal demonstrate that the project is good value for money? Remember that the outputs can also contribute to the value for money element, as well as the funds being requested
• Check your costings - do they add up?! Make sure they are realistic, and that anything 'unusual' is justified. Ensure that all costs are eligible to be claimed from the funder
• Make sure that appropriate plans for dissemination are included?
• It is not necessarily the case that proposal will be reviewed by a subject expert. Do not assume specialist knowledge
• Aim to be clear and concise - use plain English and avoid jargon
• Are there any Intellectual Property (IP) issues which need to be resolved in advance?
  Insurance queries or contractual matters? See below for more details
• Check your spelling, grammar and punctuation - presentation is important
• Keep to the word limits
• Do not overcrowd the pages with text. Space it out and use a readable font
• Check you have included everything needed in the format specified - use any checklists provided
• Discuss your application with colleagues
• Contact the funder directly if in doubt about an issue, or ask the Research Support and Governance team (RSG) to do this
• GIVE YOURSELF PLENTY OF TIME
• Always reply to all reviewers comments and submit the response punctually, in the format required

Procedural Considerations

• Make sure your Faculty knows you are to put in an application. You will need their approval before it can progress for University signature
• The Research Support and Governance team (RSG) advises on all aspects of bidding for external funding - make use of them!
• All research proposals need to be signed off by the University's Senior Management Team before submission. Contact the Research Support and Governance team (RSG) to arrange for this
• Tenders can only be submitted once the terms and conditions of the tender have been agreed by Legal Services. This can be arranged through the Research Support and Governance team (RSG)
• Are there any IP issues which need to be resolved in advance? Can we use all the data we want to in the project or is a licence required? If there are any partners, do they understand the possible IP position i.e. can we publish?, is there a possible revenue stream? Is there background IP to protect?
• Might the project fall outside the insurance cover that we already have? If in doubt, contact the Research Support and Governance team (RSG) or the Insurance and Risk Officer (x3498) and await confirmation
• Is Ethics approval needed prior to submission of the bid? If so, contact the University Research Ethics Committee Administrator
• If the proposal has an industrial or other partner, then subcontracts for them will be needed if the proposal is successful.

SCHOOL AND THEN UNIVERSITY APPROVAL IS REQUIRED FOR ANY BID TO ANY EXTERNAL FUNDER

Rationale

Good research governance requires the monitoring of research projects to ensure that investigators are undertaking their research as agreed with the project sponsor and in accordance with University research ethics procedures and code of practice for academic integrity. Inter alia, research project monitoring should focus on compliance with any ethics approval conditions, project financial arrangements, research methodology, timetables, and outcomes, and data protection.

Monitoring should take place both at Faculty and University levels. Faculties are required to establish monitoring procedures that are appropriate for their individual circumstances and to report on these to the Research and Knowledge Transfer Committee (RKTC) via the Annual Review mechanism.

At University level, responsibility for monitoring rests with the Research and Knowledge Transfer Committee in collaboration with Finance and Legal Services Directorate.

Faculty procedures for monitoring research projects

Monitoring at Faculty level should be carried out in accordance with the University's Code of Practice for Academic Integrity, paragraph 3.3.

Each Faculty should also establish a mechanism for monitoring the effectiveness of the University's policy on good research practice, for example, tracking back a random selection of research studies from conclusions to conception to ensure that all necessary paper/electronic 'trails' are in place.

Faculties were invited to develop their own procedures and reported on these procedures to the Research and Knowledge Transfer Committee during Semester 1 2004/05.

University procedures for monitoring research projects

At University level, responsibility for monitoring rests with the Research and Knowledge Transfer Committee (RKTC) in collaboration with the Finance and Legal Services Directorate.

Faculties should describe their project monitoring processes in their Annual Review document and also use this opportunity to flag up any issues with projects.

Annual reviews are received at the University RKTC which considers problems and concerns as well as good practice and refers issues for resolution as appropriate.

