Form - University of York

Document Sample
Form - University of York Powered By Docstoc
					                                   BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM


                                          Requested By
                                          Department

If the project is to be associated with an
Inter Disciplinary Centre (IDC) - the IDC Name

Project Title




Acronym of title (where applicable)
Funding Body/Customer Name

Cost Centre for Department/Unit/IDC
Proposed Start Date (dd/mm/yyyy)
Proposed End date
Date Submitted
If this is an application to a charity - is it:
     submitted to a competitive process ?
     subject to expert review?

York Academic Investigators:
                                                                                     Academic
             Name                                  Department                        Effort %
PI
Co Investigators (UoY only)
CI
CI
CI
CI
CI
CI
CI
CI
                                                   Total of above must equal 100%          0.00

York's role in the project - Role Code

pFACT ID number
Project cost @ 100% fEC (York only)
As requested from sponsor (York only)
BUDSUBMT/PROJECT COST xx%
All UoY Departments Contribution Value
Sensitive for publicity purposes
Pure Medical Research which is VAT exempt

HEBCIS fields
Non Academic Collaborator/Partner
Sponsor is a Small or Medium Enterprise
Sponsor is from Yorkshire Region
Value of any contribution in kind


                                                         Page 1      Bio Submission of Research Project Form v1.xlsm
                                 BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM


Department Fields
Keywords or any additional project information
you want recorded on the Agresso record.




Departmental Administrator                              Jane McCarthy
Other Administrator
Research Group (where applicable)
Does the application include effort from the York Trials Unit?          This
information is required to complete the annual NETSCC HTA CTU
Infrastructure Award report.
EC Only
Type of Contract e.g. IP, NOE, STREPP
Programme type e.g. Life Sciences, IST etc
PI Confirmations
1. EU FP7 Applications have been sent to and/or checked by European Research Officer?

2. I confirm that the research proposal has been completed within the University of York's
guidelines on health & safety, quality and finance.
3a. Are there any ethical implications associated with the proposal/sponsor?                  You
should not interpret 'any ethical implications' as relating solely to the use of animals or human
data. It should also include sponsors or topics that are 'sensitive'.
3b. I confirm that the proposal has been completed within the University of York's guidelines
on ethics, and that action has been taken to secure any relevant approvals.
4. I confirm that I have no personal, financial or other interest in this project, or in the sponsor.
Please note that you must answer no to this question if any of the investigators are
directors/managers/closely involved with the funder.

5. I confirm that any resource issues have been reviewed.
6. I confirm that I have read the terms and conditions of the funding body I am applying to for
funds, and I will comply with the said terms and understand the consequences of non-
compliance.




Principal Investigator Signature                                                 Date




Head of Department Approval                                                  Date
(which confirms that the proposal conforms to University of York's ethical, health & safety and quality
guidelines, and that resource implications have been reviewed.)
Research Grants and Contracts
Administrator                                                                    Date     ……………………………..
                                       (Finance to complete)
Document saved                    13/02/2012 01:30:22




                                                             Page 2     Bio Submission of Research Project Form v1.xlsm
BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM




                  Page 3     Bio Submission of Research Project Form v1.xlsm
BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM




                  Page 4     Bio Submission of Research Project Form v1.xlsm
                               BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM




Work area below this row.

