External Controls and Reporting under fEC/TRAC

Quality Assurance and Audit

Quality Assurance Validation (QAV)

The implementation of the TRAC/fEC initiative is monitored through a quality assurance process managed by Research Councils UK. This process was revised in 2007 to accommodate processes surrounding the calculation of fEC rates, and the application of rates in research applications to provide assurance to sponsors that the TRAC guidelines have been implemented correctly.

The process was in two parts:

• submission of a detailed questionnaire to Research Councils UK in January 2008
• a three day audit inspection during 2008. The University’s visit took place in July 2008.

Research Council Funding Assurance Programme (formerly known as ‘DipStick’ Audit)

The Research Councils will continue to audit the administration of awarded grants through the Research Services Division and Department/Faculties. The latest audit was carried out in July 2007, and a follow up will be held in December 2008.

Internal Audit

The TRAC/fEC processes implemented by the University have also been also subject to audit reviews by the University’s Internal Auditors. The new Quality Assurance Validation Process has now negated the requirement for TRAC/fEC processes to be the subject of internal audit review.

External Reporting - additional requirements under fEC

HEFCE

Specific fEC reporting requirements have not yet been produced by HEFCE. It is anticipated that the way awards data has been set up by the project and collected by RSD will satisfy any reasonable request.

Research Councils

The fEC guidelines stipulate that an Investigator should not charge in excess of 1650 hours per year across Research Council awards. This requirement is to be addressed by the Research Services Division.