Definitions

Partners: The University of Birmingham (henceforth referred to as ‘Host University’); Business, Industry and Government Partner(s) (henceforth referred to as ‘Industry Partner’) and University applying for the Research Project (henceforth referred to as ‘University Partner’)

Parties: The host University; Company/Companies; University Partner; Research Associate / Student Researcher (henceforth referred to as ‘Researcher’); and SUM4Products

1) Introduction

1. The following are a set of ‘Ground Rules’ for companies and universities wishing to participate in a SUM4Products Research Project (hereafter referred to as ‘project’). They are effectively a set of informal terms and conditions; their intention is to ensure that all Parties have an agreed understanding of what the Short Project is seeking to achieve and how it will operate. SUM4Products, in its role as manager of the scheme, will manage these ground rules as an aid to facilitating and managing the projects.

2. The primary aim of a SUM4Products Research Project is for the Partners to gain familiarity with each other’s expertise and interests and solidify a working relationship by carrying out a short, well-focused and self-contained research project at doctoral or post-doctoral level. Projects are designed to be rapidly responsive to new opportunities, with a light administrative burden, and these Ground Rules reflect those aims.

3. Ordinarily, projects will have a full-time-equivalent duration of 12 weeks, with flexibility for full- or part-time working (with a maximum part-time length of 24 weeks). The proposed duration should be indicated in the application form. Where the scientific nature of the project requires a longer or shorter duration than 12 weeks, this must be justified in the application.

4. These Ground Rules do not carry the full force of a legal contract. Nevertheless, prospective Partners are asked to signal their agreement to them as an important step in establishing their working relationship. This agreement is taken to be accepted by signatures on the Application Form. The funding will be awarded via a SUM4Products Network+ Award agreement from the University of Birmingham to the University Partner, which will specify further terms.

5. The BIG Partner, University Partner, and Researcher will also be asked to sign up to the SUM4Products Code of Conduct prior to commencing the project, as well as providing a signed copy of the Award agreement.

6. Any further agreement between the Partners should ordinarily align with these Ground Rules. If Partners wish to vary the Ground Rules, then they must agree on the revised wording, and SUM4Products must satisfy itself that any new agreement remains compatible with the spirit of the scheme. In some circumstances, SUM4Products may recommend other mechanisms as being more suited to the intentions of the Partners. If the Partners do wish to agree a different text, they should do so with minimum delay.

7. If the Partners wish to establish a more formal Memorandum of Understanding, containing the same text as the Ground Rules, then this is also acceptable. It should be drafted by one of the Partners but must be approved by SUM4Products before it is signed.

2) Project management and partner expectations

8. The University Partner ‘owns’ the workplan for the project, which must be described in the application form and agreed by all Parties in advance. The workplan must not be altered significantly after the project has been approved without the prior consultation and agreement of all Parties.

9. The University Partner is responsible for the day-to-day management of the Researcher, and will provide the necessary office space and computing equipment at their premises.

10. SUM4Products will oversee the project through one of its Executive Team Members, who will:

    • maintain contact with the Partners of the project, monitor the project’s progress, and offer guidance that may assist in ensuring its successful completion

    • assist the Partners in exploring opportunities for further collaboration

    • be available to act as a source of advice in case of any difficulty of either a technical or administrative nature that might arise during the project.

11. The University Partner should provide at least one hour of supervision per week (or equivalent for part-time projects), delivered by the academic supervisor named on the application form.

12. The Industry Partner has no formal project management role in relation to the Researcher, but should provide regular supervision to the Researcher as and when required and no less frequent than once per fortnight.

13. The Partners should have regular informal monthly progress meetings.

14. The Researcher and Industry Partner will be expected to agree an appropriate schedule of in-person collaboration as required to support the needs of the project and facilitate regular communication. The Researcher will make reasonable in‑person visits to the BIG Partner as needed, typically amounting to several days over the course of the project.

15. A formal progress meeting at the mid-point of the project will be organised and attended by SUM4Products and will include a presentation from the Researcher, covering progress to date.

16. SUM4Products will convene a formal conclusion meeting at the end of the project, which will involve the Researcher, representatives of the Industry Partner and University Partner, and possibly other Parties by mutual agreement of the Partners. The purpose of this meeting is to discuss the results of the project, discuss outcomes, and plan next steps.

17. At the end of the project, teams will be required to:

    • Produce a two-page lay-person summary describing the original challenge, the mathematics undertaken, and the implications of the results for the Industry Partner, who will need to supply a short company testimonial

    • Produce a three-minute video addressing the same points

    • Deliver an in-depth technical presentation to the Industry Partner

    • Present at the SUM4Annual Meeting, if requested to do so.

18. SUM4Products may make reasonable requests for information concerning the ‘impact’ of the project on the Industry Partner’s business during the period of five years from the completion of the project, and the Industry Partner should use reasonable endeavours to respond to such a request in a manner which enables SUM4Products and Host University to report on the project.

