BBSRC research grants guide - V8.02 May 2008

BBSRC Research Grants: The Guide 1. 2. 3. 4. 5. 6. 7a 7b 8. 9. Introduction The research grant framework Eligibility The application form Resources:- Full Economic Costing (fEC) Monitoring, evaluation and use of information Core Cross Council terms and conditions:- pre fEC grants1 Core Cross Council terms and conditions:- post fEC grants2 Standards of performance BBSRC Mission Statement Science and Technology Group BBSRC July 2008 Version 8.031 Applies to all research grants and fellowships submitted before 1st September 2005 2 Applies to all research grants and fellowships submitted after 1st September 2005 1 BBSRC Research Grants: - The Guide Table of contents: BBSRC Research Grants: - .................................................................................................1 The Guide ............................................................................................................................1 BBSRC Research Grants: - The Guide................................................................................2 Table of contents: ...................................................................................................................................2 1. Introduction.........................................................................................................................................6 2. The Research Grant Framework.........................................................................................................8 Modes of research grant:.....................................................................................................................8 Research grant schemes......................................................................................................................8 LINK ..............................................................................................................................................8 Stand Alone LINK .........................................................................................................................9 Industrial Partnership Awards .......................................................................................................9 New Investigator Scheme.............................................................................................................10 Other funding schemes..................................................................................................................10 New Cross Council reciprocal funding arrangements..................................................................10 Large value grant applications .....................................................................................................11 BBSRC Independent Research Organisations..............................................................................11 Joint research projects...................................................................................................................11 Collaborative research grants........................................................................................................11 Other funding arrangements..............................................................................................................12 Support for international activity..................................................................................................12 International Scientific Interchange Scheme (ISIS)......................................................................12 International Workshops...............................................................................................................13 Japan, China and India Partnering Awards...................................................................................13 Wain Fund and Underwood Fund.................................................................................................13 Money Follows Researcher...........................................................................................................13 DTI Technology Programme Technology Strategy Board: Collaborative Research and Development Competition ...........................................................................................................13 DNA Sequencing..........................................................................................................................14 3. Eligibility........................................................................................................................................16 Institutional eligibility ......................................................................................................................16 Eligibility of Applicants and Co-Applicants ....................................................................................16 Researcher Co-Investigators (formerly known as Recognised Researchers)...................................17 New Investigators (see also paragraphs 2.22 and 2.23) ...................................................................17 General enquiries regarding eligibility..........................................................................................18 4. The application process ...................................................................................................................19 How to apply.....................................................................................................................................19 General application procedures.........................................................................................................20 Before Applying:...........................................................................................................................20 When applying:.............................................................................................................................22 2/62 Submitting applications:................................................................................................................23 Assessment of applications: .........................................................................................................24 Funding decision timetable and availability of feedback on unsuccessful applications: ............24 5. Resources:- Full Economic Costing..................................................................................................26 Introduction.......................................................................................................................................26 Audit requirements for directly incurred costs:............................................................................26 Directly Incurred Costs.....................................................................................................................27 Staff...............................................................................................................................................27 Travel and subsistence .................................................................................................................28 Equipment.....................................................................................................................................28 Other costs.....................................................................................................................................28 Directly Allocated Costs...................................................................................................................29 Investigators..................................................................................................................................29 Estates Costs..................................................................................................................................30 Other Directly Allocated Costs.....................................................................................................30 Animals.............................................................................................................................................30 Indirect Costs....................................................................................................................................30 Exceptions.........................................................................................................................................31 Cash Limits.......................................................................................................................................31 6. Monitoring, evaluation and use of information.................................................................................32 Monitoring.........................................................................................................................................32 Final scientific reports ......................................................................................................................32 Use of information............................................................................................................................32 7a Cross-Council research grant terms and conditions for pre-fEC grants...........................................34 Definitions:....................................................................................................................................34 Data Protection Act.......................................................................................................................34 RG 1 Responsibilities of the Research Organisation........................................................................35 RG 2 Research Governance .............................................................................................................35 Research Ethics.............................................................................................................................35 Use of Animals in Research..........................................................................................................36 Medical and Health Research........................................................................................................36 Health and Safety..........................................................................................................................36 Misconduct and Conflicts of Interest............................................................................................37 RG 3 Use of Funds............................................................................................................................37 RG 4 Starting Procedures..................................................................................................................37 RG 5 Changes in Research Project...................................................................................................37 RG 6 Transfers between Headings....................................................................................................38 RG 7 Extensions................................................................................................................................38 RG 8 Staff ........................................................................................................................................38 RG 9 Maternity Pay and Leave.........................................................................................................38 RG 10 Sick Leave.............................................................................................................................39 RG 11 Procurement of Equipment....................................................................................................39 RG 12 Ownership and Use of Equipment.........................................................................................39 3/62 RG 13 Claims for Large Capital Equipment.....................................................................................39 RG 14 Transfer of a Grant................................................................................................................40 RG 15 Change of Principal Investigator...........................................................................................40 RG 16 Annual Statement .................................................................................................................40 RG 17 Expenditure Statements.........................................................................................................40 RG 18 Inspection...............................................................................................................................41 RG 19 Final Report...........................................................................................................................41 RG 20 Sanctions................................................................................................................................41 RG 21 Public Engagement................................................................................................................41 RG 22 Exploitation and Impact.........................................................................................................42 RG 23 Research Monitoring and Evaluation....................................................................................42 RG 24 Publication and Acknowledgement of Support.....................................................................42 RG 25 Disclaimer .............................................................................................................................43 RG 26 Status.....................................................................................................................................43 Additional BBSRC Conditions .................................................................................................43 AC1. BBSRC Position on the Deposit of Publications....................................................................43 7b Cross-Council research grant terms and conditions for fEC grants...............................................44 GC 1 Responsibilities of the Research Organisation........................................................................46 GC 2 Research Governance..............................................................................................................47 GC 3 Use of Funds............................................................................................................................49 GC 4 Starting Procedures ................................................................................................................49 GC 5 Changes in Research Project...................................................................................................50 GC 7 Extensions................................................................................................................................50 GC 8 Staff.........................................................................................................................................51 GC 9 Maternity, Paternity and Adoption Pay and Leave.................................................................51 GC 10 Sick Leave ............................................................................................................................52 GC 11 Procurement of Equipment....................................................................................................53 GC 12 Ownership and Use of Equipment.........................................................................................53 GC 13 Transfer of a Grant to another Research Organisation..........................................................53 GC 14 Change of Grant Holder.......................................................................................................54 GC 15 Annual Statement..................................................................................................................54 GC 16 Expenditure Statements.........................................................................................................54 GC 17 Inspection...............................................................................................................................55 GC 18 Final Report...........................................................................................................................55 GC 19 Sanctions................................................................................................................................56 GC 20 Public Engagement................................................................................................................56 GC 21 Exploitation and Impact.........................................................................................................56 GC 22 Research Monitoring and Evaluation....................................................................................57 GC 23 Publication and Acknowledgement of Support.....................................................................57 GC 24 Disclaimer .............................................................................................................................57 GC 25 Status.....................................................................................................................................58 Additional BBSRC Conditions.....................................................................................................58 AC1. BBSRC Position on the Deposit of Publications....................................................................58 4/62 ADDITIONAL INFORMATION TO ACCOMPANY TERMS & CONDITIONS....................59 8. Standards of Performance.............................................................................................................60 General..............................................................................................................................................60 Obtaining information about BBSRC research grants......................................................................60 Applying to BBSRC..........................................................................................................................60 As a BBSRC grant holder.................................................................................................................60 To be fully effective we also need your help....................................................................................61 If you have a query............................................................................................................................61 Using our experts..............................................................................................................................61 Science and Society...........................................................................................................................61 International Relations Unit..............................................................................................................61 Feedback...........................................................................................................................................61 9. BBSRC Mission Statement..............................................................................................................62 5/62 1. 1.1 Introduction This document is designed to cover all aspects of research grant funding including eligibility, application procedures and terms and conditions. It can be accessed on the BBSRC Website at the following address: www.bbsrc.ac.uk/funding/research/grants_booklet.pdf. The conditions set out in this document incorporate the understandings reached between the then CVCP, Research Councils, Royal Society and the British Academy in the “Concordat to Provide a Framework for the Career Management of Contract Research Staff in Universities and Colleges”. These are identified in the text by cross-reference to the specific paragraphs of the Concordat. (http://www.universitiesuk.ac.uk/activities/RCIdownloads/rciconcordat.pdf) BBSRC reserves the right to amend these regulations at any time and without prior notice. The regulations in effect at any time will be those contained in the most recent version of this guide. This document should be read in conjunction with the overview of science and committee remits as listed at: www.bbsrc.ac.uk/science . Any scientific queries should be directed to the appropriate programme manager of the committee to which the application is being directed. BBSRC funds research in: • • • • plants (BBSRC is the principal public funder of plant science in the UK) microbes animals (including humans) tools and technology underpinning biological research 1.2 1.3 1.4 1.5 1.6 from the level of molecules and cells, to tissues, whole organisms, populations and landscapes. 1.7 We work with the other Research Councils to ensure that applications for funding for research which lie close to remit boundaries are addressed by the most appropriate Council. For example, we fund human physiology, cell biology, and genetics and genomics research relevant to understanding normal human function, but we do not fund research focused on specific human diseases and disease processes or abnormal conditions, which fall within the remit of the Medical Research Council. We fund work on animal diseases, however studies primarily involving animal models of human disease and human toxicology, including abnormal toxicological reactions and drug toxicity, are not in the remit of BBSRC. Also we fund research on livestock species and managed land (e.g. agriculture) and fund studies on wild species only when they act as a suitable model, and provide wider understanding of biological processes. If you have a general remit query, or require advice on which Committee to submit your application to, please contact our Remit Officer: Dr Elizabeth Hayes, BBSRC Remit Officer Science and Technology Group Polaris House North Star Avenue Swindon SN2 1UH Telephone :- 01793 413366 6/62 1.8. 1.9 Fax:E-Mail:- 01793 413234 Elizabeth.Hayes@bbsrc.ac.uk 1.10 General enquiries relating to this document should be sent to: Alan W G Harrison FRSA Science and Technology Group BBSRC Polaris House North Star Avenue Swindon SN2 1UH Telephone :- 01793 413318 Fax:01793 413234 E-Mail:Alan.harrison@bbsrc.ac.uk 1.11 Post award enquiries should be sent to: Post Award Administration Science and Technology Group BBSRC Polaris House North Star Avenue Swindon SN2 1UH Fax:01793 413372 E-Mail:- Postaward.admin@bbsrc.ac.uk 1.12 Section 7 of this document comprises the revised cross-council set of core terms and conditions for research grants which are effective from 1st April 2008. These supersede any previously published terms and conditions. All research grant and fellowships applications submitted after 1 September 2005 are now costed on the basis of full economic costs (fEC) and are subject to the core terms and conditions which can be found in Section 7b. 7/62 2. The Research Grant Framework 2.1 BBSRC funds research through a range of different mechanisms, one of which is the provision of research grants for specified projects. The following research grant categories are in line with the Government’s policy that research councils’ funding should be opened up to the fullest extent, consistent with the maintenance of the health of the UK science and engineering base. The research proposed in a research grant application must address scientific issues relevant to BBSRC’s mission. If the application is not within the remit, it will be rejected by the office. Applicants will then be able to submit the application to another Research Council under their eligibility, remit and submission rules. BBSRC’s decision will be final. Further information about the role of BBSRC may be found in publications such as “BBSRC Business” and on the BBSRC website. BBSRC research grants provide researchers with support for high quality research projects of timeliness and promise in which the principal applicant(s) will be personally involved. Although currently the majority of research grants are awarded for three years, applications for longer periods of funding, normally up to a maximum of five years, are welcomed if this better meets the requirement of the research project. Applicants seeking funding for more than three years may benefit from consulting with the appropriate BBSRC programme manager about their proposal before submitting an application. 