Guidance on Estimating Investigators Time on Research Projects Contents Introduction... Factors to consider... What time can be included?... What time is excluded?... How is time estimated?... How is PI/CoI time costed at UCL?... Verification of time actually spent... Summary... Annex 1 - Checklist for estimating PI/CoI time... Annex 2 - Worked example for estimating PI/CoI time... Introduction Since the introduction of Full Economic Costing (fec) it has been a requirement for the time of all academic investigators - normally termed Principal or Co-Investigators (PI/CoI) - to be estimated as part of their involvement in research projects. This requirement is irrespective of how the academics are funded (e.g. HEFCE, endowment funds, trust funds etc) or whether the research funder will actually contribute towards these and their associated costs or not. This note provides broad guidance on how to estimate the time you will spend working on a typical research project. However it is also important that academics understand the terms and conditions of the specific research funding schemes to which they apply. Additional expert support and advice is provided by the Research Finance Unit within Pre-Award Administration. 1
Factors to consider All estimates will be driven by a large number of variables but there a few key and overarching factors that influence the amount of time including: The length of time for the study and the role the PI/CoI will personally play in delivering and managing the research programme The number and level of staff to be managed/supervised by the academic as part of the research programme The number of partners (internal and external) involved in the research programme The nature and/or complexity of the research activity (i.e. desk, laboratory or field based) A more detailed checklist of issues to consider when beginning to build up an estimate of PI or CoI time is given at Annex 1. The Research Councils own estimates indicate that the average PI time would be typically in excess of 8 hours per week or 20% of their time over the course of a research project 1. Recent data at UCL suggests that the average estimated time spent on a typical research project is 14% (5 hours per week) which suggest that PI s may be underestimating their time. However, this should not be taken as prescriptive since estimates for individual projects vary widely. It is particularly important that PI/CoI s give careful consideration to the estimate of their time with regard to grant applications to Research Councils (RCs) since this must be fully justified as part of the research proposal. 1 Note that for the purposes of costing, the standard year is defined as being 1650 hours (i.e. based on 44 weeks per annum at 37.5 hours per week). This is for calculation purposes only. It is not indicative of the actual working week (contracted or otherwise). 2
What time can be included? 1. Principal and Co-Investigator(s) Research Time This can only be realistically estimated by the individual taking into account how much intellectual or practical research effort they are reasonably likely to invest in the project. It may be that projects having a large number of staff employed to deliver the research programme will involve relatively less direct PI or CoI time. At the other extreme Fellowships and Research Leave Schemes will encompass 100% of research activities for the period of the award. 2. Staff management/supervision time of Researcher(s) Researchers: this will vary depending on the seniority and capabilities of the individual(s). It is suggested that you estimate time per researcher on a weekly basis and then aggregate this over the preiod of the project. Technicians/Other staff estimate as per Researchers (above) 3. Project Management time for Principal and Co-Investigator(s) 4. Other This may include time associated with obtaining regulatory approval requirements such as ethics. Co-ordination of multiparty collaborative projects may involve significant PI/CoI time. Travelling time for example fieldwork, seminars or conferences funded throughout the project and incurred during the funding period. Time spent preparing reports (e.g. Final and Intermediate Reports for Research Councils) and in the dissemination of results can be included where these are explicitly part of the research project 3
What time is excluded? Any time that can be categorised by TRAC as Support or Teaching should not be included. Examples include: Drafting and re-drafting new research projects for grant applications or funding bids. Postgraduate Students supervision time for Research Council Project Students is not part of the time estimation on grant application forms. RCs fund 100% of student stipend and fees. Committee work. Refereeing work for research proposals or publications. Activities directly related to professional development. How is time estimated? Although estimating time spent on long-running projects cannot be done with any great precision it is possible to provide a reasonable estimate by adopting a consistent approach. During the course of a project the time spent can vary depending on a number of factors (e.g. an experienced Researcher may leave and be replaced by a more junior individual or vice versa) which may lead to actual time spent varying from the original estimates. Generally, however, academic staff are usually able to make a reasonable estimate using experience to take into account potential changes unknown at the project start. Two distinct methods can be used to estimate time: A. Bottom-up estimate (actual hours) The hours required to carry out the work are built up, based on a detailed programme of work. This will involve breaking down all the activities involved in the specific research programme (as above) and ensuring that the cumulative time estimates for PI and CoI time are reflected correctly in the project costing and application. This is good practice and should be used wherever possible. B. Top-down or overview estimate (%time) Research time can be considered as the time available after teaching, administrative duties and student supervision not associated with specific research projects has been taking into account. This research time is then allocated to specific research projects, including new projects being planned. For this method it is particularly important that the estimates are weighted to reflect complex or time-consuming projects. 4
