Research Career Advancement Fellowship Programme 2015 Grants Manual
Grants Management and Systems Administration Scholarship and Fellowship Grants Research Career Advancement Fellowship Programme 2015 Grants Manual August 2014 Table of Contents Endorsements .................................................................................... Error! Bookmark not defined. List of Acronyms........................................................................................................................... 3 Contact Details ............................................................................................................................. 4 1. Introduction........................................................................................................................... 5 2. Research Career Advancement Fellowship Programme ........................................................... 5 2.1 Overview........................................................................................................................ 5 2.2 Objectives ...................................................................................................................... 5 3. Eligibility ................................................................................................................................ 6 3.1 Applicant Eligibility .......................................................................................................... 6 3.2 Institutional Requirements .............................................................................................. 6 4. Criteria for Selection .............................................................................................................. 7 5. Funding Principles .................................................................................................................. 7 6. Funding Duration and Value of Award....................................................................................... 8 7. Granting Rules ......................................................................................................................... 8 7.1 Participation across NRF Funding Programmes and Co-funding ............................................ 8 7.2 Exclusions....................................................................................................................... 8 7.3 Carry Forward of Grant Funding ...................................................................................... 8 8. Application Process ............................................................................................................... 9 8.1 How to Submit Applications ............................................................................................ 9 8.2 Screening and Review Processes.................................................................................... 10 8.2.1 Overview of the Screening Process ........................................................................ 10 8.2.2 Overview of the Review Process ............................................................................ 10 8.3 Ranking of proposals..................................................................................................... 11 8.4 Application Feedback and Disputes ............................................................................... 15 8.5 Accountability within NRF ............................................................................................. 15 9. Awardee Responsibilities ...................................................................................................... 15 9.1 Reporting ..................................................................................................................... 15 9.2 Managing changes during the project life cycle .............................................................. 16 9.2.1 Change Requests .................................................................................................... 16 9.3 Scientific Compliance .................................................................................................... 16 9.3.1 Methodology.......................................................................................................... 16 9.3.2 Intellectual Property Rights ..................................................................................... 16 9.3.3 Ethics ..................................................................................................................... 17 9.3.4 Access to data ........................................................................................................ 17 9.4 Premature Termination................................................................................................. 17 2015 Research Career Advancement Fellowship Grants Manual 2 List of Acronyms APR Annual Progress Report DA Designated Authority DST Department of Science and Technology GMSA Grants Management and Systems Administration HEI Higher Education Institution HICD Human and Institutional Capacity Development NRF National Research Foundation RE Review and Evaluation RISA Research and Innovation Support and Advancement SARChI South African Research Chairs Initiative STEM Science, Engineering and Mathematical Sciences 2015 Research Career Advancement Fellowship Grants Manual 3 Contact Details Director: Grants Management and Systems Administration (GMSA) Ms Yolanda Davids: Telephone: e-mail address: Scholarships and Fellowships (Grants) (012) 481 4114 yolanda@nrf.ac.za Professional Officer: Grants Management and Systems Administration (GMSA) Ms Thashni Maistry: Telephone: e-mail address: Scholarships and Fellowships (Grants) (012) 481 4241 thashni.maistry@nrf.ac.za The Grants Management and Systems Administration (GMSA) Directorate of the National Research Foundation processes all grant applications. Full details of application procedures, eligibility and funding guidelines are explained in this document. For technical online enquiries, please contact the NRF Support Desk during office hours (08:00 – 16:30), on: Tel: (012) 481-4202 E--mail: Supportdesk@nrf.ac.za 2015 Research Career Advancement Fellowship Grants Manual 4 1. Introduction This Manual is intended to inform potential Research Career Advancement Fellows of the operational procedures for participation in the Programme. It should be read in conjunction with the Programme Framework