2.2 2.3 2.4 2.5 Modes of research grant: 2.6 Responsive Mode. Grants are awarded in response to unsolicited research proposals in any area relevant to BBSRC’s mission. As a general principle, BBSRC allocates as much research grant funding as possible in responsive mode. Applications are assessed by the appropriate BBSRC Research Committee. 2.6.1 Categories of eligible organisations Higher Education Institutions, all Research Council Institutes and specific approved BBSRC Independent Research Organisations. 2.7 Managed Mode. Calls for proposals with applications invited with one or more closing date. These will normally be used in response to an emerging scientific opportunity where there is a need to enhance research activity to stimulate a particular area of science within the established BBSRC science base. 2.7.1 Categories of eligible organisations UK Higher Education Institutions, all Research Council Institutes, and BBSRC approved Independent Research Organisations. Research grant schemes LINK 2.8 LINK is a Government scheme which provides support of up to 50% of the total costs of collaborative research between industry and the research base, the balance of funding being provided by industry. The scheme comprises a number of programmes in defined technology or market sectors which are sponsored by Government departments and research councils, each programme being made up of collaborative research projects. For more details about LINK please see http://www.bbsrc.ac.uk/business/collaborative_research/link/index.html . LINK research grants are awarded through LINK programmes to accelerate the commercial exploitation of Government funded pre-competitive research and to focus on advances in science and engineering with particular commercial promise. They can be awarded to all LINK 8/62 2.9 participants including industry. Where there are official LINK programmes in identified areas i.e. those BBSRC fund with DEFRA, organisations eligible to receive BBSRC funding through either the responsive mode and calls for proposals routes may apply. Stand Alone LINK 2.10 BBSRC will also support collaborative project work which falls outside current LINK programmes but which meet the criteria for LINK. However where there is neither an overarching programme nor a call for proposals involved, only organisations eligible to receive BBSRC responsive mode research grant funding may apply. Industrial Partnership Awards 2.11 BBSRC is keen to promote, wherever appropriate, links between the science base and industry, and seeks to encourage them through a variety of mechanisms. It is recognized that the likelihood of basic and strategic research being taken up by users will be enhanced if there is industrial awareness of and involvement in projects funded by BBSRC. Accordingly, BBSRC supports science carried out by academic researchers in partnership with UK industry or other user organisations, where an industrial partner makes a contribution to a science base-led project funded by the Council. The Council does not provide funding to the industrial partner. BBSRC will consider proposals for projects involving academic-industrial partnerships that address scientific topics within any area of its remit. Applications with a direct cash contribution from industry of at least10% of the full cost of the project will qualify for IPA status. To calculate the cash contribution required, firstly determine the full economic cost of the project as a whole. Use 10% of this value as the minimum cash contribution required from the industrial partner. Once the cash contribution has been agreed, subtract this contribution amount from the original full project cost. The outstanding balance should then be requested from BBSRC. For example if a project is fully costed at £350k, industry should contribute a minimum of £35k in cash to give the project IPA status. If the industrial partner contributed £35k cash then the amount requested in the application to BBSRC would be £315k. BBSRC will fund 80% of the value contained within the application form. The case for support should describe the value of the partnership that underpins the proposed research project including details of the scientific benefits to each side. BBSRC attaches particular weight to IPA applications and they are viewed favourably in its assessment process for Responsive Research Grants. A responsive-mode IPA project that is judged to be of appropriate quality would normally be funded in preference to a standard grant of equivalent scientific merit, because of the significant user interest demonstrated by the industrial contribution to the cost of the proposed research. Whilst additional in-kind contributions are encouraged, in-kind support will not be taken into account in determining consideration for IPA status. User interest and contributions from industry are also taken into account in the assessment of applications for funding from the Council’s Responsive and Thematic Research Initiatives. BBSRC will determine on a case-by-case basis whether some or all of the provisions of the IPA scheme will apply to individual initiatives, and details will be announced in the relevant calls for proposals. Before submitting an application for an IPA, researchers may wish to contact industrial.partnerships@bbsrc.ac.uk to arrange an informal discussion with the relevant Programme Manager. 2.12 2.13 2.14 2.15 2.16 2.17 2.18 2.19 2.20 9/62 2.21 At present, for research collaborations where the value of the industrial contribution would be 50% of the total cost of a project (Cash, In-Kind or a combination of both), the application should be submitted under the LINK scheme. New Investigator Scheme 2.22 The New Investigator scheme is a mechanism designed primarily to assist newly employed university lecturers, fellows, and researchers in Research Council Institutes at the new unified Research Council Band 4 level (previously BBSRC Band 5 level or equivalent) or above to secure their first major element of research support funding. For details of the specific applicant eligibility requirements for the scheme please see paragraphs 3.13 to 3.19 in Section 3 of this guide which must be read in conjunction with the standard eligibility requirements for all potential applicants as also covered in Section 3 2.23 Other funding schemes Joint Research Council/Ministry of Defence Research Grants 2.24 These are intended to support research which is not only of high scientific quality but is also likely to be of relevance to the defence industries. Where an application is relevant to both BBSRC and MoD, and successful in obtaining BBSRC funding, MoD will contribute up to 50% of the value of the research grant awarded by BBSRC. Further details are available from the Defence Science and Technology Laboratory website (www.dstl.gov.uk). A proposal can only be considered for this scheme if it has already been forwarded to the Defence Science Technology Laboratory (DSTL) and written confirmation of agreement to co-fund the project has been received from DSTL. The letter from DSTL (preferably in electronic form) must accompany the proposal upon submission to BBSRC Follow-on Fund 2.25 This is a new scheme to enable the commercial potential of ideas arising from BBSRC supported research to be demonstrated. The Fund will support activities essential to securing commercial opportunities such as licensing, seed or venture finance through further scientific or technical development. Full details can be found at www.bbsrc.ac.uk/business/followon. National facilities 2.26 BBSRC accepts applications requiring access to facilities at Daresbury and Rutherford Appleton Laboratories supported by the Science and Technology Facilities Council (STFC) , and to the Diamond synchrotron. However, grant holders are expected to apply directly to the facilities for the time required for their research, once they have obtained grant funding. Full details of how to apply to these facilities are available from the User Liaison Offices of the relevant facility. Applications to the High Performance Computing facilities (HPCx) at Daresbury Laboratory and HECToR (at the University of Edinburgh)are also accepted. Equipment 2.27 BBSRC accepts requests for equipment as part of standard research grant applications to the research committees. These applications for equipment must be research project led. Full justification for the requested equipment must be included in the Justification of Resources attachment. New Cross Council reciprocal funding arrangements 2.28 All Research Council Institutes, are now eligible to apply for BBSRC responsive mode funding (paragraph 2.6.1 refers) and in response to calls for proposals (paragraph 2.7.1 refers). 10/62 Similarly, researchers from BBSRC institutes can apply to NERC ,MRC,EPSRC, ESRC, STFC and AHRC. Large value grant applications 2.29 Applicants who wish to apply for a grant of £2M (fEC) or more through responsive mode must first submit an Outline Proposal for consideration by the appropriate research committee. Successful applicants will be invited to submit a full application. Eligibility rules are similar to BBSRC’s responsive mode procedures. Proposals involving BBSRC-sponsored institutes are welcome, and provided they are made in a formal collaboration with a university-based group or another BBSRC sponsored institute and are over £2M (fEC), the proposal will not count towards the institute cap. Proposals from MRC and NERC sponsored institutes will still count against their respective caps. BBSRC Independent Research Organisations 2.30 Access to Responsive Mode funding is generally limited to Higher Education Institutes and Research Council Institutes. However, other organisations which consider that they have the research capability that would extend and enhance the BBSRC science base, may apply to become classified as Independent Research Organisations (IROs). This status, allows access to funding in response to specific Calls for Proposals but not normally to Responsive Mode funding. The eligibility framework for Research Council funding under which applications for IRO status are considered, together with a list of the current IROs of all the Research Councils. may be found on the Research Councils UK website at http://www.rcuk.ac.uk/research/eligibility.htm. 2.31 All IROs are subject to periodic review and although all Research Councils each have organisations they classify as IROs, IRO status with one Research Council does not necessarily mean a similar status applies with any of the others. Applications for IRO status may be submitted at any time on the standard application form available from and returnable to, the J-eS helpdesk at JeSHelp@rcuk.ac.uk. Joint research projects 2.32 Joint research projects provide researchers from two or more eligible institutions with an opportunity to apply for resources and funding for the same research project with a view to undertaking specific areas of the research project at each institution. Where this is the case, funds may be requested in either of two ways: • • Submitting one research grant application from the lead institution or, Submitting a research grant application from each institution. 2.33 The description of the work should explain the complimentarity of the research and set out the respective responsibilities of each applicant. Where applications are on separate forms, a separate Justification of Resources should be provided for each of the component applications. One principal applicant should be identified to act as the focal point for all scientific correspondence and be responsible for producing an overall report covering all the components. Further details on how to complete joint research project grant applications are given at paragraphs 4.27 to 4.29. Collaborative research grants 2.34 Collaborative Research grants provide researchers in eligible institutions with an opportunity to participate with other organisations in research projects. BBSRC funds part or all of the work carried out by the applicant, but does not fund the collaborating partner. Examples of collaborative research grants are: Industrial Partnership Awards & LINK. See paragraphs 2.8 to 2.21 11/62 2.35 2.36 Collaborations with Institutes. These are intended to encourage, for mutual benefit, the use and development of complementary experience and skills and experimental facilities between university researchers and researchers from BBSRC-sponsored institutes or the Scottish Agricultural and Biological Research Institutes (SABRIs). Applicants must demonstrate that the proposed research will provide added value over and above what would have been achieved from two separate contributions and clearly show a commitment to joint working from both the university and institute researchers. A programme co-ordinator must be identified, but overall the research should be managed in concert. Applications must contain the written support of the Institute Director. Research grants are awarded to universities; no additional funds are provided to institutes. If a BBSRC sponsored institute is applying for funding, the application should be a joint proposal (paragraphs 2.32 and 2.33 refer). Applications involving collaboration with a SABRI, which require additional funding for the SABRI, must contain written support from RERAD agreeing in principle to fund the SABRI part of the proposal. Other Collaborations. Potential principal applicants, who wish to collaborate with researchers at other institutions, including institutes and units from other research councils and those from other countries, are advised to contact the appropriate programme manager prior to submitting an application. Applicants should also note that the extent and reasons for the collaboration and details of the staff expertise and facilities that will be provided by the collaborator will have to be described in full in the programme of work in the application. Also both applicants and collaborators need to be aware that any costs incurred, direct or otherwise, by either collaborators or collaborators institutions in connection with collaborations, cannot be met by BBSRC. Paragraphs1.5, 4.17, 4.19, 4.29, 4.30, RG 22 and GC 21 also refer. Sub- contracting. BBSRC considers eligible institutions to be best placed to determine how their work is undertaken and if this should, in the case of a grant application, involve subcontracting aspects of the work to non-eligible institutions due, for example, to the lack of appropriate expertise in eligible institutions, then this would be acceptable to us. In such circumstances BBSRC would pay the awarded eligible institution which in turn would subcontract to the service provider as appropriate. This is of course without prejudice to the eligibility status of these other non-eligible institutions. Additional pages for research staff residing at the sub-contracting organisation cannot be included within the Case for Support. Except in instances where the service provider is from the public sector, the conferring of any IP, author or other rights to it by the contractor in relation to the research grant application for which it was contracted to provide a service, is not permissible. The inclusion of an acknowledgement in any resulting material of the sub-contracted organisation’s contribution to the research is however acceptable, Should there be an intimation or desire on the part of the contractor and/or subcontractor not within the public sector, for other than such an acknowledgement e.g. co-author status on resulting publications, then the interaction between the parties concerned would be deemed to equate to a collaboration. In such circumstances paragraphs 2.36 and 2.37 above would apply’. 2.37 2.38 2.39 Other funding arrangements Support for international activity 2.40 It is important that the UK bioscience community benefits from European and international funding sources and that BBSRC’s science programme is strengthened by international collaboration. BBSRC promotes international links to exploit new scientific opportunities, and to explore ways of sharing knowledge for mutual benefit. Full details of all schemes are on the BBSRC website at http://www.bbsrc.ac.uk/science/international/index.html . International Scientific Interchange Scheme (ISIS) 2.42 The International Scientific Interchange Scheme (ISIS) aims to promote and facilitate international collaboration, both to assist and raise the profile of BBSRC supported science and 12/62 2.41 to enhance the capability of BBSRC scientists to be able to take advantage of funding opportunities. The purpose of ISIS is to provide a mechanism to initiate and pump-prime collaboration to allow scientists to explore the potential of new linkages to add an international dimension to their (BBSRC-funded) research. Funding is available for travel and subsistence only, for scientists travelling outward from the UK. 2.43 Applications are accepted at anytime (but not less than six weeks before the intended date of travel) from BBSRC grant holders and scientists at BBSRC-sponsored institutes. A decision is normally made within six weeks. International Workshops 2.44 The BBSRC’s International Relations Unit (IRU) funds a number of international workshops each year aimed at developing relations in topics important to BBSRC’s scientific strategy. The workshops are set up in response to the identification of an emerging area of science within the UK or abroad, for which it is believed it would be beneficial to initiate and develop collaboration with another country also active in the area. A call for proposals is published annually, usually in September, with the closing date in November. Proposals are accepted from BBSRC grant holders and researchers at BBSRC sponsored institutes. Japan, China and India Partnering Awards 2.45 These provide resources to leading BBSRC supported research groups to allow them to forge long-term relationships with Japanese, Chinese or Indian scientists in areas of research of direct relevance to BBSRC’s current Strategic Plan and 10 Year vision. Awards are made for up to four years for BBSRC funded researchers to partner with one or more Japanese, Chinese or Indian equivalents. Applications can be from departments, research groups or consortia of academics. Partnering Awards are not a vehicle by which to support single research projects. Funds can only be used for travel, subsistence and other activities such as workshops or exchanges over the four-year period. A call for proposals is published annually, usually in September, with a closing date in November. Proposals are accepted from BBSRC grant holders and researchers at BBSRC sponsored institutes. Further details on these schemes can be obtained on request from sue.whitcher@bbsrc.ac.uk. Wain Fund and Underwood Fund 2.48 The Wain Fund and the Underwood Fund provide funds to facilitate international travel for researchers working within the remit of BBSRC. Awards are made direct to selected University departments and BBSRC Institutes and are no longer open to individual application. Money Follows Researcher 2.49 BBSRC has signed up to the EUROHORCS Agreement (details of which may be found at http://eurohorcs.drift.senselogic.se/initiativesandactivities/moneyfollowsresearcher ) to promote mobility of researchers around Europe. It is possible for a researcher moving from one EU country to another to transfer the remainder of a research grant to the new institution. Such a move is subject to agreement by BBSRC, both research institutions and the counterpart funding organisation. Any requests to transfer a grant under this scheme will be dealt with on a caseby-case basis. Enquiries should be sent to Postaward.admin@bbsrc.ac.uk in the first instance. DTI Technology Programme Technology Strategy Board: Collaborative Research and Development Competition 2.50 BBSRC, along with other Research Councils participates in the Collaborative Research and Development Competitions run by the Technology Strategy Board. The scheme affords the Research Councils the opportunity to involve themselves in industry led projects which have a significant high quality academic component. Full details of the scheme can be found at 13/62 2.46 2.47 www.technologyprogramme.org.uk. Information on BBSRC participation may be obtained from Dr Alexandra Brooks who can be contacted by email at Alexandra.brooks@bbsrc.ac.uk. DNA Sequencing 2.51 Support for DNA Sequencing. In recognition of the increasing requirement for sequencing in research, it has been agreed that large scale DNA sequencing needs should be assessed as research grant proposals and as such will be considered in competition with others in responsive mode; there is no special fund or assessment procedure for proposals including sequencing. For sequencing proposals, in addition to the standard scientific case for support, the following information must also be provided: • a comparative cost/benefit assessment or competitive tender justifying the choice of sequencing organisation and approach being taken; • a description of the purposes to which the sequence would be put and the benefits to be gained, making clear those which would derive directly from the grant and those which would be dependent on the acquisition of additional resources; benefit from the proposed sequencing (where this is wider than the applicants), its international competitiveness, the science for which they would use the resource, and the impact on the wider stakeholder community e.g. industry; • an assessment of the strategic relevance of the activity to the BBSRC Mission and any priority areas; • an indication of other known sequence data on the same or similar organisms, available or proposed, e.g. in industry or overseas and why these cannot be used; • the arrangements for the documentation, storage and distribution of the sequence and the capture of resources and data arising from its research use. It is a requirement that sequence data will be released into the public domain within three months of the completion of the sequence unless there are exceptional arguments which should be explained; • the arrangements that are in place to ensure the awareness of the target user community and for the securing of any synergistic benefits from coordinating usage and sharing of data; • details on the composition of an appropriate project team which should include necessary data management expertise and a management or steering committee where the user community is large or involves many institutions or interests; It should be noted that very large whole genome sequencing projects are unlikely to be supported outside the context of international collaborations. Advice on this can be sought from the Office. • a statement of the breadth and nature of the UK research user community which would 2.52 2.53 Sequencing of plant genomes. The Wellcome Trust Sanger Institute has informed BBSRC that it is no longer willing to undertake the sequencing of plant genomes because such work falls outside its mission. 