An estimate of the time required on average across the whole project maybe used for each year s estimate without taking into account annual fluctuations in workload. Please note that the effort is likely to extend over a greater period than the official grant period, to include the initial recruitment of staff prior to starting and the writing of the final report after the end date. All this time should be averaged over the official life of the grant. How is PI/CoI time costed at UCL? The UCL project costing tool, pfact, enables you to enter PI or CoI time as total hours, days or months for the selected work period. It is also possible to enter as a % of time by the use of FTE per annum. Examples of how these equate are shown below: 1 FTE (full time equivalent) for one year = 1650 hours Weekly (hours) Percentage of time Total hours over one year Total FTE (3 year project) Total hours 3 year project 5 13% 220 0.4 660 10 27% 440 0.8 1320 15 40% 660 1.2 1980 22.5 60% 990 1.8 2970 The actual salary costs associated with the time allocated to a particular project as well as the estates and indirect costs attributed to this time are automatically calculated on pfact. An example of how PI/CoI time maybe built up for a typical Research Council project is given at 5
Verification of time actually spent Few projects will run exactly as estimated. Sometimes PIs will put in less time, sometimes more (e.g. when a research assistant leaves early for another post). Most of these variances will be small, and they will tend to average out when aggregated across all projects at the level of an institution or a research council. Research Councils are concerned about PIs "double-booking" themselves and putting in less time than planned, or charging more than a full working week. They will require some assurance (as now) that budgeted costs have actually been incurred. However, expensive cost-tracking systems are not required for this. Instead, PIs will be required to take a more explicit responsibility for building up the project budget (with help as appropriate); for keeping an overall assessment of effort put in and outcomes; and occasionally, at the end of the project, for verifying that academic time input has been as planned (within a reasonable tolerance limit - perhaps 20%). This will require PIs to keep some simple records (e.g. in a desk diary or project log book) of the main events, visits, meetings etc. in the course of a project. It will not require them to complete time sheets, or (for example) to allocate small fractions of time such as telephone calls between different projects. Research Councils are also likely to introduce (joint) systems that will allow them to identify any individuals who are working more than a standard working year on Research Councils' projects. However, Research Councils also realise that, to some extent, institutions will need to over-commit academics at the proposal submission stage in recognition that success rates for proposals are not 100%. Summary In estimating PI and CoI time on projects : Include all PIs and CoIs, whether paid by the University or not. Include all the direct time required to manage the project, to undertake the work and to supervise and manage the project staff. Do not include PGR supervision. Calculate time on an actual hours or % time basis, actual hours being preferred. Note that time committed to all activities should not exceed 100% of your available time. 6
Note that a maximum of 1650 hours per annum for one individual on one project can be included for Research Council projects. Note that PIs may be required to verify that academic time input has been broadly as originally planned, on a sample basis. 7
Annex 1 - Checklist for estimating PI/CoI time The check-list below is not meant to be exhaustive, nor does it prescribe a specific number of hours for specific tasks, rather it is an aide memoir to help academics consider what may be relevant when estimating the time they spend managing and delivering individual research projects they are responsible for. 1. How long is the study for and will you be playing an active role throughout the full period of the project? 2. Are you a new investigator or an established researcher? 3. New investigators should consider whether they will be required to play a more active / hands-on research role in the study. 4. Established more senior researchers (typically those who are PI/CoI s on a large number of projects) should consider whether their role will be more of an overarching intellectual / academic contribution with the majority of the day-to-day management being undertaken by the CoI or researchers employed directly on the project. 5. Will the staff (new or existing named researchers) need to be trained by the PI/CoI in the development and/or application of new techniques pertinent to delivery of the project? If so, over what period of the project do you anticipate the training to take? 6. How much time do you anticipate spending monitoring/evaluating research outcomes/progress generated by research staff over the course of the project? Will this vary over the course of the project? 7. How much time do you expect to spend discussing research outcomes with CoI s/collaborators? Remember to include estimates of time spent travelling if appropriate. 8. How much time will be involved visiting external facilities (e.g. to collect data specific to the project) 9. How much time will be spent disseminating research outcomes at conferences? Remember to include estimates of time taken to prepare presentations and travelling time. 10. How much time will it take to produce specific deliverables required by the sponsor? (e.g. public communication training) Remember to include estimates of time spent travelling. 11. How much time do y ou antici pate spending w riting up the final scientific report after the project has been completed (NB this is time that w ill be incurred AFTER the project has finished but is still an eligible cost to be add ed into the total time you estima te spending on a given project. 8
Annex 2 - Worked example for estimating PI/CoI time The numbers given below are neither prescriptive nor based on an exhaustive list of activities. The aim is to simply illustrate how you would build up and estimate PI and CoI time allocated to a typical research project. Principal Investigator: 2 hours per week research time, 1 hour per week managing Senior Researcher, 3 hours per week managing Junior Researcher, 2 hours per month Project Management, 4 hours travelling UK field trip, 15 hours (total) preparing Final Report. Co-Investigator 5 hours per week research time, 3 hours per week supervising Technician, 1 hour per month Project Management (with PI), 6 hours travelling UK field trip, 2 hours (total) preparing Final Report. Year1 Year2 Year3 Total PI Research time 88 88 88 264 Researcher management 176 176 176 528 Project management 24 24 24 72 Conference travel time 4 4 Preparing Final Report 15 15 Total 1081 CoI Research time 44 44 44 220 Technician supervision 132 132 132 396 Project Management 12 12 12 36 Field trip travel time 6 6 Preparing Final Report 2 2 Total 660 9