RESEARCH, INNOVATION & ENTERPRISE
GUIDE TO COMPLETING PROPOSAL APPROVAL FORM (PAF) (v2)
The PAF is a formal document used for the purpose of allowing the university to assess and approve a proposalseeking funding. There is a subsequent stage for University acceptance of the offer of funding subject to contract or offer of grant. This acceptance is authorised via the Vice-Principal & Pro-Vice Chancellor (Research).
PART A should be completed in all cases (even if GCU is not the lead applicant on the proposal. For internal purposes, the PI will be the name of the lead person collaborating with the external client). The following information should be provided:
1. Principal InvestigatorThe name, School, Department and telephone number of the University lead person on the proposal.
2. Title of ProposalGive the full title of the proposal here.
3. Anticipated Start/Enter the anticipated start (usually the first day of the month) and end
end datesdates (usually the last day of the month) for the proposal. Should your proposal be successful, please inform RIE of any changes to the start date.
4. IPR/ConfidentialitySome organisations request restrictions on publicity or insertion of
issuesconfidentiality clauses. Give details of any such restrictions concerning the proposal. Prior agreement of authors will always be obtained before publicising information which has not yet entered the public domain. If you believe that your proposalmay disclose information that could have commercial potential (e.g. patent) indicate this here. RIE will contact you in order to formally register your idea/IPR.
5. Conflict of interestGive full details of any potential conflict of interest your involvement in the proposal may represent or be perceived to represent. This will enable the university to consider the issue in conjunction with its impact on existing university policies. It should be noted that disclosure of a conflict of interest does not automatically exclude the proposal from submission. If you require further clarification, please contact a member of staff in Research, Innovation & Enterprise (RIE).
6. Funding BodyEnter the name of the funding body (bodies) to which you are submitting your proposal.
Tick the box which most closely describes the type of funding body you are applying to.
Enter the funding body HESA code. This can be found on page 4 of the PAF. If the project funding is coming from more than one source, please enter HESA codes applicable to all sources.
All funding body information will be included in the university research information management system.
7. Principal Investigator Thelead person on proposal should sign here. This will normally be the principal investigator or equivalent.
8. Associate DeanThe Associate Dean (Research) should sign here as confirmation that they have read the application and it is complies with the School strategy and objectives.
9. Approved by RIERIE will confirm financial and contractual compliance with University and funding body submission requirements (including electronic submissions and full economic costing).Where appropriate, RIE will assess ongoing contractual obligations and ensure that steps have been or will be taken to protect intellectual property rights. RIE will, if necessary, advise the Exec Dean on any outstanding issues, but otherwise seek University level approval to proceed with the proposal.
10. Approved by Exec Dean The Exec Dean’s signature should be obtainedafter RIE have approved the PAF as in 9 above. This:
a) confirms his/her approval of the proposal
b) confirms the academic proposal is consistent with the School
strategy and objectives
c) confirms that resources are available within the School to carry out
the proposal
d)confirms acceptance of the financial arrangements on which the
proposal is based
and in the case of commercial activity (PART C)
e) confirms compliance with university requirements for the conduct
of commercial activity
11. University authorisation RIEwill carry out the appropriate checks as in 9 and seek PAF approval together with the approved full economic costing. The signature of the university nominated signatory responsible must be obtained even if not required by the funder, indicatingthat the proposal has official University support. RIE will obtain this signature for you.
University Charitable Status
The University has exempt charitable status. The full guidance document from the Charities Commission is accessible at In order to maintain this position, all research activity undertaken by the University (whether supported by a research grant or via contract research) must satisfy the following objectives:
a)The research should advance and enhance knowledge and understanding
b)Any useful results arising from the research should be disseminated to the public
c)The research should be undertaken for public benefit (e.g. education) and not solely for self interest or private or commercial consumption.
RIE will help you negotiate appropriate University contracts or other forms of agreement that will support the achievement of these objectives.
PART B (to be completed for all Research Grants and other Educational Grants.)
Definition of Research
RIE will refer to the frascati definition of research which reads as follows:
“Research and experimental development (R&D) comprise creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and the
use of this stock of knowledge to devise new applications."
"R&D is a term covering three activities: basic research, applied research, and experimental development.
Basic research is experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundation of phenomena and observable facts, without any particular application or use in view.
Applied research is also original investigation undertaken to acquire new knowledge. It is, however, directed primarily towards a specific practical aim or objective.
Experimental development is systematic work, drawing on existing knowledge gained from research and/or practical experience that is directed to producing new materials, products or devices, to installing new processes, systems and services, or to improving substantially those already produced or installed." (Second chapter of the OECD 1993 Frascati Manual)
Research Grants
Research grants are awarded by external grant awarding bodies on the basis of a competitive peer review process, where funding is provided to cover only eligible direct costs of carrying out a proposal and may contribute in whole or in part to University overhead costs. Grants are not for profit activities, as distinct from Contract Research (see part C of this guidance note). A successful bid will result in the offer of an award under standard terms provided by that body (e.g. Research Councils, Charities and Trusts etc).
Full Economic Costing (fEC) Research
The Government requires that Universities calculate the full economic costs (fEC) of research proposals undertaken using the established UK HEI TRAC methodology (this is embodied in the GCU fEC costing spreadsheet model). The full economic costing is advisory to the University and the institution is required to report to Government on the sustainability of research based on the TRAC data. This is completely separate and distinct from the University internal budget model for external proposalapproval. The decision by an Executive Dean of School or other unit head to authorise the work should be based on the internal University budget model and not the fEC. Please contact RIE to seek clarification on the use of the full economic costing model if required.
The following sections of the form should be completed:
1. Internal Co-applicantProvide the name and department of all nternal applicants named on the proposal. This information will be included in the university research information management system.
