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Polaris House North Star Avenue Swindon, SN2 1ET T: 01793 444000 www.epsrc.ac.uk EPSRC
Eligibility .......................................................................10
Research Grants ................................................................ 10
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Public Engagement with Research ..................................... 31 Exploitation of Results ....................................................... 32 Demonstrating Potential Impact ........................................ 32 Evaluation.......................................................................... 33
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Introduction
This guide covers all aspects of research grant and research fellowship funding. It gives details of the arrangements and procedures for research grants and research fellowships, together with a summary of application procedures. The terms and conditions of research grants and research fellowships included in this guide are for information and completeness. Grant offer letters will include a set of current standard conditions, and it is these that will govern the management of individual grants. EPSRC 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, available at: http://www.epsrc.ac.uk/funding/apprev/basics/Pages/fundingguide.aspx. The Funding Guide is only available as a PDF document to download.
Standards of Service
EPSRC is committed to providing a high quality, responsive and accessible service to all the organisations and individuals with which we interact. Details of our research administration service standards are available at: http://www.epsrc.ac.uk/about/standards/Pages/researchadmin.aspx We operate a process for considering and responding to complaints which can be found at: http://www.epsrc.ac.uk/about/standards/Pages/complaints.aspx
Contacts
We are happy to provide advice on any aspect of our research funding arrangements. There is a directory of contacts on the EPSRC website. The Research Councils UK Shared Services Centre Ltd (the SSC) manages the administrative process for peer review on behalf of EPSRC and is the point of contact for all queries regarding the processing of proposals. Contacts Directory Postal Address http://fd.epsrc.ac.uk/contacts/search.aspx Engineering and Physical Sciences Research Council Polaris House North Star Avenue Swindon SN2 1ET (01793) 444000 www.epsrc.ac.uk
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EPSRC staff can be contacted using email addresses in the form of: firstname.lastname@epsrc.ac.uk (01793) 867000 grantsepsrc@ssc.rcuk.ac.uk
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Funding Opportunities
Introduction
Research grants provide financial support to research organisations for specific research projects in the engineering and physical sciences. Research fellowships provide support for leading scientists and engineers to devote themselves full-time to research activities. The majority of research funded by EPSRC is supported through standard grants, formerly responsive mode. Applicants need to consider their research in relation to our portfolio. In some research areas we provide support through managed programmes, particularly where joint funding is planned with third parties. These generally operate through calls for proposals in specific areas. Finally, there are a number of tailored funding schemes. We manage our research portfolio through themes. We welcome research proposals that span different themes and will make sure that they are given full and careful evaluation. Projects that span the remits of other research councils are also welcome and can, if necessary, be funded by more than one council. Our theme leads and managers are happy to discuss your ideas for proposals before their submission. We particularly encourage discussion for proposals with a complex management nature, those involving large consortia, or those consisting of more than one research theme. Full details of funding opportunities: http://www.epsrc.ac.uk/funding/grants/Pages/default.aspx
Research Grants
Standard Grants Standard Grants are very flexible, with the scale of projects supported ranging from small value, short term grants to multi-million pound research programmes. A wide variety of activities are supported, including feasibility studies, instrument development, equipment to support a number of research projects, overseas travel grants and visiting researchers, and long-term proposals to develop or maintain critical mass. High risk/high return research proposals, embracing new concepts or techniques, are particularly encouraged. The key features of standard grant funding are: No closing dates - applications may be submitted at any time. No limit on the value or length of the grant. No constraint on the field of research, providing the majority of it falls within our remit but the research must consider the EPSRC portfolio that we are shaping. Prominence is given to the Principal Investigator as the creative figure who determines the direction of the research.
