RCUK Assurance Programme

From April 2010, RCUK Assurance will be merging the two, currently separate, assurance processes: the Funding Assurance Programme (FAP) and the Quality Assurance and Validation of TRAC (QAV) into a single Research Council Assurance programme. The risks addressed by each of the previous programmes will be covered within a single visit for research organisations. This will be known as the RCUK Assurance Programme, details of which will be available prior to the start date.

Whilst the QAV process is coming to an end, the findings from the QAV Report are such that an ongoing programme of assurance remains necessary. The new programme will focus on the high risk aspects identified in QAV as well as specific institutional findings as reported during their QAV visits. The new assurance programme also aims to provide assurance over the completion of the annual TRAC fEC return.

A revised strategy document will be published on the website from the 1st April 2010 at the latest; however, given the change in approach we have received questions on the implications of this and have summarised some of the main responses regarding the logistics of visits below –

• Visit selection will be similar to previous regimes in terms of research intensive organisations being visited at least once every four years and less research intensive organisations being subject to desk based reviews over a similar time frame.
• Visit selection will take into account more than purely the volume of Research Council funding. On this basis, research organisations from outside the traditional top 60 may also be subject to visits. Research organisations with significant outliers for their charge out rates will be more likely to be subject to visit.
• Visits will last three days and incorporate one day for review of TRAC and three days for review of control environment and research grants.
• A testing template for the TRAC element of the review will be made available on this website, and assessment of this area will continue to follow the QAV ratings of one (impact of <5% on rates), two (impact of >5% on rates) and three (impact of >10% on rates). Sanctions will be applied in the same manner to those research organisations where the three rated issues applies to over statement of rates.
• Unsatisfactory visits will result in a re-visit within 12 months (three months if TRAC issues are prevalent).
• A pre-visit information request will continue to be made.

RCUK Assurance works closely with the TRAC development group (TDG) in addressing the issues arising from the QAV Report and improving the use and design of TRAC at universities. The TDG website provides further information on this at http://www.hefce.ac.uk/finance/fundinghe/trac/tdg/

The Wakeham review of fEC: Financial Sustainability and Efficiency in Full Economic Costing of Research in UK Higher Education Institutions requires research organisations to consider their cost base over the next three years with a view to more efficient practice. For more information regarding the Research Councils implementation of these recommendations please follow this link.

The Research Councils have taken on the responsibility of setting the dispensation rates for use by eligible higher education institutions and independent research organisations, these rates are to be used from April 2010 – Dispensation

The aspect of assurance covered by FAP will continue to form part of the assurance activity and will continue to focus on direct costs and the control environment within research organisations.

• QAV Process
• FAP Process

• IRO assurance

For further information, please contact: