Research Career Advancement Fellowship Programme 2015 Grants Manual

Transcription

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

Research Career Advancement Fellowship Programme 2015 Grants Manual

Transcription

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