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International excellence and national importance, as defined by independent peer review, are the main criteria against which proposals are assessed. We actively encourage the involvement of collaborators from industry, commerce or other organisations on research base funding research proposals. However, funding from a third-party is not mandatory. Opportunities for New Researchers First Grant Scheme - to help new academics apply for research funding at the start of their careers. There is no submission deadline, and while proposals go to the same panel meetings as research base funding proposals, they are only assessed against other First Grant proposals. Extended Support for Research Groups Platform Grants - providing leading research groups with flexible support for retaining key staff and carrying out feasibility studies, longer-term research and international networking. Platform grants should not be used to fund studentships. Programme Grants - providing long-term funding to support a suite of related research activities focusing on one major theme. Proposals may be interdisciplinary and collaborative or may address key research challenges in a single discipline. Networking and Collaboration UK-based Research Networks - linking research groups and industrial organisations, often across disciplines, to develop new or enhanced collaborations. Proposals may be submitted at any time. Overseas Travel Grants - small value grants to enable visits to recognised research centres abroad to study new techniques or to develop collaborations. They may not be used solely to fund conference attendance. Visiting researchers - support can be provided for scientists and engineers of acknowledged standing, either from within the UK or abroad, to visit the investigator's organisation as part of a research proposal. Workshops and schools - to stimulate research, or to train postgraduate students. Requests for complete or partial funding of an event, like other proposals, are subject to peer review. Bilateral Research Workshops (N + N meetings) can be held to exchange ideas and expertise internationally, with the objective of exploring the possibility of more substantial future collaboration. Full details of support for workshops and training schools can be found at: http://www.epsrc.ac.uk/funding/grants/network/Pages/default.aspx
EPSRC Fellowships
EPSRC has a framework for supporting outstanding researchers through fellowships and offers a number of fellowships each year, in priority research
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areas, giving talented individuals at different stages of their careers the opportunity to pursue their research interest either on a full or part-time basis. EPSRC has defined three career stages in which fellowships may be offered: postdoctoral, early and established career. Full details (including eligibility) of fellowships available may be found at: http://www.epsrc.ac.uk/funding/fellows/Pages/default.aspx
Training Grants
The EPSRC supports studentships through three main routes: Doctoral Training Grants, Centres for Doctoral Training and Collaborative Training. Doctoral Training Grants provide HEIs with maximum flexibility in managing their research studentship population. We allocate Doctoral Training Grants to HEIs, who are free to offer stipends above EPSRC's required minimum, or can offer support for up to four years if a project requires it. They are also free to switch funding to other areas of related expenditure, such as consumables, travel, conferences, external training courses and career guidance. Doctoral Training Grants are issued annually to universities, and are calculated by means of an algorithm based on the research grant income received from EPSRC. No application is required. Centres for Doctoral Training Grants (CDT) are designed to provide a number of annual cohorts of four-year studentships with technical and transferable skills training, as well as a research element. The Centres bring together diverse areas of expertise to train engineers and scientists with the skills, knowledge and confidence to tackle todays evolving issues as well as future challenges. The CDT mechanism operates through specific calls for proposals, and is not available through the standard grants route.
Collaborative Training includes Industrial Doctorate Centres (formerly Engineering Doctorate Centres) awarded under the CDT banner and Industrial CASE awards. In all cases there is a strong focus on industrial collaboration with the industrial partner providing a level of financial support in addition to the EPSRC funding. There is also a requirement for students supported under these schemes to work with or at the collaborating company Industrial CASE awards provide funding for PhD studentships where businesses take the lead in arranging projects with an academic partner of their choice. Details of all the EPSRC training grants can be found at: http://www.epsrc.ac.uk/funding/students/Pages/default.aspx
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Eligibility
Research Grants
Eligibility of Organisations The Research Councils promote and support research, postgraduate training and associated activities in UK research organisations. These may be supported in any field or discipline at the instigation of the Investigator (Standard Grants) or at the instigation of the Research Council (Calls for Proposals or Managed grants). All UK Higher Education Institutions (HEIs) are eligible to receive funds for research, postgraduate training and associated activities. The Higher Education Funding Councils determine whether an organisation meets the criteria as an HEI. Research Institutes (RIs), for which Research Councils have established a long term involvement as major funder as part of the national research base are also eligible to receive research funding, from any Council and are listed here: http://www.rcuk.ac.uk/research/Pages/noparentrcs.aspx Other Independent Research Organisations (IROs) may also be eligible if they possess an existing in-house capacity to carry out research that materially extends and enhances the national research base and are able to demonstrate an independent capability to undertake and lead research programmes. The organisations must also satisfy all the following conditions: Organisations which are, or which are constituent parts of, a charity registered with the Charities Commission; or associations which are eligible for exemption from Corporation Tax under schedule 508 of the Income and Corporation Taxes 1988; or organisations which are wholly owned subsidiaries of an association approved under section 508 of the Income and Corporations Taxes Act whose articles of association require that all profits are returned (gift-aided) to the section 508 association. The organisation must be a legal entity which is not: o o o o owned; established; or primarily (i.e. 50% or more) funded for research purposes by any single part (or related parts) of the public sector (other than by a Research Council, HEI, NHS Trust, National museum/gallery/library/archive/botanical garden/observatory) or by a business.