2.54 Where no suitable UK provider of the required sequencing is available, BBSRC will consider the funding of its acquisition from industrial and/or overseas sources. The above guidelines will also apply in these circumstances and in all cases the choice of sequencing organisation must be justified in terms of scientific suitability and cost effectiveness. 2.55 Resources for DNA Sequencing. Following the introduction of full economic costing (fEC) the resources for DNA sequencing requested through research grants can be supported at either 100% fEC or 80% fEC. In order to qualify for the resources to be granted at 100% fEC, the sequencing will need to be carried out through a contract to an institution or organisation ineligible to apply for BBSRC funding. Funds for sequencing must be applied for and will be awarded in £ Sterling; any grant made will include 100% of the costs only; no indexation will be 14/62 applied and no further funds will be granted for this activity to cover, for example, currency fluctuations. It is possible to request support for other activities associated with DNA sequencing such as annotation of the sequence, but in order for this to qualify for 100% fEC, it must also be undertaken by an organisation not eligible for BBSRC funding. 15/62 3. 3.1 Eligibility Institutional eligibility Higher Education Institutions (HEIs) and Research Council Institutes (RCIs) for which the BBSRC has established a long term involvement as major funder as part of the national research base may apply for research grants. Certain elements of funding are also open to other Independent Research Organisations (IROs). Eligibility of Applicants and Co-Applicants 3.2 The rules governing eligibility of applicants and co-applicants are identical. In determining whether or not an application will be accepted, BBSRC will consider a range of factors in relation to the applicant(s) such as their status and the duration and nature of their employment. At the time of application applicants must be resident in the UK and hold an appointment which will last for at least the period of the proposed research grant at either an eligible HEI ,RCI or IRO at lecturer level or equivalent and above. For BBSRC and RCIs this will be researchers at the new unified Research Council Band 4 level (previously BBSRC Band 5 or equivalent) or above and additionally MRC ESS staff located within university departments holding honorary university appointments. Nevertheless applications may be submitted shortly prior to the start date of employment, providing a confirming statement from the institution where the grant is to be held accompanies them. Applicants must have appointments which are resourced from the core funds of their institutions. Senior researchers who are either about to retire or who have retired who are committed to remain with the host institution for at least the duration of their proposed research grant may also apply. Applications from senior researchers holding non-stipendiary visitor positions or rights in eligible institutions who are not in receipt of emoluments from non-eligible organisations and who can meet the remaining eligibility criteria will similarly be considered. A formal contractual arrangement would also be expected to exist between the researcher and the HEI at the point of application Those in receipt of lecturer level equivalent postdoctoral fellowships from either the Research Councils or award-giving bodies such as the Royal Society and the Wellcome Trust may also apply, as may the recipients of internal university fellowships that have a similar lecturer level equivalent status. All fellowships must have been secured in open competition. Furthermore, with the exception of internally awarded university ones, all fellowships must be tenable at any BBSRC eligible academic institution. Information on the type and nature of the fellowship held together with its end date and the funding it provides, should be included either in the application case for support or in the applicants c.v. accompanying the application. Holders of RCUK Academic Fellowships are also eligible to apply. However, they should ensure that any commitments they have to existing research projects are discussed with their institutions prior to the completion and submission of a research grant application. Although recipients of RCUK Academic Fellowships who are initially supported as Post Doctoral Research Assistants (PDRA) on research grants are eligible to apply for new research grants in their own right, they cannot start any successful award until they have completed their PDRA duties, on the original research grant. In authorising an application the Head of Department in whose department the research will be carried out, or the Director of the BBSRC/NERC sponsored institute, is agreeing that full research facilities and support will be provided throughout the period of the research and also that the applicant will retain a position appropriate to their seniority during this time. In the case of a fellow whose fellowship does not extend beyond the duration of the grant, they are also agreeing to underwrite the fellow’s salary costs for the outstanding period in relation to the grant. A letter of support confirming this should be attached to the application. Details of the post the fellow will be appointed to should however be given in the application case for support. 16/62 3.3 3.4 3.5 3.6 3.7 Authorisation of the application also confirms that there is no conflict of interest between the investigator’s obligations to BBSRC and to any other organisation or employer. 3.8 University senior post doctoral research assistants with appointments resourced from the core funds of their institutions that will last at least for the period of the proposed research grant, may also apply if they carry both a level of responsibility and range of duties appropriate to a person with substantial research experiences e.g. they occupy a post equating to lecturer level. A confirmatory statement to this effect from the Head of Department should accompany the application. Researchers whose research is funded by a non-eligible organisation, but who are based in an eligible institution and employed on open-ended contracts by the eligible institution, and where the employing institution accepts long-term liability for the researcher. Applications which come within this category and the senior post doctoral research assistant category mentioned in paragraph 3.8, should be referred to Alan Harrison, Science and Technology Group, for confirmation of eligibility prior to their acceptance for consideration. Research assistants, technicians and other researchers who are employed on short-term projects or research council grants are not eligible to apply either in their own right or as coapplicants. Neither are researchers who are holders of fellowships that are not portable or awarded competitively and have been awarded, funded and held at the awarding institution. Researcher Co-Investigators (formerly known as Recognised Researchers) 3.11 A post doctoral research assistant who is not eligible to be either principal or co-applicant in their own right, but who has made a substantial, recognised contribution to the formulation and development of the project and who will be engaged in the ensuing research may, with the approval of the principal applicant, be named as the “Researcher Co-Investigator” in the application. This title will be recorded and included in published information. A “Researcher Co-Investigator” will be: · Named as the RA on the proposed research project, · Identified in the application as a key contributor to the project, · Employed on the project by and based at, the institutions of either the principal or any coapplicant(s). 3.9 3.10 3.12 3.13 The institution is responsible for all matters in relation to an employee’s contract of employment including the procurement of work permits where necessary. See also paragraph 5.10 and Term and Condition GC 8. BBSRC has no restrictions or requirements on residency, nationality or citizenship in relation to research support staff funded from a grant. New Investigators (see also paragraphs 2.22 and 2.23) 3.14 To be considered under the scheme applicants must have no more than three years full-time employment (or the full-time equivalent taking account of career breaks, part-time employment, etc.) at lecturer or Research Council Institute new unified Research Council Band 4 level (previously BBSRC Band 5 level or equivalent) researcher level, including fellowships at this level. They must also have appointments which extend beyond the duration of their proposed projects and in addition be able to satisfy both the following specific eligibility requirements for the scheme as well as the normal eligibility requirements for BBSRC responsive mode grants, Paragraphs 3.2 to 3.7 refer. Researchers who have been co-investigators on successful grant applications are eligible to apply to the scheme. 3.15 3.16 Applicants must not have received or currently be in receipt of competitively obtained research or support funding from any source as a Principal Investigator where such funding includes or 17/62 included research assistant staff support costs; this includes grants associated with fellowships, Other grant funding requests where the results are not known at the time of submission but which are subsequently successful will also come under this category and therefore details of such requests must be given in the application and their outcome notified to BBSRC immediately they become known. 3.17 Applicants may submit only one New Investigator application to each BBSRC grants round, and they may not submit another type of grant application as a Principal Investigator to the same grants round. Also, researchers may be awarded only one research grant under the scheme. 3.18 Although applicants are normally expected to be the sole applicants, in order to encourage projects of an interdisciplinary nature, a co-applicant who is from a discipline other than biological sciences, may be included in the application. If, however, the New Investigator is from a non-biological science, a co-applicant from the biological sciences may be included. Other permutations may be acceptable, but only with the prior agreement of BBSRC. 3.19 Applications will be judged against the same criteria as other responsive mode proposals; however, research potential rather than track record will be taken into account. In addition to the case for support, a letter from the applicant’s head of department describing the support and financial contribution the institution will be providing specific to the start up of their laboratory and which is the responsibility of the institution to undertake, is also required. General enquiries regarding eligibility 3.20 If there is any doubt about any aspect of eligibility of either the institution or the applicants, advice can be sought from: Alan W G Harrison Science and Technology Group BBSRC Polaris House North Star Avenue Swindon SN2 1UH Tel:01793 413318 Fax:01793 413372 E-Mail:- Alan.harrison@bbsrc.ac.uk 18/62 4. The application process How to apply 4.1 BBSRC is now using the Je-S (Joint electronic Submission) for Research Grant applications. Applications for research grants must be made through the Je-S system Electronically through the Je-S system 4.2 Applicants should note the following: • The Je-S electronic form is the ONLY form that will be accepted for research grant applications. • Applicants should prepare and submit proposals using the Je-S system The current status of organisations' Je-S registrations can be found at: registration update. 4.3 For information about Joint Electronic Submission see the RCUK Research Administration Programme. For tutorials see Je-S1 Tutorials. General enquiries regarding the Je-S1 should be directed to the Je-S1 helpdesk (e-mail: JeSHelp@rcuk.ac.uk tel: 01793 444164). Applicants and their organisations both need to register to submit proposals through the Je-S system. Those applying through the Je-S system for the first time need to check that they have a Je-S account that allows them to submit proposals. This should be done well in advance of the closing date ensuring that enough time is also left for the organisation’s submission process to take place. The application process for proposals to responsive mode valued at £2M and over 4.5 Applicants who wish to apply for a grant of £2M (fEC) or more through responsive mode must first submit an Outline Proposal for consideration by the appropriate research committee. Successful applicants will be invited to submit a full application. The initial Outline Proposal should be up to four sides of A4 text using only plain Arial typeface with a minimum font size of 11, and observing the application formatting rules noted in Section 4.34 of this guide. Your Proposal should include: Names of all applicants (the PI, co-investigators and collaborators) Description of the project (the science case) Management of the project(s) Resources required from BBSRC (please describe any financial contributions to be made to the project through industrial or other forms of collaboration) CVs of all applicants (maximum of 2 pages per applicant) should be appended to the Outline Application. Please note that additional information, in the form of appendices or annexes, is not permitted, unless they are included in the 4 pages of A4 text. Any Outline Proposal which does not adhere to the above guidelines will be withdrawn and will not be considered for assessment. These Outline Proposals should not be submitted through the Je-S system, but should be submitted to BBSRC as a single Word document (containing the description of the proposed research (maximum 4 pages) and the CVs (maximum 2 pages per person) of all the applicants) to the following email address: BBSRC.lolagrants@bbsrc.ac.uk before or on the responsive mode closing dates. 4.4 19/62 General application procedures 4.6 Before Applying: An application will not be accepted for a project that is essentially the same as the one currently under consideration for funding by a BBSRC committee, other research council or any other funding body. If in any doubt as to whether or not an application falls within the remit of BBSRC ( http://www.bbsrc.ac.uk/science/remit.html ) please contact the BBSRC remit officer prior to submission. Applicants must give details of any application in the same field that has been submitted to another BBSRC committee, other research council or to any other funding body. Applicants must give details of all related current funding from BBSRC, and current funding from other Research Councils and other funding bodies in the same field awarded in the last three years. Unless specifically invited, applicants wishing to submit a proposal that has already been considered by BBSRC, another research council or funding body, must consult the appropriate BBSRC Programme Manager before applying. These applications must be accompanied by a covering letter explaining the circumstances of the previous application, its outcome and the modifications subsequently made to the proposal. It is expected that substantive changes will have been made to any resubmission, which will be accepted at the discretion of BBSRC. Applicants must submit an interim or final report on any related BBSRC research grant currently held by any of the applicants or completed in the last twelve months. Any applications received which do not include this report will not be accepted until such a report is available. A similar sanction will also be applied if when applying for funding as a continuation to a current research project, applicants do not submit the interim or final report from the existing project. An application will not be accepted if a final report on any BBSRC research grant previously held by the principal applicant is overdue. Unsuccessful BBSRC research grants proposals must not be resubmitted, unless invited by the Committee. All proposals are checked in the peer review administration process to identify any uninvited resubmissions which will be rejected. Resubmissions will be considered where they have been invited by the Committee, or if the proposal is substantially different in terms of objectives and/or work to be carried out. In which case permission from the Committee Programme staff must be obtained, and the proposal must include a covering letter declaring it as a resubmission, detailing the modifications which merit its re-consideration. Applicants who intend to undertake research work on private or Government property must obtain consent from the owner or the organisation before submitting an application. All applicants intending to use animals in their research should familiarise themselves with the funders’ expectations as set out in the ‘Responsibility in the use of animals in bioscience research’ document ( http://www.bbsrc.ac.uk/publications/policy/animals_in_bioscience_research.html ). This document will be used by peer reviewers and implementation of the principles in this guidance is a condition of receiving funding. For all research involving the use of animals, the provisions of the Animal (Scientific Procedures) Act 1986 must be observed. Institutions and grant holders are responsible for ensuring that all appropriate personal and project licences required under the Act have been granted by the Home Office, and that appropriate Local Ethical Committee approval has been given. All BBSRC awards are made on the absolute condition that no work that is controlled by the Act will begin until the necessary licences have been obtained. For BBSRC funded research that involves the use of animals overseas (for example through international collaborative research) researchers and the local ethics committee in the UK should satisfy themselves that welfare standards consistent with those required under UK legislation (e.g. ASPA) and set out in the ‘Responsibility in the Use of Animals in Bioscience Research’ guidance are in force and maintained. Where there are significant deviations, prior 20/62 4.7 4.8 4.9 4.10 4.11 4.12 4.13 4.14 approval from the funding body should be sought and agreed. Applicants proposing to use animals in experiments should make themselves aware of BBSRCs priorities in animal welfare ( http://www.bbsrc.ac.uk/funding/grants/animal_sciences/animal_welfare.pdf ) and its commitment to developing alternative methods to reduce and/or replace animal experiments. These applicants should also keep themselves aware of developments in best practice, for example through familiarising themselves with publications accessible through the website of National Centre for 3Rs www.nc3rs.org.uk. Applicants intending to use Genetically Altered mice in their research should refer to the report of GA mice working group ‘Assessing the welfare of genetically altered mice’ ( http://www.nc3rs.org.uk/page.asp?id=231 ). 4.15 If the research involves human subjects, genetically modified organisms, or any other sensitive or dangerous materials, work must not commence until approval has been received from the appropriate Local Ethical Committee or other appropriate authority. 4.16 Research proposals are expected to comply with BBSRC’s data sharing policy and all proposals should include a statement on data sharing. This should be submitted as a stand-alone page within the Case for Support and not embedded within parts 1A, 1C or part 2. A maximum of one side of A4 is allowed for this statement in addition to the standard page allowance, and must not be used for any other purpose. This statement must clearly detail how you will comply with BBSRC’s published Data Sharing Policy, including concise plans for data management and sharing as part of research grant proposal, or provide explicit reasons why data sharing is not possible or appropriate. For the BBSRC policy please the statement at http://www.bbsrc.ac.uk/publications/policy/data_sharing_policy.pdf and for information on the completion of part 1B of the J-eS application form please see http://192.171.198.243/JesHandBook/jesHelp.aspx?m=s&s=104 4.17 Applicants must read and abide by the principles laid down in the BBSRC Statement on Safeguarding Good Scientific Practice. This is available on the BBSRC website. (http://www.bbsrc.ac.uk/publications/policy/good_scientific_practice.html ). Applicants must ensure that the title, summary and main objectives of the research project are worded in such a way as to protect commercially confidential or sensitive areas (paragraphs 6.9–6.10 refer). Applicants must obtain the necessary clearances from any industrial or other collaborator with a commercial interest in the content of the application. 4.18 4.19 For the non technical summary, applicants should describe the proposed research in a way that could be publicised to a general audience [up to 4000 chars]. The language should be accessible, with the minimum use of technical terms, using short and succinct sentences. The summary should start with a short, high level description of the purpose of the research (1-2 sentences) e.g. ‘how hormones affect tree growth’ followed by a description of the objectives and expected outcomes and beneficiaries of the project. 4.20 Applicants must ensure that researchers who are named as collaborators in a research grant application provide a letter of support indicating their agreement to the proposed collaboration. This does not apply to applications submitted under the “Industrial Partnership Awards” or “Collaborations with Institutes” schemes. Applicants and associated researchers who are planning to collect new species or sub-species or otherwise novel organisms should consider the deposition of these organisms in culture collections and should make reference to their plans for the organisms in their proposals. Where published work includes the description of new species or subspecies or other novel organisms, BBSRC grant holders are expected to make these available to other researchers through deposition in a recognised culture collection. Recognised collections are considered to be those which publish catalogues of holdings and which make organisms available for sale to all UK researchers with appropriate expertise. Organisms should be offered to the most appropriate UK culture collection. If no UK collection is able to accept them, they should be offered to a recognised overseas collection. If no collections will accept the organisms it is expected that the grant holders themselves should 21/62 4.21 4.22 4.23 make them available to the scientific community for a minimum period of 2 years following publications of any paper describing those organisms. 