Research Projects & Income
Research Projects and Income
Drafting, Negotiating and Accepting Contracts
Purpose:
- Assist with contract negotiations that are favourable to the institution, in line with statutory obligations
- Ensure that all clauses of the contract can be fulfilled and that any discrepancies are identified and addressed
- Facilitate ‘sign off’ of the agreed contract
Activity:
- Assist with drafting contracts (new or using templates) and ensure the research team are aware of the specifics and their implications (e.g., payment terms, ability to publish, costings, confidentiality, Intellectual Property Rights, start/end dates, liabilities/warranties)
- Check and advise on regulatory/governance and ethics issues
- Discuss budget with key stakeholders
- Identify points for negotiation with partners and funders and contribute towards negotiations
- Identify if there is a need for a Memorandum of Understanding
- Elicit comments from all parties before contract is submitted
- Obtain key signatories once agreed by all parties
- Keep a copy of agreed contract on file and forward to other parties (including key terms if required)
- Produce subcontracts and collaborative agreements
- Establish a risk/liabilities register for non-standard contracts
Core Skills
- Administrative – logging and processing the contract
- Accuracy – attention to detail
- Communication – re-drafting the contract
- Negotiation – negotiating contracts or funding shortfalls and ensuring solutions are reached
- Assertiveness – objectively balance the needs of the funder, institution, researcher and partners
Underpinning Knowledge
- Typical contract clauses and their meaning
- Institutions’ obligations and status (e.g. charitable status)
- Insurance and acceptable liabilities
- Institutional systems, policies, and principles – salaries, subsistence, travel
- Key institutional contacts for ’referring on’
Examples of behaviour:
- Use understanding of different perspectives to help reach agreement
- Recognise and respect the roles, responsibilities, interests and concerns of colleagues, funders and partners
- Give constructive feedback based on previous experiences or industry trends
- Be clear on where your responsibility ends and that of others begins (and ensure the research team understand this)
- Get the best from others through effective communication (ensure all stakeholders can input and decisions are reached via the appropriate channel)
Purpose:
- Monitor and manage regulatory and legal issues arising from the contract
- Ensure that all relevant staff are clear about their contractual requirements
- Act as a critical friend to staff developing contracts for large, complex or high-value contracts
Activity:
- Liaise with other departments regarding contract content – insurance, research governance, staffing, legal issues, finance
- Monitor regulatory/governance and ethics issues arising from the contract
- Negotiate Memoranda of Understanding
- Oversee the development of FAQs for key areas (e.g. IP, ethics, liability, legislation, governance) and making them available to staff
- Broker conversations between those engaged in contract negotiation and those who have previously been engaged in similar discussions/negotiations
Core Skills
- Interpersonal – listening and explaining, relationship building
- Negotiation – Assist in key points of negotiation, speaking with authority, and ensuring resolution
- Communication – draft agreements that are acceptable to all parties, oversee the production of FAQs
- Project management – knowing when to identify risks and issues and manage the situation with an appropriate response
Underpinning Knowledge
- Types of contracts, including model contracts
- Typical contract clauses and their meaning
- Institutions’ obligations and status (e.g. charitable status)
- Insurance and acceptable liabilities
- Key institutional contacts for ’referring on’ and escalation
- FEC rules
Examples of behaviour:
- Surface conflicts early so that they may be addressed, offer valuable contributions
- Act as an escalation point, and negotiate and propose mutually beneficial solutions for research partners
- Broker relations (internal and external) between those engaged in contract negotiations and those who have faced similar discussions previously
- Keep up to date with developments in wider environment
- Attend and contribute decisively to pivotal formative research team meetings aimed at seeking consensus or reaching decisions
Purpose:
- Maintain consistency and reduce institutional risk in drafting, negotiating and accepting contracts
- Ensure the institution observes and satisfies statutory obligations (e.g. Freedom of Information Act, Data Protection Act, Charities Act etc.)
- Have a strong network of contacts at potential partner institutions/private organisations who can assist with contract development as necessary (e.g., specific technical expertise or niche legal consideration)
Activity:
- Ensure high quality contract templates / standard clauses are developed and easily accessible, to set out institutional position
- Create contractual frameworks and policy environment to meet institutional requirements, culture, etc.