The organisation must possess an existing in-house capacity to carry out research, in the field or discipline in which it wishes to be funded, that materially extends and enhances the national research base; and be
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able to demonstrate an independent capability to undertake and lead research programmes, as demonstrated by: o Sufficient high-quality current research capacity. This requires: a minimum of ten researchers with a significant number of publications in top quality journals and/or monographs with key academic publishers, and/or other outputs that have been subject to the highest standards of peer review. Journal quality should take account of benchmark measures appropriate to the discipline. a track record of staff, while employed at the organisation, leading or co-leading innovative research projects in the previous five years, including directing other postdoctoral researchers and/or research students. This should include evidence of the size and complexity of the projects and details of how they were managed and coordinated.
Sufficient financial support for research at the organisational level to ensure the availability of essential infrastructure and the longterm sustainability of research activity, as evidenced by research income from independent sources averaging at least 0.5 million per annum over the previous three years. Importance and relevance of the research capability, as indicated in 1-2 above, to the Council(s) to which eligibility is sought. Evidence of the organisation having a strong track record of maximising the wider impact and value of its research to the benefit of the UK economy and society.
o o
IROs are eligible to receive funding from a Research Council under managed grants or in response to a specific Call for Proposals. Exceptionally an individual Council may specifically agree access to research base funding if an IRO can demonstrate that it can provide a high quality research capability that is not widely represented in the HEI or RI sectors and which is of clear benefit to the health of the research base of the relevant Council RIs. Organisations currently recognised as IROs are listed on the Research Councils UK website at: http://www.rcuk.ac.uk/documents/documents/eligibilityiros.pdf Organisations that are eligible to apply for Research Council funding may work in partnership or collaboration with any other organisation, irrespective of its eligibility status, subject to the conditions of any grant awarded. In exceptional cases, Research Councils may have requirements for the development of equipment or facilities, needed to pursue their research priorities, for which there is no capability in HEIs, RIs or IROs. In these specific
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circumstances, the Research Councils will issue a Call for Proposals and may fund organisations which do not otherwise satisfy the conditions for eligibility. The Research Councils will jointly consider eligibility of IROs for research funding, normally on an annual basis, and eligibility may be restricted to certain Research Councils. This review will also need to determine that the IRO is able to meet the accountability and audit requirements. An IRO seeking eligibility for funding from any Council should contact the Je-S helpdesk which manages the application process. The list of eligible organisations will be published on the RCUK website. A change in the status of an IRO would require re-consideration of an IROs eligibility. Otherwise, once eligibility has been granted, it will continue unless the IRO has received no funding during the previous five years. Eligibility of Investigators Principal Investigators must be academic employees (lecturer or equivalent) of an eligible organisation and must be resident in the UK. EPSRC Fellows (except Postdoctoral Fellows) and Royal Society Fellows are also eligible to be Principal Investigators. Holders of fellowships under other schemes should contact the EPSRC to establish eligibility. This may be given on an individual case by case basis rather than as blanket eligibility for all fellows under any scheme. Principal Investigators should normally hold a permanent post but fixed-term employees may be eligible provided that the EPSRC can be satisfied that the host research organisation is prepared to give the individual all the support normal for a permanent employee and that there is no conflict of interest between the investigators obligations to the EPSRC and to any other organisation or employer. The term of employment of a fixed-term employee must extend beyond the duration of the proposed research project. Co-Investigators are expected to meet the eligibility criteria for Principal Investigators except for the requirement to hold a contract that extends beyond the end date of the proposal. Research Assistants cannot be Principal Investigators or Co-Investigators. Research Assistants can be identified as Researcher Co-Investigators if they have made a substantial contribution to the development of an application and will be employed on the project for a significant proportion of their time (normally in excess of 50% FTE), if it is funded. The proposal must seek funds for the Researcher Co-Investigators salary for the duration of the project and clearly identify their contribution to the proposal. A Research Co-Investigator must be employed by the same organisation as either the Principal Investigator or Co-Investigator. It is the expectation that the Research Co-Investigator will be employed on the grant for the duration of the award. Certain schemes impose specific eligibility criteria, and prospective applicants are advised to confirm their eligibility against an individual scheme before submitting an application. Research proposals will not be considered from an applicant who was the Principal Investigator on a grant where there is an overdue Final Report. Back to Contents
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How to Apply
Timing
Standard Grant Funding Managed Funding Proposals may be submitted at any time. Proposals should comply with the dates and timescales set out in the relevant call for proposals or announcement of opportunity. Proposals must be submitted at least sixteen weeks before the proposed visit. Proposals may be submitted at any time and will be assessed on a rolling basis.
