GLOBAL CHALLENGES RESEARCH FUND TRANSLATION AWARDS GUIDANCE NOTES Closing Date: 25th October 2017 1. Background The Global Challenges Research Funding (GCRF) is a 5-year 1.5Bn resource stream to enable UK research to play a leading role in addressing the challenges faced by developing nations. The GCRF will deploy the UK s world-class research capability to address the challenges faced by the developing world. The funding is protected science spend and the Research Councils are primary delivery partners. The GCRF is also part of the UK Government s pledge to allocate 0.7% of Gross National Income to Official Development Assistance, promoting the welfare and economic development of developing countries. 1.1 Project Scale and Duration BBSRC anticipates supporting 7-10 projects for up to a maximum cost of 80,000 ( 64,000 BBSRC contribution at 80% full economic cost (FEC)) each, with a duration of up to 18 months (all projects will have a fixed end date, 30 th September 2019). 2. Scope Projects funded through this Call will build on current or previous research grants and enable research outputs to be further developed into practical application to deliver benefit and impact in developing countries. At the end of the project, a route to application could include informing know-how and practices, a licensing agreement with a third party, the development of a spin-out company or social enterprise. Since the strength of the relationship between users and researchers is often what underpins the likelihood of success of any translational, knowledge exchange or commercialisation activity, it is essential that users are closely involved in both the development and delivery of a proposal s work programme. 1
2.1 Enabling Innovation in Developing Countries All research funded through the GCRF Translation Awards Call will form part of the UK s Official Development Assistance (ODA) which is monitored by the Organisation for Economic Cooperation and Development (OECD). Therefore, research proposals submitted to this Call should clearly demonstrate that the primary purpose is to promote the economic development and welfare of Low and Middle Income Countries (LMICs) on the DAC list of ODA recipients as its main objective (available at here). Proposals that do not clearly articulate how the proposed research will address nearterm or long-term benefits to the welfare or prosperity of LMICs will be rejected. Guidance on ODA definitions and interpretation is available in the OECD factsheet Is it ODA? Applicants should: Seek to translate previously funded research by investigating a specific problem or seek a specific outcome which will have an impact on a developing country on the DAC list; Provide evidence as to why this is a problem for the developing country or countries; Address the issue identified effectively and efficiently; Use the strengths of the UK to address the issue, working in collaboration with others as appropriate; Identify appropriate pathways to impact to ensure that the developing country benefits from the research. For those projects where the activities focused upon a DAC list country or countries could lead to commercialisation, the application must demonstrate that the developing country or countries have existing or potential ability to grow industry (or other relevant sector). It is not normally acceptable for the commercialisation of research to take place solely in developed countries, unless there is a clear plan to build new businesses or business growth in the developing country or countries. 2
2.2 Aims The Aims of the GCRF Translation Awards are to: Increase and accelerate the uptake and practical application of past Research Council funded research outputs to deliver benefit and impact in an ODA context; Address challenges directly faced by developing countries, specifically with the primary purpose to promote the economic development and welfare of Low and / or Middle Income Countries (LMIC) on the Development Assistance Committee (DAC) list of ODA recipients; Enable researchers to further develop their understanding of potential routes to impact, including identifying opportunities, key stakeholders and enablers; Develop sustainable partnerships with overseas partners in developing countries with a view to deliver benefit through future opportunities, including GCRF and Newton Fund competitions; Support small scale translation activities, including collaborative projects with business and other users. The Call is designed to be flexible to encourage applicants to be innovative in their approach to accelerating the uptake of research by users through translational and knowledge exchange activities. The GCRF Translation Awards Call will fund activities that aim to achieve outcomes that deliver impact. Proposals for translational and knowledge exchange activities are welcomed across the BBSRC Remit. Applications to this Call should have a primary focus on the translation of research and / or knowledge, and the following are ineligible: Projects focused solely on delivering training Projects which only involve / engage the academic community or between the research base and the general public New research 3
