 Frequently Asked Questions |
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7. Finance issues for applicants7.1 How accurate do you expect my costs to be? 7.2 When working out staff salary costs should we allow for inflation? 7.5 Can I include all applicants’ costs'? 7.6 What is the difference between HEI and Non-HEI costs? 7.9 I work at an HEI but have consultancy charges from a charity. Are these non-HEI? 7.10 We are including a private clinic in our research how do we include the costs for this? 7.11 We are an HEI but will be funding clinical time/research nurses. How will this time be funded? 7.12 Some of the research is going to be completed abroad how should we include these costs? 7.14 How should we budget for centres in Scotland, Northern Ireland and Wales? 7.15 Can overheads or indirect costs be included for NHS centres? 7.16 What do indirect costs cover? 7.17 What should I do about VAT? 7.18 Will you pay a host or management fee to a Trust? 7.19 Can we include costs for dissemination? 7.20 What costs can we include for computers, IT support and software? 7.21 Can we include training costs? 7. 22 Can we include recruitment costs? 7. 23 Can we include costs for NHS consultants? 7.24 Can we include payments to TSC and DMEC members? 7. 25 Can a PhD student be included as part of the costings? 7. 26 Can I include stationery and phone costs in the proposal costs? 7.27 How should we cost for service user/public involvement? 7.28 Will you pay Access fees for open access journals? 8. Finance queries for active projects8.1 Can we vire funds between budgets? 8.2 Do you fund redundancy, maternity and sick pay? 8.5 When will our final payment be made? 8.6 Do we have to submit a financial reconciliation at the end of the project? 8.7 We have identified an underspend do we need to pay the money back? 8.8 We have identified an overspend can we reclaim the money? 8.9 Can we claim for inflation and salary increases? 8.10 We are submitting an extension application, how should we present the costs? 8.11 Will you pay Access fees for open access journals? 8.12 What financial reports do we have to provide? 8.15 Is Indemnity provided for DMEC and TSC Members? 9. Contracting process9.1 What is the standard NETSCC Programmes contract? 9.2 Can the contract be amended in anyway? 9.3 How long does the contracting process take? 9.4 What are the key documents identified in the contract? 9.5 What happens if my start date is delayed? 9.6 If a start is delayed can a project be recosted to account for this delay? 9.7 Can we have a dual contract as two institutions are going to take joint responsibility? 9.9 When will we start to get our payments? Can we get anything before that?
7. Finance issues for applicants7.1 How accurate do you expect my costs to be? Applicants should note that it is in their interests to undertake a thorough, realistic and accurate costing of their proposal. NETSCC Programmes expect that the costs identified should not differ between outline and full proposal stage. Any differences must be clearly explained and fully justified. The awarding body will pay close scrutiny to any increases.
7.2 When working out staff salary costs should we allow for inflation? Costs must be provided at current prices. An adjustment for inflation will be made annually thereafter at rates set by the Department of Health. Whilst allowances for incremental increases should be included on the form, nationally or locally agreed pay increases should be excluded.
7.3 Can we include local or national discretionary payments that proposed co-applicants or collaborators are in receipt of (e.g. Silver/Gold/Platinum merit awards for applicants with NHS contracts, 'market force' supplements over and above standard spine scales for University employees) etc in salary costings for HTA bids? If the co-applicants or collaborators are already in receipt of these awards/supplements then yes they can be included in the costings. If they are only anticipated then they should not be included.
Yes, we will reimburse your employer for the proportion of your salary relating to the time you will spend working on the NIHR Programme project.
7.5 Can I include all applicants’ costs'? NETS Programmes fully support full economic costing, and award research funds on this basis to research based in Higher Education Institutions (HEIs). Under the terms of this, all HEI applicants are allowed to charge for the proportion of their time that will be spent working on any funded proposal. However applicants should be aware that although NETSCC Programmes fund on the basis of the scientific merit of the research, they will be competing for limited funds. The total cost of any proposal should therefore be carefully considered.
7.6 What is the difference between HEI and Non-HEI costs? HEI costs are Higher Education Institution costs – those costs which arise at and are paid by the University. FEC will be applied to these costs and we only fund 80%. Non-HEI costs are those from outside the Higher Education Institution. We pay 100% of these costs but do not pay indirect costs or overheads on them.
Yes, indirect costs can be paid for these people, at their institution’s rate but we will only fund their direct and indirect costs at 80%
7.8 One of our co-applicants is based at a foreign University should we claim 100% or 80% of their costs? If there are Indirect costs associated with this person we would only pay 80%, however, if there are no associated costs we would pay 100%
7.9 I work at an HEI but have consultancy charges from a charity. Are these non-HEI? Yes, because they do not originate at the university.