IDC List                             Department List                    Role List
Centre for Immunology and InfectionArchaeology                          YON – York only no split
Centre for Applied Human Rights      Biology                            YOD - York only departmental split
Centre for Medieval Studies          Borthwick Institute of Archives    LCN - lead collaborator no split
Centre for Women’s Studies           CNAP                               LCD - lead collaborator dept split
                                     Cancer
School of Politics, Economics and PhilosophyResearch Unit               PCN - partner collaborator no split
                                     Centre
York Environmental Sustainability Institute for 18c Studies             PCD - partner collaborator dept split
York JEOL Nanocentre                 Centre for Applied Human Rights    CON - EC coordinator no split
                                     Centre for Continuing Education    COD - EC coordinator dept split
                                     Centre for Criminal Justice        CRN - EC contractor no split
                                     Centre for Health Economics        CRD - EC contractor dept split
                                     Centre for Housing Policy          CSN - EC subcontractor no split
                                     Centre for Magnetic Resonance      CSD - EC subcontractor dept split
                                     Centre for Medieval Studies
                                     Centre for Modern Studies
                                     Centre for Neuro Imaging
                                     Centre for Reviews and Dissemination (CRD)
                                     Centre for Womens Studies
                                     Chemistry
                                     Computer Science
                                     EFL
                                     Economics
                                     Educational Studies
                                     Electronics
                                     English and Related Studies
                                     Environment
                                     Finance



                                                      Page 5       Bio Submission of Research Project Form v1.xlsm
                             BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM


                                  HYMS
                                  Health Sciences
                                  History
                                  History of Art
                                  IEE
                                  IFAB
                                  IPUP
                                  Jack Birch Unit
                                  Language Teaching Centre
                                  Language and Linguistics
                                  Law
                                  Mathematics
                                  Music
                                  Nanocentre
                                  Norwegian Studies
                                  Philosophy
                                  Physics
                                  Politics
                                  Politics, Economics and Philosophy
                                  Post War Reconstruction and Development
Yes No                            Psychology
Yes                               Registrar's
No                                SEIY
                                  Social Policy Research Unit
                                  Social Policy and Social Work
                                  Social Work Research and Development Unit
Tick                              Sociology
√                                 YSBL
                                  York Electronic Centre
                                  York Management School




Version Control
Version   Date        Changes
v1           4/5/2011 First release




                                                  Page 6      Bio Submission of Research Project Form v1.xlsm
BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM




                  Page 7     Bio Submission of Research Project Form v1.xlsm
BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM




                  Page 8     Bio Submission of Research Project Form v1.xlsm
BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM




                  Page 9     Bio Submission of Research Project Form v1.xlsm
BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM




                  Page 10    Bio Submission of Research Project Form v1.xlsm
                          BIOLOGY SUBMISSION OF RESEARCH PROJECT FORM




y departmental split




collaborator dept split




                                            Page 11    Bio Submission of Research Project Form v1.xlsm
General:
Has full cost recovery for research technicians been included?

Have requests for all resources (including Personnel, Consumables,
Equipment and travel) been justified?

Is the employment of any individual on this grant likely to require
particular consideration under the provisions of the Fixed-term
Employees Regulations?

Does your proposal address the career development needs of the
staff to be employed?

Are you proposing a data sharing mechanism in this project?
      If so, have adequate funds been requested to support the data
      sharing?

      Has Ian Jennings, Departmental IT Manager, been consulted?




Technology Facility:
If Technology Facility usage is involved in the proposed project, have
the costs been discussed with John Pillmoor or the relevant Lab
Manager, and an agreed TF cost sheet attached (required for all
applications, irrespective of whether the TF cost sheet is forwarded
to the awarding body)?




Ethical Statement:
Have you considered any possible ethical implications of the
proposed project?
If in doubt, contact Professor Paul Kaye or Dr Pat Coulson, Chair and
Secretary, respectively, of the Departmental Ethics Committee


Secrecy Clause:
Is there a secrecy a clause attached to this grant application?