2. External CollaboratorsProvide the name and address of all external collaborators named on the proposal.This information will be included in the university research information management system.
3. Proposal TypeTick all boxes which apply to the type of proposal you are participating in.
4. Peer Review Tick whether or not your research proposal has undergone a process of peer review. This could either be internal (within GCU) or external (sending the proposal outwith GCU to be reviewed). Please indicateas applicable, and provide contact details of the reviewer (s).
5. fEC of ProposalRefer to RIE website ( spreadsheet to enable calculations of full cost of proposal. On completion of fEC form, insert amount here.Note: If you require fEC advice or assistance please send an email to and a member of staff from RIE will contact you to develop the costing required, and to advise on how to translate this to the application process for the external funding body.
In the event that the original fEC figures submitted to the funding body differ from those awarded at time of award (either decreased or increased), a new fEC should be prepared to reflect this amount. Contact RIE who will provide assistance in this part of the process, as the Exec Dean will be required to re-authorise any changes to funding
6. GCU Match fundingEnter amount of match funding required by GCU, whether in kind or cash.
7. Total value of proposal/Insert total value of proposal together with the amount of money
Total amount to GCUwhich is expected from the grant or the portion which will be allocated to GCU in cases of collaboration.
If there is a deadline for your submission, please insert date, thus allowing RIE to deal with the application accordingly.
8. Additional contributionInsert total amount of financial/in kind contribution from 3rd party if any.
9. EthicsEthical approval is an extremetly important aspect of any research proposal. Please respond to the three parts of this question by deleting yes or no as appropriate to each part. Important note. Please ensure a copy of the ethical approval documentation is passed toRIEprior to the start of the proposal. Failure to do so may result in a delay to the project commencement.
Please note: When submitting a funding application RIE require the following documents;
A fully completed PAF
A fully completed fEC (except in cases of studentship, equipment and travel grant application where a fEC is not required)
A copy of the final application being submitted
The documents above are required PRIOR to the submission of the application to the funder (whether online or in paper form). PI’s submitting a PAF etc. after the deadline risk the project being withdrawn should authorisation not be obtained at university level prior to submission.
Please notify RIE of the outcome of your grant application – whether successful or not. The statistics gathered by RIE give the Executive Board a more informed view of the research activity of the university as a whole.
Should your project be successful, the following information is required by RIE:
- An award letter and or
- Contract/sub-contract with
- Start and end date
- Payment details (method)
- Amount awarded
- Budget breakdown
- An updated fEC (if the amount awarded differs from the amount applied for – this should
contain the new budget heading amounts)
- An updated PAF if applicable
A full set of documentation is required in order to allow RIE to progress to the next stage in the process and allow the finance office to set up a unique account for your project. Any delays in passing this information to RIE could affect the management of the project e.g. in cases where an advert is required for the recruitment of staff, HR are unable to proceed with this request until an account code has been assigned to the project.
PART C Commercial Activity - (to be completed for all Consultancy, Contract (commissioned) Research and Other Services)
Definitions of the category of commercial activity can be found at the University Requirements for the Conduct of Commercial Activities.
Please contact RIE directly for further clarification on the definition of activity and to seek advice and support if required.
In circumstances where the classification of an activity as contract research or consultancy is unclear, RIE will make a determination based on an assessment of the proposal documentation provided. If staff disagree with the RIE assessment of the nature of the activity, the matter will be referred to the VP & PVC (Research) who will make a decision based on the information presented. This decision will be final.
PLEASE NOTE: Staff undertaking commercial activity that has not been formally approved by the University via the processes outlined herein are not covered by the University’s professional indemnity and negligence insurance. Please contact RIE at an early stage in the negotiation of commercial activity to ensure that the appropriate contract is put in place. Failure to do so may result in subsequent delays to approval of proposals.
1. External Client contactProvide the name, address, and organisational details of contact person within company the agreement/contract relates to.
2. CostingRefer to RIE website ( for costing spreadsheet to enable calculations of cost of proposal. On completion, insert fEC for activity (contract research only), total costs of activity, (total costs including %School overhead contribution) total income for activity (how much the School is charging the company to carry out the service), surplus (income minus costs) amount here. Note: If you require costing advice or assistance please complete the costing request form and email to and a member of staff from RIE will contact you.
3. Contractual requirementsRIE will review agreement/contract (if provided by the client), thus ensuring it complies with the university terms and conditions. In the event that any contentious issues are identified within the agreement/contract, RIE will contact the client directly and re-negotiate on behalf of the university. Otherwise RIE will supply a contract for the client to sign. Once all parties concerned are satisfied with the terms and conditions presented, RIE will make recommendation to the university nominated signatory that the agreement/contract be signed.
If you require advice from RIE on any other contractual matter, tick relevant box and an RIE member of staff will contact you. If ticking the “other” box, please state the nature of advice required, providing as much detail as possible, including any proposal description documentation, commissioning letters or emails from the client. This will enable RIE to gather concise information in relation to your query.
Company TypeDefinitions:
SME: <250 staff & ≤ £50 million turnover &/or ≤ £43 million balance sheet total.
Large Company: any company that is not an SME or Other company.
Other Company: a non commercial company e.g. public body/NHS/government dept/charity.
Scottish: reg. no. with 'SC' prefix &/or headquarters, R & D or sig. production base in Scotland.
Large company: any company that is not an SME or Other company.
Other UK: UK based company that is outwith Scotland.
Non-UK: company based outside the UK.
Using the definitions above, tick the box which most appropriately describes the type of company you are applying to. The best way to find out this information is either by asking the company or searching the website. The data is required to meet University Financial Procedures, and to inform Government statistical returns, therefore it is essential that this is completed prior to submitting to RIE for authorisation.
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