4.24 Grant holders should note that the requirements of intellectual property rights may mean that organisms may have to be lodged in a culture collection registered for this purpose under the 1977 Budapest Treaty on the International Recognition of the Deposit of Micro organisms for the purpose of Patent Procedure. When applying: 4.25 4.26 Applications for BBSRC Research Grants must be made electronically through the Je-S system. There are no restrictions on the number of applicants named on a research grant application. All applicants must be actively engaged in the proposed research project and the intellectual input of each applicant to the research must be clearly defined in the case for support. When the application involves work at more than one eligible institution, funding for a Joint Research Project may be requested by either submitting one joint application from the lead institution or by completing separate applications from each institution. With one joint application, the institution submitting the application must be the lead institution. The principal applicant must be from the lead institution and will be the person to whom all scientific correspondence is directed. All other applicants and their affiliations must be entered on the application form. With separate applications, each institution must complete and sign an application form. The first named applicant on each form must be the principal applicant from that institution, with one principal applicant identified, preferably in a separate covering letter, as the lead applicant to whom all scientific correspondence will be directed. The following information should be common to both applications; case for support, beneficiaries, summaries, objectives, title and proposal type. The project partner details, letters of support, and nominated referees, must be attached to the lead applicants form only. Only applicants directly working on each institution's component of the project should be entered on that institution's form. Applications for Industrial Partnership Awards must describe in the Case for Support, the extent of the industrial involvement and why the collaborating industrial partner considers the work to be important. Applications must also contain confirmation from the applying institution’s Technology Transfer Officer or equivalent that collaborations as described in the application are in place. BBSRC reserves the right to request copies of agreements at any time. Where the work is in collaboration with an institute or unit of another research council or with an organisation that is not a UK university, BBSRC sponsored institute or SABRI, the extent and reasons for the collaboration must be explained. Details of the staff expertise and facilities that will be provided by the collaborator(s) must be included in the case for support. For collaborations with SABRIs, the Director must confirm that the necessary funding for the SABRI part of the collaboration will be available from the Scottish Government Rural and Environment Research and Analysis Directorate (RERAD). Any relevant interactions with other groups in the UK or abroad, relevant to the research should also be explained. The supporting case for one Full Time Equivalent (FTE) Post Doctoral Research Assistant (PDRA) post must be contained within no more than six sides of A4 in total, including references, figures etc., in part two of the case for support. For each additional FTE (100%) Post Doctoral Research Assistant (PDRA) post, which may comprise either a single or combination e.g. one at 40% and one at 60%, of PDRA effort, a further two sides of A4 may be added in total. A further one side is permissible for the inclusion of an optional diagrammatic work plan. No additional pages are allowed for technician posts. CVs should be submitted for all named applicants and named research staff only. These should be no more than 2 sides of 22/62 4.27 4.28 4.29 4.30 4.31 4.32 4.33 A4 per person and submitted as an annex. Any necessary letters of support should be submitted as an annex with no limitation on page length. Lists of references and illustrations should be included in the six page limit and should not be submitted as additional documents or as an annex. Within the list of references, URL links to relevant publications or online resources are permissible. The case for support should be a self-contained description of the proposed work with relevant background, and should not depend on additional information. Applicants must not include URLs to web resources in order to extend their case for support. The inclusion of such URLs will result in the application being withdrawn for correction. Peer reviewers are advised to base their assessment solely on the information contained within the application, and instructed not to access external links Further details of the requirements for the case for support can be found on Je-S help text ( http://192.171.198.243/JesHandBook/jesHelp.aspx?m=s&s=104). 4.34 The only typeface to be used when completing an application case for support is Arial, minimum size 11. Please see also Je-S help text at https://jes.rcuk.ac.uk/jesHandBook/jesHelp.aspx?m=s&s=104. A minimum of single line spacing and standard character spacing must be used and margins must not be less than 2cm. Applications will not be accepted either where a smaller Arial font size has been used or where the standard page limit has been exceeded. The objectives of the proposed programme of work, how these are to be achieved, key milestones and the timescale for achieving them must be clearly stated in the case for support. See also Section 7, RG 5 and GC 5 All resources requested (directly incurred, directly allocated and exceptions, including PI and Co-I time) must be fully justified in the justification of resources attachment. The description of the proposed programme of work should include details of methodology, timetable, possible problems and suggestions for overcoming them and the role of each research assistant. Studentships may not be requested on BBSRC research grant applications. BBSRC studentships are only available through application to the various BBSRC training award schemes. Further information is available in “BBSRC Postgraduate Studentships” (http://www.bbsrc.ac.uk/funding/training/studentships_booklet.pdf) Submitting applications: 4.39 All BBSRC committees support basic and strategic research. Further details of their remits can be found on the Committee Web pages on the BBSRC Website (www.bbsrc.ac.uk/science/areas). The committees are: • • • • • • • 4.41 Agri-Food (AF) Animal Sciences (AS) Biochemistry and Cell Biology (BCB) Biomolecular Sciences (BMS) Engineering and Biological Systems (EBS) Genes and Developmental Biology (GDB) Plant and Microbial Sciences (PMS) 4.35 4.36 4.37 4.38 4.40 Applications can be submitted at any time and will be processed for the meeting linked to the next available closing date. A list of closing dates and their associated meetings can be found on the website http://www.bbsrc.ac.uk/funding/apply/deadlines.html. There is a minimum processing time required between the receipt of an application and its consideration in committee. The appropriate meeting to consider an application will be decided by the BBSRC Office, whose decision is final. 23/62 4.42 A list of applications recommended for funding will be published on the BBSRC Website and linked to the ‘Funding Research’ page (http://www.bbsrc.ac.uk/funding/index.htmll). Successful applicants will receive an award letter in the post. Unless specifically requested, outlines are not required. Any application with faults will be returned to your Submitter Pool with notification of the correction. You will have eight calendar days to make the amendments and no extension will be permitted. Applications submitted after the due date will be rejected. Substantive alterations to any other part of the application will also result in rejection. Assessment of applications: 4.43 4.44 4.45 Scientific assessment of research quality will be undertaken by UK and overseas experts in the field from academia, Government or industry, against all of the following criteria: • • • • • Scientific excellence Industrial and stakeholder relevance Relevance to BBSRC strategy Economic and Social impact Timeliness and promise • Cost effectiveness and, • Staff training potential of the project ( where resources are requested for postdoctoral or other research staff) 4.46 Applicants must nominate four referees who can give an independent assessment of the proposed project. Nominees must not be recent collaborators, or members of any of the applicants’ own institutions. Applicants must not nominate more than one referee from an institution. For each referee, applicants must provide details as listed in Section 2 of the application form. Applicants may give reasons in a covering letter if there are potential referees whom BBSRC should not approach but BBSRC reserves the right to make the final selection. The principal applicant will normally be given the opportunity to reply to comments from the referees. Responses will be considered by the Committee in making its decision. BBSRC will not enter into correspondence or discussion concerning referees comments prior to the meeting. Any further feedback, if available, can be requested after the committee meeting. Resources requested should be described in sufficient detail for the peer reviewers to identify what is required for different aspects of the work. For Joint Research Projects where work involves more than one eligible institution, research grants will be awarded to the lead institution in respect of single applications, and to each institution in respect of multiple applications. In all cases the principal named applicant and institution will be responsible for accounting for the expenditure of funds awarded under the individual research grants (paragraphs 4.27 - 4.29 refer). Funding decision timetable and availability of feedback on unsuccessful applications: 4.47 4.48 4.49 4.50 The point at which the funding decisions on responsive mode research grant applications are made is the meeting of the Committee Chairs which takes place approximately one month following the individual committee meetings associated with a grant round and no information will be available on individual applications prior to that meeting. For the 2008 Spring, Summer and Autumn grant rounds the respective Committee Chairs meetings are scheduled for 23rd June, 20th October and 15 th December and you should expect to receive a formal letter outlining the result of your application soon after the relevant meeting. 4.51 Feedback on your proposal can be obtained if you email the relevant Committee under which your proposal was reviewed. All written requests for feedback will be acknowledged within one week, advising when feedback will be provided. Feedback is provided within 3 months of the 24/62 Committee Chairs meeting. After this point detailed feedback will not be available as some information will not be retained beyond this period, in line with our retention plan. If a proposal is not assessed as meeting the ‘international quality’ threshold it will not be discussed. Therefore, only limited feedback will be available in such circumstances. 25/62 5. 5.1 Resources:- Full Economic Costing Introduction All research grants and fellowship applications submitted after 1 September 2005 are now costed on the basis of full economic costs (fEC). If a grant is awarded, the Research Councils provide funding on the basis of 80% of fEC. The organisation must agree to find the balance of fEC for the project from other resources. Universities and other higher education organisations will use the Transparent Approach to Costing (TRAC) methodology to calculate full economic costs. This methodology has been validated by a quality assurance programme and is subject to ongoing review through arrangements to be put in place by the Funding Councils and the Research Councils. Other research organisations can apply for full economic costs provided that the methodology they adopt has been validated by the Research Councils as appropriate and robust. A questionnaire has been designed to determine this. Research Council institutes that are eligible to apply to BBSRC for research grants and fellowships will use a fEC methodology validated by their parent Research Council. All organisations can opt to use a default rate for indirect costs, as an alternative to applying a comprehensive fEC methodology. Special dispensation estates and indirect costs can be used where an institution’s research volumes are low. Universities and other Research Organisations need to obtain dispensation from full operation of TRAC to use this approach. Other research organisations must indicate when they next seek to submit a research application, a wish to adopt default rate(s). The default rate(s) are published periodically by the Higher Education Funding Council for England (HEFCE) on its website, and are based on averages of actual rates in use in the university sector. Non-universities must decide for themselves whether these default rates are applicable to their circumstances. All costs that contribute to the full economic costs of a project may be included in fEC. There are, however, some costs that do not form part of the fEC of a project or are required to be charged in a specific way. These include: • Redundancy costs for research staff: provision for redundancy costs should be made in the gross Cost of Capital Employed (COCE), which is a charge within Indirect Costs. • The costs of maternity, paternity and sick leave for Investigators, together with other employment-related costs, are not chargeable to Research Councils (except where the Investigator is also a Research Fellow or a Research Assistant funded from the grant). • Depreciation on Research Council-funded equipment may not be included in Estates costs or charge out rates for use of equipment or facilities. TRAC provides guidance on how to deal with this. • Academic time preparing research proposals together with time spent on dissemination or publication work after a grant has ended should be charged to Research Support – an item within Indirect Costs. • Applications should be made at current (year 1) prices, inclusive of VAT and other taxes, where applicable, with no allowance for inflation. Grants that are awarded will include a sum to take account of inflation and future pay awards over the duration of the grant. 5.2 5.3 5.4 5.5 Costs are divided into the following summary fund headings: • Directly Incurred Costs – Expenditure that is to be directly incurred for a project and only that project and is supported by an auditable record. Audit requirements for directly incurred costs: 26/62 Councils expect DI staff to use timesheets so that their actual time is recorded against a project to form the basis of the costs charged. Where a person is contracted to work 100% of their time on a single project (whether they are working full-time or part-time), timesheets are not necessary as their costs can only be charged to that activity. In all other cases, timesheets or project time records are required. This includes those who may be contracted to work on two or more projects, since it is essential when charging to have a means of recording and verifying the actual time applied to each activity. Research Councils' expectations are that time recording will be undertaken regularly and continuously and that records will be verified at least monthly. • • • • Staff Travel and subsistence Equipment Other costs • Directly Allocated Costs - The costs of resources including services used by a project that are shared by other activities. The project’s use of the resource or service will be estimated and not based on direct usage. • Investigators • Estates • Other directly allocated • Indirect Costs - Non-specific costs charged across all projects, based on estimates that are not otherwise included as Directly Allocated costs. • Support time of academics • Central service departments • Library/learning resources • Gross Cost of Capital Employed (COCE) • Exceptions - Directly Incurred costs that are funded at 100% of fEC, subject to actual expenditure incurred, or items that are outside fEC. The principal item on BBSRC grants is equipment which exceeds £50,000 in costs. See paragraph 5.16 Directly Incurred Costs Staff 5.6 The payroll costs of all staff, full or part-time, who work on the project, and whose time can be supported by a full audit trail may be included. The need for such staff should be justified in the justification of resources attachment. Where an application includes provision for named fellow, research, technical and support staff, BBSRC will normally expect to award funds at 80% of the level requested. Research Assistants, whether named or unnamed, should be requested at a salary level commensurate with the skills, responsibilities, expertise and experience necessary to carry out the proposed research activity. They should also only be employed by an eligible institution named in the application and be based at that institution. It will be for those submitting the proposal to determine the extent to which market conditions make it difficult to recruit staff of appropriate quality in areas of high market demand and therefore require, an uplift from normal salary levels. Provided the uplift has been fully justified within the justification of resources attachment, BBSRC will make the award at that level. BBSRC reserves the right to provide support at a different level if it is considered appropriate. 5.7 5.8 27/62 5.9 Salary increments over the period of the project should be taken into account but not anticipated future pay awards. Where it is expected that named research staff will be promoted during the lifetime of the grant, provision may be made for this in the grant proposal. If a grant does not include provision for such costs, funds may be transferred from other Directly Incurred and Exceptions headings. The research organisation is responsible, as the employer, for the contracts of employment of the staff concerned and, consequently, for any redundancy or other compensatory arrangements that may be required. Work permits, if required, are a matter for direct negotiation between the research organisation and the relevant Government departments. BBSRC has no restrictions or requirements on residency, nationality or citizenship in relation to research support staff funded from a grant. Travel and subsistence 5.10 5.11 Travel costs for journeys that are an essential part of the investigation and are directly related to the research project can be claimed as a direct cost on the research grant. All journeys must be identified individually and be fully justified in the application. Travel and subsistence will be in accordance with an institution’s own regulations. Costs for attendance at conferences may be included where such attendance will be of direct benefit to the research. BBSRC will expect Research Assistants employed on the grant to have first call on conference attendance. Conferences should, as far as possible, be individually identified in the proposal and attendance justified. Equipment 5.12 5.13 This heading provides for equipment dedicated to the project costing £3,000 or more (including VAT). This includes computers, laboratory/workshop equipment, major equipment spares and software, installation costs and costs of major essential modifications necessary to house equipment (for example, clean rooms or extension of air conditioning). Three quotations for the cost of any equipment costing more than £25,000 should accompany the proposal. For equipment in the range £25,000 to £99,999, quotations obtained verbally are acceptable and should be detailed in the proposal. Three written quotations are required for single items of equipment costing more than £100,000 and must accompany the proposal. VAT and import duty, where appropriate, should be identified separately. Universities may buy scientific or medical equipment free of VAT where it is to be solely for medical research, diagnosis or treatment. Some imported equipment is exempt from import duty. The applicant should clarify the position on tax and duty with the relevant authority before submitting the proposal. For all equipment and services costing more than £25,000 (excluding VAT), professionally qualified procurement staff should be consulted at the beginning of the procurement process and approve the order before it is placed with the supplier. Equipment costs in excess of £50,000 will automatically be captured under the ‘Exceptions’ heading in the resources summary table and paid at 100% fEC. A relevant share of equipment depreciation and running costs can be charged to each grant but depreciation must not be charged where the Research Councils have already funded the equipment (capital) cost. Other costs 5.14 5.15 5.16 5.17 5.18 Costs sought should be specified as far as possible in the proposal and justified in terms of the requirement for the research proposed. This heading may include: • • Consumables specialist publications (not expected in institutional libraries) 28/62 • field work/fees • computing (recurrent cost of computing dedicated to the project only, e.g. stationery supplies and software licences, not costs associated with use of central computing facilities) • page charges, reprints (note 1) • consultancy fees • recruitment and advertising costs for staff directly employed on the grant • equipment related items, such as relocation, maintenance (external contracts/agreements) (note 2) • rental/access charges for equipment costing more than £50k (specify equipment or service being used, basis of charging and required hours of usage) (note 3) • equipment, complete items costing less than £3k (including VAT) only • direct services and facilities charged on a usage basis where administrative systems efficiently and robustly support this to provide an audit trail NOTE:- The Justification of Resources should make clear if elements of costs for a complete service e.g. glasshouse use are split between different categories of costs e.g. technicians and consumables and identify their location within the proposal. This is required to enable comparisons of different approaches using the same overall resource. Note 1 - Page charges/reprints Page charges will be considered only where the area of research necessitates publication in a specialised journal which levies page charges. Full justification and details of the journals must be provided in the application. Note 2 - Cost of equipment maintenance Applicants should include a breakdown of equipment maintenance costs. The costs claimed on the research grant must be on the basis of use for the project. Note 3 - Rental/access charges for equipment BBSRC will not meet rental access charges on equipment that has been funded by BBSRC or any of the other research councils. BBSRC grant holders should not be charged any element of the capital costs of research council funded equipment. Requests for rental access charges must be accompanied by confirmation that the equipment was not funded by BBSRC or another research council. How charges have been arrived at must be clearly shown. Directly Allocated Costs Investigators 5.19 This heading provides for the costs of all Principal and Co-investigators working directly on a project, if their time charged to the grant will be based on estimates rather than actual costs. Where costs are actual, auditable and verifiable – through hourly time recording; they should be included under the Directly Incurred heading. Investigator time, not cost, must be justified in the justification of resources attachment. It is a requirement of the fEC costing methodology that, for any one investigator, the maximum amount of time that Research Councils will fund across all the projects they support is 1650 hours a year (equivalent to 37.5 hours a week, 44 weeks a year). Principal Investigators and Co-Investigators whose time is not fully funded on other Research Council grants, but who are not paid a salary by the Research Organisation (eg Emeritus or honorary staff) should show their hours attributed to the project, but with a zero salary cost request. 