Application Forms
Research Grants Proposals for research grants should be made electronically through the Research Councils Joint electronic Submission (Je-S) system: https://je-s.rcuk.ac.uk/ Principal Investigators, Co-Investigators and their organisations need to register to submit proposals through the Je-S system. If you have not applied through the Je-S system before, you need to check that you have a Je-S account that allows you to submit proposals. Please do this well in advance of when you plan to submit your proposal. If you are responding to a call for proposals, please leave enough time for your organisations submission process to take place before the closing date. For each funding opportunity, guidance is given on the EPSRC website about which form to use and how to submit. Research Fellowships Applications for EPSRC Fellowships should be submitted electronically through the Research Councils Joint electronic Submission (Je-S) system. Outline Proposals In some calls for proposals, outlines or expressions of interest are requested in advance of full proposals. Applications using the EPSRC Outline Proposal Form should be submitted electronically through the Je-S System. Detailed guidance on how to complete the outline research proposal form can also be found on the EPSRC web site and through the Je-S System.
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Joint Proposals
Where a project is to be managed by one research organisation, a single research proposal form and case for support should be submitted. Where funding is sought by more than one research organisation for the same project, a separate research proposal form may be submitted from each. Those sections and attachments currently duplicated on all parts of the proposals will only be required and permitted on the lead proposal. These are: Objectives Summary Beneficiaries Statements of Support from Project Partners Reviewers Case for Support Workplan Justification of Resources In any jointly submitted proposal, however, EPSRC will not accept more than one proposal from any one research organisation. An investigator on one proposal should not be named as an investigator on the other(s). Please make sure that where a project comprises more than one proposal, this is made absolutely clear in the section marked Related Proposals. Back to Contents
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sum to make provision for some degree of inflation and future pay awards over the duration of the grant.
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. o o o Investigators Estates Other directly allocated
Indirect Costs - Non-specific costs charged across all projects, based on estimates, which are not otherwise included as Directly Allocated costs. Exceptions - Directly Incurred costs that are funded at 100% of fEC, subject to actual expenditure incurred, or items that are outside fEC.
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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. 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 at the normal entry level for the research organisation. Provided the level requested has been fully justified within the case for support, the EPSRC will make the award at that level. The EPSRC reserves the right to provide support at a different level if it is considered appropriate. Salary increments over the period of the project should be taken into account but not anticipated future pay awards. 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 payments that may be required. Work permits, if required, are a matter for direct negotiation between the research organisation and the relevant Government departments. Travel and Subsistence A grant may provide travel and subsistence funds for investigators and staff assigned to and funded by the project where these are required by the nature of the work. Travel costs should be based on the most suitable and economical form of travel. Subsistence costs should reflect the normal rates applying in the host research organisation. Relocation costs may be included for staff who are named in the proposal form. Relocation costs for un-named staff should be found from the Indirect Cost element of the grant. Costs for attendance at conferences may be included, where such attendance will be of direct benefit to the research. Conferences should, as far as possible, be individually identified in the proposal and attendance justified. Costs associated with conferences etc that fall outside the period of the grant cannot be charged to the grant even if it is possible to pay attendance/registration fees or any other associated costs before the end date of the grant. Equipment The heading provides for equipment dedicated to the project costing 10,000 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 the current OJEU limit, 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 the current OJEU limit and must accompany the proposal.
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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 must be consulted at the beginning of the procurement process and must approve the order before it is placed with the supplier. Other Costs Costs sought should be specified as far as possible in the proposal and justified in terms of requirement for the research proposed. This heading may include: Consumables Publication costs Specialist publications (not expected in institutional libraries) Consultancy fees Fieldwork fees/subjects/informants Computing - including recurrent costs of computing dedicated to each project only, e.g. software licences Equipment - items costing less than 10,000 (including VAT) Equipment-related items for items of equipment funded on the grant. For example: o o o Maintenance (external contracts/agreements) Relocation Rental/access charges (specify equipment or service being used and basis of charging)
glass house consumables Recruitment and advertising costs for staff directly employed on the project Purchase/hire/running costs of vehicles if necessary for the project The EPSRC will not fund maintenance costs for equipment that was already the property of the research organisation when the application was submitted. Under TRAC guidance, this should be included in the Estates Costs of the research organisation.