document, which can be accessed at http://www.nrf.ac.za. The Manual provides a brief overview of the Research Career Advancement Fellowship Programme, including issues of eligibility, the application process, funding guidelines and review procedures. It does not, however, constitute a complete set of the policies, procedures or systems used by the NRF. 2. Research Career Advancement Fellowship Programme 2.1 Overview The Research Career Advancement Programme has been introduced in 2013 due to the demand for career pathing for emerging researchers and in particular postdoctoral researchers receiving a great degree of attention over the past decade. In most developed economies, and in some emerging economy countries, the attention is in response to reduced academic employment opportunities for postdoctoral fellows as an outcome of the rise in numbers of PhD’s and postdocs without the corresponding rise in the number of available academic positions. In South Africa, the situation is exacerbated by the dearth of research positions for emerging researchers and limited number of academics who can serve as mentors within the South African research environment. The South African government is committed to the transformation of the research cohort both in terms of the training of highly skilled individuals and improving the demographic profile of academics at higher education institutions, with respect to age, race, gender and persons with disabilities. The Programme is located within the Human and Institutional Capacity Development directorate at the NRF (http://hicd.nrf.ac.za/). 2.2 Objectives The strategic objectives of the Programme are to Provide a career path for postdoctoral researchers to pursue a career in research; Create the opportunity for these emerging researchers to be mentored and groomed for research leadership and academic positions; 2015 Research Career Advancement Fellowship Grants Manual 5 Create the opportunity for senior post-doctoral researchers to strengthen their research track record in their chosen research area and to establish themselves as independent researchers; Create the opportunity for these emerging researchers to gain experience in post-graduate training; Effect a transformation in the demographic composition of the established researchers in South Africa, with respect to race, gender and persons with disabilities; and Develop a cohort of potential candidates for the South African Research Chairs Initiative (SARChI). 3. Eligibility 3.1 Applicant Eligibility Applicants must: be South African citizens or have South African permanent residency status; have obtained a research doctorate; have a minimum of two years of post-doctoral research experience; have demonstrated research outputs emanating from their doctoral and post-doctoral research activities. These include articles published in peer reviewed journals; and apply for the Research Career Advancement Fellowship within eight (8) years of obtaining a research doctorate. 3.2 Institutional Requirements Research Career Advancement Fellowships may be awarded in any academic discipline within the priority research areas for South Africa. This includes all fields of STEM, including the Social Sciences and Humanities (SSH). Fellows must be appointed by the university at the level of a senior lecturer or researcher. Applications must include the support of a senior host researcher who should provide space, infrastructure and mentorship to the Fellow. Applications must include the support of the, Head of department (HOD) DVC Research and/or Dean of the faculty committing to: Appoint the candidate on a contract as a staff member during the tenure of the award; Provide a salary top-up if and where applicable; 2015 Research Career Advancement Fellowship Grants Manual 6 Ensure the effective management of the research fellow and the fellowship programme. 4. Criteria for Selection The establishment of research career advancement fellowships programme is aimed at increasing the pool of active researchers within the National System of Innovation. Consideration will be given to ensuring the need to strengthen research capacity in priority skills and knowledge fields. The allocation models will therefore priorities building capacity in scarce skills and in areas aligned with the national research and development strategies. Every attempt will be made to allocate funding in order to meet the target of 60% Black and at least 50% women researchers. In selecting applicants for consideration for funding, the following general criteria will apply: An applicant may not concurrently hold another NRF fellowship or a fellowship from any other South African government source. The successful applicant may not be in any other full-time employment for the duration of the Research Career Advancement Fellowship. Priority will be given to applicants with access to research infrastructure and mentorship or those linked to existing research groups at higher education institutions, public research institutions and science councils. Successful applicants will be required to sign the conditions of grant (CoG) with the NRF. 5. Funding Principles The following funding principles apply: The Research Career Advancement Fellowships are aimed at providing support for the training of individuals for research leadership in all areas of Science, Engineering, Technology and Mathematical Sciences (STEM) at public universities. The fellowship position may be held in partnership with a public research institution such as a science council, a national research facility or an academic health complex. Fellowships are not pre-allocated to institutions. Individual candidates must submit applications to the NRF. These applications must bear the endorsement of the university Dean of Faculty/Head of Department/Deputy Vice Chancellor (DVC) for research, or equivalent, at the university or institution. There will be no restriction on the number of Research Career Advancement Fellowships that may be awarded to a single institution. 