Guidance to facilitate the continued employment of research project staff when grant funding ends.
Table of Contents
Introduction
Forward Planning
Benefits
Managing Funding Gaps / Delays
Bridging Funding Options
Decision Making
Notice Periods and Contract Extensions
Termination and Redundancy
Redeployment
Fairness and Equality
Appendix A.- Bridging Funding Principles
Introduction
1. This guidance outlines the interim budgetary options that may be available to retain research project staff, (including researchers, technicians and project support staff) in employment, where it is anticipated that there will be a gap between the end of one external funding period and the commencement of another, including where a grant has been set up but there is a delay in the funding commencing.
2. It is recognised that the availability of finance and budgets for bridging funding will vary across Departments and this guidance is intended to highlight and encourage consideration of the potential options that can support continued employment of staff where applicable.
3. When considering the potential redundancy of staff working in research-related roles where their employment relies on external grant funding and this is due to end, the Principal Investigator (PI) should consider options to continue their employment until any new award funding starts.
4. The PI and others involved in decision making should refer to this guidance to ensure all eligible staff receive fair and equitable access to bridging funding. This includes eligible staff on long term absences such as maternity / adoption leave.
Forward Planning
5. Taking into account the typical decision time for particular applications and potential procedural delays, it is recommended that the PI, in conjunction with their research team, should aim to begin the process of applying for further research grant funding six to twelve months before the expiry of their current funding. The funding may be in the same or related areas of research to the current grant.
Further useful information on applying for research funding and the procedures and processes to follow, is available at Research and Innovation Services.
Benefits
6. Where a gap or delay in external funding will occur, the benefits of bridging a funding gap between grants are:
- helping to sustain research teams, experienced staff and retain expertise.
- enabling staff to avoid a break in employment where further funded work, for which they have appropriate skills and experience, will become available soon.
- erducing the cost and work of re-recruiting staff with the appropriate skills avoiding redundancies and improving security of employment
Managing Funding Gaps / Delays
7. The PI should discuss with their Head of Department (HoD) who will consult with the Finance Business Partner, the bridging funding options available for staff funded by the grant, who will otherwise be facing redundancy and where the principles in this guidance apply. Typically, this should take place at least six months prior to the funding ending but preferably earlier e.g.12-9 months, to allow sufficient time for managing staff termination processes and notice periods, should new funding not be secured.
8. Bridging funding may be available for a period of up to a maximum of six months for Category A but will not normally exceed three months for Category B (see below). The actual length of any bridging funding if agreed, will be dependent on available funds.
A. additional funding has been secured, but there will be a gap or delay of less than six months between the end of the current grant funding and the start of the new grant; or
B. a researcher is named on a grant or fellowship application, but the outcome is unlikely to be known by the end date of the current grant but it will become known within three months of the end date.
Note: A longer initial period for Category B would be an exception agreed with the HoD. Where an award is confirmed but cannot start within the three months, it may also qualify for an extension under the category A rule but will not exceed six months in total.
Bridging Funding Options
9. In eligible situations, the PI, in accordance with any local department staffing / approval processes, should look to support the continuation of employment using one or more of the options below, where these are relevant and available:
- A ‘no-cost extension’ (agreed by the funder) if there will be significant unspent funds in the grant by the end date
- Use of Discretionary Account Funding
- Departmental Core Funding (DCF). Where DCF is requested, a business case must be prepared, summarising the work to be performed and the value to the department in line with this guidance. Approvals are made by the Head of Department and the Finance team for the faculty and will be subject to the department identifying off-setting savings in their core budget (pay or non-pay). Local processes may also involve the relevant Departmental Manager (DM) and/or Faculty Director of Operations (DoO).
- Other third-party funds to undertake alternative work (e.g. grants, consultancy work).
Decision Making
10. The decision maker(s) should follow the principles in Appendix A and take into account the following factors:
- the merit of the proposed project / programme of work
- coherence or alignment with UCL (or department) research strategy
- evidence that the performance of the intended beneficiary is at a satisfactory level, for example, by reference to appraisals
- evidence of the exit strategy (e.g., a new research grant award).
11. Decisions together with the details of the case and the supporting evidence provided plus any relevant approvals obtained, should be recorded on the Bridging Funding Form by the PI.
Notice Periods and Contract Extensions
12. Information on the steps needed to extend notice periods or contract end dates is available in UCL’s Termination procedure for Fixed Term Contracts and Redundancies. The appropriate approach to be taken will depend on the length of the extension to funding.
13. It is important to be mindful that potential redundancy payments (including any pension strain) will need to be factored into any calculations and costings, should the employee’s employment come to an end at the conclusion of any extension to their contract or notice period.
Termination and Redundancy
14. Where options have been explored and it remains a possibility that a member of staff’s contract will end, a consultation meeting should be arranged with the member of staff by the line manager, in line with UCL’s Termination procedure for Fixed Term Contracts and Redundancies, at least 3.5 months before the proposed end date of the contract (to allow for a three month notice period, where applicable).
15, The UCL Termination procedure for Fixed Term Contracts and Redundancies provides further information on managing staff at risk of contract termination.
16. To avoid any overpayments, the appropriate leaver instructions and payroll cut-offs should be followed when processing someone as a leaver, to ensure they are submitted within the deadline.
Redeployment
17. Managers and staff should familiarise themselves with the Redeployment Policy to ensure staff redundancies continue to be minimised.
Fairness and Equality
18. It is important that any decisions to provide or not provide bridging funding are transparent, including written reasons, and that a record of applications and decisions is retained by the Department.
19. Departments will manage the application of bridging funding locally and ensure that it is applied fairly with respect to these guidelines and UCL's obligations under equalities legislation.