- Act as a point of escalation and / or mediation, and exercising discretion over the institutional position
- Share good practice with colleagues within and beyond the institution
- Act as an intermediary between Project Leads on high-value/complex contract negotiations and university senior management to ensure sufficient buy-in and support
Core Skills
- Communication – ensuring high-quality templates/FAQs are available, and ensuring that staff understand them
- Analytical – devising standard templates
- Problem solving – creating policy to meet requirements
Underpinning Knowledge
- Types of contracts
- Typical contract clauses and their meaning
- Institutions’ obligations and status (e.g. charitable status)
- Insurance and acceptable liabilities
Examples of behaviour:
- Identify the information and knowledge people need and why they need it
- Share good practice with other parts of the organisation
- Keep up to date with what is happening in professional area
- Tailor communication to meet colleagues’ needs
- Deliver consistent service standards
Dealing with Project Finance
Purpose:
- Provide administrative support to ensure that project spend is undertaken according to the funder’s terms and conditions and within the project lifetime
- Support research teams to effectively monitor and report on spend in accordance with institutional and funder obligations
Activity:
- Ensure project start-up tasks are completed, including: finance code setup, VAT status checks, currency exposure review, capital expenditure exposure is detailed, costs are correctly allocated/charged, and terms and conditions are understood (including by partners)
- Brief lead researcher on financial requirements of the project
- Provide support and guidance in line with funder and institutional terms to in-project needs, including: financial expenditure, reporting, costing, recharges, reconciliation, procurement, indirect costs/overhead charging, payment of claims and invoices, partner returns, financial claims and invoices
- Consider any virement or reprofiling of balances
- Ensure that all expenditure has been processed
- Actively seek opportunities for improvement in process or technology and discuss with manager
- Undertake necessary actions to close the project in accordance to protocols
Core Skills
- Accuracy – attention to detail
- IT – experience of relevant systems and software
- Numeracy – confident with basic accounting concepts
- Communication with funders, researchers and partners
- Analytical – ability to interrogate systems and software and identify problems
- Assertiveness – dealing with difficult people
- Negotiation
Underpinning Knowledge
- Funder terms and conditions
- Institutional systems and methodologies (procurement, budgeting, audit)
- Contractual processes and regulations
- Relevant rules and laws (e.g., FEC, VAT, sub-contracting, contracts, FEC)
Examples of behaviour:
- Provide clear and concise details of what project staff must record and how
- Aggregate, utilise and interpret management information
- Monitor progress spend and provide regular updates
- Manage workload and be clear on roles and responsibilities between self and project team
Purpose:
- Ensure the institution has effective systems and processes for recording, processing, collating, verifying and reporting project finance
- Ensure research support teams provide thorough and robust support to research staff, with clearly defined and widely understood roles and responsibilities
- Undertake management accounting responsibilities
Activity:
- Implement and monitor appropriate systems for processing all types of projects (e.g. grants/joint grants, collaborative, contracts, subcontracts, Knowledge Transfer Partnerships (KTP), etc.)
- Implement and monitor systems to initiate, record, report and close project finances
- Implement new technologies to create efficiencies and provide relevant training
- Ensure user-friendly guidelines and Standard Operating Procedures are readily available for relevant systems
- Oversee finance accounting (including forecasting, accruals and variances) across the project portfolio
- Implement and monitor procedures for raising problems / issues
- Assess special financial project management needs for high-value, multi-partner , and/or high-risk projects
- Ensure appropriate training and communications are in place to update staff on emerging initiatives and changes
- Undertake year end accounting and management accounting analysis and reporting
- Embed cultures of reuse and recycling, encouraging projects to save costs and resources where possible by using existing resource
- Develop performance indicators appropriate to the university
Core Skills
- IT – expertise of relevant systems and software and the ability to translate specialist knowledge exoterically
- Numeracy – high level of confidence with basic mathematical concepts
- Influencing – ability to influence institutional staff and roll-out processes to finance requirements are met uniformly
- Problem Solving – ability to identify problems and recommend workable solutions
- Accountancy
Underpinning Knowledge
- Funder terms and conditions
- Institutional systems and methodologies (procurement, budgeting, audit)
- Contractual processes and regulations
- Relevant rules and laws (e.g., FEC, VAT, sub-contracting, contracts, FEC)
- Financial modelling
- Institutional finance & project roles and responsibilities, and a clear understanding of process
Examples of behaviour:
- Aggregate, utilise and interpret management information
- Uphold strong ongoing working relations with central and local finance teams, and ensure a ‘one-team’ approach