2.3 Working with In-country Partners GCRF will deploy world-class research within the UK to address the challenges faced by the developing world and whilst working in partnership with LMICs is strongly encouraged, although not mandatory, to ensure the research will have an appropriate pathway to impact. It is recognised that research strategies and the approach to partnership and capability development will vary significantly, depending on whether the research is oriented towards / conducted with LMICs. In-country partners might also include global agencies and research organisations such as the CGIAR centres. Regulation and ethical issues will vary across different countries and should be considered from the outset where work is focused in a particular country. Researchers funded by this Call will be expected to work within applicable international and local guidelines, and to obtain ethical review in the local country(ies) and in the UK. 2.4 Working with Business Applications that are collaborations with business are welcomed, particularly where support is leveraged, as cash or in-kind. Further details on working with business can be found via BBSRC Grants Guide. Detail regarding the collaboration will be required, with section 2.13 of the BBSRC Grants Guide providing further information 3. Programme Requirements 3.1 Key Dates and Funding Applications must be made through the RCUK Je-S system. This Call opens in Je-S on the 25 th September 2017 and will close at 16.00 (local UK time) on 25 th October 2017. All successful proposals will have a fixed end date where all projects must be finished by no later than 30th September 2019. 3.2 Eligibility This Call is open to researchers meeting BBSRC eligibility rules as set out in Section 3 of the BBSRC Grants Guide. 4
GCRF Translation Awards Call grants may be held at the following organisations, providing they are eligible to receive BBSRC research funding: approved UK Higher Education Institutions (HEIs), approved Research Institutes (RIs) and approved Independent Research Organisations (IROs) 1. Investigators may only participate in one application to this initiative as a Principal Investigator, but may be involved in more applications as a Co-Investigator. Applications must build on the outputs of recent or previous BBSRC-funded research activity, or build on another Research Council-funded research activity which falls within BBSRC remit. The case for support should outline this previous funding (and how it meets these criteria where it was funded by another Research Council). Non-eligible partners (including those from overseas organisations) may be included, as described in Section 2 of the BBSRC Grants Guide, under Collaborative Research Grants. As per standard BBSRC eligibility rules, funding for overseas applicants is not permitted; however for proposals undertaking work in a DAC listed country, it is expected that the project team will conduct activities in the target country as appropriate, and work closely with the relevant overseas organisations and users. Overseas partners from developing countries are, however, welcomed on proposals and should be included on the application as project partners (see point 3.3 below). 1 Full details of approved RIs and IROs can be found on the RCUK website. Further information is also in the BBSRC Grants Guide. 5
The DAC list of ODA recipients is due for review in 2017 and some countries may graduate from this list as part of that process (currently Antigua and Barbuda, Chile and Uruguay). If the focus of a proposal is benefiting a DAC country which is likely to graduate within the time frame of the project (peer review and project duration) then the proposal should be developed to show how it both contributes towards the economic development and welfare of that country and also articulate a broader applicability to other DAC countries. 3.3 Project Partners and users Successful projects are those that generate sustainable outcomes and impact. In order to achieve this, all GCRF Translation Awards projects must involve users as project partners and they should be engaged by the applicant in the co-creation of the project at the earliest possible point, defining the issues to be addressed, the project objectives, and the specification of outputs, ensuring value and utility to the users. Providing evidence to this effect is essential. This should help ensure the project s activities are impactful and sustainable. Applicants must provide the names of these project partner organisations (and their representatives) in the Project Partner section of the Je-S form. Private, public or third-sector organisations or institutions with an interest that falls within BBSRC's remit are eligible to be considered as users in the context of this Call. These include: private industry, public bodies (such as government departments, local government, regulatory authorities, etc.) and non-government organisations or charities. Research Council Institutes and HEIs are not eligible as users. Where a project partner is actively involved in the proposed work (for example through contributing staff, time, money, facilities etc.) and has a clear input to the process in order to maximise the quality of the project activity, details of the contribution should be provided in the Project Partners section. The stability of the organisation and if appropriate, the commitment of funds (or in-kind contribution) should also be guaranteed for the duration of the proposed activity in a Letter of Support from the project partner. Recognising that proposals enabling innovation in developing countries will involve overseas project partners, travel and subsistence 6
resource to support their involvement can be requested as part of the application. This can be requested at 100% fec (see Section 4.1). Applications should explain how any stakeholder collaboration and knowledge exchange activities strengthen the progression to impact and likelihood or scale of beneficial outcomes. This should include any specific commitments from institutions or enterprises from the UK or developing countries to adopt or apply outcomes of the research, and where appropriate it is helpful to outline how this enhances local innovation and research capacity at an individual, institutional or whole system level. For more information on Project Partners, please refer to the Annex 1. 