Research and KT

Presentation to School of Computing,

19th November 2010

Melissa Johnson, Finance mel.johnson@port.ac.uk, ext 3309

Cindy Roch, Faculty Office cindy.roch@port.ac.uk, ext 2600

Wendy Mullee, RKTS wendy.mullee@port.ac.uk, ext 6202

Finance Department

Mrs Melissa Johnson

Accountant (Research and Commercial)

mel.johnson@port.ac.uk, ext 3309

November 2010

Finance Department – Research Section Responsiblities

• Pre Award

• Post Award

• Provision of Management Information

• Guidance on Research Activity

Preparing the proposal - Finances

• Difference between cost and price

• Identifying fEC

• Directly Incurred• Directly Allocated• Indirect Costs• Exceptions

How much of the fEC do sponsors fund?

• Research Councils

• Charities

• European Commission

• UK Government / Health Authorities

• Industry and all other sponsors

• Ownership of IP, ability to publish

What if fEC is not met?

• Some sponsors limit amount of funding

• Dean’s approval

• Effect on other activities (eg Teaching)

• HEFCE requirement – each activity sustainable in it’s own right

• Non financial reason (REF, foot in door, other benefits)

Preparing the proposal

• Follow the Process for each faculty (Research website - http://www.rkts.port.ac.uk/research_support/)

• Speak to Cindy Roch

• Identification of activity and routing

• Identify the resources

• Allow plenty of time

• Peer review

Preparing the proposal

• Is a contract required rather than standard sponsor T&Cs

• Determination of price

• Obtain approval within faculty

• Who can sign off bids

• Make a note of the deadline and inform relevant parties

• Electronic application?, Registration?, Central Approval?

University or UPEL

• University is a charity

• University of Portsmouth Enterprise Limited for commercial activity

• Finance department decides on routing as it is primarily a Corp Tax decision

• If research goes through UPEL the income still counts towards the REF

Research in context

• 2009/10 Provisional Figures– Total University + UPEL Income £169m

• Total External Research / KTP / Fellowship Income £7.0m

• 4% of total university income

• Total growth in R/K/F income since 07/08 – £1.1m (19%)

Current Hot Topics

• Impact of the CSR / Browne Review

• Future of government departments / quangos (HEFCE, RCs)

• Cut to QR funding?

• Russell Group pressure (concentration of research funding)

• Research Sustainability – £2.1bn deficit (UoP £8m deficit - 38% of costs)

• Future cuts to FEC recovered through research councils?

• Asset sharing with other faculties / universities?

Finance Department – Research Section Contacts

• Location – University House, 1st Floor• Generic Email address

– research-finance@port.ac.uk• Members of staff

– Accountant – Mrs Mel Johnson (3309)– Senior Accountancy Assistants

• Mrs Sonia Reeves (3133)• Mrs Jo Penney (3186)• Mrs Elaine Hooke (3186)• Miss Jemma Best (3135)

– Accountancy Assistants • Miss Carly Prior (3133)

ContractsWhat are they, why do we need them and what can they

do for you?

19 November 2010

Wendy Mullee

Senior Contracts Officer

Research & Knowledge Transfer Services

Research & Knowledge Transfer Services

Overview

• Contracts/issues RKTS can advise on• The importance of contracts• Types of contracts• Anatomy of a contract• Key provisions

Research & Knowledge Transfer Services

Role/Remit

• To negotiate contracts related to research activity and research-led knowledge-transfer but also teaching and teaching led agreements– KT = application of University knowledge– Negotiate best terms for University (and

researcher!)– Contracts advisor to Finance/Directorate

Role/Remit

• To manage the University’s Intellectual Property– Knowledge arising from research activity– IP generated by staff is owned by the

University– Protection: patents, trademarks, copyright– Exploitation of IP (licensing, spin-out activity)

Research & Knowledge Transfer Services

Research & Knowledge Transfer Services

RKTS Contracts Support for:

• Research arrangements– Sponsored research projects (incl. studentships), especially commercial– Academic collaborations (incl. FP7)– Subcontracts– Material transfer agreements (MTAs)

• Confidential exchange of information• Teaching and Teaching-led contracts• Consultancy/ provision of University services

– UPEL has standard terms– Finance decide UPEL vs University

• Development and commercialisation of University IP– Licences– Options & Assignments

Research & Knowledge Transfer Services

No RKTS Contracts Support for:

• Purchasing agreements

– Unless specifically relate to commercialisation projects

• Contracts of Employment• Collaborative Programme Office’s MoUs

– As defined by Collaborative Programmes Office - UoP awards

• BUT always willing to advise on IP issues

Research & Knowledge Transfer Services

Rubbish IN = Rubbish OUT

• A good contract should be fit for purpose• One size does NOT fit all! There are no ‘standard contracts’ only

model contracts, which can be used as a starting point, based on project specifics.

• Basic letters don’t give enough protection or information • In order to negotiate meaningful terms:

– Need to be properly informed of the purpose– For research projects informed by Principal

Investigator• Resources and personnel being utilised in project• Project goals/deliverables• IP issues – background, likely results

Contracts from the other side!

• The sponsor’s terms and conditions:If you are presented with the other side’s

contract:– Remember no such thing as a free lunch!– Do you understand it? – Ask for changes.

• Indemnity• Law• Publication• Intellectual property

Research & Knowledge Transfer Services

Anatomy of a Contract

• Date – Effective Date vs date contract is made• Parties – legal entities, making the contract• Recitals – set the scene• Definitions (capitalised terms)• Clauses – main terms and conditions (organised under

headings)• ‘Boiler plates’

– Jurisdiction– Force majeure

• Signatures• Schedules/Annexes – part of agreement

Research & Knowledge Transfer Services

Research & Knowledge Transfer Services

IP ownership

• Who will own the results?

• What rights does each party have to use the results?

• Be careful about agreeing to give all results away, without retaining any rights to use… may need them for future research!

• Think about what expertise and know-how UoP are bringing to the project… this should not be part of the results to be transferred!

Research & Knowledge Transfer Services

Confidentiality and Publication

• If working with industry, they will want to keep their information confidential

• Employees have a duty of confidentiality– BEWARE: students are not employees!– Third party collaborators/subcontractors are not UoP employees

• Are (any/all) results confidential?• Publication – are there any restrictions?

– Studentships: there is a Uni requirement for a thesis to be published (after 2 years)

• PI needs to be familiar with publication terms and confidentiality arrangements - they are responsible for managing project

Research & Knowledge Transfer Services

Contact Us

Research & Knowledge Transfer Services

Purple Door, 28 Guildhall Walk, Portsmouth PO1 2DD

rkts@port.ac.uk, Tel: 6191

www.port.ac.uk/research/researchandknowledgetransferservices/

Contracts & IPR Manager: kate.charles@port.ac.uk , ext: 6203

Senior Contracts Officer: wendy.mullee@port.ac.uk, ext: 6202

Contracts Assistant: Gloria.Chan@port.ac.uk, ext: 6191