- Take time to understand and diagnose problems by considering the whole picture, gathering input from a range of stakeholders
- Identify risks and consider the consequence of failure in advance
- Innovate in terms of applying AI to project finances where there is clear opportunity to automate tasks and enable staff to focus on value-added tasks
Purpose:
- Ensure the institution’s financial systems and processes are ‘fit for purpose’
- Ensure that financial issues arising from the project portfolio are quickly identified and addressed
- Embed a ‘one team’ approach to managing the project finance portfolio with research, local and central finance, school management, and research support staff
Activity:
- Develop, identify and communicate institutional finance and project roles, responsibilities and regulations
- Document senior management and funder finance requirements
- Review and report on finance accounting (including forecasting, accruals and variances) across the project portfolio for the institution
- Develop early warning systems for researchers / partners
- Establish a procedure for raising problems / issues, aligned with the institutional escalation process
- Respond to financial issues arising from the project portfolio
- Create appropriate accounting structures and treatments to handle complex, multi-party, multi-product activities
- Respond to funder consultations
- Monitor the portfolio of research projects at an appropriate level to identify shifts in funder type and assess risks
- Ensure there is a policy in place to recycle equipment and resources to reduce the institutional carbon footprint
- Keep abreast of wider technological innovations and ensure operations and processes are building on such efficiencies
Core Skills
- Horizon scanning – identify the relevance and impact of potential solutions and good practice from internal and external sources
- Numeracy – proficient in accounting concepts
- Communication – document and describe systems, roles & responsibilities , problems and changing requirements to institutional staff and external parties
- Influencing – to ensure finance requirements are met
- Creativity –develop novel systems that meet institutional or funder requirements
Underpinning Knowledge
- Funder terms and conditions
- Institutional systems and methodologies (procurement, budgeting, audit)
- Contractual processes and regulations
- Relevant rules and laws (e.g., FEC, VAT, sub-contracting, contracts, FEC)
- Institutional finance & project roles and responsibilities
- Current and future trends, internally and externally, in financial systems and processes
Examples of behaviour:
- Aggregate, utilise and interpret management information, sharing as appropriate in reports and presentations
- Identify ways in which resources can be used flexibly and imaginatively for the benefit of the whole organisation
- Embrace new technologies, techniques and practices to improve financial reporting, identification of risks, and a reduction in complexity
- Modify departmental/organisational strategy to adapt to changes in the wider environment
- Implement AI and other technological innovations where possible and ensure staff are focussed on tasks that add the most value
Employing Staff on Research Contracts
Purpose:
- Provide sound administrative support to the recruitment and appointment process, ensuring it is efficient
- Provide on-going advice on employment issues
Activity:
- Produce a ’cost forecast’ to ensure that funds are available for new post
- Complete recruitment request documentation
- Contribute to the development of job descriptions and person specifications
- Seek clarity from the research team on the working pattern for each role (e.g., hours, location (on-site/hybrid/remote), travel)
- Submit the job description and person specification to HR for review and advertisement
- Organise shortlisting in panel members’ diaries and book interview slots
- Making concessions and allowances when arranging interviews to allow for any special requirements candidates may have
- Provide critical feedback on the interview panel composition to ensure it reflects a diverse range of views relevant to the role
- Keep funders informed of any changes which may affect the duration of the grant
- Make arrangements for the appointed individual’s first day/week (induction, equipment, meetings)
Core Skills
- Interpersonal – liaison with lead researcher/stakeholder, advising colleagues
- Accuracy – attention to detail, proof reading, booking interview slots
- Analytical – understanding and applying UK/EU policy and employment law, and specific grant conditions
Underpinning Knowledge
- Funders’ guidelines
- Costing principles and software
- Key institutional contacts for ‘referring on’
- Institutional systems
Examples of behaviour:
- Speak and write by using clear succinct language
- Critically review draft job descriptions to ensure they are accurate, clear and concise Arrange interviews to take place within a limited time period, ensuring panel members can all attend, there are breaks, and deliberation time
- Liaise with candidates over any special requirements they may have and clarify any queries they have around interview tasks or venue
Purpose:
- Implement systems and processes relating to recruitment and appointment to ensure continuity of support for research projects
- Ensure a thorough, consistent, and well-planned induction is received by all staff
- Ensure job descriptions and adverts attract a wide audience, are clear and concise, and demand skills, qualifications and experience that is fitting with the role
Activity:
- Ensure that UK/EU/Institutional policy is followed (notice period, redeployment etc.)