2015 Research Career Advancement Fellowship Grants Manual 7 Applications where the hosts institutions are willing to absorb such candidates into their work force after completion of the fellowship will be at an advantage. Fellows must undertake research that is in line with national and university research priorities. Preference will be given to those fellows who have obtained postdoctoral research experience outside the university where the Doctoral degree was obtained. A strong motivation, endorsed by the host institution, must be provided by those fellows who would like to remain within the same institution and/department where the postdoctoral research is currently undertaken. Fellows are expected to dedicate at least 80% of their time conducting research, supervising and /or mentoring postgraduate students, and 20% of the time may be allocated to teaching duties. 6. Funding Duration and Value of Award Funding is available for a maximum period of five years. The award is renewable annually based on satisfactory progress. For the 2015 academic year, the fellowship provides a taxable salary of R350 000 per annum as well as a R100 000 per annum towards research running costs and travel expenses. Host institutions may provide a salary top-up on the award. 7. Granting Rules 7.1 Participation across NRF Funding Programmes and Co-funding The onus is on the institution to ascertain if co-funding is allowed and that all budget rules are adhered to. 7.2 Exclusions The Research Career Advancement Fellowships Programme does not award funding for 7.3 infrastructure development for which the Research Infrastructure Support Programme makes provision; and student support. Carry Forward of Grant Funding In principle, the carry forward of unspent/claimed funds to the next g r a n t year is not automatic and will only be considered according to the regulations provided in the ‘Guidelines 2015 Research Career Advancement Fellowship Grants Manual 8 for the Carry Forward of Unspent/claimed Grant Allocations’ and under exceptional circumstances with strong motivations. 8. Application Process The NRF issues a call for Research Career Advancement Fellowship applications which is placed on the NRF website and is accessible online at https://nrfsubmission.nrf.ac.za. All applications must be duly authorised and approved by the Designated Authority (DA) of the research administration at the institution that submits the application. Applications must be submitted electronically to the institutional Designated Authority (DA) of the submitting institution for validation, no later than 15 September 2014. The Research Career Advancement Programme does not accept more than one application per applicant per year although a project proposal that has previously been rejected by the NRF may be revised and resubmitted in the next call for applications. The processing of a successful grant application takes approximately six months from the time of submission until the commencement of funding. 8.1 How to Submit Applications Applications can be completed on the NRF Online Submission System at https://nrfsubmission.nrf.ac.za from Monday, 18 August 2014. Applicants are advised to complete their proposals as soon as possible to prevent IT system overload near the closing date. This is an electronic submission system and applicants need to be registered on the system in order to create and complete an application. If you registered on the NRF Online System (http://nrfonline.nrf.ac.za) before February 2012, your details would have been migrated to the new NRF Online Submission System (https://nrfsubmission.nrf.ac.za). If you experience problems accessing the system with your NRF Online password, use the Forgotten Password button to reset it. If not yet registered on the NRF Online Submission System, applicants should register to access the application form. Applicants are urged to complete or update ALL screens of the CV, including the Research Profile and Research Outputs, as this information is referred to in the review process. When an a pplicatio n i s final submitted by the applicant, the application will be routed to the Designated Authority (DA) in the Research Office of your institution for internal review and validation. Late applications, additional supporting documentation or information received after the closing date will not be accepted or considered. Applicants must ensure that they adhere to their institution’s internal closing date for submission of their application to allow for internal institutional screening and review. The internal closing date will be determined by the respective research offices and is usually at least two weeks prior to the NRF’s closing date. 2015 Research Career Advancement Fellowship Grants Manual 9 The NRF cannot process applications that are incomplete, contain insufficient or incorrect detail, or fail to follow instructions - such applications will be rejected. The application must be completed in sufficient detail to allow comprehensive review and evaluation by internal and external reviewers. In addition to the electronic application and required attachments, the NRF may request additional information or documentation to support an application. Failure to supply such information or documentation upon request may result in the rejection of the application. It is important that all proposals are screened and approved by internal institutional processes before being submitted to the NRF. The NRF assumes that the respective DAs are satisfied with the standard of all proposals validated and submitted, and that the institution approves and supports the proposed research. 8.2 Screening and Review Processes 8.2.1 Overview of the Screening Process All applications validated by institutions and submitted to the NRF are screened by the NRF for compliance with the requirements of the Call for Proposals, the stipulations set out in this Manual, and the content requirements indicated in the online application screens. Applications that fail to meet the requirements and stipulations are rejected. 8.2.2 Overview of the Review Process The NRF’s peer review policy requires that all applications be subjected to a two tiered review process, namely, firstly for postal review, and secondly for panel review. 