7.10 We are including a private clinic in our research how do we include the costs for this? Please include the costs the clinic has quoted under ‘Other Direct Costs’ and supply any documentary evidence of this.
7.11 We are an HEI but will be funding clinical time/research nurses. How will this time be funded? If the clinical time/research nurses are employed by the NHS and are not subject to indirect costs then we will pay 100% of costs. The ‘Non-HEI’ box will need to be ticked.
7.12 Some of the research is going to be completed abroad how should we include these costs? Please include the costs under the relevant headings in the £ at the current exchange rate and include a note against each that this is what you have done.
If indirect costs are required these should be included as a lump sum 46% overhead based on salaries. This amount should be included in the ‘Other costs’ box. These costs will be paid at 100%.
7.14 How should we budget for centres in Scotland, Northern Ireland and Wales? These should be included in the same way as for English centres.
7.15 Can overheads or indirect costs be included for NHS centres? We do not pay NHS overheads. We pay 100% of NHS staff salaries which makes up for there not being any overhead (for university staff we pay salaries plus indirect costs at a maximum of 80%).
7.16 What do indirect costs cover? Broadly speaking the costs of running the university and employing staff. This includes all centrally provided university services such as payroll, finance, security, IT support etc as well as normal office costs such as widely used office software (although not trial specific software), consumables, stationery and phone calls (although not those items directly arising from the project such as patient information literature and telephone surveys), general IT training (not training specifically related to the trial intervention), staff recruitment costs, parental leave and sick leave costs. This is not an exhaustive list and we are happy to answer queries on specific items.
7.17 What should I do about VAT? If your organisation is an 'eligible body' under HM Revenue & Customs Notice 701/30 (VAT: Education and Vocational Training), e.g. you are a university or NHS Trust, the cost of any equipment should include any VAT you have to pay on purchase.
7.18 Will you pay a host or management fee to a Trust? No we do not pay this cost. However, if specific costs of hosting the research can be identified then we will consider them along with all the other research costs.
7.19 Can we include costs for dissemination? Yes, but conferences are limited to two attendances.
7.20 What costs can we include for computers, IT support and software? Costs for computers up to £750 can be included, not including printers or specialist software. For HEIs common office software and standard IT support and training should be covered by indirect costs. However, software and IT support and training that is specific to the trial can be costed for separately in the application form.
7.21 Can we include training costs? Whilst training which is specific to the trial should be costed in, e.g. training in how to deliver the intervention being studied, for HEIs more general training such as use of common IT packages should be funded through the indirect costs element of the grant so should not be included in the costing.
7. 22 Can we include recruitment costs? For HEI projects recruitment of staff should be covered by indirect costs so not costed in separately. For non-HEI projects recruitment costs can be included.
7. 23 Can we include costs for NHS consultants? The allocation of NHS consultants’ time and costs can be quite complicated. The first step is to identify whether it is an NHS cost or a Research cost. If their role is to do with patient care it may be an NHS cost. The DH paper on how costs can be attributed is key. Here is the link: Attributing revenue costs of externally funded non-commercial research in the NHS (ARCO) NHS costs need to be entered in the appropriate pages in the form. Research costs will need to be entered into the main staff pages and the non-HEI box should be ticked.
We would usually pay reasonable travel costs; however, we do not pay consultancy costs or reimburse their time unless they are a Service User member.
7. 25 Can a PhD student be included as part of the costings? NIHR does not fund PhD studentships through its research grants (NIHR's main training opportunities can be accessed here: www.nihrtcc.nhs.uk ) It is possible, however, for a researcher employed on an NIHR grant to register for a PhD based on the funded project, though NIHR will not reimburse fees.
We will cover specific phone calls to patients, and paper and printing of questionnaires, but not general office costs which should come out of indirect costs. 7.27 How should we cost for service user/public involvement?Reimbursing of expenses and time for service users is allowed. However, there are no definitive guidelines regarding the rates of pay. The following two documents provide useful information and guidance. Reward and Recognition.pdf and Guidance on Payments to the Public.pdf
Yes, we want to encourage dissemination and therefore we will cover these costs.
8. Finance queries for active projects8.1 Can we vire funds between budgets?Funds can usually be vired between budgets as long as this does not cause any shortfall to the existing budget or detrimental effect to the project. Please contact us to discuss.
Any additional funding required for parental leave and/or sick leave is included within the indirect costs or overheads charged to the project by the host institution. Since our projects are for fixed terms, with the end date known at the start we will not cover redundancy payments.
An extension application form would need to be submitted to your Programme manager explaining why it is value for money and what the actual costs are.
The DH makes the payments directly to your institution’s finance office in accordance with the payment schedule at Section 4 of the contract. You do not need to submit invoices.