- Manage internal systems to avoid project delays
- Build strong relationships between central/local research support services and other professional services
- Advise academic staff of policy implications and how to deal with them fairly
- Draft job descriptions and role specification (and grading) and liaise with HR and other stakeholders to ensure accuracy and clarity
- Understand how employment law relates to specific scientific careers
- Attend meetings with HR professionals and/or union officials to ensure policy reflects needs of researchers as well as administrative staff
- Flag potential issues with funders as well as university HR professionals
- Ensure that the needs of researchers are reflected in the implementation of policy
- Ensure recruitment campaigns are open, transparent and fair. Seek diversity in both panel membership and candidates sought
- Ensure that relevant skills training is available for early career researchers
- Implement strategies to detect and manage the use of emerging technologies on applications (e.g., the use of AI)
Core Skills
- Influencing – liaising with research leaders re. policy adherence
- Networking – building relationships
- Analytical – understanding and applying UK/EU policy and employment law, and specific grant conditions
Underpinning Knowledge
- UK/EU HR policies (redundancy, fixed term directive, equal opportunities etc.)
- HR policies (salary scales, shortlisting and appointment policies, maternity pay, sick leave, notice period etc.)
- University systems
- A good understanding of the existing workforce demographic
Examples of behaviour:
- Deploy human resources efficiently, at the right levels and in appropriate ways
- Ensuring the appointment pipeline is clearly detailed, planned and recruitment materials are developed in a timely fashion
- Developing an appropriate and holistic induction package that is received by all staff
- Use understanding of other people’s perspectives to help reach agreement
- Development of concise and accurate statements on working arrangements (e.g., hybrid, fully remote, on-site)
Purpose:
- Develop systems and processes relating to recruitment, appointment and management of research staff, to ensure continuity of support for research projects and adherence to national benchmarks and regulations
- Ensure a diverse workforce is recruited through fair and transparent methods
- Create a culture that actively seeks to reward strong performance with continued employment and reduces poor performance effectively via use of the university’s performance toolkit
Activity:
- Determine requirements of research recruitment and appointment processes
- Develop training sessions on relevant employment legislation and HR policies and processes
- Promote and raise awareness of the Researcher Concordat, EU Fixed Term Directive etc.
- Put systems in place to enable the institution to fulfil the Concordat, EU Fixed Term Directive etc.
- Put systems in place to enable the institution to manage the ending of research contracts for reason of redundancy
- Respond to consultations and contributing to local and national policy developments
- Ensure all staff are trained in fair and inclusive recruitment techniques and that this manifests in all recruitment activity (from writing job descriptions, advertising, selection, and induction)Embed a culture where research project staff are not isolated and are able to feel part of the wider institutional community
- Have a fluid approach to developing new policy and procedures that reflect societal developments (e.g., AI, remote working)
- Have clear and robust frameworks for assessing probation periods and embed a culture that is not scared to address performance issues
Core Skills
- Analytical – determining requirements
- Interpersonal – liaising with UK and international agencies over researchers’ needs
- Communication – raising awareness of policies and processes
- Training and Development – overseeing a strong recruitment and induction offering
- Networking – build relationships and facilitate network building amongst staff
Underpinning Knowledge
- UK/EU HR policies (redundancy, fixed term directive, equal opportunities etc.)
- HE HR policies (salary scales, maternity pay, sick leave, notice period etc.)
