Guidelines for Budget and Enclosures ISP Grant Application Research Groups and Scientific Networks

Transcription

1 ISP Uppsala Universitet Box 549 SE Uppsala, Sweden Fax Guidelines for Budget and Enclosures ISP Grant Application Research Groups and Scientific Networks Contents A. General information about ISP support... 2 B. Budget: Specification of costs Enclosure 1) Research plan/network program... 7 Enclosure 2) Logical Framework Matrix Results Based Management Enclosure 3) Application for improving gender balance Enclosure 4) Fellowship applications Enclosure 5) Applicant s CV Enclosure 6) Publications/Theses/Abstracts Enclosure 7) Other (14)

2 A. General information about ISP support Some general features of ISP support are outlined below. More information on Objectives The International Science Programme (ISP) of Uppsala University has the general objective to: Strengthen the domestic capacity for scientific research and postgraduate education, by long-term support to research groups and scientific networks in chemistry, mathematics and physics. To achieve its general objective, ISP defines three specific objectives: - Better planning of, and improved conditions for carrying out, scientific research and postgraduate training. - Increased production of high quality research results. - Increased use by society of research results and graduates in development. Long-term cooperation It takes a long time to develop scientific competence and to create sustainable research environments. Research is also a long process that may need several years before giving results that can be transferred to the society. For these reasons, research groups and scientific networks are selected for support with a long-term commitment, often covering ten years or more. After an initial phase of one-year pilot grants, agreements on cooperation may be signed for three-year periods and are renewed if the research activity develops favorably and requires continued support. It is necessary to follow the progress of each supported research activity carefully and assess the progress continuously. If it is judged that the progress is not satisfactory, measures have to be taken either to find ways to improve the development or to terminate the support. There are no stipulated rules regarding the time limit for support to a research activity. Continued assistance is justified as long as there is a significant component of competence development. When the successful group has been able to attract substantial funding from other sources, ISP funding can be reduced or phased out. Structure of the support ISP support may be applied for and used for the following items: - Equipment, spare parts, consumables, literature, fieldwork, training of technicians, etc. - Fellowships abroad for research work and postgraduate training, including sandwich programs. - Exchange of scientists between research groups. Such visits are for shorter periods and are intended for planning of collaboration, lecturing, common research activities, etc. Thus, visits of e.g. Swedish scientists to the applicants group should also be budgeted for. - Participation in conferences/workshops and arranging such events. - Administrative costs: Only networks may apply for direct administrative costs. From 2013, however, ISP may allow department/faculty indirect costs ( overhead ) to be charged to the parts of the grant requested for local use, under conditions specified in section 3 in the grant application form. NOTE: ISP does not provide support to staff salaries, rents of premises, basic facilities, amenities such as water and power supply, building or renovation of premises, purchase of vehicles, etc. The support is tailor-made to every supported research activity, taking into consideration the infrastructure available and possibilities for research. The university/institution housing a supported research group is expected to contribute with staff salaries, premises, overall facilities, and infrastructure and to develop these contributions as collaboration evolves. 2 (14)