29/62 5.20 5.21 5.22 Salary increments over the period of the project should be taken into account, but possible future pay awards should not be anticipated. Where it is expected that individuals will be promoted during the lifetime of the grant provision may be made in the grant proposal. If a Principal Investigator or Co-Investigator is retired, the expectation is that their involvement in a project would be covered by a contract with the Research Organisation and only estates and indirect costs associated with such time are claimable Estates Costs 5.23 5.24 These costs may include building and premises costs, basic services and utilities, and any clerical staff and equipment maintenance or operational costs that have not been included under other cost headings. They will be calculated by a research organisation and a single figure will be required at time of application. Where an individual will be working away from the Research Organisation on long-term secondment for a period in excess of six months during the project, estates costs should not be charged for the period of secondment. No reduction should be made for shorter term absence. Where the level of research staff effort to be awarded is different to that requested, an organisation will be required to re-calculate within 10 working days the estates and indirect costs, using the same costing basis applied to the original application. If an organisation is unable to recalculate the costs on this timescale, they will be adjusted by BBSRC in proportion to the change in staff resource. Other Directly Allocated Costs 5.25 5.26 5.27 These comprise all other direct costs calculated on the basis of estimates of use when the project is running. Items that can be included within this heading are: • Research and technical staff whose time is shared across several projects (such as pooled technicians) and is not supported by an audit record • Charge out costs for major facilities • Charge out costs for use of existing equipment • Animal costs (see paragraph 5.29) • Charge out costs for departmental technical services. 5.28 With the exception of charge out costs for departmental technical and administrative services the need for the resources (but not the costing basis), should be justified in the justification of resources attachment. Animals 5.29 These costs may be shown as either directly incurred costs or directly allocated based on how the costs are recorded. Applications must include a breakdown of animal costs, including weekly maintenance charges in the Je-S application and the choice of species and numbers of all animals required, including sample size calculations where appropriate must be fully justified. Estimates of the number of animals needed should, where possible, take into account the likely magnitude of the effect, the required statistical significance and power, and the factors that might affect this. Please note that this requirement applies whether or not the animals are to be purchased with funds requested within the proposal itself.. Indirect Costs 5.30 These should include the costs of administration, such as personnel, finance, library and some departmental services together with a charge for the gross cost of capital employed (COCE). 30/62 5.31 Like estates costs, indirect costs will be calculated by research organisations and a single figure will be required at time of application. Information about the derivation or justification of indirect costs and estates costs will not be required. As with Estates costs, where the level of research staff effort to be awarded is different to that requested, an organisation will be required to re-calculate within 10 working days the estates and indirect costs, using the same costing basis applied to the original application. If an organisation is unable to recalculate the costs on this timescale, they will be adjusted by BBSRC in proportion to the change in staff resource. 5.32 Exceptions 5.33 One exception for BBSRC is for equipment over the £50,000 threshold. Another is that in certain instances resources for DNA Sequencing may be supported at 100%; paragraph 2.55 refers. Cash Limits 5.34 Research grants have an amount added at the time of announcement to take account of expected pay awards and inflation over their lifetime. The value awarded is the total financial commitment entered into by BBSRC and is known as the cash limit of the grant. 31/62 6. Monitoring, evaluation and use of information Monitoring 6.1 BBSRC places increasing importance on monitoring and evaluation of the research it funds. Although it is the responsibility of grant holders to manage the programme, BBSRC reserves the right to call for periodic information on progress of the research or to visit grant holders. In some circumstances, e.g. larger or longer term grants, responsive research initiatives or thematic research programmes, where there are special conditions associated with research grants, interim reports or site visits may be required. Final scientific reports 6.3 A final scientific report must always be submitted within three months of the completion of the grant period. BBSRC will not consider an application if a final report is overdue from the principal applicant on any previously held BBSRC research grant (paragraph 4.11 refers). For Joint Research Projects, where PIs from two or more institutions receive funding for different components of the same research project, the Lead PI is responsible for producing an overall report covering all the components. Therefore component grant holders must send a copy of their final report to the Lead PI, as well as to BBSRC. It is only the overall final report that is assessed by BBSRC. Final payment will be made to component grant holders on receipt of their component final report, and to the Lead PI on receipt of the overall final report. Reports on BBSRC research grants must be made using the current BBSRC report form. Final reports must be made through the Je-S system. The report form and guidance notes are available at https://je-s.rcuk.ac.uk/eforms/secure/login.asp . Grant holders will automatically receive notification of when a report is due. Grant holders must also report on any activities undertaken to promote public communication of their area of science, e.g. through media releases, public meetings, etc., and on any actual or potential take-up of the research by industry or other users. Reports must provide basic information on the training and development benefits which have flowed from individual research grants and on the destination of research staff after a grant has ended (Concordat paragraph 33. ii.). (http://www.universitiesuk.ac.uk/activities/RCIdownloads/rciconcordat.pdf) Final reports will be assessed by suitable experts who will consider: • the quality of the work carried out under the research grant. • the success of the research in meeting its original objectives, including any agreed amendments (see section 7, RG 5 and GC 5). • the general scientific and practical significance and any specific outputs, such as publications, patents, collaboration with other scientists in industry or academia. • the extent to which it has advanced knowledge and/or enhanced UK industrial competitiveness or quality of life. 6.2 6.4 6.5 6.6 6.7 6.8 BBSRC grant holders may be notified of assessors’ comments. The final grade awarded to the grant will be recorded electronically and used in annual statistical returns to the Office of Science and Technology. Use of information 6.9 BBSRC takes all reasonable steps to ensure the contents of research grant applications are treated as confidential. The application form and any associated papers sent by BBSRC to referees and members of its committees are sent ‘In Confidence’, and are accompanied by a 32/62 note explaining the implications of confidentiality. Referees and committee members involved in assessing proposals may need to consult in confidence with colleagues about individual research grant applications. Where this happens, the confidentiality criteria must be adhered to by the consultees. 6.10 For successful applications scientific information will normally be transferred to Oasis (the BBSRC research management information database), and other publicly available databases. The following details will be recorded for all BBSRC funded research grants: • • • • • • • title, and abstract of the research project institution and department name(s) of applicant(s) name of any collaborating and/or co-funding organisation or body the value of the research grant start and end dates and duration of the research grant committee awarding the research grant. 6.11 BBSRC must be notified in writing at the application stage if applicants do not wish personal data or information that could affect Intellectual Property Rights to be transferred to the databases. In these circumstances, applicants must provide alternative summaries of their research grant which can be made publicly available via Oasis. BBSRC research grant applicants are asked to classify both their own research expertise and their proposed research grant project using a series of keywords and classification codes that are enclosed with the application form. This information is of assistance in the selection of appropriate referees to assess the research grant application. It is also used in analysing the range of research funded by BBSRC. Only one copy is needed. Details of all current BBSRC research grants, including reference number, title, brief description and grant holders, are available from the Oasis database which may be accessed from the BBSRC website at (http://www.bbsrc.ac.uk/science/grants/index.html ). 6.12 6.13 33/62 7a Cross-Council research grant terms and conditions for pre-fEC grants Research Grants awarded by the following Research Councils are made to Research Organisations on the basis of this single set of core terms and conditions: • Arts and Humanities Research Council (AHRC) • Biotechnology and Biological Sciences Research Council (BBSRC) • Economic and Social Research Council (ESRC) • Engineering and Physical Sciences Research Council (EPSRC) • Medical Research Council (MRC) • Natural Environment Research Council (NERC) • Science and Technology Facilities Council (STFC) Individual Councils may add additional conditions to the grant to reflect the particular circumstances and requirements of their organisation, or the nature of a particular grant. Acceptance of a research grant constitutes acceptance of both the core conditions and any additional conditions. BBSRC specific conditions are highlighted in italics below. The Research Councils reserve the right to vary these terms and conditions. Definitions: Funding Assurance Programme: A programme of visits and office-based tests to seek assurance that research grant funds are used for the purpose for which they are given and that grants are managed in accordance with the terms and conditions under which they are awarded. Investigator: the generic term used to identify the individual member of staff to whom the research project is assigned. The Principal Investigator takes responsibility for the intellectual leadership of the research project and for the overall management of the research. Large Capital: items of equipment above a threshold value set by the individual Research Council and specified in the grant. Large capital items are not paid by profiled payments; they require claims to be submitted. Research Council: any of the bodies listed above, including the Arts and Humanities Research Board. Research Grant: a contribution to the cost of a stated research project which has been assessed as suitable for funding through the procedures established by the relevant Research Council. Research Grants provide for the eligible direct costs of the research, plus a contribution to indirect costs. Research Organisation: the organisation to which the research grant is awarded and which takes responsibility for the management of the research project and the accountability of funds provided. References in these terms and conditions to statutory provisions and guidance include any subsequent amendments or re-enactments. Data Protection Act The Research Councils will use information provided on the research grant proposal form for processing the proposal, the award of any consequential grant, and for the payment, maintenance and review of the grant. This may include: • Registration of proposals; • Operation of grants processing and management information systems; • Preparation of material for use by referees and peer review panels; • Statistical analysis in relation to the evaluation of research and the study of trends; 34/62 • Policy and strategy studies; • Economic Impact To meet the Research Councils’ obligations for public accountability and the dissemination of information, details of research grants may also be made available on the Research Councils’ web sites and other publicly available databases, and in reports, documents and mailing lists. RG 1 Responsibilities of the Research Organisation • The Research Organisation must provide the infrastructure needed to carry out the research, together with any specific contributions identified in the application. • The Research Organisation must ensure that Investigators are made aware of their responsibilities and that they observe the terms and conditions of research grants. • The Research Organisation must ensure that the research supported by the grant complies with all relevant legislation and Government regulation, including that introduced while work is in progress. This requirement includes approval or licence from any regulatory body that may be required before the research can commence. • The Research Organisation is expected to adopt the principles, standards and good practice for the management of research staff set out in the 1996 Concordat for the Career Management of Contract Research Staff, and subsequent amendments. • The Research Organisation must notify the Research Council of any change in its status, or that of any of the investigators, that might affect the eligibility to hold a research grant. • The Research Organisation must ensure that the requirements of the Employing Organisation under the Department of Health’s Research Governance Framework for Health and Social Care are met for research involving NHS patients, their organs, tissues or data, and that the necessary arrangements are in place with partner organisations. Where it also accepts the responsibilities of a Sponsor (as defined in the Governance Framework), it must also ensure that the requirements for Sponsors are met. • The Research Organisation must ensure proper financial management of research grants and accountability for the use of public funds. RG 2 Research Governance It is the responsibility of the Research Organisation to ensure that the research is organised and undertaken within a framework of best practice that recognises the various factors that may influence or impact on a research project. Particular requirements are to ensure that all necessary permissions are obtained before the research begins, and that there is clarity of role and responsibility among the research team and with any collaborators. The Research Councils expect research to be conducted in accordance with the highest standards of scientific integrity and research methodology. Research Ethics The Research Organisation is responsible for ensuring that ethical issues relating to the research 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. Ethical issues should be interpreted broadly and may encompass, among other things, the involvement of human participants in research, the use of animals, research that may result in damage to the environment and the use of sensitive economic, social or personal data. BBSRC specific conditions: BBSRC has a responsibility to ensure that its funds are used ethically and responsibly. Potential applicants should consider whether their work is likely to give rise to societal concerns about the purpose of the research, or includes any social or ethical issues regarding its conduct or potential outcomes (e.g. relevance to development of biological weapons; products and processes that might be used in social discrimination), or other aspects of potential public concern. 35/62 BBSRC committees and peer reviewers will consider whether submitted applications could raise ethical or other societal issues. Key information from applications so identified will be made available in confidence to the Bioscience for Society Strategy Panel. The Panel may ask for extra information via the Office, or for changes to the conduct of the proposed work. The successful grant will be announced conditional on the resolution of ethical issues, and the award will not be made until applicants have satisfactorily answered any queries from the Panel. All successful applicants are required to complete a short form indicating that they have considered such matters and identified any potential for societal concerns about the objectives and potential applications of the research. Use of Animals in Research Wherever possible, researchers must adopt procedures and techniques that avoid the use of animals. Where this is not possible, the research should be designed so that: • The least sentient species with the appropriate physiology is used; • The number of animals used is the minimum sufficient to provide adequate statistical power to answer the question posed; • The severity of procedures performed on animals is kept to a minimum. Experiments should be kept as short as possible. Appropriate anaesthesia, analgesia and humane end points should be used to minimise any pain and suffering. The provisions of the Animals (Scientific Procedures) Act 1986, and any amendments, must be observed and all necessary licences must have been received before any work requiring approval takes place. See also paragraph 4.14 Medical and Health Research The Research Organisation is responsible for managing and monitoring the conduct of medical and health research in a manner consistent with the Department of Health’s Research Governance Framework for Health and Social Care. There must be effective and verifiable systems in place for managing research quality, progress and the safety and well-being of patients and other research participants. These systems must promote and maintain the relevant codes of practice and all relevant statutory review, authorisation and reporting requirements. Research involving human participants or data within the social sciences that falls outside the Department of Health’s Research Governance Framework must meet the provisions and guidelines of the ESRC’s Research Ethics Framework. While this research may involve patients, NHS staff or organisations, it is defined as research that poses no clinical risk or harm to those who are the subjects of research. Research Organisations must ensure that appropriate arrangements are in place for independent ethics review of social science research that meet local research ethics committee standards. Significant developments must be assessed as the research proceeds, especially those that affect safety and well-being, which should be reported to the appropriate authorities and to the Research Council. The Research Organisation must take appropriate and timely action when significant problems are identified. This may include temporarily suspending or terminating the research. The Research Organisation is responsible for managing and monitoring statutory requirements for which it accepts responsibility, for example, in relation to legislation on clinical trials, use of human organs, tissues and data. Guidance by the MRC on the conduct of medial research, and by ESRC on the conduct of social science research, provided on behalf of all Research Councils, must be observed. Health and Safety The Research Organisation is responsible for ensuring that a safe working environment is provided for all individuals associated with a research project. Its approach and policy on health and safety matters must meet all regulatory and legislative requirements and be 36/62 consistent with best practice recommended by the Health & Safety Executive. Appropriate care must be taken where researchers are working off-site. The Research Organisation must satisfy itself that all reasonable health and safety factors are addressed. The Research Councils reserve the right to require the Research Organisation to undertake a safety risk assessment in individual cases where health and safety is an issue, and to monitor and audit the actual arrangements made. Misconduct and Conflicts of Interest The Research Organisation is required to have in place procedures for governing good research practice that meet the requirements of the Research Councils’ guidance on good practice. The Research Organisation must ensure that there are reliable systems and processes in place for the prevention of research misconduct e.g. plagiarism, falsification of data, together with well-defined and clearly publicised arrangements for investigating and resolving allegations of misconduct. Where an allegation of misconduct arises in respect of a researcher supported by a research grant, the Research Council must be informed immediately and notified of the outcome of any investigation. The Research Organisation must ensure that potential conflicts of interest in research are declared and subsequently managed. RG 3 Use of Funds Subject to the following conditions, grant funds may be deployed to meet eligible research costs, without reference to the Research Council, in such a manner as to best carry out the research. Research grant funds are cash limited and the grant is made on the understanding that its value will not be increased, except as stated in these terms and conditions. Research grant funds are provided to sustain a specific research project. Under no circumstances may funds be used to meet costs incurred by any other project or activity. RG 4 Starting Procedures BBSRC specific conditions: Acceptance & Start date BBSRC research grants must be accepted formally within one month of the date of the research grant announcement. Where it is anticipated that there will be a delay in submitting the acceptance, Post Award Administration should be consulted as soon as possible. Start dates cannot be backdated to before the start date of the grant announcement. Applicants are advised that start dates should be at least four months after the date of the Committee meeting at which the application is assessed. The start of a research grant is defined as the date on which the first member of staff paid from the grant starts work, or, if there are no staff or if staff are intended to commence later in the project, the date on which expenditure under another heading is first incurred. Notification of this date, by submission of the starting certificate, will constitute acceptance of the grant and will activate the profiled payments. Submission of the starting certificate is required not more than 28 days after the actual start date. A separate acceptance letter may be required in certain circumstances. The start of research may be delayed by up to 6 months (ESRC and AHRC 3 months) after the start date stated in the award letter, the duration of the grant remaining unchanged. The grant may lapse if not started within this period. RG 5 Changes in Research Project The Research Council must be consulted in the event of any major change in the proposed research, including failure to gain access to research facilities and services, particularly those which make it unlikely that the objectives of the research can be achieved. If appropriate, revised proposals may be required. The Research Council reserves the right to make a new grant in place of the existing grant, or to revise, retain or terminate the existing grant. See paragraph 4.35 37/62 RG 6 Transfers between Headings The Research Organisation may increase the amounts within individual headings of expenditure by transfer from another heading, subject to the following restrictions: • Indirect costs cannot be transferred; • Funds provided for Large Capital, or savings on the purchase of such items, are not transferable without prior written approval; If the staff heading is increased by transfer from another heading, proportional funds must also be transferred to the indirect costs heading. RG 7 Extensions After a research grant has started, the duration may be extended by a total of up to 6 months, subject to prior written approval. Extensions may cover breaks or delays in the appointment of staff, periods of maternity leave, paternity leave, adoption leave, parental leave or paid sick leave exceeding 3 months (or possibly shorter periods of sick leave if the member of staff is disabled for the purposes of the Disability Discrimination Act 1995 (as amended) or other exceptional circumstances with the agreement of the Research Council). Requests for extensions should be made as soon as the requirement is identified and confirmed when the period required is known. All requests for extensions must be made before the grant ends. BBSRC specific conditions: (i) Institutions must notify BBSRC if work on research grants ceases for a period of three months or more. (ii) Institutions and the holders of BBSRC research grants must inform BBSRC immediately of any development that will affect adversely the progress of the research supported by BBSRC. Failure to notify BBSRC of such developments may result in the grant being prematurely terminated. RG 8 Staff The Research Organisation must assume full responsibility for staff funded through research grants and, in consequence, accept all duties owed to and responsibilities for these staff, including, without limitation, their terms and conditions of employment and their training and supervision, arising from the employer/employee relationship. Staff must be appointed on terms that are no less favourable than those of comparable posts in the Research Organisation. The Research Organisation must provide research staff with a statement, at the outset of their employment, setting out the provisions for career management and development, including personal skills training. Research staff may undertake teaching and demonstrating work for up to 6 hours a week (pro rata for part-time staff) during normal working hours provided that this work is related to the research project to which they were appointed. BBSRC specific conditions: Institutions must ensure that prior approval from BBSRC is obtained before any employee on a research grant is permitted to register for a higher degree. Such approval will be exceptional and will normally be limited to staff who are working part-time on a BBSRC research grant or conducting research related to their studies outside normal working hours. RG 9 Maternity Pay and Leave Research grant funds may be used to fund paid maternity paternity and adoption leave, if staff fulfil the qualifying conditions of the Research Organisation. Funding may be sought at the end of a grant to cover the additional costs of either a substitute appointment or an extension of the grant. The salary of any substitute appointment must not exceed that of the individual on maternity, paternity or adoption leave. 