- Institutional systems
- Framework agreements e.g. Concordat
Examples of behaviour:
- Ensure plans are consistent with the objectives of the institution
- Provide clarity about responsibilities and accountabilities
- Facilitate communities of practice across research project staff to build skills, share lessons learnt and foster community
- Ensure robust and transparent recruitment processes are applied to all research project staff appointments
- Ensure equal access to development opportunities for all and making sure this is made a reality by all staff
Reports for Funders
Purpose:
- Review report guidelines and discuss any ensure the project team (PI/PM) are clear on requirements
- Assist the research team with the collation of information and resources required for the report
- Ensure the production of an accurate report, that satisfied all funder’s requirements, is submitted on time
Activity:
- Critically review funder terms and conditions (noting and/or querying potentially problematic points or abnormalities) and ensure project staff are suitably informed
- Draft a timetable for interim and final report submission and share with project staff
- Capture relevant data at local and central level
- Assist with developing the report, as required (checking financial aspects and liaising with project staff and local/central Finance team as necessary)
- Contribute to the identification of possible IP issues or KTP opportunities and guide staff in the appropriate direction to progress the conversation
- Following local protocols, obtain necessary approvals for the report’s submission
- Ensure the report is submitted in a timely fashion and to a high quality
- Store relevant copies and ensure all local processes/documentation are updated
- Improve efficiency by using AI tools to review text and make enhancements where appropriate and not breaching confidentiality/sensitivity issues
Core Skills
- Information management – ensure necessary data is collected and stored accurately and securely
- Project Management – plan report development and ensure timely delivery
- Analytical – review report requirements, produce and checking financial requirements and reports
Underpinning Knowledge
- Key contacts in funding bodies
- Funders’ terms and conditions
- Who does what in the institution
- Audit responsibilities
Examples of behaviour:
- Share information on interim and final report requirements and discuss any concerns the PI may have to ensure understanding
- Identify what data or information you can contribute to the report and ensure it is accurately reported
- Keep track of a number of projects running simultaneously, seeking regular updates on progress and helping to identify any potential risks in submitting on time
- Critical review reports to ensure they are accurate, clear and written to a high standard that conforms with funder requirements
Purpose:
- Establish efficient and effective processes and practice to facilitate report preparation
- Act as the escalation point for any risks and issues raised by operational team members
- Ensure there is clarity in expectations of research and administrative staff
Activity:
- Oversee team workload in relation to key funder deadlines, ensuring resilience in times of potential strain
- Clearly delineate what is expected of research teams and administrative staff in producing and submitting reports (ensure all parties are clear)
- Provide an information and lessons learnt repository to assist staff writing reports
- Employ appropriate strategies to ensure that academic staff and colleagues meet deadlines (set protocols for escalating issues)
- Build strong relationships between central and local research support services and other professional services
- Maintain strong relationships between high profile academic leads (e.g., Centre or Unit Heads, those overseeing large grants) and ensure their reporting needs are satisfied and they are developing their KTP and engagement thinking
- Develop systems and processes to capture/store data, especially relating to impact and engagement
- Provide staff with training and support to effectively navigate funder terms and conditions and reporting systems
- Give clear guidance to project teams on how AI can be used to improve efficiency in the report writing process
Core Skills
- Influencing– encourage colleagues to meet deadlines and ensure they use appropriate systems/processes
- Analytical – evaluating systems
- Communication – develop and convey information and expectations clearly,
- Problem solving – oversee dispute resolution and effectively oversee any arising issues
Underpinning Knowledge
- Oversight of the research portfolio and awareness of major reporting deadlines
- Institutional systems
- Funders’ reporting systems
- Staff training and development needs
- Audit responsibilities
Examples of behaviour:
- Develop cross-service collaboration and share resources appropriately
- Monitor and review the effectiveness of working relationships between research project staff and administrative team
- Work across boundaries to develop relationships with other teams
- Ensure resiliency in support for research teams by succession planning and managing busy periods effectively
- Get the best from others through effective communication
Purpose:
- Contribute to the national agenda on reporting (e.g. TRAC, impact)
- Ensure that the institution is well-placed to fulfil funders’ reporting requirements via provision of training and suitable software and systems
- Act on serious issues arising from reports to funders
Activity:
- Influencing – contribute to national developments, ensure adequate resources are provided
- Networking – internally and externally, benchmark and share good practice
- Communication – promote initiatives, contribute to consultations etc.
- Horizon scanning – monitor changes in the external environment and evaluating their impact on the institution
- Share ideas and good practice internally and externally
- Ensure there are clear routes to progress IP and KTP/business development opportunities
Core Skills
- Influencing – contribute to national developments, ensure adequate resources are provided
- Networking – internally and externally, benchmark and share good practice
- Communication – promote initiatives, contribute to consultations etc.