8.2.2.1 Postal Peer Review After the closing date for the submission of applications, all eligible and appropriately completed applications are subjected to postal peer review. Any information submitted as attachments that should have been completed in the Research Career Advancement Fellowship application renders the application incomplete resulting in a rejection. The reviewers are selected from the list of suggested reviewers provided by the applicant, plus additional reviewers selected by NRF staff from existing databases and other sources. Applicants are encouraged to suggest reviewers from abroad. A minimum of six written reviews per application are solicited, with the ultimate aim of eliciting at least three postal review reports per application for submission to the panel review process. Applications are sent for review to researchers with selected research knowledge and insight into relevant disciplines, after which written online review reports are submitted to the NRF. The postal review reports together with the applications and supporting documentation are then deliberated upon in the Panel Review Process. 8.2.2.2 Panel Peer Review Following the postal review process, applications are subjected to panel peer review. The postal reviewers’ reports serve as the basis for discussion and review by the panel members. 2015 Research Career Advancement Fellowship Grants Manual 10 Panel members are selected from the NRF database, which is updated on a continuous basis, and other sources. In making the selection, the expertise and experience of individuals in application adjudication are taken into account. In assessing the proposals, the postal reviewers’ reports are referred to, and agreed assessment criteria are applied in the form of a scorecard. The Panel provides recommendations to the NRF although the final funding decision is made by the NRF. In awarding grants in this Programme, the NRF takes into account the recommendations of the peer review panels, budget motivations by the applicant, the objectives and equity targets of the Programme, and the available funds. 8.3 Ranking of proposals The purpose of the scoring system is to evaluate applications, based on Programme criteria, in order to determine applicants that are most deserving of the limited funds available. All research proposals submitted to the NRF for funding are evaluated according to a number of predetermined criteria. Applications are assessed and ranked on the basis of seven qualifiers as listed in the table below. Each area is given a weight to indicate its relative importance. Kindly consult the table below for details on the criteria used as well as their relative weighting. 2015 Research Career Advancement Fellowship Grants Manual 11 NRF Scorecard for the Assessment of Proposals for Research Career Advancement Funding Criterion Description Track Record of Applicant This refers to past research outputs recognised by the NRF. This refers to outputs such as the professional development of the applicant; journal articles; conference presentations and proceedings; books and book chapters; and patents. % Weighting 15 Reviewers will be required to comment on whether the standing and research record of the researcher suggest that the applicant has the appropriate research experience to undertake the proposed research. Research Proposal This refers to scientific contribution; originality and new knowledge; interdisciplinary or multidisciplinary aspects; match between the research question and the proposed research methodology and alignment with the applicant’s institutional strategy and/or any national research strategy. 5 Scientific and Technical Quality – Reviewers will evaluate whether the project will * make a contribution to new knowledge and new methodologies in the field; * apply existing knowledge and methodologies in the field; * involve unique application of existing knowledge and methodologies in the field; * or utilise the application of existing knowledge and methodologies in the field. 40 Interdisciplinary or Multidisciplinary aspects – Reviewers will assess whether Interdisciplinary or Multidisciplinary aspects have been fully-, partially or not explored in the research proposal. 25 2015 Research Career Advancement Fellowship Grants Manual 12 Criterion Description % Weighting Research objectives to match aims of study – Reviewers will assess whether the research objectives are clearly stated and on whether they are appropriate to meet the aims of the study; are sound but have inconsistencies and can be refined; are appropriate but only partially address the aims of the study; or are not appropriate to meet the aims of the study. Research methodology to match research objectives – Reviewers will comment on whether the research methodology is appropriate to meet objectives of study; is sound but has inconsistencies and can be refined; is appropriate but only partially addresses study objectives; or not appropriate to meet objectives of study. Research Project Workplan Project scheduling Project scheduling refers to the work breakdown of the project to ensure that specific outcomes are achieved; as well as the objectives and associated timelines in place to divide the scope of work into manageable activities. 20 20 2014 Research Career Advancement Fellowships Grants Manual Criterion Description Supervision/Mentorship The supervisory track record, academic standing and past outputs of the research fellow will be assessed. Previous student training/supervision from designated /under- represented groups will be assessed. Expected Outputs Potential Impact This refers to NRF recognised research outputs such as the professional development of the applicant; journal articles; conference presentations and proceedings; books and book chapters; and patents. Successful applicants will be expected to deliver on allpreviously anticipated outputs risk suspension of groups their funding. The number of students trained fromorunder-represented Reviewers will beand required to in assess whether thewill proposed outputs are fully-, (i.e. black, female disabled) research projects be considered. partially- or not achievable within the given timeframe. Particular attention is paid to proposals with the potential to contribute to the strategic goals of the knowledge economy. % Weighting 10 5 10 5 10 5 2015 Research Career Advancement Fellowship Grants Manual 14 8.4 Application Feedback and Disputes Once the review and assessment processes have been completed and the recommended funding decision has been approved by the Executive Director: HICD, applicants are notified by the GMSA in writing, of the outcome of their application and feedback on the review process. Any disputes resulting from the review process or contractual arrangements will be resolved according to the provisions in the contractual agreement. The level of resolution will depend on the nature