38/62 Research grant funds may be used to provide paid maternity, paternity and adoption leave only to the extent that it is taken during the original period of the grant. The Research Organisation will be responsible for any liability for maternity, paternity and adoption pay for staff supported by the research grant outside the original period of the grant. If, for example, a research grant ends while a member of research staff is part-way through her maternity leave, the Research Organisation will be responsible for that part of the maternity leave which is taken after the research grant has ended. RG 10 Sick Leave During the period of the research grant, funds may be used to provide paid sick leave to staff supported by a research grant who fulfil the qualifying conditions of the Research Organisation. Where there is a continuous period of sick leave in excess of 3 months, the Research Organisation may apply to the Research Council to discuss the possibility of a substitute appointment to safeguard progress on the project, or an extension to the duration of the project, if the period of leave can be predicted. For the purposes of the provisions of RG 9 and RG 10, the Research Organisation will be compensated at the end of the grant for any additional costs or time resulting from maternity leave, paternity leave or sick leave, falling within the original period of the grant. The duration of a grant will be extended only if the period can be accommodated within the maximum period allowed for extensions. RG 11 Procurement of Equipment The procurement of equipment and services must comply with all relevant national and EU legislation and the Research Organisation’s own financial policy. Accepted procurement best practice in the higher education sector must be observed. For all equipment costing £25,000 or over, professionally qualified procurement staff must be consulted at the beginning of the procurement process and must approve the order before it is placed with a supplier. RG 12 Ownership and Use of Equipment Equipment is provided primarily for use on the research project for which the research grant was awarded, and belongs to the Research Organisation. In certain circumstances the Research Council may wish to retain ownership throughout the period of the grant and possibly beyond. In such cases, the grant will be subject to an additional condition. The Research Council must be informed if, during the life of the research grant, the need for the equipment diminishes substantially or it is not used for the purpose for which it was funded. The Research Council reserves the right to determine the disposal of such equipment and to claim the proceeds of any sale. Any proposal to transfer ownership of the equipment during the period of the grant is subject to prior approval by the Research Council. After the research has ended, the Research Organisation is free to use the equipment without reference to the Research Council, but it is nevertheless expected to maintain it for research purposes as long as is practicable. Where there is spare capacity in the use of the equipment, the Research Council expects this to be made available to other users. Priority should be given to research supported by any of the Research Councils and to Research Council-funded students. RG 13 Claims for Large Capital Equipment Claims are required for major purchases of equipment at a level set by the individual Research Council and specified in the grant. In such cases, claims must be submitted in arrears. Submission of large capital claims should normally be made within a year of the start date of the grant and must be accompanied by an invoice for the relevant equipment. Reimbursement will be limited to the actual price paid, within the awarded value. Savings on the purchase cost of large capital equipment may be used elsewhere in the grant subject to prior approval. 39/62 RG 14 Transfer of a Grant The Research Organisation must notify the Research Council if the Principal Investigator intends to transfer to another organisation. If this organisation is eligible to hold research grants, and is able to provide a suitable environment to enable the project to be successfully completed, the expectation is that the grant would be transferred with the investigator. Written agreement to this is required from both the relinquishing and receiving organisations. The Research Council will wish to be assured that satisfactory arrangements have been agreed that will enable the project to be undertaken, or to continue, in accordance with its research objectives. If suitable arrangements cannot be agreed, the Research Council will consider withdrawing its offer of support or terminating the grant. Where there is a basis for continuing involvement by the relinquishing organisation, agreement should be reached between both organisations on the apportionment of work and the distribution of related funding. BBSRC Specific: BBSRC will not be liable for any costs that may arise from the transfer of staff between institutions Institutions, holders of BBSRC research grants and any of the named applicants on BBSRC research grants, who are supervisors of BBSRC students and who are intending to transfer to another institution, must comply with BBSRC’s requirements on the transfer of studentships. These conditions can be found in the document “BBSRC Postgraduate Studentships”. (www.bbsrc.ac.uk/funding/training/studentships_booklet.pdf). RG 15 Change of Principal Investigator The Research Organisation must consult the Research Council if it is proposed to change the Principal Investigator, for example, following retirement or resignation. Where the Principal Investigator is transferring to another organisation eligible to hold a research grant, the provisions of RG 14 will apply. In other circumstances, the Research Organisation may nominate a replacement Principal Investigator. The Research Council will wish to be assured that the replacement meets the eligibility criteria for Principal Investigators and has the expertise and experience to lead the project to a successful conclusion, in accordance with its research objectives. RG 16 Annual Statement The Research Organisation may be required to return a statement each year showing payments made by the Research Council during the previous financial year for all the research grants it holds. Where a statement is required, the Research Organisation must certify, by signing and returning the statement, that: • expenditure has been incurred in accordance with the grant conditions, and • those grants shown as current are continuing. No further payments will be made until the signed annual statement has been received by the Research Council. RG 17 Expenditure Statements The Research Organisation must complete and return an expenditure statement within 3 months of the end date of a research grant. Once an expenditure statement has been received and the expenditure incurred has been reconciled against payments made, it will be considered as final. Costs arising from maternity, paternity, adoption or sick leave should be identified in the Absence heading of the statement. The Research Council reserves the right to require the Research Organisation to complete and submit a statement of expenditure at any time during the course of a research grant, or to provide supplementary information in support of an interim or final expenditure statement. 40/62 RG 18 Inspection The Research Council reserves the right to have reasonable access to inspect the records and financial procedures associated with research grants or to appoint any other body or individual for the purpose of such inspection. The Research Organisation must, if required by the Research Council, provide a statement of account for the grant, independently examined by an auditor who is a member of a recognised professional body, certifying that the expenditure has been incurred in accordance with the research grant terms and conditions. Research Councils will undertake periodic reviews of Research Organisations within the Funding Assurance Programme to seek assurance that research grants are managed in accordance with the terms and conditions under which they are awarded. RG 19 Final Report A report on the conduct and outcome of the project must be submitted by the Research Organisation within three months of the end of the research grant, on the form provided. No further application from a Principal Investigator will be considered while a final report is overdue. If there are exceptional reasons that will prevent submission of the final report within the period allowed, a written request may be made, before the due date passes, for the submission period to be extended. RG 20 Sanctions If the final report or the final expenditure statement is not received within the period allowed, the Research Council may recover 20% of expenditure incurred on the grant. All payments made by the Research Council may be recovered if the report or statement is not received within 6 months of the end of the grant. RG 21 Public Engagement It is the responsibility of the Research Organisation and the Investigators to actively communicate the research to the public at both local and national level, and to raise awareness of the role of science and research in any related issues of public interest. Special schemes exist in some Research Councils providing additional support for these activities, or earmarked funding may be provided in the grant for this purpose. BBSRC Specific conditions: BBSRC also has a responsibility for promoting public engagement in science in the areas of biotechnology and biological sciences it supports. BBSRC grant holders must therefore: • provide a short plain English summary of the nature and objectives of their research • draw up a plan of public engagement activities, including identification of key sectors of the public and the main messages for them • spend at least 1-2 days per year on implementing the plan • report to BBSRC on all public engagement activities and measures. BBSRC grant holders are expected to promote the dissemination of the results of their research by: • publications in appropriate scientific journals or, after consultation with BBSRC, by other arrangements if more suitable, e.g. where a project involves collaboration with industry 41/62 • acknowledgement of BBSRC support on all publications, exhibitions, press announcements and other similar events where such support has accounted for at least 20% of the total funding • providing reports on BBSRC supported research where requested by BBSRC. RG 22 Exploitation and Impact It is the responsibility of the Research Organisation, and all engaged in the research, to make every reasonable effort to ensure that the outcomes obtained in the course of the research, whether patentable or not, are used to the advantage of society and the economy. Research outcomes should be disseminated to both research and more widespread audiences - for example to inform potential users and beneficiaries of the research. Unless stated otherwise, the ownership of intellectual property, and responsibility for its exploitation, rests with the organisation that generates it. Where the grant is associated with more than one research organisation and/or other project partners, the basis of collaboration between the organisations, including ownership of intellectual property and rights to exploitation, is expected to be set out in a formal collaboration agreement. It is the responsibility of the Research Organisation to put such an agreement in place before the research begins. The terms of collaboration agreements must not conflict with the Research Councils’ terms and conditions. Arrangements for collaboration and/or exploitation must not prevent the future progression of research and the dissemination of research results in accordance with academic custom and practice. A temporary delay in publication is acceptable in order to allow commercial and collaborative arrangements to be established. The Research Council may, in individual cases, reserve the right to retain ownership of intellectual property (or assign it to a third party under an exploitation agreement) and to arrange for it to be exploited for the national benefit and that of the Research Organisation involved. This right, if exercised, will be set out in an additional grant condition. Where the exploitation of research generates revenue, there should be suitable recognition and return to the Research Organisation and individuals. The Research Organisation must ensure that all those associated with the research are aware of, and accept, these arrangements. RG 23 Research Monitoring and Evaluation While it is the responsibility of the Research Organisation and the Investigator to manage the research, the Research Council reserves the right to call for periodic information on progress or to visit the Investigator. The Investigator may also be asked to attend meetings to exchange information and ideas with others undertaking research in the same or similar fields. The Investigator must make all reasonable efforts, if so invited, to attend events or activities organised by the Research Council concerning the research undertaken. Such events may be held after a grant has finished. RG 24 Publication and Acknowledgement of Support The Investigator should, subject to the procedures laid down by the Research Organisation, publish the results of the research in accordance with normal academic practice. Publications and other forms of media communication, including media appearances, press releases and conferences, must acknowledge the support received from the Research Council, quoting the grant reference number. BBSRC specific conditions: BBSRC grant holders must notify BBSRC’s External Relations Branch (Matt.goode@bbsrc.ac.uk ) in advance, of any media releases or similar public 42/62 pronouncements that refer to BBSRC-funded research, and supply a copy of the releases. This will enable the BBSRC to respond efficiently to media and other enquiries RG 25 Disclaimer The Research Councils accept no liability, financial or otherwise, for expenditure or liability arising from the research funded by the research grant, except as set out in these terms and conditions, or otherwise agreed in writing. Where studies are carried out in an NHS Trust, the Trust has a duty of care to its patients. The Research Council does not accept liability for any failure in the Trust’s duty of care, or any negligence on the part of its employees. The Research Councils reserve the right to terminate the grant at any time, subject to reasonable notice and to any payment that may be necessary to cover outstanding and unavoidable commitments. The Research Councils reserve the right to amend the payment profile at its discretion. The Research Organisation will be advised, in advance, of any such a change but the overall value of the grant will not be affected If a grant is terminated, no liability for payment or redundancy or any other compensatory payment for the dismissal of staff funded by the grant will be accepted, but negotiations will be held with regard to other contractual commitments and concerning the disposal of assets acquired under the research grant. RG 26 Status These terms and conditions will be governed by the laws of England and Wales; all matters relating to the terms and conditions will be subject to the exclusive jurisdiction of the courts of England and Wales. If any provision of these terms and conditions is found by a court or other legitimate body to be illegal, invalid or unreasonable, it will not affect the remaining terms and conditions which will continue in force. These terms and conditions, together with any additional conditions set out in the grant, contain the whole agreement between the Research Council and the Research Organisation in relation to the stated research grant. The Research Council and the Research Organisation do not intend that any of these terms and conditions should be enforceable by any third party. Additional BBSRC Conditions AC1. BBSRC Position on the Deposit of Publications The full text of any articles resulting from the research funded by the grant that are published in journals or conference proceedings, whether during or after the period of the grant, must be deposited, at the earliest opportunity, in an appropriate e-print repository, wherever such a repository is available, subject to compliance with publishers' copyright and licensing policies. Wherever possible, the article deposited should be the published version. Wherever possible, the bibliographical metadata (including a link to the publisher's web site) must be deposited, at or around the time of publication, in the relevant e-print repository. The BBSRC’s position statement on the deposit of publications may be found on the BBSRC website at http://www.bbsrc.ac.uk/publications/policy/access_research_outputs.html 43/62 7b Cross-Council research grant terms and conditions for fEC grants These terms and conditions relate to grants, comprising Research Grants and Fellowships, costed and funded on the basis of full economic costs (fEC), calculated in accordance with the TRAC methodology (universities and other higher education bodies) or by an equivalent methodology by other Research Organisations. Grants awarded by the Research Councils are made to Research Organisations on the basis of this single set of core terms and conditions. The Research Councils are: Arts and Humanities Research Council (AHRC) Biotechnology and Biological Sciences Research Council (BBSRC) Economic and Social Research Council (ESRC) Engineering and Physical Sciences Research Council (EPSRC) Medical Research Council (MRC) Natural Environment Research Council (NERC) Science and Technology Facilities Council (STFC) Individual Councils may add additional conditions to the grant to reflect the particular circumstances and requirements of their organisation, or the nature of a particular grant. Acceptance of a grant constitutes acceptance of both the core conditions and any additional conditions. BBSRC specific conditions are highlighted in italics below. The Research Councils reserve the right to vary these terms and conditions. Definitions Research Council: any of the bodies listed above. Grant: support for a proportion of the full economic costs of a project. A Grant may be either a Research Grant or a Fellowship.  Research Grant: a contribution to the costs of a stated research project which has been assessed as suitable for funding through the procedures established by the relevant Research Council.  Fellowship Grant: an award made through a fellowship competition providing a contribution to the support of a named individual. It covers the cost of the time dedicated by the fellow to their personal research programme, and may or may not include research support costs. Grant Holder: the person to whom the grant is assigned and who has responsibility for the intellectual leadership of the project and for the overall management of the research. The Grant Holder is either the Principal Investigator (in the case of a Research Grant) or a Research Fellow (in the case of a Fellowship Grant) Co-Investigator: a person who assists the Grant Holder in the management and leadership of a project. 44/62 Research Organisation: the organisation to which the grant is awarded and which takes responsibility for the management of the research project and the accountability of funds provided. Full Economic Costs (fEC): a cost which, if recovered across an organisation’s full programme, would recover the total cost (direct, indirect and total overhead) including an adequate recurring investment in the organisation’s infrastructure. Directly Incurred Costs: costs that are explicitly identifiable as arising from the conduct of a project, are charged as the cash value actually spent and are supported by an audit record. Directly Allocated Costs: the costs of resources used by a project that are shared by other activities. They are charged to projects on the basis of estimates rather than actual costs and do not represent actual costs on a project-by-project basis. Indirect Costs: non-specific costs charged across all projects based on estimates that are not otherwise included as Directly Allocated Costs. They include the costs of the Research Organisation’s administration such as personnel, finance, library and some departmental services. Exceptions: Directly Incurred Costs that Research Councils fund at 100% of fEC, subject to actual expenditure incurred, or items that are outside fEC. Transparent Approach to Costing (TRAC): an agreed methodology used by universities and other higher education bodies for calculating full economic costs. Funding Assurance Programme: a programme of visits and office-based tests to seek assurance that grant funds are used for the purpose for which they are given and that grants are managed in accordance with the terms and conditions under which they are awarded. Data Protection Regulations The Research Councils will use information provided on the grant proposal for processing the proposal, the award of any consequential grant, and for the payment, maintenance and review of the grant. This may include: Registration of proposals; Operation of grants processing and management information systems; Preparation of material for use by referees and peer review panels; Administration, investigation and review of grant proposals; Sharing proposal information on a strictly confidential basis with other funding organisations to seek contributions to the funding of proposals;  Statistical analysis in relation to the evaluation of research and the study of trends;  Policy and strategy studies.      