3.4 Intellectual Property (IP) and Collaborative Work Arrangements Collaborative agreements must be put in place to enable all parties to better understand their roles on the grant and to clarify the IP rights (IPR) position. BBSRC does not need to see these but applicants are advised to carefully consider these arrangements and discuss and agree them where necessary with project partners in developing the grant proposal, in order to protect their best interests. University and business collaboration support tools including the Lambert toolkit can be accessed via the Intellectual Property Office. Applicants are also strongly advised to contact their Technology Transfer Office (or equivalent) for advice and support. BBSRC will make awards on the understanding that the project partner will commit the resources to the project as described in their Letter of Support. Where such commitment cannot be fulfilled BBSRC expects that equivalent support and resources will be found in the duration of the project. 3.5 Ethics The Research Organisation is responsible for ensuring that ethical issues relating to the project are identified and brought to the attention of the relevant approval or regulatory body. Approval to undertake the research must be granted before any work requiring approval begins. For full guidance please refer to the BBSRC Grants Guide. 3.5.1 Animal use 7
All applications proposing to use animals overseas should refer to the RCUK Guidance and ensure they include a signed statement (Letter of Support) from both UK and overseas PIs, indicating that they have fully and appropriately considered this animal usage. It would be a condition of funding that this work meets the standards expected in the UK (not just local ethical approvals). Please refer to the grants guide for details of how to ensure an appropriate contractor is chosen (https://www.nc3rs.org.uk/news/choosing-contractors-animal-research). Applicants should refer to the BBSRC Grants Guide (section 4) for full details of information required in the JeS application, including (but not limited to) details of species, experimental design, sample size justification, welfare and enrichment Where applicants propose to use rodents overseas, they should follow the overseas rodent use guidance (RCUK Guidance) and ensure the appropriate form is uploaded to JeS. 8
4. How to Apply and the Application Process Guidance on completing the full proposal submission can be found on the Je-S help. For any Je-S related queries, please refer to the Je-S Handbook, or contact the Je-S helpdesk: Email: JeSHelp@rcuk.ac.uk Phone: +44 (0) 1793 44 4164 All attachments must be completed using standard font and margin sizes. The sections of the form not mentioned below should be completed in accordance with standard practice when applying for BBSRC grants, further details can be found via the BBSRC Grants Guide. Incomplete applications may be withdrawn from consideration. 4.1 Submitting an Application Submit your proposal through the Research Councils' Joint Electronic Submission (Je-S) system by 4pm on 25 th October 2017. Late applications will not be accepted. Applicants should select the following from the Je-S menus: 1. Log in the Joint Electronic System (Je-s) 2. Select New document from the functions menu 3. Select Council: BBSRC 4. Select Document Type: Standard Proposal 5. Select Scheme: Small Grants 6. Select Call / Type / Mode: GCRF Translation Awards 7. Click Create Document Applicants are required to complete the proposal proforma in JeS and the following attachments as appropriate: Case for support Gantt Chart CV Justification of resources Project Partner Letter of Support Letter of Support from Technology Transfer Office 9
Official Development Assistance (ODA) Statement Other Documents including, where appropriate, a market assessment report Applications should be prepared and submitted by the lead research organisation (RO), but should be co-created with input from all investigators and project partners, and should represent the proposed work of the entire consortia. Applications should largely be completed in the normal way, following the guidance in Annex 1 and the Je-S Handbook, and noting the following additional information specific to this call: Joint proposals: Joint proposals are not permitted for this call. Applications may involve eligible co-investigators at other eligible ROs, but this should be included on a single application, submitted by the lead RO. Project Partners: All projects should have project partners from stakeholder organisations (i.e. business, policy or civil society). Please complete this section for each project partner involved in the project providing details of the contributions and support (both cash and in-kind) which the partner will make to the project. Cash and in-kind contributions from the project partner should be carefully costed to ensure there is no double counting. Access to data already freely available in the public domain cannot be counted as in-kind support and care should be taken so as not to over-value in-kind contributions. Resources: A maximum project cost of 80,000 can be requested per project, inclusive of any resources requested to support the involvement of the overseas project partner(s). Costs should largely be requested at 80% fec in the normal way, with the following exception: o As an exception to the standard BBSRC guidance, for this particular call overseas project partners may request at 100% fec; travel and subsistence costs, and exceptionally other directly incurred / incidental costs (such as consumables, material costs, etc) directly relating to their involvement in the project. These costs should not represent the majority of the resources 10