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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. Charge out costs for departmental technical and administrative services. The need for the resources (but not the costing basis), should be explained in the Justification of Resources attached to the Case for Support. Indirect Costs These should include the costs of administration, such as personnel, finance, library and some departmental services. 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. It is the responsibility of the RO to have a process in place to monitor the time claimed by any Investigator to ensure that no more than 100% of FTE is claimed as Indirect Costs for any individual across all proposals funded by the Research Councils.
Exceptions
There are no costs allowed by the EPSRC for new proposals under the Exceptions lines.
Visiting Researchers
Support may be requested for visits by scientists and engineers of acknowledged standing from within the UK or abroad to the investigators organisation. Funding is limited to 12 months per individual. The research organisation should include Estates Costs and Indirect Costs for any Visiting Researcher regardless of whether the support being requested includes a salary contribution or is only Travel and Subsistence.
Animal Costs
These costs can be shown either as Directly Incurred Costs or Directly Allocated depending on how an organisation chooses them to be attributed. 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.
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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.
Facilities
Investigators seeking access to major national and international facilities should apply to the relevant provider. It is the responsibility of the investigator to obtain any access needed for the research project. Planned usage should be identified on the relevant section of the proposal form. The EPSRC may provide support for access to other facilities at universities and elsewhere. Investigators seeking the use of such services are advised to contact the appropriate provider to confirm eligibility requirements and costs prior to submitting a proposal to the EPSRC.
Indexation
Research grants and fellowships may have an amount added at the time of announcement to take some account of expected pay awards and inflation over their lifetime. The value awarded is the total financial commitment entered into by the EPSRC. Indexation may be applied to all headings with the exception of Equipment and is compounded over the duration of the grant. The EPSRC reserves the right to vary the rate of indexation payable during the lifetime of a grant or fellowship. Back to Contents
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Assessing Proposals
Introduction
EPSRC relies on peer review to evaluate research proposals and fellowship applications, and to prioritise proposals when in competition. There are generally two stages in the process: reviewing and prioritisation panels. We select most reviewers and members of prioritisation panels from a college of peer reviewers that is nominated by the research community. The college is made up of around 4,000 people. Full details of peer review process and college: http://www.epsrc.ac.uk/funding/apprev/Pages/process.aspx
Reviewing
When a research proposal is received, a copy is sent to at least four reviewers, including at least one nominated by the investigator. The reviewers also receive a covering letter, guidance and a form that they will complete with their comments and return to EPSRC. Proposals that receive highly supportive comments from at least two reviewers are submitted to funding prioritisation panels. The reviewers' reports (made anonymous) will be passed back to the investigator to comment on any factual inaccuracies or questions raised. All reviewers' comments received in time will be seen by the peer review panels with the reviewers' names included. The investigator's response is given to the panel for consideration, along with all other documents. Proposals that do not receive sufficiently strong support from reviewers will be rejected without being put to a panel. The investigator will be notified and the reviewers' reports (made anonymous) will be included for information.
Prioritisation Panels
EPSRC relies on prioritisation panels to judge the relative quality and importance of research proposals competing for funding. The membership of these panels is drawn from across EPSRC's scientific remit, to ensure the necessary mix of expertise. Most members are likely to come from the academic community, but some will be from industry and other organisations. The panels are responsible for producing a rank ordered list of all the research proposals under consideration. Proposals put to the panel have already been independently reviewed. The panel is asked not to re-review proposals, but instead to arrive at a prioritisation between proposals based on a relative assessment of quality and importance as well as the impact, the ability of the applicant and resources and management. The ranking is based primarily on the comments of the expert reviewers and applicants' responses to the reviewers' comments. Panel members are appointed to represent the collective views of the expert reviewers and to bring the benefits of their general experience in science and engineering research. They are asked to take a
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broad view, which covers the breadth of research included within the panel's remit.
Funding Decision
Theme Leaders decide which proposals will be funded based upon the rank ordered list produced by the panel, the fit of the research area proposed to the portfolio, existing capacity of the research area and the funding available. All Principal Investigators are notified of the outcome of the panel electronically. If the proposal is successful, this notification will be in the form of a grant offer document, which is sent to the research organisations administrative authority via JES. As the role of the panel is to rank proposals on the basis of the reviewers comments, which have already been seen by the investigator, no further feedback is provided unless there are specific points that the panel wishes to be passed to the investigator.
Resubmissions
Unsuccessful EPSRC proposals must not be resubmitted. All proposals are checked to identify any uninvited resubmissions which will be rejected. Resubmissions will be considered only where they have been explicitly invited by EPSRC, or if the proposal is substantially different. Unless specifically invited, or if prior approval from EPSRC has been obtained, proposals that have already been considered by another research council or funding body must not be submitted.
