Accessibility statement

Guidance on completing risk management questions within Worktribe

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

If this is an applicant’s first grant or first time leading a large consortium then additional support measures could be put in place to assist the PI. Please speak to your DRC.

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.

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 a high risk country 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). At present restrictions cover Somalia, South Sudan, Sudan, Democratic People’s Republic of Korea, Syrian Arab Republic, Iran, Iraq, Lebanon and Libya.

If the project does involve working in or with a high risk country then early discussions should take place with RGO.

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 from Michael Slade and/or RGO Grant Co-ordinator.

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

Any match funding or in-kind contributions from the University or other parties should be agreed upfront and confirmation obtained before the application is submitted.

Q6.  Does the project involve the purchase of equipment over £25k?

Purchase of equipment over £25k is 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, are the department and/or estates aware. Discussions should take place with HoD and agree on who will take this forward with Estates. Discussions should take place and agreement sought from Estates before the application is submitted.

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?

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.

Examples of conflict of interest include where the PI is a director of a company involved in the project (partner or funder).

Further details on Handling Conflict of interest are detailed in the University's ethical Code of Practice

If yes, please state the nature of the risk 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?

A data management plan is now mandatory for EPSRC and for other Research Councils it is "expected". EC are also moving towards this requirement.

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

Cover is NOT automatic if the research, study or trial includes any of the following:

  • Investigating or participating in methods of contraception
  • Assisting with or altering the process of conception
  • The use of drugs
  • The use of surgery
  • Genetic engineering
  • Subjects under 5 years (other than activities i-vi above)
  • Subjects known to be pregnant (other than activities i-vi above)
  • A pharmaceutical product/appliance designed or manufactured by the institution
  • Work outside of the United Kingdom.

Further information on the University’s insurance

or for further advice please contact Matthew Cox, University of York Insurance Officer on (01904 32)2008.