If your report is being published, either as a monograph or on the programme website, the final payment is made on publication. If there is no publication (older projects ) the final payment is made when a final report is received. The payment schedule in your contract should indicate which applies.
Yes, we expect a financial reconciliation to be supplied when the final report is submitted. This should include information on how the project budget has been spent. Please note that your final grant payment will usually be released after the report is published, but that this payment should be included in the income figure on your reconciliation.
Yes, we would expect the money to be paid back. To do this the DH would send an invoice direct to a contact in your finance office. Please specify who this should be when you submit your financial reconciliation.
You will need to submit an extension application detailing the reasons for the overspend and we will consider this in the light of the circumstances and available funds.
For projects costed under FEC incremental salary increases should have been included in the costings in the proposal, therefore we will not cover this cost. Prior to April 2012 inflation was included in the original application costing and therefore no further adjustments will be made. Applications from April 2012 will not include inflation at the outset and therefore an adjustment for inflation will be made annually after the project has started at rates set by the Department of Health.
As much detail as possible should be provided. We would expect all costs to be transparent and justified. New costs should be broken down year by year. In addition a breakdown of spend against budget to date should be included.
8.11 Will you pay Access fees for open access journals? Yes,we want to encourage dissemination and therefore we will cover these costs.
The only report we expect to receive routinely is the financial reconciliation when the final report is submitted. We may request further financial reports if, for example, an extension is requested or there are changes to the costs, and we reserve the right to ask for any other financial information as we require it.
Yes, funds can be carried forward between project years. All project funds must be used directly for the project.
You will need to seek our agreement to this, as our agreement is with the institution not the PI. We would need formal letters from the old and new institutions confirming they are happy with the change. We would also need a financial reconciliation from the old institution. Then, if agreed, we would issue a ‘Deed of Novation’. This is a legal document between both institutions and the Department of Health.
The following confirms that a ‘safety net’ is provided for TSC and DMEC members and is the formal Treasury wording:
9. Contracting process9.1 What is the standard NETSCC Programmes contract? The standard research contracts are Department of Health contracts, which will not be modified. There are four standard contracts:
9.2 Can the contract be amended in anyway? No, the contract is a standard DH contract and is available for review prior to application via the link above.
9.3 How long does the contracting process take? Once the project team have identified a realistic start date and there is a finalised and signed proposal it takes NETSCC approximately 1 week to issue the contract. The next stage is for the host institution to sign the contract. This takes varying amounts of time, depending on the institution’s procedures. Once returned the contract should be signed by the Department of Health and returned to the institution within a couple of weeks.
9.4 What are the key documents identified in the contract? The proposal, project details, funding schedule and key staff list.
9.5 What happens if my start date is delayed? You will need to contact your Programme Manager and discuss the issues and nominate a new start date. Then a contract variation formally delaying the start and updating the funding schedule will be issued. A project cannot start until this is fully signed.
9.6 If a start is delayed can a project be recosted to account for this delay? Under Full Economic Costing (Higher Education Institutions only) - once a project has started the price is fixed and will not allow for the project to be recosted. However, if a project's start date is delayed then we may agree to consider recalculated costs if submitted.
9.7 Can we have a dual contract as two institutions are going to take joint responsibility? As a matter of policy, the DH requires one organisation to act as contractor with formal responsibility for delivery of the project. This however need have no effect on the scientific management of the project which can continue to be a joint responsibility as detailed in the project protocol.
9.8 We think there may be a possibility of getting additional funding from elsewhere how should we reflect this in the proposal form? Usually applicants should apply for the whole sum but say in their project description that there is the possibility of the other organisation funding £x. This allows the board to consider the ramifications of such joint funding as well as taking it into account regarding the amount we may need to contribute.
9.9 When will we start to get our payments? Can we get anything before that? We do not generally start to release any payments until the project has confirmed it has started and has shown us all the necessary regulatory approvals, e.g. ethical approval, MHRA approval. For the purposes of facilitating a timely project start we are able to agree to release up to £50k of the grant before ethical approval has been received. Projects who would like this facility should explain how the money will be used e.g. to pay a trial manager to undertake the work associated with achieving regulatory approval. If agreed then this will be built into the payment schedule, so if the contract has already been signed a contract variation will need to be issued.
The DH makes the payments directly to your institution’s finance office in accordance with the payment schedule at Section 4 of the contract. You do not need to submit invoices.
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The Efficacy and Mechanism Evaluation programme is funded by the MRC and NIHR, with contributions from the CSO in Scotland and NISCHR in Wales and the HSC R&D, Public Health Agency in Northern Ireland. It is managed by the NIHR Evaluation, Trials and Studies Coordinating Centre (NETSCC) based at the University of Southampton. |
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