requested, and may not include any staff costs or overheads. These costs should be included within the appropriate section of the resources section, with the Exception box ticked against these items. Beneficiary Countries: please ensure that you select the relevant country from the DAC list of ODA recipients which your project proposes to work with. Please ensure that you only select countries from the DAC list. 4.2 Confidentiality and Disclosure BBSRC takes all reasonable steps to ensure that the contents of applications for GCRF Translation Awards are treated as confidential. Applicants must ensure that the title and summary of the proposed project are worded in such a way as to protect commercially confidential or sensitive areas, as project summaries and personal data from the first page of successful applications will normally be transferred to publicly available databases. The following details will be transferred for all funded projects: title and project summary institution name(s) of applicant(s) name of any project partners the value of the award start and end dates and duration of the award BBSRC must be notified in writing at the application stage if you do not wish personal data or information that could affect Intellectual Property Rights to be transferred to the databases. Applicants must abide by the principles of good scientific practice. 4.3 Data Protection Grants submitted via JeS are done so under their Terms and Conditions. 4.4 Conditions of Award 11
Unless superseded by the call conditions, grants will be awarded under standard Research Council Research Grant RCUK Terms and Conditions 4.5 Monitoring and Reporting Requirements The awarded organisation will be required to report at the end of the award using a reporting template, which included quantitative measures alongside a narrative which details progress against objectives and milestones. The Report must be submitted to BBSRC within three months of the end date of the award. In addition to the end of award reporting, the outcomes and impacts from GCRF Translation Awards should be reported to researchfish against the Research Council grant(s) with which they are associated. In addition, the GCRF Translation Awards should be reported as Further Funding in researchfish against these Research Council grant(s). The awarded organisation, investigators and their partners must assist BBSRC with any additional reporting and evaluation requirements requested by the department for Business, Energy and Industrial Strategy (BEIS), and / or its partners. After completion of the grant, the Research Council may wish to authorise an affiliate organisation to contact the grant holder on its behalf. 12
5. Assessment Criteria Proposals will be will be assessed by an independent panel of experts and will be assessed on the following criteria: Fit to Call GCRF Translation Awards grant applications must satisfy BBSRC on the following: The project is based on a sound understanding of the market or society needs and opportunity. The proposed work programme is robust and designed to optimise the economic and / or societal benefit derived from the grant. Applicants must also demonstrate that their proposal is focused upon outcomes that promote the long-term sustainable growth, economic development and welfare of developing countries as its main objective. Excellence Excellence in this context is based upon the potential impact of the proposed translational and knowledge exchange or commercialisation activities, as appropriate to the country of focus (i.e. DAC list country). This assessment will be based upon consideration of the following factors: Outcomes (not just outputs) and benefits Strength of user involvement Mechanisms for delivery of outcomes and potential impacts Sustainability Research quality is not a part of the assessment criteria, but projects based upon high quality research are more likely to have a high impact. Applicants should note that translation, knowledge exchange or commercialisation activities with one or multiple users are potentially equally valid. However, unless clear justification can be provided for the involvement of only a single user (particularly where multiple users would benefit), there is a risk that the proposal may be considered as contract / consultancy work rather than translation and knowledge exchange. 13
6. Key Dates Activity Date Call opens 25 th September 2017 Call closes 4pm (UK local time) 25 th October 2017 Announcement of Awards January / February 2018 Start Date for Projects 5 th April 2018 Fixed End Date for awarded Projects 30 th September 2019 Contact BBSRCGCRF-Innovation@bbsrc.ac.uk 14
Annex 1: How to Apply: Further Guidance Objectives (4000 characters maximum, including spaces) Provide a list of the main objectives for the project with dates which will form the basis of your milestones for reporting. Summary (4000 characters maximum, including spaces) Provide a summary of the proposed project. Other Support Details of support (excluding project partners) from organisations other than BBSRC which are relevant to this application must be given here. If there is no other support relevant to this application please tick the box. Related Grants GCRF Translation Award projects MUST draw substantially on the outputs of recent or previous BBSRC-funded research activity, or build on a Research Council-funded research activity which falls within BBSRC remit. This should be explained fully in a Cover Letter. Enter the grant reference numbers for BBSRC / Research Council funding that underpins this application. If the underpinning grant was sponsored by BBSRC but awarded by another sponsor please add these details under Other Support. An application will not be accepted for a project that is essentially the same as one currently under consideration for funding by a BBSRC committee, other research council or any other funding body. Unless specifically invited, or if prior approval from the BBSRC Office has been obtained, proposals that have already been considered by another research council or funding body will not be accepted. (Please note: Technical summary, Academic beneficiaries and Impact summary sections are N/A) 15