To meet the Research Councils’ obligations for public accountability and the dissemination of information, details of grants may also be made available on the Research Councils’ web sites and other publicly available databases, and in reports, documents and mailing lists. After completion of the grant, the Research Council may contact the Grant Holder concerning funding opportunities or events, or for the purposes of evaluation. In some instances, the Research Council 45/62 may wish to authorise an affiliate organisation to contact the Grant Holder on its behalf. It is assumed that, by agreeing to these terms and conditions, the Research Organisation consents to this on behalf of the Grant Holder, but if the Grant Holder prefers not to be contacted in this way, he or she should state this to the Research Council. Grant Holders may choose to opt out at any point, provided they comply with all other terms and conditions associated with the grant. Freedom of Information Act and Environmental Information Regulations Attention is drawn to the provisions of the Freedom of Information Act 2000 (FOIA) and the Environmental Information Regulations (EIRs). Research Councils have issued Publication Schemes which set out the types of information publicly available on their websites or published as documents. In addition, Research Councils have an obligation to respond to specific requests and may be required to disclose information about or provided by Research Organisations. In some cases the Research Council may consult the Research Organisation before disclosure, but it is under no obligation to do so. If a Research Organisation considers that any information it provides to a Research Council would be subject to an exemption under FOIA or the EIRs it should clearly mark the information as such and provide an explanation of why it considers the exemption applies and for how long. The Research Council will consider this explanation before disclosure, but it is not obliged to accept it as binding. Where a Research Council determines that a Research Organisation is holding information on its behalf that it requires in order to comply with its obligations under FOIA or EIRs, the Research Organisation undertakes to provide access to such information as soon as reasonably practicable on request of the Research Council and in any event within 5 working days. In some cases Research Organisations may be directly responsible for complying with FOIA and the EIRs; in such cases the Research Councils accept no responsibility for any failure to comply by the Research Organisations. GC 1 Responsibilities of the Research Organisation  The Research Organisation must ensure that any part of the Full Economic Cost of the project not funded by the Research Council grant is committed to the project before it starts.  The Research Organisation must ensure that the Grant Holder and Co-Investigators are made aware of their responsibilities and that they observe the terms and conditions of grants.  The Research Organisation must ensure that the research supported by the grant complies with all relevant legislation and Government regulation, including that introduced while work is in progress. This requirement includes approval or licence from any regulatory body that may be required before the research can commence.  The Research Organisation is expected to adopt the principles, standards and good practice for the management of research staff set out in the 1996 Concordat for the Career Management of Contract Research Staff, and subsequent amendments. It must ensure that reliable systems and processes are in place to promote equality of opportunity, to promote good relations between different equalities groups and to eliminate unlawful discrimination. Research Organisations will be expected to comply with all equal opportunities legislation in force at any time during the term of the grant. Research staff should be appointed on terms that are no less favorable than for posts for “like” work or work which is the “same or broadly similar” in the Research Organisation, or to jobs that are rated as being equivalent under a job evaluation scheme. 46/62  The Research Organisation must appoint a Research Fellow as an employee for the full duration of the award.  The Research Organisation must integrate the Research Fellow within the research activities of the host department, whilst ensuring that he or she is able to maintain independence and focus on their personal research programme.  The Research Organisation must notify the Research Council of any change in its status, or that of the Grant Holder, that might affect the eligibility to hold a grant.  The Research Organisation must ensure that the requirements of the Employing Organisation under the Department of Health’s Research Governance Framework for Health and Social Care (or equivalent) are met for research involving NHS patients, their organs, tissues or data, and that the necessary arrangements are in place with partner organisations. Where it also accepts the responsibilities of a Sponsor (as defined in the Governance Framework), it must also ensure that the requirements for Sponsors are met.  The Research Organisation must ensure proper financial management of grants and accountability for the use of public funds. GC 2 Research Governance It is the responsibility of the Research Organisation to ensure that the research is organised and undertaken within a framework of best practice that recognises the various factors that may influence or impact on a research project. Particular requirements are to ensure that all necessary permissions are obtained before the research begins, and that there is clarity of role and responsibility among the research team and with any collaborators. The Research Councils expect research to be conducted in accordance with the highest standards of scientific integrity and research methodology. BBSRC specific conditions: BBSRC has a responsibility to ensure that its funds are used ethically and responsibly. Potential applicants should consider whether their work is likely to give rise to societal concerns about the purpose of the research, or includes any social or ethical issues regarding its conduct or potential outcomes (e.g. relevance to development of biological weapons; products and processes that might be used in social discrimination), or other aspects of potential public concern. BBSRC committees and peer reviewers will consider whether submitted applications could raise ethical or other societal issues. Key information from applications so identified will be made available in confidence to the Bioscience for Society Strategy Panel. The Panel may ask for extra information via the Office, or for changes to the conduct of the proposed work. The successful grant will be announced conditional on the resolution of ethical issues, and the award will not be made until applicants have satisfactorily answered any queries from the Panel. All successful applicants are required to complete a short form indicating that they have considered such matters and identified any potential for societal concerns about the objectives and potential applications of the research. Research Ethics 47/62 The Research Organisation is responsible for ensuring that ethical issues relating to the research 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. Ethical issues should be interpreted broadly and may encompass, among other things, relevant codes of practice, the involvement of human participants, tissue or data in research, the use of animals, research that may result in damage to the environment and the use of sensitive economic, social or personal data. Use of Animals in Research Wherever possible, researchers must adopt procedures and techniques that avoid the use of animals. Where this is not possible, the research should be designed so that:  The least sentient species with the appropriate physiology is used;  The number of animals used is the minimum sufficient to provide adequate statistical power to answer the question posed;  The severity of procedures performed on animals is kept to a minimum. Experiments should be kept as short as possible. Appropriate anaesthesia, analgesia and humane end points should be used to minimise any pain and suffering. The provisions of the Animals (Scientific Procedures) Act 1986, and any amendments, must be observed and all necessary licences must have been received before any work requiring approval takes place. See also paragraph 4.14 Medical and Health Research The Research Organisation is responsible for managing and monitoring the conduct of medical and health research in a manner consistent with the Department of Health’s Research Governance Framework for Health and Social Care (or equivalent). There must be effective and verifiable systems in place for managing research quality, progress and the safety and well-being of patients and other research participants. These systems must promote and maintain the relevant codes of practice and all relevant statutory review, authorisation and reporting requirements. Research involving human participants or data within the social sciences that falls outside the Department of Health’s Research Governance Framework must meet the provisions and guidelines of the ESRC’s Research Ethics Framework. While this research may involve patients, NHS staff or organisations, it is defined as research that poses no clinical risk or harm to those who are the subjects of research. Research Organisations must ensure that appropriate arrangements are in place for independent ethics review of social science research that meets local research ethics committee standards. Significant developments must be assessed as the research proceeds, especially those that affect safety and well-being, which should be reported to the appropriate authorities and to the Research Council. The Research Organisation must take appropriate and timely action when significant problems are identified. This may include temporarily suspending or terminating the research. The Research Organisation is responsible for managing and monitoring statutory requirements for which it accepts responsibility, for example, in relation to legislation on clinical trials, use of human organs, tissues and data. 48/62 Guidance by the MRC on the conduct of medical research, and by ESRC on the conduct of social science research, provided on behalf of all Research Councils, must be observed. Health and Safety The Research Organisation is responsible for ensuring that a safe working environment is provided for all individuals associated with a research project. Its approach and policy on health and safety matters must meet all regulatory and legislative requirements and be consistent with best practice recommended by the Health & Safety Executive. Appropriate care must be taken where researchers are working off-site. The Research Organisation must satisfy itself that all reasonable health and safety factors are addressed. The Research Councils reserve the right to require the Research Organisation to undertake a safety risk assessment in individual cases where health and safety is an issue, and to monitor and audit the actual arrangements made. Misconduct and Conflicts of Interest The Research Organisation is required to have in place procedures for governing good research practice that meet the requirements of the Research Councils’ guidance on good practice. The Research Organisation must ensure that there are reliable systems and processes in place for the prevention of research misconduct e.g. plagiarism, falsification of data, together with well-defined and clearly-publicised arrangements for investigating and resolving allegations of misconduct. Where an allegation of misconduct arises in respect of a researcher supported by a research grant, the Research Council must be informed immediately and notified of the outcome of any investigation. The Research Organisation must ensure that potential conflicts of interest in research are declared and subsequently managed. GC 3 Use of Funds Subject to the following conditions, grant funds may be used, without reference to the Research Council, in such a manner as to best carry out the research. Grant funds are cash limited and the grant is made on the understanding that its value will not be increased, except as stated in these terms and conditions. Grant funds are provided for a specific research project. Under no circumstances may Directly Incurred and Exceptions funds be used to meet costs on any other grant or activity. GC 4 Starting Procedures The start date shown on the starting certificate will be regarded as the start date of the grant. Submission of the starting certificate will also constitute acceptance of the grant, if no other acceptance procedure exists. The start of research may be delayed by up to 6 months (AHRC and ESRC 3 months) from the start date shown in the award letter, the duration of the grant remaining unchanged. The grant may lapse if it is not started within this period. Submission of the starting certificate is required not more than 42 days after the start date. Where there are staff funded by the grant who were intended to be appointed from the start date, payments will take effect from the date when the first such staff start work. Otherwise, payments will take effect from the start date given on the starting certificate. Expenditure may be incurred prior to the start of research and subsequently charged to the grant, provided that it does not precede the date of the award letter. 49/62 BBSRC specific conditions: Acceptance & Start date BBSRC research grants must be accepted formally within one month of the date of the research grant announcement. Where it is anticipated that there will be a delay in submitting the acceptance, Post Award Administration should be consulted as soon as possible. Start dates cannot be backdated to before the start date of the grant announcement. Applicants are advised that start dates should be at least four months after the date of the Committee meeting at which the application is assessed. GC 5 Changes in Research Project The Research Council must be consulted in the event of any major change in the proposed research, including failure to gain access to research facilities and services, or to gain ethical committee approval for the research, particularly those which make it unlikely that the objectives of the research can be achieved. If appropriate, revised proposals may be required. The Research Council reserves the right to make a new grant in place of the existing grant, or to revise, retain or terminate the existing grant. See paragraph 4.35 GC 6 Transfers of Funds between Fund Headings Transfers of funds between fund headings are permitted only within and between Directly Incurred costs and Exceptions. Transfers will be at the rate applicable for the heading, as set out in the award letter. GC 7 Extensions Research Grants: After a research grant has started, the duration may be extended by a total of up to 6 months, subject to prior written approval. Extensions may cover breaks or delays in the appointment of staff, periods of maternity leave, paternity leave, adoption leave, parental leave or paid sick leave exceeding 3 months (or possibly shorter periods of sick leave if the member of staff is disabled for the purposes of the Disability Discrimination Act 1995 (as amended)), or other exceptional circumstances with the agreement of the Research Council). Fellowship Grants: After a fellowship grant has started, the duration may be extended to cover maternity leave, paternity leave, adoption leave, parental leave or paid sick leave for a Research Fellow in line with the terms and conditions of the fellow’s employment. For staff other than the fellow extensions may cover breaks or delays in the appointment of staff, periods of maternity leave, paternity leave, adoption leave, parental leave or paid sick leave exceeding 3 months (or possibly shorter periods of sick leave if the member of staff is disabled for the purposes of the Disability Discrimination Act 1995 (as amended)), or other exceptional circumstances with the agreement of the Research Council). A written request for an extension should be made as soon as the requirement is identified and subject to prior written approval confirmed when the period required is known. All requests for extensions must be made before the grant ends. BBSRC specific conditions: 50/62 (i) Institutions must notify BBSRC if work on research grants ceases for a period of three months or more. (ii) Institutions and the holders of BBSRC research grants must inform BBSRC immediately of any development that will affect adversely the progress of the research supported by BBSRC. Failure to notify BBSRC of such developments may result in the grant being prematurely terminated. GC 8 Staff The Research Organisation must assume full responsibility for staff funded from the grant and, in consequence, accept all duties owed to and responsibilities for these staff, including, without limitation, their terms and conditions of employment and their training and supervision, arising from the employer/ employee relationship. The Research Organisation must provide research staff with a statement, at the outset of their employment, setting out the provisions for career management and development, including personal skills training, and ensure that they have access to appropriate training opportunities. Provided it is related to the research project on which they are currently working, Research staff and Research Fellows may, during normal working hours, undertake teaching and demonstrating work, including associated training, preparatory, marking and examination duties, for up to an average of 6 hours a week (pro rata for part-time staff) calculated over the period that they are supported on the grant. BBSRC specific conditions: Institutions must ensure that prior approval from BBSRC is obtained before any employee on a research grant is permitted to register for a higher degree. Such approval will be exceptional and will normally be limited to staff who are working part-time on a BBSRC research grant or conducting research related to their studies outside normal working hours GC 9 Maternity, Paternity and Adoption Pay and Leave Grant funds may be used for maternity, paternity and adoption pay for staff within the Directly Incurred and Exceptions fund headings (excluding the Principal and Co-Investigators, unless they are also Research Fellows or Research Assistants funded by the grant), if staff fulfill the qualifying conditions of the Research Organisation. Maternity, paternity and adoption pay is not payable by the Research Council for staff acting as Principal and Co-Investigators (unless they are also Research Fellows or Research Assistants funded by the grant), nor to other staff not dedicated to the project nor paid from Directly Incurred or Exceptions funds. The Research Organisation will be compensated at the end of the grant to cover the additional costs of either a substitute appointment or an extension of the grant from maternity, paternity or adoption leave. The salary of any substitute appointment must not exceed that of the individual on leave. The duration of a grant will be extended only if the period can be accommodated within the maximum period allowed 51/62 for extensions. Directly Allocated and Indirect funds will not be increased as a result of such extensions. Research Grants: Research Grant funds may be used to provide paid maternity, paternity and adoption leave only to the extent that it is taken during the original period of the grant. The Research Organisation will be responsible for any liability for maternity, paternity and adoption leave pay for staff supported by the grant outside the original period of the grant. If, for example, a grant ends while a member of research staff is part-way through her maternity leave, the Research Organisation will be responsible for that part of the maternity leave which is taken after the research grant has ended. Fellowship Grants: Fellows are entitled to take maternity, paternity, adoption or parental leave in accordance with the terms and conditions of the fellow’s employment. If requested, consideration will be given to allowing a fellowship grant to be placed in abeyance during the absence of the Research Fellow for maternity, paternity, adoption or parental leave, and the period of the fellowship extended by the period of leave. Consideration will be given to requests to continue the fellowship on a flexible or part-time basis to allow the Research Fellow to meet caring responsibilities. GC 10 Sick Leave Grant funds may be used for paid sick leave for staff within the Directly Incurred and Exceptions fund headings (excluding the Principal and Co-Investigators, unless they are also Research Fellows or Research Assistants funded by the grant) who fulfill the qualifying conditions of the Research Organisation. Sick pay is not payable by the Research Council for staff acting as Principal and Co-Investigators (unless they are also Research Fellows or Research Assistants funded by the grant), nor to other staff not dedicated to the project nor paid from Directly Incurred or Exceptions funds. The Research Organisation will be compensated at the end of the grant for any additional costs or time resulting from sick leave, falling within the original period of the grant. The duration of a grant will be extended only if the period can be accommodated within the maximum period allowed for extensions. Directly Allocated and Indirect funds will not be increased as a result of such extensions. Research Grants: Where there is a continuous period of sick leave in excess of 3 months, the Research Organisation may apply to the Research Council to discuss the possibility of a substitute appointment to safeguard progress on the project. Where a Research Assistant has been on sick leave in excess of 3 months the Research Organisation must comply with all their obligations to consider reasonable adjustments before making a substitute appointment. Where a Research Assistant has been on sick leave for an aggregate (not necessarily continuous) period in excess of 3 months, where this is due to a single condition or a series of related conditions, the Research Organisation may request an extension to the duration of the project Fellowship Grants: Fellows are entitled to take sick leave in accordance with the research organisation’s terms and conditions. If requested, consideration will be given to allowing a fellowship grant to be placed in abeyance during the absence of the Research Fellow due to sick leave, and the period of the fellowship extended by the period of sick leave. The additional salary costs for the fellow 52/62 (pro rata to their percentage FTE on the fellowship) should be claimed, as necessary, at the end of the extended period. GC 11 Procurement of Equipment The procurement of equipment, consumables and services, including maintenance, must comply with all relevant national and EU legislation and the Research Organisation’s own financial policy and procedures. Accepted procurement best practice in the higher education sector must be observed. For all equipment and services where the contract value is more than £25,000, excluding VAT, professionally qualified procurement staff must be consulted before the procurement process begins, and, where appropriate, at the market research stage, and must approve the order/contract before it is placed with a supplier. GC 12 Ownership and Use of Equipment Equipment purchased from grant funds is primarily for use on the research project for which the research grant was awarded, and belongs to the Research Organisation. In certain circumstances the Research Council may wish to retain ownership throughout the period of the grant and possibly beyond. In such cases, the grant will be subject to an additional condition. The Research Council must be informed if, during the life of the research grant, the need for the equipment diminishes substantially or it is not used for the purpose for which it was funded. The Research Council reserves the right to determine the disposal of such equipment and to claim the proceeds of any sale. Any proposal to transfer ownership of the equipment during the period of the grant is subject to prior approval by the Research Council. After the research project has ended, the Research Organisation is free to use the equipment without reference to the Research Council, but it is nevertheless expected to maintain it for research purposes as long as is practicable. Where there is spare capacity in the use of the equipment, the Research Council expects this to be made available to other users. Priority should be given to research supported by any of the Research Councils and to Research Council-funded students. GC 13 Transfer of a Grant to another Research Organisation The Research Organisation must notify the Research Council if the Grant Holder intends to transfer to another organisation. If this organisation is eligible to hold grants, and is able to provide a suitable environment to enable the project to be successfully completed, the expectation is that the grant would be transferred with the Grant Holder. Written agreement to this is required from both the relinquishing and receiving organisations. The Research Council will wish to be assured that satisfactory arrangements have been agreed that will enable the project to be undertaken, or to continue, in accordance with its research objectives. If suitable arrangements cannot be agreed, the Research Council will consider withdrawing its support or terminating the grant. 