                                                    Page 12 of 22
Safety Assessment              (Please √ the appropriate box):
Note: Visit the Biology Safety website for detailed information on management of specific hazards or
contact David Nelson (dn6@york.ac.uk)
          None of the categories below apply (theoretical work only)
         All the work can be conducted using GLP only
         Highest hazard category of chemical (code 1 –4) to be used


         Field work, to be conducted using accepted code of practice
         Microorganisms       ACDP category


         Radioisotopes        which ones + estimate of monthly
                              liquid disposal needs
        Lasers                which category


        Live animals          type


        Gene cloning          which containment level


        Human-derived material give details


       Other significant hazards not listed above:



The preparation of a more detailed safety assessment is required for some proposed activities to ensure
that appropriate facilities are available and any necessary licences and HSE notifications are considered
before applying for a grant. Provisional assessments prepared for the activities listed below must be
approved by David Nelson (Departmental Health & Safety Advisor) before applying for a grant.
Please tick if the following activities apply:

        ACDP Hazard Group 3/4 Microorganisms
        Genetically Modified Microbes requiring Containment Level 2 facilities (or above)
        High risk genetically modified plants/animals
        Human-derived material
        Field work outside UK

      Please contact D Nelson (e:dn6) for advice on the preparation of any of these specific
      assessments if required




                                                     Page 13 of 22
Safety Declaration

I have considered the safety aspects of the work proposed.

The provision of safety equipment and any necessary notifications have been budgeted for.

The Departmental Safety Advisor has approved the provisional assessments for higher risk activities
identified above, and facilities are adequate for the safe conduct of the work. I will provide full safety
training for those conducting the work, and I will ensure that the work is conducted to acceptable
standards. The risks associated with all hazardous substances will be assessed and appropriate controls
introduced before they are used as required by COSHH 2002.


Signed:                                               Date:




                                                    Page 14 of 22
                         Requested By                          The name of the person making the reqest for funding. This is normally the PI.
                          Department                           Normally the Principal Investigator's (PI's) department
If the project is to be associated with an                     An IDC is unit that is formed between two or more departments to share expertise. E.g.
Inter Disciplinary Centre (IDC) - the IDC Name                 Centre for Immunology and Infection (CII) Please leave blank if the project in not for an
                                                               IDC. Projects can only be associated with formal IDCs.            The workflow for an IDC
                                                               grant should go through the PI's department as normal, but it should be indicated here that
                                                               this project is to be shown under the IDC rather than the department.



Project Title                                     From the pFACT project costing
Acronym of title (where applicable)
Funding Body/Customer Name                        The name of a funder or other organisation that is sponsoring the research.
Cost Centre for Department/Unit/IDC               Name of the cost centre or IDC.
Proposed Start Date (dd/mm/yyyy)                  Date the PI is expected to start the research. A project will normally start on the first day of the month,
                                                  even if it is a bank holiday or weekend, unless specified by the sponsor.
Proposed End date                                 Start date plus project duration. Normally the last day of the month.
Date Submitted                                    Date the application is submitted to the funder, normally the funder deadline date. If the contract/award
                                                  is not a formal application then the date the contract/award was made.
If this is an application to a charity - is it:   If Yes to both questions the award will be included in the Charity Support return to HEFCE. Audit
     submitted to a competitive process?          evidence needs to be held - except for ARC, BHF, CRUK, Leverhulme, LRF and Wellcome. Further
     subject to expert review?                    information is available from RGC Manager.
                                                  This is used in the annual Higher Education Statistics Agency (HESA) return to Higher Education Funding

York Academic Investigators:
                                                                                                  Academic
             Name                                 Department                                        Effort %
PI                                                This information is used to populate the academic effort fields in the PURE System. Normally each PI's or
Co Investigators (UoY Only)                       CI's department except where an investigator's salary is paid by more than one department.
CI                                                see Guidance Notes tab - Attribution of Academic Efffort to Staff.
                                                  If no CIs are involved in the project enter 100% for the Academic Effort column for the PI. Total of of PI
                                                  and CI effort must equal 100%.
York's role in the project              The ROLE code used in Agresso to identify how the project is split between UoY departments and other
                                        universities .
                                        YON - York only with no departmental split
                                        YOD - York only with departmental split
                                        LCN - York lead collaborator with no dept split
                                        LCD - York lead collaborator with dept split
                                        PCN - York partner collaborator with no dept split
                                        PCD - York partner collaborator with dept split
                                        EC Funded Grants:
                                        CON - EC coordinator no dept split
                                        COD - EC coordinator departmental split
                                        CRN - EC contractor no departmental split
                                        CRD - EC contractor departmental split
                                        CSN - EC subcontractor no departmental split
                                        CSD - EC subcontractor departmental split