3 Yearly activity reports The supported research groups and networks are requested to submit annual activity reports, which are used as the basis for the evaluation of the progress. The requested information includes: - A summary of the research activities with achievements during the previous year - Information about staff and students - Postgraduate degrees awarded during the year - Publications, conference contributions, courses, workshops, etc. - Participation in regional activities, and outreach to society - Other funding - Follow-up against stated objectives When a group is invited to apply for a new granting period, a summary of the progress for the previous period is requested. Assessment of progress In the assessment of the progress of a research activity or a network the following are considered as indicators of positive development: - Publications, preferably in international refereed journals - Training of postgraduate students on MSc, MPhil, or PhD level; awarding of degrees based on work which is at least partly done in the home laboratory - Arrangement of courses and workshops on national or regional level for training of scientists in research methodologies - Collaboration with other disciplines, when relevant, and outreach to society - Development of processes or techniques to be used in applications - Promotions and awards to group/network members - Attraction of funds from other agencies The progress of each supported research group or network is continuously monitored and appraised. Assessments are based on the yearly activity reports together with other information available. Application for grants The principle of long-term support implies that the major part of the total funds of ISP is not available for new research activities, as the turnover of supported research groups is generally slow. The program is therefore not announced openly. Research groups and networks selected as candidates for support are invited to apply. See further ISP s Strategy Plan, available here: Each research activity selected for support must have a leader or coordinator accountable to ISP. Each network should have a board or committee taking decisions about the directions and the activities of the network, and an executive secretary or coordinator, responsible for the management of the activities. The invitation to apply for funds is communicated to the leader/ executive secretary /coordinator only, having the responsibility to distribute all information among the group/network members. Also, this person has the responsibility for scientific and financial follow-up of the activity supported. Grant management and accountability The total grant for each research activity or network is deposited in an account at Uppsala University. Each research activity or network has the responsibility to prioritize the use of the funds. Funds may, fully or partly, be transferred for local use, upon request on a form for this purpose. A certified statement of account for this must be sent each year to ISP, and receipts kept locally for audit and review. Ordering of equipment and other items is done by the research group leader or network 3 (14)

4 coordinator, directly with the concerned company, or through ISP upon request. ISP may also be requested to carry out payments to companies. B. Budget: Specification of costs ISP depends on external sources for funding of the program, since early in the program history predominately from the Swedish International Development Cooperation Agency (Sida). Grants are therefore awarded under the condition that the required funding is provided to ISP. Funding can be allocated for periods of one to three years, as indicated in the invitation letter from ISP. If granting is awarded for more than one year, the allocation for the first year will be definite, whereas the allocations for the following years are tentative and will be only released after submission of satisfactory financial and activity reports. For the first year, all costs should be specified (3a in the Grant Application form). If invited to apply for two or three years of support, estimate costs for second and third year also (3b and 3c). Note that a revised budget will be requested in January of year two and three if a three-year grant is approved and in January year one if the allocation approved differs from what has been applied for (and/or priority changes). All budget lines must be justified in Section 3d of the Application form. Guidelines and examples of specification of costs (Section 3a-3d) Equipment/spare parts, service. Specify equipment planned to be purchased during the year, and expected costs for spare parts and service. For purchase of equipment, Sida procurement guidelines apply (available on request). In brief: - Purchases worth 300,000 and above must be accomplished by means of an international open tender procedure following publication of a procurement notice. - Purchases worth 100, ,000 are accomplished by means of an open tender procedure published locally. - Purchases worth 6, ,000 must be accomplished by means of a competitive negotiated procedure without publication, in which the Cooperation Partner consults at least three suppliers of its choice and negotiates the terms of the contract with one or more of them. - Purchases worth 6,000 or less are accomplished according to local regulations, or Uppsala university rules should apply, implying that the selection of supplier should be documented for purchases worth 10,000 60,000. Consumables/literature/field work. Specify estimated costs for categories of consumables, such as glass/plastic items and chemicals (solvents; reagents). In the costs for literature include charges for publication of results, purchase of books, subscription of journals, and literature search/data bases. Also specify costs for fieldwork under this heading. Conferences/workshops. Costs for participation in conferences as well as organizing conferences/ workshops should be included under this heading. Specify whether participating or organizing. An oral or poster presentation is generally required to use ISP funding for participation in conferences. Exchange visits by cooperating scientists. Include the costs for exchange visits between cooperating scientists including postgraduate students, in both directions. Such visits are for, e.g., collaborative work, planning and reporting, lecturing, both under North-South and South-South cooperation. Fellowships for training. The average cost per fellowship-month is estimated according to Table 1. For some items the actual costs will vary from case to case depending on the location/program of the participant. The estimated costs proposed for budgeting purposes are in the higher range to prevent 4 (14)

