Managing your award

Award Letter from funder

Upon receiving an or email confirmation and an award letter from a funder, the RIFS team are responsible for reviewing the terms and conditions specified in the document. The RIFS team examine the terms and conditions and assess their implications for the department, faculty, or the entire University. If the terms and conditions are acceptable, the RIFS team informs the Principal Investigator (PI) and or the project lead. If the terms and conditions are not acceptable, the RIFS team will communicate with the PI and their respective faculty, institute or department and discussions take place to determine whether to attempt to re-negotiate with the funder to address any concerns or issues raised by the terms and conditions.

This process reflects a thorough and systematic approach to handling award letters, ensuring that the university makes informed decisions and that the terms align with its policies and objectives. It also emphasizes collaboration between the Faculty Research Services team, PI, and department in navigating the acceptance or negotiation process.

Kick-off meeting

Once you notify RIFS of a successful award a member of the team will be in contact with you to arrange a kick-off meeting. RIFS will then be able to allocate your grant an Award page on Pure Award Management where you will need to upload certain information for auditing considerations.

Documents required for upload:

• Confirmation of Award Email/Letter
• Final Application
• Signed Contract
• Signed Partnership Agreement (if applicable)

On top of these documents to upload there are a series of other considerations as a PI and or project lead that are discussed at this point to ensure the project runs smoothly, some of these discussions include:

• The Award letter/funder’s terms and conditions or contract
• Budget breakdown sheet
• Any funder specific requirements/obligations e.g. timesheets
• How payments will be made and invoicing (if applicable)
• How to purchase project equipment (if applicable)
• A requirement a new post, if so the next steps with HR

This meeting is the initial point of contact on post-award support where we can discuss the research project in more detail. This covers a range of topics ensuring that you are fully aware of all the requirements and responsibilities for yourself, the University, any partners and the funder themselves.

Creating an Award page in Pure

When you have been notified the RIFS team that the funding has been successful this will initiate the process of turning the application into an award within Pure Award Management.  This allows the uploading of important documents (e.g. payment schedule, contracts and partnership agreements), create project milestones and will account for the amount correctly in any Faculty/University reports.

Once the application has been validated by the funding support team your award will now show under Awards, My awards and will be marked AWARDED in green on your Application. There is a Pure Award Management Post Award User Guide – Your Award to assist you further.

Creating a Project page in Pure

All successfully generated awards within Pure Award Management will be associated with a corresponding Project record. Access to this record can be obtained by logging into Pure and choosing “Projects” from the menu. To enable your project to be visible to the public the following below is required. There is a Pure Award Management Post Award User Guide – Your Project to assist you further.

What is required for a project to be made public:

• Project Title
• Project Description
• Layman’s description
• Start date
• End date
• Collaborative Partners (if applicable)
• Links (eg project website)
• Related Outputs, Applications, Awards, Projects etc.

What is required once a project has been completed.

Key findings

• Outputs (when available)
• Links (project website, funder page)
• Relevant documents (i.e. project information leaflet)

Adding Research Outputs, Activities, impacts to your project

To add any Research outputs, Activities, Prizes, Press/Media, Impacts Datasets, Student theses and Faculty/Equipment related to the project. All this information is pulled from your Pure Researcher’s Workspace. See the Pure Handbook for further details.

• Click on the relevant field plus symbol, in this case the example below is ‘Research output’
• This will open a search field and select the research output related to the award.
• Click on Save.
• Note: If you have already added a research output (XXXX) it should appear here.

There is a Pure Award Management Post Award User Guide – Your Project to assist you further.

Once this has been done or further support, please email research@northampton.ac.uk for review.

Project finances

Faculty Accountants are responsible for administering the finances and support the Principal Investigator (PI) and/or project lead with the:

• Creating the research project finance code
• Budget details
• Invoicing
• Obligations to the main funder
• Financial reporting

The Principal Investigator (PI) is accountable for the day-to-day project management, overseeing budgets, and ensuring deliverables are met. This involves managing the project within funding terms and conditions, complying with reporting obligations, and promptly communicating substantial project modifications. Expenditures must be charged directly to the designated research project finance code, align with the awarded budget, adhere to the funder’s terms and conditions, and occur only between the actual start and end dates of the project.