pFACT ID number                                     This is the pFACT ID number for the costing associated with the proposal.
Project cost @ 100% fEC (York only)                 The full economic cost of the project. For joint projects this must be the cost that applies to
                                                    York only. This is the value taken from the Full Economic Cost field on the Project Proposal
                                                    Summary screen in pFACT.
As requested from sponsor (York only)               This field should be the value that UoY hopes to receive. It should exclude any % not paid by
                                                    the funder and any amounts for UK HEis. For Research Councils this is normall the value
                                                    equal to 80% fEC.                                                                Research
                                                    Councils - 80% fec figure from Jes Submission Report.
                                                    Charity - Income figure on Income/Pricing statement financial report.
                                                    DoH - other funders submission report.
BUDSUBMT/PROJECT COST                               The percentage of fEC - for example for many Research Council projects this will be 80%.
                                                    This field is automatically generated from the two fields above.
All UoY Departments Contribution Value          This provides an overall total for all departments involved in the project. This is equal to
                                                amount requested - (Directly Incured Costs + Exceptional Cost). Directly Incured Costs and
                                                Exceptional Costs can be found within pFACT Submission Reports.


Sensitive for publicity purposes                You should answer YES if you believe the funder has some confidentiality clauses that
                                                prevent us from (or require permission) saying that we are working with them or working
                                                on this project.
                                                OR you feel the topic/funder is potentially sensitive if it was in the public domain.
Pure Medical Research which is VAT exempt

HEBCIS fields                                   HEBCIS – Higher Education Business and Community Interactions Survey. These fields are
                                                used in the annual HEBCIS return to HEFCE.
Non-Academic Collaborator                       Are there any non-academic organisations (any industry, charity, government department)
                                                that are collaborative partners in the project. They should be providing a tangible input to
                                                the research, in addition to that from the main funding body - this could be be cash, In-kind
                                                time, access to facilities etc.
Sponsor is a Small or Medium Enterprise (SME)   A SME has 250 employees or fewer, and a turnover under 50m Euros.

Sponsor is from Yorkshire Region
Value of any contribution in kind               Value to York of any contributions in kind (eg staff time, access to faciltities )from non-
                                                academic collaborative partners
Department Fields
Keywords or any additional project
information you want recorded on the
Agresso record.

Departmental Administrator
Other Administrator
Research Group (where applicable)
Does the application include effort from the   If your application includes effort from the York Trials Unit answer 'Yes'. This information is required to
York trials Unit?                              complete the annual NETSCC HTA CTU Infrastructure Award report. If you are to any of the NETSCC
This information is required to complete the   funding schemes (e.g. HTA, HSR, PHR, SDO) this involvement needs to be recorded on your application
annual NETSCC HTA CTU Infrastructure           form. Further information is available from Anna Payne, Research Grants and Contracts Office.
Award report.

EC Only                                        Complete following fields when the project is sponsored by the European Commision (EC).
Type of Contract e.g. IP, NOE, STREPP
Programme type e.g. Life Sciences, IST etc

PI Confirmations                               All PI Confirmations fields must be checked and completed by the PI. After completion this form must be
                                               printed, and signed by the PI and the Head of Department . The signed form must then be sent to
                                               Research Grants and Contracts.
1. EU FP7 Applications have been sent to and/or checked by European Research Officer?            Yes/No Mandatory field

2. I confirm that the research proposal has been completed within the University of York's      Yes/No Mandatory field
guidelines on health & safety, quality and finance.
3a. Are there any ethical implications associated with the proposal/sponsor?                You Yes/No Mandatory field
should not interpret 'any ethical implications' as relating solely to the use of animals or
human data. It should also include sponsors or topics that are 'sensitive' and could have a
potential adverse impact on reputation or important relationships, for example weapons
research, or where a commercial funder is researching their own product.