53/62 Where there is a basis for continuing involvement by the relinquishing organisation, agreement should be reached between both organisations on the apportionment of work and the distribution of related funding. Grants will not be re-costed following transfer. The unspent balance of Directly Incurred and Exceptions, together with a pro rata share of Directly Allocated and Indirect costs, will be transferred to the new Research Organisation. The receiving organisation will be required to confirm, by return of a starting certificate, that it will provide any balance of resources needed to complete the project. BBSRC Specific: BBSRC will not be liable for any costs that may arise from the transfer of staff between institutions Institutions, holders of BBSRC research grants and any of the named applicants on BBSRC research grants, who are supervisors of BBSRC students and who are intending to transfer to another institution, must comply with BBSRC’s requirements on the transfer of studentships. These conditions can be found in the document “BBSRC Postgraduate Studentships”. (www.bbsrc.ac.uk/funding/training/studentships_booklet.pdf). GC 14 Change of Grant Holder Research Grants: The Research Organisation must consult the Research Council if it is proposed to change the Grant Holder, for example, following retirement or resignation. Where the Grant Holder is transferring to another organisation eligible to hold a grant, the provisions of GC 13 will apply. In other circumstances, the Research Organisation may nominate a replacement Grant Holder. The Research Council will wish to be assured that the replacement meets the eligibility criteria and has the expertise and experience to lead the project to a successful conclusion, in accordance with its research objectives. Fellowship Grants: A fellowship grant is awarded on the basis of a named individual’s suitability to undertake and benefit from the period of research: therefore changes to the Grant Holder are not permitted. The resignation of the Research Fellow, or the termination of their employment, constitutes the end of the grant for the purpose of submitting a final report and the Council’s financial liabilities. GC 15 Annual Statement The Research Organisation may be sent a statement to return each year showing payments made by the Research Council during the previous financial year for all the grants it holds. Where a statement is required, the Research Organisation must certify, by returning the statement, that:  expenditure has been incurred in accordance with the grant conditions, and  those grants shown as current are continuing. No further payments will be made until the annual statement has been received and accepted by the Research Council. GC 16 Expenditure Statements 54/62 The Research Organisation must complete and return an expenditure statement within 3 months of the end date of a grant. Once an expenditure statement has been received and the expenditure incurred has been reconciled against payments made, it will be considered as final. Expenditure shown in the Directly Incurred and Exceptions headings must show the actual expenditure incurred by the project. Settlement by the Research Council will reflect the proportion of fEC stated in the award letter applied to actual expenditure, within the cash limit. For the Directly Allocated and Indirect Costs headings, the Research Council will pay the amount shown as spent, within the cash limit, provided that the grant ran its full course. Where a grant is terminated more than 6 months before the planned end date, a pro rata share will be paid. Where a grant terminates within 6 months of the planned end date, estates and Indirect Costs will be paid in full, but Investigators’ costs and Other Directly Allocated Costs will be paid pro rata. Costs arising from maternity, paternity, adoption or sick leave should be identified in the Absence heading of the statement. The Research Council reserves the right to require the Research Organisation to complete and submit a statement of expenditure at any time during the course of a grant, or to provide supplementary information in support of an interim or final expenditure statement. GC 17 Inspection The Research Council reserves the right to have reasonable access to inspect the records and financial procedures associated with grants or to appoint any other body or individual for the purpose of such inspection. The Research Organisation must, if required by the Research Council, provide a statement of account for the grant, independently examined by an auditor who is a member of a recognised professional body, certifying that the expenditure has been incurred in accordance with the research grant terms and conditions. Research Councils will undertake periodic reviews of Research Organisations within the Funding Assurance Programme to seek assurance that grants are managed in accordance with the terms and conditions under which they are awarded. GC 18 Final Report A report on the conduct and outcome of the project must be submitted by the Research Organisation within three months of the end of the grant, on the form provided. No further application from a Grant Holder will be considered while a final report is overdue. If there are exceptional reasons that will prevent submission of the final report within the period allowed, a written request may be made, before the due date passes, for the submission period to be extended. 55/62 GC 19 Sanctions If the final report or the final expenditure statement is not received within the period allowed, the Research Council may recover 20% of expenditure incurred on the grant. All payments may be recovered if the report or statement is not received within 6 months of the end of the grant. GC 20 Public Engagement It is the responsibility of the Research Organisation and the Grant Holder and Co-Investigators to communicate the research to the public at both local and national level, and to raise awareness of the role of science and research in any related issues of public interest. Special schemes exist in some Research Councils providing additional support for these activities. BBSRC Specific conditions: BBSRC also has a responsibility for promoting public engagement in science in the areas of biotechnology and biological sciences it supports. BBSRC grant holders must therefore: • provide a short plain English summary of the nature and objectives of their research • draw up a plan of public engagement activities, including identification of key sectors of the public and the main messages for them • spend at least 1-2 days per year on implementing the plan • report to BBSRC on all public engagement activities and measures. BBSRC grant holders are expected to promote the dissemination of the results of their research by: • publications in appropriate scientific journals or, after consultation with BBSRC, by other arrangements if more suitable, e.g. where a project involves collaboration with industry • acknowledgement of BBSRC support on all publications, exhibitions, press announcements and other similar events where such support has accounted for at least 20% of the total funding • providing reports on BBSRC supported research where requested by BBSRC GC 21 Exploitation and Impact It is the responsibility of the Research Organisation, and all engaged in the research, to make every reasonable effort to ensure that the outcomes obtained in the course of the research, whether patentable or not, are used to the advantage of society and the economy. Research outcomes should be disseminated to both research and more widespread audiences - for example to inform potential users and beneficiaries of the research. Unless stated otherwise, the ownership of intellectual property, and responsibility for its exploitation, rests with the organisation that generates it. Where the grant is associated with more than one research organisation and/or other project partners, the basis of collaboration between the organisations, including ownership of intellectual property and rights to exploitation, is expected to be set out in a formal collaboration agreement. It is the responsibility of the Research Organisation to put such an agreement in place before the research begins. The terms of collaboration agreements must not conflict with the Research Councils’ terms and conditions. 56/62 Arrangements for collaboration and/or exploitation must not prevent the future progression of research and the dissemination of research results in accordance with academic custom and practice. A temporary delay in publication is acceptable in order to allow commercial and collaborative arrangements to be established. The Research Council may, in individual cases, reserve the right to retain ownership of intellectual property (or assign it to a third party under an exploitation agreement) and to arrange for it to be exploited for the national benefit and that of the Research Organisation involved. This right, if exercised, will be set out in an additional grant condition. Where the exploitation of research generates revenue, there should be suitable recognition and return to the Research Organisation and individuals. The Research Organisation must ensure that all those associated with the research are aware of, and accept, these arrangements. GC 22 Research Monitoring and Evaluation While it is the responsibility of the Research Organisation to manage the research, the Research Council reserves the right to call for periodic information on progress or to visit the project team. The Grant Holder may also be asked to attend meetings to exchange information and ideas with others undertaking research in the same or similar fields. The Grant Holder must make all reasonable efforts, if so invited, to respond to requests for information or to attend events or activities organised by the Research Council concerning the research undertaken. Such events may be held after a grant has finished. GC 23 Publication and Acknowledgement of Support The Grant Holder should, subject to the procedures laid down by the Research Organisation, publish the results of the research in accordance with normal academic practice. Publications and other forms of media communication, including media appearances, press releases and conferences, must acknowledge the support received from the Research Council, quoting the grant reference number if appropriate. Journal publications should acknowledge the funding source using the standard format agreed by funders and publishers and detailed in the additional information accompanying this grant. BBSRC specific conditions: BBSRC grant holders must notify BBSRC’s External Relations Unit (Matt.goode@bbsrc.ac.uk ) in advance, of any media releases or similar public pronouncements that refer to BBSRCfunded research, and supply a copy of the releases. This will enable the BBSRC to respond efficiently to media and other enquiries GC 24 Disclaimer The Research Councils accept no liability, financial or otherwise, for expenditure or liability arising from the research funded by the grant, except as set out in these terms and conditions, or otherwise agreed in writing. 57/62 Where studies are carried out in an NHS Trust, the Trust has a duty of care to its patients. The Research Council does not accept liability for any failure in the Trust’s duty of care, or any negligence on the part of its employees. The Research Councils reserve the right to terminate the grant at any time, subject to reasonable notice and to any payment that may be necessary to cover outstanding and unavoidable commitments. The Research Councils reserve the right to amend the payment profile at its discretion. The Research Organisation will be advised, in advance, of any such a change but the overall value of the grant will not be affected If a grant is terminated, no liability for payment or redundancy or any other compensatory payment for the dismissal of staff funded by the grant will be accepted, but, subject to the provisions of GC16, negotiations will be held with regard to other contractual commitments and concerning the disposal of assets acquired under the research grant. GC 25 Status These terms and conditions will be governed by the laws of England and Wales; all matters relating to the terms and conditions will be subject to the exclusive jurisdiction of the courts of England and Wales. If any provision of these terms and conditions is found by a court or other legitimate body to be illegal, invalid or unreasonable, it will not affect the remaining terms and conditions which will continue in force. These terms and conditions, together with any additional conditions set out in the grant, contain the whole agreement between the Research Council and the Research Organisation in relation to the stated research grant. The Research Council and the Research Organisation do not intend that any of these terms and conditions should be enforceable by any third party. Additional BBSRC Conditions AC1. BBSRC Position on the Deposit of Publications The full text of any articles resulting from the research funded by the grant that are published in journals or conference proceedings, whether during or after the period of the grant, must be deposited, at the earliest opportunity, in an appropriate e-print repository, wherever such a repository is available, subject to compliance with publishers' copyright and licensing policies. Wherever possible, the article deposited should be the published version. Wherever possible, the bibliographical metadata (including a link to the publisher's web site) must be deposited, at or around the time of publication, in the relevant e-print repository. The BBSRC’s position statement on the deposit of publications may be found on the BBSRC website at http://www.bbsrc.ac.uk/publications/policy/access_research_outputs.html 58/62 ADDITIONAL INFORMATION TO ACCOMPANY TERMS & CONDITIONS Following discussions between the Research Information Network, Research Councils, other funders and journal publishers, a standard format has been agreed for acknowledging funders in journal articles. This is to enable improved tracking of the publications generated by funded research projects. For articles published in journals, or deposited in institutional or subject-based repositories, the acknowledgement of funding should take the form of a sentence as in the following example, with the funding agency written out in full, followed by the grant number in square brackets: This work was supported by the Medical Research Council [grant number xxxx]. Multiple grant numbers should be separated by comma and space. Where the research was supported by more than one agency, the different agencies should be separated by a semi-colon, with "and" before the final funder. For example: This work was supported by the Wellcome Trust [grant numbers xxxx, yyyy]; the Natural Environment Research Council [grant number zzzz]; and the Economic and Social Research Council [grant number aaaa]. 59/62 8. 8.1 Standards of Performance General BBSRC supports research relevant to its mission through the provision of research grants. The information contained in this section is designed to give researchers an idea of the help and advice that can be obtained from BBSRC on research grants and also of what BBSRC grant holders can do to assist BBSRC to promote their research. Obtaining information about BBSRC research grants 8.2 Information on the areas of scientific interest covered by BBSRC, names of contacts, addresses (including E-mail addresses) and details about how to apply for research grants are published on the BBSRC Website (http://www.bbsrc.ac.uk/funding/index.html ) but if you have problems write to: Post Award Administration, BBSRC, Polaris House, North Star Avenue, Swindon, Wiltshire SN2 1UH E-mail: Postaward.admin@bbsrc.ac.uk Applying to BBSRC 8.3 When you apply to BBSRC for a research grant you will help us greatly if you: • read and observe the application procedures contained in the current BBSRC Grants Guide (http://www.bbsrc.ac.uk/funding/research/grants_booklet.pdf) • complete the grant application in accordance with the guidance notes (http://www.bbsrc.ac.uk/funding/research) • meet deadlines • quote the research grant reference number allocated to your application in any subsequent correspondence. 8.4 When a principal applicant submits an application to BBSRC for a research grant he/she can expect: • acknowledgement within ten working days from the closing date that the BBSRC has received the application; • fair and efficient handling of the application throughout the assessment process; • equal treatment regardless of age, sex, disability or ethnic background; • notification of the outcome of the application, normally within twenty-six weeks from the cut-off date and within three calendar months of the decision date. As a BBSRC grant holder 8.5 As a BBSRC grant holder you will be required: • to observe all aspects of the conditions set out in this text incorporating the understandings reached between the then CVCP, Research Councils, Royal Society and the British Academy in the “Concordat to Provide a Framework for the Career Management of Contract Research Staff in Universities and Colleges” • to submit a final report on the work carried out on your research grant within three months from the end date. 60/62 To undertake reviews of research grant proposals submitted to BBSRC when requested. In addition: • BBSRC will notify the grant holder and the institution that a research grant has been awarded • BBSRC will make regular research grant payments to the institution once work on the project has started. To be fully effective we also need your help Information 8.6 We frequently have to provide information to Government on Science and Society issues and on a variety of scientific topics relating to those parts of the science budget for which the BBSRC is responsible. So that we can respond promptly, we may ask for information about you and/or your project. When this happens, we will explain why we are requesting information and how it will be used. Please reply on time; it will help BBSRC, but it may also help you and your research. If you have a query 8.7 If you have a query about the way your research grant application has been dealt with or any other aspect of BBSRC research grant funding please raise it with the person dealing with the Committee area to which your application was submitted, details of which can be found on the Committee web pages at http://www.bbsrc.ac.uk/funding/grants/index.html. Your query will be dealt with under BBSRC’s Service Standards but if you remain dissatisfied with the way in which it is handled, you may register a formal complaint with the BBSRC Complaints Officer. Full details of BBSRC’s Service Standards and Complaints Procedures can be found at http://www.bbsrc.ac.uk/organisation/policies/position/index.html . Using our experts As a BBSRC grant holder you can make use of BBSRC’s expertise in areas such as: Science and Society 8.10 BBSRC’s External Relations Office has experience of media relations, producing “in house” and external publications, organising exhibitions and receptions and schools liaison work. For further information contact BBSRC External Relations Unit either in writing or on E-mail: monica.winstanley@bbsrc.ac.uk International Relations Unit 8.11 Through their wide ranging network of contacts and their liaison work, BBSRC’s International Relations Unit can help you to maximise international opportunities. For further information, contact Sue Whitcher either in writing or on E-mail at sue.whitcher@bbsrc.ac.uk Feedback 8.12 We would welcome feedback from you on what we do and how we do it. If there are any comments you may wish to make, please write to your contact at BBSRC. • 8.8 8.9 61/62 9. BBSRC Mission Statement ● to promote and support, by any means, high-quality basic, strategic and applied research and related post-graduate training relating to the understanding and exploitation of biological systems ● to advance knowledge and technology (including the promotion and support of the exploitation of research outcomes), and provide trained scientists and engineers, which meet the needs of users and beneficiaries (including the agriculture, bioprocessing, chemical, food, healthcare, pharmaceutical and other biotec related industries), thereby contributing to the economic competitiveness of the United Kingdom and the quality of life ● in relation to the activities as engaged in by the Council (see above) and in such manner as the Council may see fit: • to generate public awareness • to communicate research outcomes • to encourage public engagement and dialogue • to disseminate knowledge and • to promote advice 62/62