Any deviation from the initial budget (beyond the terms and conditions of the award) must be brought to the attention of the funder and requires their approval before incurring any expenses.

Expenses not covered by the funder, categorised as ineligible expenditure charged to the research project account, will be the responsibility of both the Principal Investigator and the department.

Ethical compliance

The University of Northampton is committed to maintaining ethical research and practice throughout the institution. The University requires all researchers based at the University to act ethically. This requirement extends to all researchers working with, for, or otherwise under the auspices of the University (e.g. those partnering with, or under contract to, the University). The University has a Research Ethics Code summarising expectations and principles for all research at the University of Northampton.

The Principal Investigator and or project lead has the responsibility for fulfilling the legal and ethical obligations associated with their research in the UK and, if applicable, the study location. If deemed necessary, an impartial ethical review should be conducted at the most appropriate stage of the project, whether it be Pre- or Post-Award, depending on the nature of the work.

Collaborative research

In collaborative projects where the University of Northampton assumes the lead role and engages with other organisations, those external entities are identified as research partners. In such collaborations, the Principal Investigator and or project lead holds the responsibility for overseeing the entire project, ensuring the scientific execution of the research, and managing relationships with Co-Investigators and research teams at partner organisations. This involves conducting regular meetings and progress reviews.

There are some good practices that apply to all research projects whether it be a small scale two partner project or a large multi-million-pound project:

• Create a strong partnership with collaborators on the project. It is not just the project that is being delivered when you are working on the project: Building a relationship and creating a legacy of goodwill for any future projects is important. It also enhances our reputation with the funder if a very successful project is delivered increasing the chances that both yourself and the institution are more likely to be successful with that funder again.
• Remain flexible with project roles and responsibilities. Roles are still being defined and worked out at the start of a project.
• Ensure communication between all parties is considered. English is not always the first language of every partner you will be working with.
• Have regular check-ups on the project ensuring that the project team is on target to achieve all milestones and reports throughout. If not, can anything be expedited to enable this, if not can you contact the funder for an extension with a reason why?
• The types and scope of your research outputs can change throughout the project. It is, however, worth considering at the beginning of the project, where it may be best to publish your research and any associated article processing charges.

Extensions and supplements

In the event of unexpected challenges hindering the completion of research within the original timeframe, certain funders may present the following alternatives:

No Cost Extensions 

The funder extends the project’s end date without allocating additional funds. Formal confirmation from the funder regarding the extension should be communicated to RIFS and Faculty accountant by the Principal Investigator and a recorded on your award within Pure Award Management.

Costed Extensions

The funder extends the project’s end date and provides extra funding. This requires the creation, costing, and approval of an extension recorded on your award within Pure Award Management.

Supplements

The funder provides additional funding to an existing project without altering the end date. To facilitate this, a supplement record must be generated, costed, and approved by your Faculty Accountant, the RIFS and recorded on your award within Pure Award Management.

Human Resources (HR) collaborates with the Principal Investigator to oversee the recruitment of research staff and the academic department and RIFS support if required.

• The Principal Investigator is tasked with the creation of advertisements and Job Descriptions, as well as the processes of shortlisting, interviewing, and selecting candidates. HR provides support to the PI throughout the recruitment process, offering formal approval indicating that the department will oversee and manage the appointed individual.
• Accountants play a crucial role as financial reviewers, ensuring that the research grant budget is adequate to cover the entire duration of the post.
• HR is responsible for obtaining legal and compliance approvals, including conducting right-to-work checks, and ensuring the integrity of the selection process.
• To initiate the recruitment of a research post, the Principal Investigator should visit the HR pages on the staff intranet initially, specifying parameters and providing relevant data.