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Managing the Funds A grant holder is generally allowed to deploy grant funds in accordance with the needs of the research; specific exceptions are given below. There may be other occasions where there may be some doubt as to whether the transfer can be justified, or whether costs would be permitted as a charge to the grant. The EPSRC recommends that in such instances a grant holder seeks advice, in the first instance from their central administration group and if necessary from EPSRC on the appropriateness of such expenditure. The research organisation must not over commit expenditure against the research grant. However, funds may be transferred between any of the headings at the discretion of the investigator without reference to the EPSRC with the following exceptions: Pre Full Economic Costing Funds may not be transferred from the Large Capital heading without prior written approval. Funds provided for equipment costing more than 25,000 may not be used to buy other equipment, nor transferred to another heading, without prior written approval. No transfer from the Public Communication and Training Funds heading is permitted. No transfer from Indirect Costs is permitted. The Fellowship Support Fund must not be used to meet any research organisation overheads or indirect or unspecified costs. An account of the use of the fund is required at the end of the Fellowship. If the staff heading is increased by transferring funds from another heading, sufficient funds must also be available within the grant to cover the associated indirect costs (46% of staff costs). Full Economic Costing Transfers of funds between fund headings are permitted only within and between Directly Incurred costs and Exceptions, excluding Equipment. Equipment funding is ring-fenced and transfers into or out of the equipment headings, whether under Directly Incurred or Exceptions, is not permitted. Transfers on other fund headings will be at the rate applicable for the heading, as set out in the offer letter. Funds provided for equipment costing more than 25,000 may not be used to buy other equipment without prior written approval of the EPSRC. Funding Assurance Programme The Research Councils have a joint programme of funding assurance of research organisations by means of visits and form-based enquiries. This programme is designed to give the Councils assurance that the funding given is
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used for the purpose for which it was awarded and in accordance with the grant terms and conditions of the sponsoring Council. The EPSRC also reserves the right to request supporting documentation on any grant prior to the grant reconciliation being undertaken. Expenditure Statements Expenditure Statements are used to reconcile the actual expenditure with the payments made. The Final Expenditure Statement (FES) is sent via the Je-S system to the Finance Office at the end of the grant. The FES must be completed and returned electronically via the Je-S system within three months of the end date of the grant. A request can be made to extend the due date for receipt of the FES but must be made via the Grant Maintenance facility on the Je-S system before the due date has passed. The FES is required to enable the EPSRC to meet its responsibilities in accounting for the use of public funds. If the FES is not received by its due date, the EPSRC will recover 20% of the expenditure incurred on the grant. If the FES is not received within six months of the end of the research grant, the EPSRC is unable to reconcile payments made against expenditure incurred and will recover the value of all payments made against the grant. For some grants, an Interim Expenditure Statement (IES) may also be required. These are generated prior to the review date at which point payments will be suspended and the research organisation will be required to complete and return an IES. A Transfer Expenditure Statement (TES) will be generated if a grant is subject to an organisation transfer. For fEC grants, 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. 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 see GC 4 Starting Procedures for details 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. Status Reporting The status reporting interface is an informational service that is provided through the Research Councils Joint electronic Submission (Je-S) system: https://je-s.rcuk.ac.uk/
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This allows organisations to view details of EPSRC grants once an Offer Document has been accepted by the organisation and will remain until all actions, for both the organisation and EPSRC, are complete. Annual Statement The EPSRC will send an electronic Annual Statement via the Je-S system each year showing payments made for the previous financial year. The Finance Office is required to certify, by returning the statement via the Je-S system, that expenditure has been incurred in accordance with grant conditions, and those grants shown as current are continuing. No further payments will be made until the signed Annual Statement has been returned. Annual statements will normally be required only for research grants and fellowships. Extensions The expectation is that, once started, projects will be taken to completion in one continuous period. However, there are circumstances where interruptions or delays are unavoidable, and grants can be extended by a total of up to 6 months to compensate for these effects. Requests for extensions should be made via the Grant Maintenance facility on the Je-S system before the end date of the grant. The most common reason for extension applications is for breaks in service or delays in the appointment of staff. Extensions can be agreed to compensate for time lost in recruiting replacement staff once the new appointee is in post and the details of the break or delay are known. Extensions may also be granted where research staff take maternity leave or have a continuous period of sick leave, in excess of 3 months. The EPSRC expects the Research Organisation to manage the resources on a grant in such a way that it is completed within an agreed timescale and budget. Extensions will not be given if the staff employed on a grant change from full-time to part-time employment or if staff are moved from one project to another. It will be the responsibility of the investigator to recruit additional staff resource as necessary to meet the requirements of the EPSRC. There may be other exceptional circumstances, not involving staff, where unavoidable delays warrant an extension and these will be considered on their merits. Absence Maternity, paternity, adoption, parental and sick pay is not payable by EPSRC for staff acting as Principal and Co-Investigators (unless they are also EPSRCfunded Research Fellows). It is only payable for directly incurred staff who are funded for 100% of their contracted time on the grant. Maternity, Paternity, Parenting or Adoption Pay and Leave Subject to the provisions of GC9, funds may be used to pay for maternity or paternity or parenting or adoption leave if the staff member fulfils the qualifying conditions of the organisation. Funding may be sought by the