3) Intellectual property

19. In alignment with UKRI guidance on Intellectual Property, SUM4Products and EPSRC make no claim to the intellectual assets (IA) arising from research funded by the Network Plus grant. SUM4Products arrangements will generally follow guidance in the UKRI’s Intellectual Property Commercialisation Guide.

20. All Intellectual Property used in connection with the project which has been generated prior to or outside the scope of the project (Background IP) shall remain the property of the Party contributing the same. All Intellectual Property (IP) created as part of the project (Resulting IP) will generally remain the property of the Researcher unless otherwise agreed in writing prior to commencement of the project.

21. Any contracting from the Host University in relation to the Research Project will normally be with the University Partner. At this stage, further information will be provided relating to licensing of the Resulting IP between the Host University and University Partner, for the purposes of non-commercial academic research (including research paid for by grants from third parties and as enabling technology in other research projects), publications and teaching.

22. SUM4Products will use reasonable efforts to support Project Partners in agreeing fair licence terms for Resulting IP. As the Host University will not usually own this IP, licensing must be agreed with the owning Researcher and the University Partner, who are expected to participate constructively in negotiations.

23. All parties will be required to report project outcomes and outputs resulting from this funding to SUM4Products in accordance with Ground Rule 18.

24. If required, an NDA may be put in place to protect the background IP of the BIG Partner and the University Partner. This NDA should be signed by the Industry Partner, University Partner, and SUM4Products. It must be in place before the project commences.

25. Any publications and other outputs/dissemination resulting from work carried out under this grant (including the required project report) must:

    • Include acknowledgement of the Network+ funding by including the statement “This work has been supported by the EPSRC-funded Network+ SUM4Products (Grant number: UKRI951)”

    • Adhere to UKRI open access requirements

    Any software produced should be open source and made available via an online repository (e.g. Github, figshare etc.). Partners may also provide their own logo guidelines to enable appropriate use in publications.

4) Data protection and ethical approvals

26. The University Partner is responsible for ensuring that all necessary ethical approvals and data protection measures are in place prior to the start of the Short Project. This includes obtaining approval from the relevant ethics committee, where required, particularly in cases involving sensitive, personal, or commercially confidential data.

27. The Partners must agree on how data (including personal data and research outputs) will be shared, stored, and processed throughout the Short Project. Any data sharing must comply with UK data protection legislation, including the UK GDPR and the Data Protection Act 2018.

28. If the project involves the transfer of personal or confidential information between the Industry Partner and the University Partner, the Partners must ensure that a suitable data sharing or data processing agreement is in place before the project commences.

5) Compliance and conduct

29. The Industry Partner must comply with all financial processes required by the Host University as outlined in the Award Terms and Conditions.

30. The Industry Partner must declare at the outset whether the nature of their work requires a restriction on the nationality of the team working on their challenge.

31. It is the University Partner’s responsibility to check, where appropriate, that the Researcher has the right to work on the project.

32. All Parties note that, during the Short Project Period, the Researcher is not an employee of the Industry Partner. Researchers remain subject to the employing University’s (whether Host University or University Partner) regulations and the terms of any University contract, and that they will work exclusively on the SUM4Products Short Project (with appropriate provision when the project is being undertaken part time).

33. The Industry Partner should insure the Researcher against occupational and non-occupational hazards, noting that they shall not be liable whilst the Researcher is off Industry Partner premises and not undertaking work for the Industry Partner.

34. The Industry Partner shall promptly consult the academic supervisor and SUM4Products in the event of any grievances or concerns about the Researcher’s conduct or performance on the SUM4Products Short Project and the University Partner should manage such concerns and grievances in accordance with its process and procedures. Concerns from the Industry Partner relating to the academic supervisor should be raised with SUM4Products in the first instance.

35. The University Partner shall promptly consult the Industry Partner and SUM4Products in the event of any grievances or concerns about any Industry Partner employee’s conduct or performance related to the SUM4Products Short Project, and the Industry Partner should manage such concerns and grievances in accordance with its process and procedures.

36. The Industry Partner shall advise the Researcher of all applicable rules, policies, health and safety and other regulations that might apply during their company visits.

37. The Researcher and the University Partner agree to:

    1. consent to the processing of their personal data, and any other personal data which may be provided to the Industry Partner for the purposes of the SUM4Products Short Project in accordance with the Industry Partner’s standard procedures relating to health and safety and data protection

    2. treat details of any Industry Partner procedures, projects, research or other information of which they become aware and that are unrelated to the SUM4Products Short Project in the course of their work or visits to the Industry Partner as strictly confidential and will not disclose such information relating to the Industry Partner’s activities to any person without express written permission

    3. comply with all work rules, policies, health and safety and other regulations reasonably requested and communicated by the Industry Partner.