Accessibility statement

Guidance on completing risk management questions within Worktribe

Answers supplied in the Worktribe risk questionnaire will be accessed by the PVC-R and/or members of the Research Development Fund advisory group as part of approval process. You are therefore advised to provide full and accurate information: you may need to update your answers as your application progresses.

Q1. Does the Department need to put in additional support measures to help the PI manage this project?

If yes:

Describe how ongoing requirements for project financial management governance/ oversight and reporting (including PGR progression and support if relevant) are to be managed?  Please outline how these needs will be met and financed -  consider if specialist project management support will be beneficial (e.g. partnership management, financial assistance, specialist reporting needs).  This may be especially relevant if the PI is new to large-scale project management.  Your DRC Chair/HoD can advise.

Describe any central administration services (e.g. Finance, HR, Estates, Economic Development Team, etc) that will be involved in the project delivery and if/how these have been costed into your budget?

Q2. Would default by any of the partners materially affect the University's ability to fulfil its responsibilities within the project?

Please advise so that appropriate clauses in contracts can be put in place.

Some examples include situations where we are not directly paid by the funder, or where project progress is dependent on a partner delivering data or other outputs/reports. Please advise so that appropriate clauses in contracts can be put in place.

Q3. Does the project involve working with or in an overseas country? If yes, is it a high risk country?

A country would be considered to carry heightened risks if

a) the country, or area of the country, listed as ‘red’ on the Foreign and Commonwealth Office website

b) there are any trading sanctions with the country (UK, EU or USA).  Please refer to the University's Sanctioned Countries Policy

If the project does involve working in or with a country carrying heightened risks then early discussions should take place with the Policy, Integrity and Performance team policy-integrity-performance@york.ac.uk who will provide a summary of your discussion/advice given to the bid manager.

Q4. Does the project involve exports of products to USA or Canada?

The definition of products (for export to USA or Canada) is 'goods or anything sold, supplied, constructed, erected, installed, treated, repaired, serviced, stored or handled by or on behalf of the University.

If yes, costing advice to be sought.

Q5. Does the project require match funding or in-kind contributions from the University or other parties?

Please answer yes or no, but details of the match or in kind contributions should be given in the Submission and Approvals Form.

Q6. Does the project involve the purchase of equipment or capital spend with the following values?

  • Capital expenditure >£20k
    Equipment purchase where gross cost  is
  • >£200k externally funded research
  • >£20k all other equipment
  • >£20k all equipment where purchase of equipment requires infrastructure works
  • Revenue projects > £200k (falling within the limits above)
  • Finance leases > £20k
  • University making a cash or in kind contribution >£200k

 

If yes, please explain the approvals process that has been undertaken and any responses from e.g. Capital, Enterprise Systems and Infrastructure Strategy group (CESIS).  

Note: Purchase of equipment over £25k is also subject to the University’s tendering process. Further information can be found on the procurement procedures guide webpages.

Q7. Does the project involve any refurbishment of space or new build?

If yes, please describe how Estates and your HoD/Faculty Management Team have been involved to date. Please include names of those responsible for actions to date, and a brief record of discussions.  Cost implications should be described, and any sources or funding that are not included within the bid under application should be detailed.

Q8. Are there any aspects of the project, including the subject of research, the funding source or the 3rd parties involved which could be deemed to be of a sensitive nature and/or which could result in reputational damage to the university?

Please advise if you believe that they could potentially be any reputational damage to the University so that further discussions can take place.

Q9. Is there a conflict of interest or potential conflict of interest?

It is important that you refer to the University’s Code of practice and principles for good ethical governance before completing this question.

Individuals have a responsibility to identify and declare any conflicts of interest ie any situations where their interests or those of others involved in their activity – whether financial, institutional, academic, political, personal or otherwise - are in conflict to the extent that they might impede or be seen to impede the validity and integrity of the work in question.

Measures to manage conflicts of interest need to be agreed as part of the application approvals process.  Please state the nature of conflict of interest risks identified and advise of any discussions with HoD and of any mitigating actions agreed.

Q10. Does a data management plan for the project need to be created?

All projects should consider their data management plans, regardless of a formal funder requirement. Please detail particular high risk aspects of your data management plan e.g. additional resource/technical requirements or the storage and use of very sensitive data.

Q11. Does your project fall outside the University's standard insurance?

Cover is NOT automatic for some, studies and trials.  For further information see the University’s Insurance advice on the Human Participant Research webpage

If yes, please detail the outcome of discussions with the University of York Insurance Officer and the mitigating actions recommended.

Q12. Use of non-human genetic materials

This question and sub questions are designed to remind respondents to consider whether the activity in question is in scope of the Nagoya protocol, and to complete the necessary compliance actions as required by law and the University. For more information about the protocol please see the University’s Nagoya Protocol web page.