5 under-budgeting. Please take into account possible increased costs in host laboratory for, e.g., expensive chemicals for molecular biology experiments, or use of very expensive equipment. Table 1) The indicative costs (SEK) per fellowship month, and travel costs per visit. Participants, to be located in Sweden or elsewhere in Europe, per month: Cost (SEK) Total/month: Fellowship subsistence allowance, MSc/PhD student 10,000 Fellowship subsistence allowance, postdoc 12,000 Accommodation (average) 4,000 Insurance 500 Bench/supervision fee to host laboratories (IPICS, IPPS) 10,000 Bench/supervision fee to host laboratories (IPMS) 6,000 Conferences; local travel etc. (average) 1,000 Estimated average per month, student (IPICS, IPPS) 25,500 Estimated average per month, student (IPMS) 21,500 Estimated average per month, postdoctoral (IPICS, IPPS) 27,500 Estimated average per month, postdoctoral (IPMS) 23,500 Accompanying family members per month: For each family member 1,000 Insurance, for each family member 500 Extra cost for accommodation, per family 2,500 Participants located in the regions (regional exchange): Estimated average cost per month 14,000 (The actual costs vary from country to country and will be decided separately in each in each case) Traveling (air fare, economy class, return ticket): Total/visit Estimated average per participant 15,000 This is based on actual costs for participants only; no travel support is given to family members. Economy class airfares from African/Asian countries to Sweden may vary between 6,000 and 26,000 SEK depending on carrier, route and time of reservation. The indicated average is a high estimate to avoid under-budgeting. Support to students. It is expected that local fellowships for postgraduate students should come from national sources. ISP is not expected to provide such allowances. Still, there may be cases where ISP funds may be used for (partial) local fellowships for students on postgraduate programs, and then especially to students of underrepresented gender, for instance to female students in most African groups (in particular in mathematics and physics). This must be agreed beforehand with the ISP Program Director. 5 (14)

6 Network administrative costs. Costs for the administration of Scientific Networks (not Research Groups) should be specified here (secretarial and related office costs, and communication). Other costs within networks should be presented under the applicable heading above. Institutional overhead cost. (New from 2013). Research Groups may include department/faculty overhead costs on ISP funds requested for local use. Budget items planned to be paid by ISP funding transferred for use locally should be specified at the applicable budget lines under respective heading, with the estimated overhead cost clearly indicated. The following conditions apply: - That the overhead has been previously decided and documented by the appropriate institutional body (department/faculty board, or at higher university governing level), and is applied equally to all grants received. - That the first request to ISP each budget year for transfer of funds for local use should be appended with a copy of this decision. (The percentage should be indicated and which kinds of costs are covered, as well as information about at which administrative level the percentage has been decided). Audit costs. (New from 2015). External audit will be required 1) for the previous year, in case the total transfer of funds in that year was 284,000 SEK or more, or 2) for the full grant period, in case the total transfer of funds over the grant period is 284,000 SEK or more. It is recommended that the cost for this item is investigated before the time of application, if possible. Otherwise a recommended figure is 10,000 SEK. Participation in the Reference Group Meeting. This budget line also only appears in the budget for the last year of the application period. Since the venue for the meeting is not known at the time for application, estimate an appropriate amount (recommended figure: 15,000 SEK/participant). This budget item should cover the air tickets for the participants from the supported activity. The local cost at the meeting will be covered by ISP upon agreement with the Program Director. Activities for improving gender balance among staff and students. From 2016 ISP allows groups and networks to apply for special marked funds for activity targeting gender balance in supported groups and networks. It is optional to apply for these funds. If you choose to do so, please specify the costs needed to implement the activities you plan for improving the gender balance at your group/department/ institution or network. A recommended figure for this post is 30,000 SEK/annually, depending on your activities. The gender funds will be available for the entire period of application (three years). Please note that if you apply for these funds, you also need to attach a detailed budget for such activities to the application (Enclosure 3). 6 (14)