3b. I confirm that the proposal has been completed within the University of York's guidelines Yes/No Mandatory field
on ethics, and that action has been taken to secure any relevant approvals.

4. I confirm that I have no personal, financial or other interest in this project, or in the    Yes/No Mandatory field
sponsor.
5. I confirm that any resource issues have been reviewed.                                       Yes/No Mandatory field
6. I confirm that I have read the terms and conditions of the funding body I am applying to for Yes/No Mandatory field
funds, and I will comply with the said terms and understand the consequences of non-
compliance.
Principal Investigator Signature   ……………………………………………………                    Date     ……………………………..

Head of Department Approval        ……………………………………………………                     Date    ……………………………..
(which confirms that the proposal conforms to University of York's ethical, health & safety and quality
guidelines, and that resource implications have been reviewed.)

Research Grants and Contracts       ……………………………………………………                      Date    ……………………………..
                                    (Finance to complete)
Document saved                 17/12/2010 13:50:31 This date timestamp is updated automatically and does not need to be changed.
Note 1 – Attribution of Academic Effort to Staff

Currently in Agresso:
the only name associated with a research project record is the PI and no record is held of any CoIs.
a research project record is created at the application stage, but work orders are only set up when the project is awarded an
active.
where a research project involves multiple departments, work orders are used to reflect the financial management
departments. This split is based on the pFACT costing.
The Academic Advisory Board for the RIIS/PURE project has considered the way in which research project information for bo
Investigators –PIs and CoIs - should be seen in the PURE system.
It was agreed that:
Attribution to investigators in one department should be done on the same basis as attribution to investigators in multiple d
It will be the responsibility of the PI to agree the appropriate percentage attribution across investigators and then propose
ensure that applications are not delayed, the HoD of the PI only would sign to confirm the attribution as part of normal auth
Attribution should relate to the real academic effort (this is described further below)
Attribution of academic effort will make no changes to the financial management of the award or the figures seen by depa
reports. Research projects will continue to be managed financially through work orders – with at least one workorder set u
department that is to receive external project funding.
The change should be applied gradually – collecting the additional information for new applications. (However if departmen
for any existing projects (particularly those with multi-department work orders), they should contact the RGC manager to di
information should be provided.)

Definition of Academic Effort
The Advisory Group noted that sometimes applications show significant input by senior staff, to ‘front’ the application, but
reality by other investigators. The expectation is that academic effort will be used to indicate a best estimate of the real inp
of UoY academic staff involved in the research project – this will be expressed in percentage terms, with the total for all Uo
100%.

Again it is stressed that academic effort attribution is not the same/does not impact on financial management
attribution will not impact on contribution figures as part of the MTP process.

Staff holding Joint Appointments
If the salary of a member of academic staff is paid by more than one department, their name should be entered on multiple
Investigators section. The academic effort associated with this member of staff should then be split across their departmen
their salary split.
up when the project is awarded and being made

   financial management split of the award across the

esearch project information for both types of York


ution to investigators in multiple departments.
s investigators and then propose this to their HoD. To
 attribution as part of normal authorisation process.

      or the figures seen by departments on Agresso
with at least one workorder set up for each

plications. (However if departments are keen see data
uld contact the RGC manager to discuss how the



aff, to ‘front’ the application, but the work is done in
       best estimate of the real input by each member
ge terms, with the total for all UoY staff equalling


nancial management of the project. Academic effort



me should be entered on multiple lines in the UoY
en be split across their departments in proportion to

				
DOCUMENT INFO
Shared By:
Categories:
Tags:
Stats:
views:2
posted:2/12/2012
language:
pages:22