General questions

When should I contact R&E?

As early as possible please! If a potential sponsor approaches you, by all means discuss how the technical collaboration might work.

DON’T discuss anything of a confidential nature without having a confidentiality agreement put in place by R&E, and DON’T discuss possible prices without having first agreed with R&E on what the likely project costs will be.

What services do R&E provide?

R&E is able to help you identify potential funding opportunities, advise you on potential terms for funding including negotiation of contract conditions and price, assist with project costing, provide intellectual property management advice, and advise upon technology transfer and company formation.

What will happen if I don’t contact R&E?

You will not have access to the range of services we can provide. You could also:

• Disclose proprietary and confidential information which could diminish commercial and academic value, and jeopardise publications or funding;
• Incur personal liability. By not having R&E authorise your grant or contract application you could be liable for the terms you have signed up to and would not be covered by the University’s insurance.
• Have the award for your project rejected by the University, as it does not meet with GU policy.
• Under-cost the project. You may be liable for extra costs as your College and School/RI would not have authorised the application and they may refuse to contribute to the shortfall and deny access to any of their infrastructure.

What is a Freedom of Information request and how do I deal with it?

Any request for information received by any part of the University can be considered under the Freedom of Information (Scotland) Act 2002. There is no need to explicitly mention the Act when requesting information.

If the request can be considered routine the response should be sent by the recipient but if there are any complications or obstacle to disclosure (such as confidentiality issues, sensitivity of information) you should contact the University's Freedom of Information Office for advice:

Phone: 0141 330 2523

Email: foi@glasgow.ac.uk .

Details of the procedures and policies can be found at Freedom of Information Act.

Please note: If you are approached for information by the Freedom of Information Office please respond as soon as possible as requests are subject to a 20 working day response time.

If an individual is asking for information about themselves it is not a Freedom of Information request. It must be handled through a “Subject Access Request Form” and dealt with by the Data Protection Office. More information can be found at Subject Access Requests.

Does the Data Protection Act affect me and my work?

The Data Protection Act 1998 came into force in March 2000. All members of staff who have access to information about living individuals – whether they are students, other staff, or members of the public – need to manage it appropriately and ensure it is held securely and kept for no longer than is necessary.

If your research involves collection of information which could identify an individual then your work will fall under the requirements of Data Protection Act. For information about compliance with the Act that is relevant to researchers, visit Checklist for compliance with DPA for Research on Personal Data.

Details of your responsibilities and the requirements under the Act can be found at Data Protection Act.

Grants and contracts

What’s the difference between a GRANT and a CONTRACT?

GRANT — should not have any commercial terms associated i.e. terms providing a commercial benefit to the sponsor.

CONTRACT — will contain commercial terms seeking ownership of and rights to commercially exploit intellectual property, licensing and sub-licensing rights, access or ownership of results and reports, indemnification from potential liability, warranty provisions for work completed, and so on.

R&E staff will be able to provide you with advice on the terms being proposed from any potential sponsor/funder and whether they should be dealt with as a grant or as a contract.

Who should I call in R&E for assistance with my GRANT or CONTRACT application?

Please contact one of the Grant Managers or Contract Managers responsible for your College.

What needs to be completed for each stage of a GRANT or CONTRACT application?

You can find advice on how to make a GRANT application at Quick guides to grant applications.

For CONTRACTs read our Making a contract application (pdf) advice.

How do I get a budget centre?

When an award is received from the sponsor, R&E will process this and the award details will be passed to Finance. Finance will then open a budget centre for the award and will advise the Principal Investigator (PI) by email.

The University's research and consultancy database also automatically issues the PI with an email detailing when the award has been actioned by R&E and the date for which the award documentation has been passed to Finance. It is not possible to open a budget centre for an award without using the services of R&E.

What part of my GRANT or CONTRACT application is R&E responsible for?

R&E is responsible for managing all the GRANT or CONTRACT milestones up to the point of the award. This is called the PRE-AWARD STAGE.

Finance Office are then responsible for the managing the GRANT award, allocating the budget centre and the provision of financial reports to the PI up until the completion of the project.

Who is responsible for the Project Management of my GRANT or Contract award?

The PI named in the award. Support can also be obtained from your School/RI and College administrators.

Finance Office will provide assistance on any financial related issues you may have, whilst R&E will provide you with advice and help managing problems you encounter trying to deliver the technical milestones agreed in the award.

Human Resources will provide advice and assistance on any personnel-related issues, whilst Purchasing will provide advice on any purchases required for the completion of your project.