7 Enclosure 1) Research plan/network program The Research plan/ Network program should provide a solid basis for the assessment of the quality of the application and should be organized using the below headlines. It must be kept within five pages (16,000 characters), excluding references. Read the guidelines to Results Based Management (RBM) and the Logical Framework Matrix in Enclosure 2 before completing section a-f. The overall objective, the specific objectives, the planned outputs and expected outcomes stated in these sections should be inserted into the Logical Framework in Enclosure 2. a) Overall research questions, objective (impact) and relevance of the activity - For Research Groups and Scientific Networks that carry out research (including postgraduate training), describe and motivate the research you intend to embark on, the scientific hypothesis that make up your starting point, how you are going to study this, and with what methods. - For Scientific Networks comprising other activities (than scientific research and postgraduate training), describe and motivate your intended activities and how you plan to carry them out. - Clearly state the overall objective of the activity, why these research questions have been selected and the expected impact, and what your research group/network aim to achieve in the long term) and the relevance of this in relation to local (country to university) policies and strategies, and to the Swedish Strategy for research cooperation and research in development cooperation : - Indicate the expected contribution of the research activities to general scientific knowledge. - Indicate any significance of the proposed activity from a gender perspective. b) Specific research questions and objectives - List a number of specific research questions, describe how they relate to your overall hypothesis, how you plan to design and carry out your work to answer them, and with what methods. Motivate proposed instrumental methods. - Give specific objectives that should be reached within the period of support applied for. (Specific objectives can include to answer specific research questions, to build-up of competence in a certain field by postgraduate training, as well as the to achieve any outcomes that are expected in terms of degrees, publications, and interactions with society. Or they can be on a more general level e.g. to increase the production, quality and relevance of scientific results and/or to attract sufficient financial support, other than from ISP, to ensure long-term stability). c) Planned outputs and expected outcomes - The process of managing your research activities and measuring results should be according to Results Based management, RBM, procedures (see Sida s guidelines, at The process starts with establishing the objectives, as it is done in sections a) and b). 7 (14)

8 - The next step is determining the outcomes necessary if the objectives are to be achieved: outline expected outcomes on the academic level, as well as on society level, and possible future development. It could be in terms of examinations, dissemination, scientific exchange and interactions with government and society. E.g. the production of research results relevant to development, the use and spread of research results from your activities, articles published in international academic peer reviewed journals, collaboration with scientist regionally and in the north, and/or changes in policies and practices. Indicate further how research results will be applied in cases in which such results are produced. - In the next step you should identify the outputs (what your research activity will produce) that will make the above outcomes happen: Outline planned outputs for your research activity. E.g. training of staff /students using the facilities built up within the research activity; postgraduate programs; the arrangement of courses or workshops on national or regional level or receiving students for training. Note that the overall objective, the specific objectives, the planned outputs and expected outcomes stated in answers a-c should be inserted into the Logical Framework in Enclosure 2. d) Background - Give the background to the proposed activity, indicating why it is suitable to carry it out under your leadership. Include the present status of scientific knowledge in the field of interest with references to relevant literature. - Describe the situation regarding competence and capacity of the available staff and students engaged in the proposed activity and the needs for further training. - Account for previous experiences and current challenges. - State the needs with regard to equipment and other facilities to successfully carry out the proposed activity. e) Strategy and Plan - Describe how you aim to reach the goals set in a research or activity plan, and the mode in which the research activity will be conducted, including a detailed description of methods to be used (with references, if applicable). The plan, with a timetable, should cover a period of three years, (for pilot grants the activities in years not applied for could be just briefly outlined). - If experiments are carried out that may raise ethical concerns, it should be mentioned how safety regulations and national/international standards will be taken into consideration. If applicable, approval from an ethical committee should be shown. f) Gender balance NOTE: If you apply for extra funds for activities targeting the gender balance in your group/program, you don t need to fill in this section of Enclose 1). You need instead to send us an extra application (Enclose 3, max 2 A4 pages + budget) where you specify the strategy and the planned activities for improving the gender balance and how you will use such funds for reaching your goal. The gender funds will be available for the entire period of application (three years). 8 (14)