and complexity of the dispute. The following escalation process will be followed in resolving disputes: Director: GMSA, Scholarships and Fellowships Executive Director: GMSA Review Officer, Review and Evaluation Executive Director: Review and Evaluation Any such appeal needs to follow the appropriate Appeals Process, as managed by the GMSA. 8.5 Accountability within NRF The NRF operates a matrix management system with a centralised GMSA Directorate responsible for managing grants across a wide portfolio of programmes. The Executive Director: HICD is accountable for the R e s e a r c h C a r e e r A d v a n c e m e n t F e l l o w s h i p Programme, and the Programme Director: HICD is responsible for programme management. Responsibility for the effective management and administration of grants in the Research Career Advancement Fellowship Programme rests with the Grant Director: Scholarships and Fellowships, who is accountable to the Executive Director: GMSA. 9. Awardee Responsibilities 9.1 Reporting Continued funding beyond the first year is dependent on the submission of an APR to the NRF during a call for APR’s in October/ November of each grant year. Continued funding will be considered based on satisfactory progress. An Annual Progress Report (APR) must be submitted by the Research Career Advancement Fellow in a format provided by the NRF, documenting progress made against set objectives, research outputs, institutional financial contribution and expenditure of project funding. An annual meeting will be held at the institution to review progress of the research fellow. A mid-term evaluation of the research activities will take place in year three (3) of the fellowship. The NRF may in consultation with the Fellow’s Research Office, request interim progress reports for the purpose of implementing corrective measures timeously to ensure that stated objectives are met within stipulated timeframes. At the end of the five-year funding period, a final report must be submitted demonstrating the outputs and expenditure of the previous years, as well as containing a final assessment of progress made in relation to project objectives. 9.2 Managing changes during the project life cycle Changes may occur during the project life cycle due to unforeseen and extenuating circumstances. Please note the following on how to manage the award and subsequent changes (planned or unanticipated) should they arise during the project life cycle. 9.2.1 Change Requests 9.2.1.1 Prior Approval Requests All change requests must be preceded by prior NRF-approval submitted in writing to the GMSA at least 30 days before the proposed change. The request must have institutional DA endorsement and be submitted to the NRF via the Research Office for approval prior to the change. 9.2.1.3 Changes in project scope Changes may occur where a project scope needs to be modified from the original research proposal/project design. The request must have institutional DA endorsement and be submitted to the NRF via the Research Office. Grantholders should notify the GMSA in writing of the proposed changes as soon as possible. 9.3 Scientific Compliance 9.3.1 Methodology The grantholder takes scientific responsibility for the research to be undertaken, including its objectives and the methodology outlined in the project proposal. The grantholder is required to devote the necessary time to the research project in compliance with the workplan for the research proposal approved by the NRF so as to achieve the project’s stated aims and objectives. 9.3.2 Intellectual Property Rights The intellectual capital generated by NRF funded research must be appropriately protected and exploited for the benefit of South Africa. This condition should not interfere with the Intellectual Property Rights arrangements already made, on condition that the majority of the benefits arising 2015 Research Career Advancement Fellowship Grants Manual 16 from the intellectual capital accrue to South Africa and its citizens. This condition is aligned with the 1 Intellectual Property Rights Act, which will override this condition of grant. 9.3.3 Ethics A grantholder is required to maintain the highest ethical and safety standards in conducting the research, particularly when human and animal subjects are involved. It remains the responsibility of the project leader to comply with all relevant regulations in this regard, including those of the institution at which the research is carried out. An ethical clearance certificate (where applicable) must be submitted to the NRF in respect of successful applications before funding can be released. 9.3.4 Access to data The data generated from the proposed research must become available to other researchers working in the same field. Therefore, it is important that the data is provided to domain specific databases or, in the absence thereof, to the South African Data Archive (SADA). 9.4 Premature Termination If a grantholder is unable to complete a research project for which the NRF has awarded a grant, it is the responsibility of the grantholder, through the institution’s DA, to notify the Director: GMSA, Scholarships and Fellowships of the intention to prematurely terminate the project. Premature termination of a research project may occur for a number of reasons. Taking into account the circumstances and reasons for termination, the grantholder in consultation with the NRF, will decide on the best course of action and possible outcomes including, but not limited to, the final termination of the project and the recall of funds expensed. Irrespective of the decision taken, the grantholder is required to submit a Project Closure Report to the NRF. Templates for such a report should be obtained from the institution’s Research Office. The grantholder must ensure that each student involved in or directly linked to the project completes a progress report on their research project, which should be endorsed by the grantholder and the institution’s DA. These progress reports will be used in considering any further applications for NRF funding to complete the work, according to the criteria applicable to the Programme to which any such application is submitted. 1 RSA (2008). Intellectual Property Rights from Publicly Financed Research and Development Act 51 of 2008. Government Gazette, 22 Dec 2008. Vol 522, no 31745.
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