Pre award best practice

1. PERFECT PROPOSALS IN AN
IMPERFECT WORLD
Claire Bensusan, Assistant Director, Research Support & Development

2. ucl.ac.uk/research-services
Session Overview
Key
Challenges
Identifying
Risk
External
Landscape
Approvals and
Authorisations
Resources
Available

3. ucl.ac.uk/research-services
UCL – Our Mission
London’s Global University: a diverse
intellectual community, engaged with the
wider world and committed to changing it
for the better; recognised for our radical
and critical thinking and its widespread
influence; with an outstanding ability to
integrate our education, research,
innovation and enterprise for the long-term
benefit of humanity

4. ucl.ac.uk/research-services
UCL Portfolio
Number of Applications 18/19: 4,610 (£1.8bn)
Number of New Awards 18/19: 1,638 (£502,050,104)
Current Active Awards: 5,100
Number of Funders: 1,255
0
1,000
2,000
3,000
4,000
5,000
6,000
£0
£500,000,000
£1,000,000,000
£1,500,000,000
£2,000,000,000
£2,500,000,000
£3,000,000,000
NUMBER OF AWARDS
£VALUEOFACTIVEAWARDS
Live Awards
Indirect Direct Count

5. ucl.ac.uk/research-services
UCL Research Services – Research Support and Development
Who are we?
Part of Research Services, the Pre Award team includes 12 Research Support Officers, each aligned
to a particular Faculty to provide a dedicated point of contact for research applications.
Institutional authority to submit grant applications in accordance with UCL’s Financial Regulations.
What service do we provide?
Support and advice for research funding applications including:
 Dedicated first point of contact RSO
 Provision of advice on the costing and pricing of research proposals
 Provision of advice on scheme eligibility criteria
 Reviewing scheme terms and conditions of funding
 Identification of potential financial and non-financial risk
 Delivery of formal UCL Worktribe training course
 Delivery of tailored group and one-to-one training

6. ucl.ac.uk/research-services
Key Challenges
• Regulatory Framework
• Funder Innovation
• Creativity of Research Base
• Diversity of activity

7. ucl.ac.uk/research-services
Before you begin….
• Know the rules
• Understand any terms on which an award would be offered
• Engage with all stakeholders at an early stage
• Understand and communicate roles and responsibilities
• Understand and plan the approval and submission pathway
• Hope for the best – plan for the worst

8. ucl.ac.uk/research-services
Common issues….and how to avoid them
• Under/Incorrectly costed proposals
• Ineligible costs/activities included
• Costs that cannot withstand audit
• Unsupported partner costs
• Unrealistic timescales
• Lack of consideration of;
• Space and Infrastructure
• Recruitment
• Overseas Research
• Ethical/Moral implications
• Conflicts of Interest
• Reputational Risk
• Due Diligence

9. ucl.ac.uk/research-services
Frequently Asked Questions
• Why must we include the FTE for staff whose costs we cannot claim?
• Why do salaries for some staff types need to be manually costed?
• How can I include costs for Facilities / BSU?
• It’s just an outline, so why must I submit a Worktribe for approval?
• The Funder doesn’t require quotes, why should I provide them?

10. ucl.ac.uk/research-services
Identification of Risk
• Does the Risk Assessment
accurately reflect the
project?
• Is a mitigation plan in place?
• Partner/Collaborator Due
Diligence
• Look past the numbers

11. ucl.ac.uk/research-services
External Landscape
• Political and economic
turbulence
• Increased Collaboration
• Increased Risk
• Funders encroaching into
new territory

12. ucl.ac.uk/research-services
Approvals & Authorisations
Proposal and associated terms meet the Research England/Charity Commission definition of
externally sponsored research
Budget is within the minimum/maximum financial limits of the call
Costs requested are fully auditable, can be fully justified and are in line with funder/UCL
policies including costs for Equipment, Facilities and Biological Services
Ensures FEC methodology has been applied to costings for all proposals, and provides
guidance on cost/recovery optimisation
Partner/Collaborator costs are supported by an official quotation
Ensures any required partner due diligence is completed in accordance with UCL policies
Proposal includes all mandatory information as stipulated by the funder
Reviews timescales, including project start date to ensure any ethical permissions/third party
contracting requirements can be completed
Ensuring that UCL can comply with the terms and conditions, including reporting
requirements, associated with a particular funder or scheme
Provides guidance on and approves the appropriate HESA Category

13. ucl.ac.uk/research-services
Roles and Responsibilities
Academic
Departments
Research
Services
UCL

14. ucl.ac.uk/research-services
Resources
Six criteria for sponsored research
UCL Financial Regulations
LMIC Due Diligence Policy
UCL Ethics & Integrity
UCL Procurement Policies
Full Economic Costing
Costing vs Pricing

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Questions?
Claire Bensusan
Assistant Director, Research Support & Development
c.bensusan@ucl.ac.uk