Further information is available in the BBSRC Grants Guide. ATTACHMENTS CASE FOR SUPPORT (Maximum 4 sides of A4) Lists of references should be included within the 4 page limit of the description of the project and should not be submitted as an additional document(s) or annex. Part 1a. Previous Research Track Record (optional) Provide a summary of the results and conclusions of your recent work in the area which is covered by the GCRF Translation Award proposal. Include reference to both BBSRC funded and non- BBSRC funded work. Details of past collaborative work with industry and / or with other beneficiaries should be given. Provides information about previous work which has achieved significant academic or socio-economic impact, contributed to a country s competitiveness or improved quality of life and / or public good. Outline the specific expertise available for the research at the host organisation and that of any associated organisations. Any existing relationships with the proposed project partners should also be mentioned. Part 1b. Nomination of a Project Manager Provide details of your nominated Project Manager. This would normally be a representative from your Technology Transfer Office (or equivalent). Their role will be to ensure the project effectively progresses towards its objectives and milestones. They will also be expected to be actively involved in any reporting of progress to BBSRC. Part 1c. Project Plan Provide a description of the proposed work, why the work is needed and how beneficiaries and users will benefit from the outcomes of the work. 16
Give details of the key milestones and target dates for the proposed project. Give a clear definition (through a Gantt chart- maximum 1 side of A4 separate from the case for support 4 sides of A4 limit) of which elements of the proposed work programme will be conducted by the project partners, project team, etc and how users / stakeholders will be engaged. You must include a Gantt chart or similar to illustrate the project plan (please see below). Part 2a. User Engagement and Business Development Plan Briefly introduce the proposed idea. Outline an appropriate strategy for the development of the proposed idea. This should include: the potential size of the market for the idea, potential societal and economic benefits, market need (size of market, geographic spread and potential value, nature of competition, any gaps in knowledge), IPR position and strategy, including any freedom to operate issues etc. Input from potential users must be identified. Part 2b. Technical Development Plan Give a description of the proposed project including background and context to the project, the current status of your solution (including IP status) and strategy, a work plan and strategy for further development, and identification and strategy for managing / mitigating key risks GANTT CHART - (Maximum 1 side of A4) (to be uploaded as work plan) Provide a Gantt chart, or similar, to illustrate the project plan. CVs - (Maximum 2 sides of A4 per person) A CV must be submitted for each named applicants. JUSTIFICATION OF RESOURCES - (Maximum 2 sides of A4) It is mandatory to include a justification for the resources that have been requested; guidance can be found here. 17
PROJECT PARTNER LETTER OF SUPPORT A letter of support from each project partner named in the application, confirming their support for the proposed project and confirming any financial contributions to be made, must also be attached. LETTER OF SUPPORT A statement of support must be included from the Technology Transfer Office (TTO or equivalent) detailing why the proposed work is needed. They should include details of any matched funding they will provide to support the activity and any additional support that might add value to the work. The Committee will be looking for a strong statement of commitment from the TTO in the host institution taking the project forward. The TTO support letter must also detail any relationships with academic, industrial or other partners relevant to the project. ODA STATEMENT (to be uploaded as other attachments) Detailed programme-level data on ODA is reported, scrutinised and published by the OECD via DFID. As a requirement of funding, UK PIs are required to demonstrate that their project is ODA-compliant, and has the primary purpose to promote the economic development and welfare of developing countries on the DAC list, by providing an ODA compliance statement as part of their proposal. This should be uploaded as an attachment type of Non-UK Components (up to 1 side of A4). You should consider using the questions below when preparing this statement: 1. Which country / countries on the DAC list will directly benefit from this proposal and are these countries likely to continue to be ODA eligible for the duration of the research? 2. How is your proposal directly and primarily relevant to the development challenges of these countries? 3. How do you expect that the outcome of your proposed activities will promote the economic development and welfare of a country or countries on the DAC list? 18
There are various guidance documents which have been published to assist with ensuring that proposals submitted under the Research Councils ODA schemes are ODA compliant. Applicants are encouraged to read the available RCUK ODA Guidance and the OECD ODA Guidance before writing their ODA compliance statement. OTHER DOCUMENTS: Other permissible supporting documents may include summary documents of the following: Patent Filings; Freedom to Operate reports; Market Research reports of direct relevance to the application. Other permissible documents may include a data management plan that clearly details how you will comply with BBSRC s published Data Sharing Policy. The policy, and detailed guidance notes, can be viewed at: http://www.bbsrc.ac.uk/web/files/policies/data-sharing-policy.pdf (up to 1 side) 19