- Horizon scanning – monitor changes in the external environment and evaluating their impact on the institution
Underpinning Knowledge
- IP
- Institutional systems
- Financial modelling
- Impact
- Audit responsibilities
Examples of behaviour:
- Make use of information and resources gained through personal networks
- Deploy human resources efficiently, updating job descriptions and seeking new posts, in appropriate ways
- Identify and pursue opportunities to work in partnership with external organisations to generate and develop ideas
- Welcome new technologies, techniques and working methods and critically review fit for institutional requirements
- Communicate upwards to influence policy formulation
Supporting Audit
Purpose:
- Provide sound administrative support to ensure that institutional preparation and the audit visit are efficient and effective
Activity:
- Understand the audit requirements for all funders, for the institutional financial audit, and for internal audit
- Brief colleagues on funders’ and institution’s requirements for audit
- Document actions required at various staged
- Schedule required meetings between staff and auditors
- Prepare for audit, including required pre-audit paperwork and setting up the auditors’ working space
- Collate data and evidence for audit
- Act as the point of contact for auditors, researchers and academic staff
- Respond to additional information requests during the audit
- Interpret findings/recommendations of the audit team
Core Skills
- Analytical – responding to the audit requirements and evidence required; interpret findings
- Information management –storing and organising records and evidence in line with policy and guidelines
- Project Management – overseeing the preparation process
- Administrative – scheduling appointments, note-taking
- Interpersonal – liaison with key staff, briefing colleagues, point of contact
Underpinning Knowledge
- The audit process, stakeholders and steps
- Key institutional contacts
- Funders’ requirements
Examples of behaviour:
- Managing and responding to competing priorities
- Using resources in ways that are efficient and minimise any adverse impact on the environment
- Identifying the information in response to stakeholder’s requests and needs
- Liaising outside of immediate work area to maximise use of resources within the organisation
- Acting as secretary to audit preparation committees
Purpose:
- Co-ordinate preparation for audit
- Help recognise and share current strengths
- Help the institution to respond to and learn from issues identified through audit
Activity:
- Devise and implement systems to collect data for audit
- Test and ‘troubleshoot’ prior to audit
- Liaise with researchers and academic staff to address gaps and implement recommendations
- Monitor and evaluate the impact of changes
Core Skills
- Analytical – evaluating impact, devising systems
- Interpersonal – liaison with key staff
- Communication – briefing colleagues, producing specifications for new systems
- IT – systems,
- Problem Solving – identifying and addressing issues
Underpinning Knowledge
- Audit and associated process
- Institutional systems and processes
- Funders’ guidelines
- Strengths and weaknesses of the process/ project
Examples of behaviour:
- Aggregate, utilise and interpret management information
- Identify key information in response to the auditor’s and stakeholders’ requests
- Communicate change in a positive manner through influencing and persuasion
- Create opportunities for skill sharing across functions and teams, including latest technologies
- Encourage innovation and applying good practice from inside and outside of the organisation
Purpose:
- Ensure that the institution and staff fully support and contribute to audit preparation and the audit visit
- Ensure institutional learning from the audit findings and process
- Ensure institutional strengths are celebrated and shared within and outside the organisation
Activity:
- Evaluate previous audits to identify ways of improving performance
- Raise awareness of the purpose and value of audit
- Agree the audit brief (for internal audits)
- Disseminate and celebrating the results of audit where relevant
- Share good practice, internally and externally
- Contribute to consultations and policy developments
Core Skills
- Analytical – evaluate previous performance, make informed judgement, drive the processes
- Interpersonal- persuasion and negotiation; navigate complex and competing agendas
- Communication – convey information clearly, present, draft consultation responses
Underpinning Knowledge
- Institutional systems
- Audit process and procedures
- Sector practice
- Equality, diversity and inclusion strategy, policy and practice
Examples of behaviour:
- Take time to celebrate successes
- Agree audit brief and navigating complex multi-stakeholder relationships
- Be effective in gaining buy-in without having any direct authority
- Evaluate the success of projects and disseminating lessons that can be learned
- Create opportunities for cross-function and cross-sector knowledge sharing
Additional Resources