How long will R&E take to sign off my application?

If we have been involved from the start of the GRANT application and provided project costs, then this can usually be done very quickly on receipt of the final application and signed PAF.

If we are checking a GRANT application from scratch, then you should allow 5 working days. For CONTRACT applications the time taken depends on the number of parties to the CONTRACT, the complexity of the contract, and the type.

Project costing

How do I get a Project Costed?

For GRANT applications contact any of the Grant Managers. For Contract or Tender applications, contact one of the Contract or Assistant Contract Managers, responsible for your College.

We can help you with advice on Salary Costs, levels of Indirect Costs, what you are allowed to claim costs for and what is not claimable.

Whenever possible, the Grants and Contracts Team will endeavour to provide you with a costing in the format of a completed Project Approval Form (PAF) or Consultancy Project Form (CPF).

Where can I get information on SALARY SCALES?

Salary-scale tables are accessible from the Human Resources web page.

What is a direct cost and what is an indirect cost?

DIRECT COSTS — all the costs directly attributable to the successful delivery of the project e.g. staff working on the project (new appointments and centrally funded staff), supervision time of these staff, travel and subsistence, equipment, consumables, and sub-contract costs.

INDIRECT COSTS — associated costs of the project borne by the University, College and School/RI, such as staff providing support, but not directly attributing to the project deliverables, cost of laboratory and office space, overheads for heat, light, & gas, buildings & grounds maintenance, insurance, campus facilities, and the services provided by University Services.

Do I need to include indirect costs in my project costing?

Yes, where the funder allows this. The University incurs indirect (also sometimes referred to as ‘overhead’) costs on every project it participates in. In order to survive financially, we must attempt to maximise our indirect cost return.

What are the current recommended University Indirect Cost Recovery (ICR) Rates?

The current recommended ICR rates are located at Research grants and contracts, consultancy and commercial activities, Court Policy Statement, Section 8.8 Indirect Costs Recovery, although these rates are for guidance only.

The ICR rate agreed by R&E in your GRANT or CONTRACT application may be significantly different from these recommended rates, depending on the circumstances surrounding your application. The Grants and Contract team can guide you on the appropriate ICR rate for your individual project.

Where do the direct and indirect costs go?

DIRECT COSTS — charged by Finance to the budget centre for the project.

INDIRECT COSTS — 67% of the indirect costs are returned to the College, with a recommendation that the Principal Investigator receives a minimum of 10% of this value. The remaining 33% is retained by the University to cover central costs.

However, the manner in which Colleges distribute indirect costs to Schools/RI's and PIs vary. For advice on how this is done in your area, contact either your School/RI or College Administrator.

What is a SALARY RECOUP?

The University attempts to recover the cost of resources it invests in a project. The method of doing this for the cost of centrally funded staff time is the recovery of the academics salary cost, for the time spent on the project, to their College.  Colleges set their own rules as to how funds generated are then utilised.

What is the difference between award VALUE and INCOME?

Award VALUE is the amount that the sponsor is prepared to pay. In some respects it is like a budget.

INCOME is like the actual results — and may depend on the actual expenditure and meeting project milestones.

Charities and Research Councils will pay invoices equal to eligible expenditure — while companies will pay at the price agreed (awarded) — for the milestones delivered. Failure to complete a particular milestone may result in loss of income.

Are overheads the same thing as Indirect Costs?

They have been treated as synonymous in the past. The current preference is to use the term indirect costs as this is intended to convey the fact that these are real costs to the University.

Overheads are also covered in the court policies, and should also be in the section on terminology. Most projects are grants with Charities or Research Councils — so the rate is either zero or 46% respectively. Other work is more price based and should not use a simplistic cost-plus basis — even though they should meet minimum target rates.

What happens if Exchange Rates change during a project?

The Finance Handbook stipulates that the exchange rate risk belongs to the Investigators. As payments for projects often happen in stages, often long after the costing has been performed, changes in the exchange rate may have a substantial impact on the actual Sterling value received. It is therefore recommended when planning and costing a project subject to exchange rates, we use an exchange rate that is a little weaker than the current rate (where we are allowed).

What is a PAF and a CPF?

A Project Approval Form (PAF) is a document (for internal use only) providing a breakdown of the project costing and records School/RI, College, and University authorisation for the grant and contract application and award. It also contains other useful information on the project, such as the sponsor and Ethics.

A Consultancy Project Form (CPF) is the equivalent of a PAF but for a consultancy.

Why do I need a PAF or CPF?