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organisation 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 leave. Grant funds may be used to provide paid maternity, paternity, parenting or adoption leave only to the extent that such leave is taken during the original period of the grant. The organisation will be responsible for any liability for maternity and paternity 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 maternity leave, the organisation will be responsible for that part of the maternity leave which is taken after the research grant has ended. Sick Leave Subject to the provisions of GC 10, grant funds may be used for paid sick leave for staff that meet 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 EPSRC 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. 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 amount to be claimed from EPSRC should be net of any funds recovered from statutory pay entitlements. The duration of a grant will be extended only if the period can be accommodated within the maximum period allowed for extensions. In the case of fEC grants Directly Allocated and Indirect funds will not be increased as a result of such extensions. Change of Investigator If an investigator resigns or retires during the period of the research grant, a replacement may be nominated by the relevant Head of Department and a request made to continue the research. If, however, the investigator has moved to another eligible organisation, the arrangements for transfers apply. Transfer between Research Organisations The EPSRC must be notified by the research organisation via the Grant Maintenance functionality in the Je-S system where a principal investigator plans to transfer to another research organisation. If this research organisation is eligible to hold EPSRC research grants, the EPSRC would normally expect the grant to transfer with the investigator to the new research organisation. Agreement via Je-S is required to this from both the transferring and receiving research organisations before the EPSRC will agree to the transfer. For some grants, e.g. First Grants or Fellowships, a Host Organisation Statement is required from the Head of Department at the receiving organisation setting out the support to be given when the grant or fellowship is transferred.
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Where there is a basis for continued involvement by the relinquishing research organisation, agreement should be reached between old and new research organisations on the apportionment of work and related funding. Some types of grant e.g. platform or programme grants may not be transferable. The EPSRC should be consulted before any arrangements are set in place for the transfer of such grants. The EPSRC 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 original objectives. If suitable arrangements cannot be agreed, the EPSRC will consider withdrawing its offer of support or terminating the grant. Pre-fEC grants will not be re-costed and will remain as pre-fEC grants if transferred to a different organisation. Grants funded under fEC 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 an Offer Acceptance via JES, that it will provide any balance of resources needed to complete the project. Transfer of academic staff within the EU/EEA Research grants, but not currently fellowships, may be transferred to universities in countries that are in the EU/EEA that are signatories to the EuroHORCs, or any subsequent, agreement. Not all EU/EAA countries are signatories to this agreement. Please see the attached link for full details: http://www.epsrc.ac.uk/funding/grants/int/eu/Pages/transferringgrants.aspx
Project Management and Monitoring In making a grant, the EPSRC intends that the investigator shall have reasonable freedom and flexibility to manage the available resources according to the needs of the project. In turn, the investigator is responsible for ensuring the best use of resources in order to achieve the aims and objectives of the research. The extent of the investigators responsibility and freedom to manage the research is contained within the framework of the terms and conditions under which the grant is awarded. The EPSRC may require investigators to submit periodic reports and to attend evaluation meetings or theme days in order to assess progress of the grant and its contribution to a programme. Some grants may also be subject to monitoring by a coordinator, consultant or programme staff. Collaboration Collaboration is an important aspect of the research supported by the EPSRC. Collaborative activities most often take the form of the joint pursuit of research
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with industry, but may also exist between similar research organisations, both in the UK and abroad. The EPSRC expects that participants in a collaborative project will develop a collaborative agreement to clarify the contributions and rights of each partner. The EPSRC will not get involved in negotiating an agreement for collaborative research but will need to be assured that an arrangement acceptable to all parties exists. Such agreements must not conflict with the terms and conditions under which EPSRC research grants are awarded. The requirement is for a collaboration agreement to be put in place before a research project begins. Where the requirement for a collaboration agreement has been identified by the EPSRC, the project will not be permitted to be activated until the agreement is in place. Final Report Grant holders are required to fill in a final report form for each grant and to use the RCUK Research Outcomes System (ROS) to provide EPSRC with details of the outputs, outcomes and impacts of their research. The form is sent to the Je-S account of the Principal Investigator at the end of the grant. The investigator is required to complete and return the final report form within three months of completion of a grant. Details of forms and requirements are on the EPSRC website: http://www.epsrc.ac.uk/funding/managing/Pages/default.aspx Any request to extend the due date for receipt of the Final Report must be made via the Grant Maintenance functionality in the Je-S system before the due date has passed and be agreed by EPSRC. If the Final Report is not received by its due date, the EPSRC will recover 20% of the expenditure incurred on the grant. In addition, it will not consider research proposals from an individual where they have an overdue or unacceptable Final Report.