The Post-Award Processes Officer meets Faculty Research Managers and Finance Officers regularly to review progress of projects throughout the year.

Research Sponsor

If you wish the University to act as the Research Sponsor of a project, under the terms of the Department of Health's Research Governance Framework, please download a copy of this form, complete and get agreement from your Faculty. A copy of the form must then be sent to the Research Support and Governance team (RSG).

All consultancy/contract research needs to be agreed through the correct internal processes, which are outlined below. No work can be undertaken which has not been agreed by both the Faculty and University:

1. All costs must be entered on to Worktribe.
2. An appropriate price must be included (the University recommends at least 115% of cost, but the price should be appropriate to the client and the work being undertaken).
3. A specification of the work to be undertaken must be attached to Worktribe.
4. Faculty approval can then be sought.

Faculties need to ensure that the correct information is included such as:

1. if work is research or consultancy, and the correct legal entity i.e. either OBU or Oxford Brookes Enterprises Ltd (“OBEL”). This is picked up via the cost centre (Worktribe additional fields). Please liaise with KPMG through the appropriate Oxford Brookes contact details if there are any queries on the legal entity;
2. the VAT status (Worktribe additional fields). Please liaise with KPMG (see point 1 above) if there any queries on VAT;
3. is clear that included costs are appropriate, as is the price;
4. the spreadsheet is completed correctly and matches the Worktribe front page;
5. documentation is attached to Worktribe which has the same financial and staff commitments as Worktribe is displaying and has information in it about the work to be completed. This is what will be used to draft the contract schedule of work.

The University will:

1. Process the data and wait for advice as to whether the work has been awarded.
2. Once notified that the work has been awarded, then a contract will be required.
   • Contracts relating to consultancy will in the majority of cases be dealt with by the Contracts Manager in the Research Support and Governance team (RSG) (RSG) (subject to an agreed remit). The University uses a suite of standard template contracts, and these will be used where possible. Where a template contract is used, the Contracts Manager will work closely with the Faculty to ensure the terms and conditions accurately reflect the work to be carried out.
   • Where the funding party uses its own standard contract, then the terms and conditions must also be agreed with the Contracts Manager (RSG).
   • The Contracts Manager must be notified as soon as the work has been approved by the Faculty to enable the contract to be implemented in a timely fashion.
   • The contract must always be signed by an authorised signatory of the University’s Senior Management Team prior to the commencement of the work. The signing of such contract is arranged by the Contracts Manager (RSG).
3. Once a contract has been signed, then a code to spend against can be issued. This will be arranged by RSG.

Invitations to Tender (ITTs) or Pre-Qualifying Questionnaires (PQQs)

Faculty Finance Officers will work with academic colleagues to provide the data for ITTs and PQQs, but the final document will be sent to RSG to get University signature. When sending the final document through, RSG will need an assurance from the Faculty of the process that it has involved in gaining the information included. NOTE, though, that the nature of tenders means that there are usually legal terms and conditions attached. These need to be reviewed by the Contracts Manager in RSG, so please send these to him.

New customers to Worktribe

If you wish a funder to be added to Worktribe please contact your Faculty finance office. The Faculty finance office should check if they are already listed as a supplier on E5; if they are the Faculty finance office should email RSG with the funder details. If they are not already listed as a supplier on E5 the Faculty finance office should consider whether to run a Dun and Bradstreet credit rating check. Once that has been completed and the Faculty is happy with the rating of the funder they should contact RSG

If there are any particular financial terms the Faculty finance wishes to reflect in any contract relating to that funder please advise RSG (e.g. some or all payment in advance; payment against milestones etc.).

A proposal to develop a Research Centre should be made by completing the Proposal to Establish a New Research Centre Form. The proposal will be considered on the basis of this form and a presentation from the proponents at a meeting of the Research and Knowledge Exchange Committee (RKEC).

On completion, this form should be returned to the Secretary of RKEC, at least three weeks before the meeting at which the proponents would like the proposal to be considered.