9 - Indicate how to work to achieve gender balance among staff and students involved in the program (where gender balance means that each gender is represented by at least 40%). - Comment on the gender balance in perspective of previous years, if applicable. Has it changed? If so, how? - State what you believe is the reason for the gender distribution. - State the planned strategy to achieve gender balance (if not already the case). - State measurements you will take to achieve gender balance (e.g. arrange seminars directed at women, etc.). Expected funding - Account for which funding is available or (will be) sought besides from ISP. - Indicate which sources may be available for future funding. - Detail which resources your university/institute is expected to contribute with, such as infrastructure and staff salaries. g) Collaboration with other scientists - State in what way the proposed activity benefits or would benefit from the contacts and collaboration already established with other scientists or which should be established. All active contacts, either through ISP or through other channels, should be included. This section should elaborate on the information given in section 5) of the Grant Application form. h) Postgraduate students - Include a short summary of the status of the postgraduate programs of students, their dependency on ISP funding to complete their theses; gender and name of student; date for registration, and expected date for presenting the thesis; the title of thesis (tentative if not final) with a short (a few lines) abstract of the activity; short summary of the status (what has been achieved and what remains to be done); estimated needs for ISP supported training abroad (when and length). i) Justification of budget items The different budget items applied for must be specified and justified in Section 3d of the Grant Application form. In Enclosure 1, additional information may be given to support the justifications. 9 (14)

10 Enclosure 2) Logical Framework Matrix Results Based Management ISP activities depend on Sida funding. From 2011 Sida places renewed, and more systematic, focus on results, risk and overall capacity of partner organizations. Therefore Results Based Management (RBM) has been introduced in ISP supported activities based on Sida funding. Results Based Management is a management strategy focusing on performance and achievement of results on different levels - output, outcome and impact. - Outputs What is produced by your research activity, e.g. research reports, seminars, publications, PhD and Master programs etc. - Outcomes Captures what outputs intended to make happen but that are outside the control of your research activity. E.g. production of research results relevant to development, the use of research results from your activities, changes in policies or/and practices, articles published in international academic peer reviewed journals, collaboration with scientist regionally and in the north. As a rule of thumb outcomes shall be SMART: S - Specific M - Measurable A - Achievable R - Relevant T - Time bound. - Impact (overall objective) What your Research Group/Network aim to achieve in the long term. E.g. to increase the contribution of research and higher education in basic sciences to sectors important for local and global development, the establishment of research councils, or new research programs financed by national/international sources. Achieving this objective creates impact. The RBM process starts with establishing the objective, then determining the outcomes necessary if the objective is to be achieved and then identifying the outputs that can make the outcomes happen, as well as the activities and resources necessary to produce the output. Then, implementation goes in the opposite direction starting with resources and activities. The Logical Framework Matrix is then a way to present the results on the different levels and should be seen as a tool to plan, monitor and evaluate your results and performances through the entire process. Specifying the results as the overall objective, outcomes and output of an activity are essential to construct a RBM log frame. A good results framework should have clear objectives that are easy to monitor, including corresponding indicators that allow you to record progress towards those objectives. These indicators and their data sources should be defined at the start of the activity to enable systematic collection of information that can be used in the tracking the progress of the activity. The important thing is that there are logical linkages between the results on the different levels, that your planned results are achievable and that there is a possibility to monitor or evaluate the progress towards reaching the results. 10 (14)

11 Logical Framework Matrix In the matrix you insert the long-term overall objective of you research activity as well as your specific objectives, as stated in Enclosure 1. You also fill out outputs and outcomes for each specific objective with indicators measuring the progress and performance, as well as assumptions, sources of data and the strategy to collect it. The template is partly pre-filled at the Outcome and Performance indicator level, to provide you with an example. This can be changed or substituted as you see fit. Use the template in word format that can be downloaded from Overall objective (Impact): To increase the contribution of research and higher education in basic sciences to sectors important for local and global development by [Title of Research Group/Network Activity] Types of Outputs Outcomes Performance Indicator of Outcome Data Source Data Collection Strategy Assumptions Specific Objective 1: To increase the production, quality and relevance of scientific results Master and PhD students graduate from the programs Collaboration with scientists regionally and in the North Use of research results from supported activities Production of research results relevant to development Funding is well managed, used and reported, scientifically and economically Numbers of master s and doctoral theses defended, number of publications Number and duration of exchange visits, number of students trained with partners, and number of co-publications Number of recorded instances of use (including in teaching); number of external assignments; number of patents Use of results by industry, collaboration with industry, etc. Fulfilment of budget, transparency and correctness of local account, completeness of scientific reporting Specific Objective 2: To attract sufficient financial support, other than from ISP, to ensure long-term stability. Funding from others sources than ISP Amount of funding received from specified sources, and duration of funding 11 (14)