Research Fellowships
As Research Fellowships are funded through grants, much of the above information applies by analogy. Specific differences for Fellowships are as follows: Managing the Funds No transfer of funds provided for the salary of Fellows will be permitted. Abeyance Leadership and Career Acceleration Fellows (and Advanced Fellows prior to 2007) may be allowed to interrupt their award not more than twice during the period of their fellowship to spend time on activities unsupported by the EPSRC but directly related to their fellowship. Such periods of abeyance must not exceed 2 years in total. The agreement of the EPSRC must be sought in advance. Agreement will not be given for a break during the first or final year of the award. Where periods of abeyance are agreed the award will be extended by a period of time equal to the length of the break.
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Postdoctoral Research Fellows may be allowed to interrupt their award once during the period of their fellowship to spend time on activities unsupported by the EPSRC but directly related to their fellowship. Such a period of abeyance must not exceed 12 months. The agreement of the EPSRC must be sought in advance. Agreement will not be given for a break during the first or final year of the award. Where a period of abeyance is agreed the award will be extended by a period of time equal to the length of the break. For all Fellows, no additional funding will be given to compensate for possible incremental progression during any period of abeyance. Extensions - Further Support Applications for an extension of an Advanced Research Fellowship will be considered only if there are exceptional circumstances, which have disrupted the scientific programme. Transfer between Research Organisations A proposal to transfer the fellowship to a different research organisation (only within the UK) should be discussed with the existing and proposed research organisations. The EPSRC will require agreement from both the transferring and receiving organisations, via the JES system, before agreeing to the transfer.
Research Outcomes
Publication and Acknowledgement of Support
EPSRC attaches great importance to the dissemination of research results. We expect results to be published. Financial support from EPSRC must be acknowledged in all publications and other forms of media communication, including media appearances, press releases and conferences. This is essential in helping to publicise EPSRCs work and providing an indicator of the success of its investment. Acknowledgements should identify the type of EPSRC support and quote the grant reference number where possible.
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Exploitation of Results
The EPSRC strongly encourages the exploitation of the results of research. Where results of industrial or commercial value emerge from projects, investigators are required to make suitable arrangements for exploitation and take up by industry. The EPSRC makes no claim to the intellectual property rights arising from research that it supports.
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Demonstrate an awareness of the social and ethical implications of their research, beyond usual research conduct considerations, and take account of public attitudes towards those issues. Engage actively with the public at both the local and national levels about their research and its broader implications. Identify potential benefits and beneficiaries from the outset, and through the full life cycle of the project(s). Maintain professional networks that extend beyond their own discipline and research community. Publish results widely considering the academics, user and public audiences for research outcomes. Exploit results where appropriate, in order to secure social and economic return to the UK. Manage collaborations professionally, in order to secure maximum impact without restricting the future progression of research. Ensure that research staff and students develop research, vocational and entrepreneurial skills that are matched to the demands of their future career paths. Take responsibility for the duration, management and exploitation of data for future use. Work in partnership with the Research Councils for the benefit of the UK. The expectations clarify the position of the Research Councils with respect to impact, rather than introducing a new approach. Many of these expectations are already incorporated into Research Council processes and guidance, for example exploitation is addressed within grant terms and conditions, and continuing professional development through the Concordat to Support the Career Development of Researchers.
Evaluation
The EPSRC has established mechanisms through which the portfolio of work it supports can be analysed and evaluated. Programme evaluations provide a better understanding of subject balance and the quality of work within the programmes. These evaluations provide an objective and retrospective view to sit alongside other key drivers in shaping the EPSRCs policy and strategy during the business planning process. Back to Contents
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