Internal progress award review

All projects have a scheduled Midway Check on Progress Meeting between the PI, an Accountant and RIFS. Where projects are more significant (value/reputation etc) consideration will be given to establishing more regular review meetings (one midway review meeting is the minimum expectation) to ensure where required, timely remedial action can be taken.

Successful research projects will have all contractual milestones and as a minimum. Periodic system reports will be run to review whether project milestones are on target, to facilitate these progress review meetings. In addition, costs will be monitored to ensure the project is on budget, uploading a copy of the most recent finance report as evidence.

Where a project’s performance (financial, quality, timeliness) is not on track, an action plan will be established and subject to regular monitoring.

Assurance and audits

Certain funders may stipulate in the initial terms and conditions that audits are required periodically, while others may conduct them on an ad-hoc basis to verify the financial integrity of the university and its processes. If your project is selected for an audit, please reach out to your Research Support contact, who will assist you in navigating the audit process specific to your funder.

The scope of your audit might extend beyond financial transactions related to the project. It’s important to note that not all audits will result in a cost to the university. Many audits are conducted as part of your funder’s due diligence process, aimed at ensuring financial integrity and adequate operational processes within the university.

Award closure for the funded project is a critical element. If it is done well project closure can provide the platform for future research projects and funding. However, it can potentially be difficult to gain future funding for the individual and the organisation if project closure is not done properly.

project closure

There are several components to a project closure, and these are usually set out in the grant agreement or contract that was signed prior to the start of the project. These can include:

Final reporting

The PI (principal investigator) will provide the funder with a progress report covering the entire period of the grant listing any research outputs (articles, conference presentations, book chapters etc.) In some cases, the funding agency may also require outputs to be published as open access – this information will be available in the grant agreement. It is important that the PI submits the report on time as it is becoming increasingly common for funders to withhold the final payment until the report is submitted.

Financial reporting

A financial report on project expenditure will usually have to be provided to the funder. This is to ensure the money was spent on the right equipment, staffing and deliverables and it may also be a requirement of the funder that any unspent funds are returned. The timescale of when the funds need to spent will be laid out in the signed grant agreement.

Special funder requirements

This can be any special requirements that may have been detailed in the original funding agreement. Each funding agency will have their own specific requirements, so it is vital you are aware of these before you sign the contract with them.

Project closure meeting

Once your project is finished you must notify RIFS to undertake a project closure meeting. At this meeting we will go through the project closure checklist to ensure that your project is closed correctly and update your Award. Before this takes place here is some guidance for PI’s to think about when closing a project:

Funding Delivered

Have you ensured that all of the funding has been spent as agreed in the schedule laid out in the funder contract

Project Documentation

Has all the project documentation been uploaded to your award, such as:

• Confirmation of Award (letter or email)
• Final Application
• Signed Contract
• Signed Partnership Agreement (if applicable)
• Extension Agreement (if applicable)

Ethical Considerations

There will be times when the scope or methodology of the project will have to change to better suit its needs or potentially something arises that is out of your control. Examples of these include instability within the host country or global challenges (e.g. COVID19). When these occur, it is important we review whether any extra ethical considerations were taken when that change happened especially in line with the funder’s terms and conditions.

Datasets and Outputs  

If the project has generated any datasets these will need to be uploaded to Pure where a DOI can be generated for the dataset. This dataset can then be shared and any future projects that build upon or reference the work can replicate any of the results achieved from this project.

What outputs have been, and will be, generated is another topic to consider. If you have already published Outputs they should be uploaded and linked to your Project page on Pure. For any future outputs you plan to publish you should consider where you plan on publishing them with the open access agenda increasing in importance.

For further help with either of these please email PURE@Northampton.ac.uk.

Capturing Impact 

Ensure that any impact you have generated on this project with plans on how you will continue to generate impact is uploaded to Pure through the impact function. Please contact the RIFS team if you wish to discuss how you can best generate and capture this generation using the tools available to you.

Future Bids and Outputs 

This project will hopefully be built upon by yourself and will be used to bid for further income or be used to publish more research outputs. Talk to the RIFS team about any Future plans that you may have, and we will be able to advise and help on the next steps.