A PAF/CPF is used to communicate information about a project and enables Schools/RI's/Colleges and the University to manage the staff and resources at their disposal. It informs R&E that the project has the support of the School/RI and College and allows R&E to confirm that the project is in accordance with University Court policy.

When do I need to complete a PAF or CPF?

A PAF or CPF must be completed at the application stage of your GRANT or CONTRACT as it becomes more difficult or impossible to amend or reject an application once the sponsor/funder has offered the award.

If you work in the School of Life Sciences, you will be required by your College also to generate a further PAF on award of your GRANT or CONTRACT. Your College and School/RI administrators will help you complete the award PAF.

For other Colleges, a new PAF at the award stage is required only if there have been significant changes to the project or the budget contained in the original completed PAF. In such instances, Research & Enterprise staff will discuss these changes with you and help generate an amended PAF, for award of your application.

What do I do with a PAF or CPF?

Check it and then get it authorised by your Head of School/RI/Service and Head of College and forward to R&E. R&E cannot accept a PAF or CPF without these authorisations.

Where do I get a PAF / CPF?

If R&E do a salary or project costing for you, we will supply a draft PAF including the costing.

Information on Consultancy Project Forms can be found on the University of Glasgow Forms webpage.

Ethics

Information can be found at the GU Ethics Committee web page.

Intellectual property

What is Intellectual Property?

See policy on Intellectual Property.

I am an undergraduate student - who owns my Intellectual Property?

As an undergraduate, the University does not claim ownership of your IP. However, if you require assistance in the commercialisation of that IP please contact:

• Greig Sinclair, Student Enterprise Manager
• Tel: +44 (0) 141 330 2625

I am a postgraduate student - who owns my Intellectual Property?

Generally, students on taught postgraduate courses will own any IP they generate as part of the course but students undertaking research-based postgraduate work may be required to assign their IP to the University. In most cases R&E will be involved, or can be utilised, in the commercialisation of your IP.

I am an employee of the University (e.g. an academic) - who owns my Intellectual Property?

Normally, and in the absence of any agreements to the contrary, the University will claim ownership of any IP you generate in the area of your research during your employment with the University.

Where can I find information about Copyright?

Information can be found at Copyright matters. If you require further information on this matter please contact:

• John Cairns, IP Manager
• Tel: +44 (0)141 330 3774 

Inventions

I have got a great idea that might be commercially important what should I do?

In the first instance complete our online invention disclosure form. 

It is important at this stage not to disclose (publicise) your idea by presenting it, publishing it or discussing it with others. Failure to do so will probably result in the University being unable to protect the idea / invention by patenting, thus making it virtually impossible to commercialise.

How long will this assessment take?

We will endeavour to respond to your disclosure within two weeks. A meeting will be arranged shortly after in order to plan the way forward with the proposal.

The decision to file for a patent will only be undertaken if there is a sound business case put forward for the exploitation of the invention. However, it is possible not to patent and still exploit the invention as “know how” (i.e. trade secret), usually on an exclusive basis.

What are the chances that my idea will be a success?

Only a fraction of disclosures submitted to R&E will go forward and form the basis of a licence and of that fraction only a portion will produce significant royalties.

Exploiting technology is very speculative in nature and R&E attempts to pursue those inventions in which it believes has the greatest chance of success.

An invention for example in the bio-medical field will take on average ten to eleven years after the invention is disclosed before it begins to generate significant royalties.

Will my invention result in a spin-out company?

The decision to form a company and “spin-out” around a technology will be a business decision, taking into consideration the market environment, the viability of the opportunity and your willingness to be involved in the company.

How are the royalties distributed once a license is generating income?

Royalties are distributed in accordance with University Court Policy. See section 2.5 Formula for distribution of net income from IP exploitation within the “Policy statement on research grants and contracts, consultancy, and commercial activities” document.

How are the royalties distributed once a license is generating income?

Royalties are distributed in accordance with University Court Policy. See section 2.5 Formula for distribution of net income from IP exploitation within the “Policy statement on research grants and contracts, consultancy, and commercial activities” document.

If I patent can I publish as well?

The University would like you to do both. Patenting an invention does not prevent publication in a journal.

However, to achieve optimum protection, a description of the invention should be submitted to R&E at least two to three months prior to its first publication.

This allows time for drafting and review of the patent application with the patent agents. This will result in a patent submission that will cover the widest claims possible for the invention.

Where can I find more information on the University’s Conflicts of Interest Policy?

See Conflicts of Interest Policy.