12 Specific Objective 3: To attract more female students /staff and improve the participation of women in the research program/group Female students enrol for MSc/PhD in the group/department Female staff members/students are represented in institution/department/group boards, committees or working groups Number and share of female students enrolling at MSc, PhD level in the group/department Share of female staff members/students represented in institution/department/group boards, committees or working groups 12 (14)

13 Enclosure 3) Application for improving gender balance In order to integrate in the programs the activities for improving the gender balance, ISP will allocate special funds to groups and networks that apply for such activities. Please consider that if granted, ISP will allocate the funds (max SEK/year) for a three year period. The granted groups/network will report separately about the use of the funds for gender activities. The application should consist of a short, but complete, description of the planned activities. The maximum length of the project proposal is two A4 pages (font Times New Roman, size 12) plus a budget (max one A4 page) for the activities that you will organize during the three year granting period. The application should include the following sections: 1. Contact info. Name of the project leader, affiliation, address, and phone number. 2. Introduction. Provide a short overview of the gender balance in the group/institution. Present an analysis of why women are underrepresented among students, PhD students, researchers and leaders. Clearly state the target groups of the proposed activities (undergraduate/graduate/phd students/fellow researchers/lectures/leaders) and motivate your choice of activities. 3. Project/activity description and time frame of the activities. Give a short description of the activities (they can be different for different years). 4. Expected results from the activity. It is very important that the applicant clearly explains which long-term positive effects are expected by the project, and how they should be followed up and reported. These activity (and related output/outcomes) will be included in the Results Based Management (RBM) logical framework (Enclose 2). The following points should be addressed: A long-term vision about how the grant will have a positive effect on the gender balance at the group/institution. A medium term goal indicating what should be achieved in the grant period. A strategy plan indicating how the goal should be reached. An action plan proposing measures to be taken to implement the strategy. The implementation and the results thereof in the project period, and an account of the expected long-term results. 13 (14)

14 Enclosure 4) Fellowship applications The ISP application form for fellowships with the additional documents as specified below should be included with the application for fellowships commencing in Applications for fellowships for the second half-year 2017 should be sent latest by January It is the responsibility of the fellowship candidate and the research group leader to ensure that the local regulations for application of fellowships are followed. The budgets for training/exchange for 2018 and 2019 are tentative and have to be confirmed with full applications for fellowships at the end of 2017 and at the end of 2018, respectively. The following has to be submitted for fellowships commencing in 2017: - the original of the fellowship application form (signed) with all the requested information filled in - one attached photo of the applicant - full curriculum vitae of the applicant - summary of the purpose of the fellowship, requested program and agreed host laboratory. Please, note the following: The period for the fellowship has to be specified on the first page of the form. ISP starts the planning of each visit soon after the receipt of the applications. All changes made of dates for visits may cause inconveniences for the host scientists and for ISP. In addition, changes may also cause extra costs for accommodation, because the reservations of accommodation have to be done well in advance before the arrival of the participants. Changes of dates for visits from the original applications are accepted only if there are very well justified reasons. Hence, the periods for the visits have to be planned carefully at the time for the applications to avoid changes later. Enclosure 5) Applicant s CV The applications will be evaluated by external reviewers who may not know the applicant. It is therefore important that the applicants present their current position, background and qualifications. Enclosure 6) Publications/Theses/Abstracts If available, enclose publications, theses, and abstracts by the group/network from the latest agreement period (for new applicant the last three years). Enclosure 7) Other Other relevant documents may be submitted to support the application. 14 (14)