NATURAL ENVIRONMENT RESEARCH COUNCIL
RESEARCH GRANTS
CONTENTS
Section 1Introduction NERC’s funding model
Contact points
How do I apply
Section 2The Research Grants Schemes aims
what schemes are there?
Section 3Completing the Application Form general points
eligibility
research costs
the case for support
Section 4Research Grant Conditions Relating to Resources being Sought
Section 5Announcement of Award, Progress of the Research Project and Final Reporting Arrangements.
Announcement
Finances
Final Reporting Requirements
Publicity
Data Availability
Section 6Central Services and Facilities
Section 7Intellectual Property
Section 8NERC (A&T) Complaints Procedure
AppendicesA. Remit of NERC
B. Contacts for Scientific Services
-C. NERC Designated Data Centres
D. Organisations Eligible to Apply for NERC Research Grants
-E. Evaluation of Research Grants
Closing dates for applications:
Standard Research Grants 1 July, 1 December
including CONNECT B
Standard Research Grants 1 December
+ associated ship time
Small Research Grants 1 February, 1 June, 1 October
and Supercomputing
Small Research Grants for 1 February
New Investigators
Edition: 1998 (version 1)
SECTION 1: INTRODUCTION
1.1 NERC has implemented a number of structural and operational changes aimed at implementing the central demands of the 1993 White Paper ‘Realising Our Potential’, some of which impact on the research grant system.
The terms and conditions set out in this booklet incorporate the understandings reached between the parties to the Concordat on Research Careers. These are identified in the text by cross reference to the specific paragraphs of the Concordat.
In fulfilling its mission (Appendix A) NERC will continue to support the best and most relevant science wherever it is to be found within the scientific community. A greater proportion of funds is being made subject to open competition and eligibility for certain types of support is being extended. NERC funding is now delivered by one of the following four modes.
Core Strategic Funding, typically long term, will maintain expertise and knowledge in key areas of the environmental sciences, determined by Council. It will support excellent and relevant research, survey and monitoring technology development and the creation, interpretation and supply of environmental data. It will meet current needs and will form a basis for meeting future priorities.
Thematic Funding will encourage scientific excellence and contribute to wealth creation and quality of life through basic, strategic and applied science, technology development, and training within selected themes. Council’s strategic planning, including inputs from Technology Foresight, will identify these themes.
Nonthematic Funding will foster excellence by supporting curiositydriven research, training and technology development, in areas selected by applicants.
Infrastructure Funding will provide essential support, equipment, services and facilities for the NERC community.
The information about the NERC Research Grants Scheme presented in this booklet focuses on the nonthematic and thematic modes operated and managed by the Awards and Training Section of NERC. Although criteria and conditions for grants awarded within thematic programmes are generally the same as those for nonthematic awards, investigators seeking to make applications for opportunities under thematic programmes are strongly advised to contact the appropriate programme manager in the first instance. (see para 2.4.1 and 3.1.1.).
1.2 CONTACT POINTS:
1.2.1 All NERC Research Grant Schemes are administered by the Awards and Training Section within the NERC Finance Directorate at the Swindon Office. Names and responsibilities of Council staff dealing with the administration of both thematic and nonthematic modes are presented below:
Awards and TrainingHeadMr David Rampton
(01793) 411629
E-mail:
Award administrationMrs Nicky Stevens
(01793) 411546
E-mail:
Mrs Sue Furness
(01793) 411556
E-mail:
1.2.2Awards and Training Section utilises the knowledge, expertise and advice of 5 Peer Review Committees (PRCs) in the evaluation of applications and allocation of awards on nonthematic mode. This booklet aims to be comprehensive in its articulation of terms and conditions relating to the NERC research grant in both thematic and nonthematic mode but there may be advantages in discussing the details of a proposed research project, particularly in relation to remit issues, with the relevant PRC Secretary or thematic programme manager before submitting an application. The remit of the Peer Review Committees and the contact details of their secretaries are presented below:
Atmospheric Sciences (AS)Mr Stephen Loader
(01793) 411567
E-Mail:
Atmospheric science and technology, from the land surface to the Mesopause, including chemistry, physics, meteorology, climatology, modelling, instrument development, laboratory and field studies. The application and development of research and training in earth observation science and technology and work in polar regions.
Earth Sciences (ES) Dr Neville Hollingworth
(01793) 411675
E-mail:
Geological sciences; aeolian post depositional processes; glaciology (glacial tectonics, ice deformation); structural and tectonic studies; mineralogy; petrology and geochemistry, volcanology, sedimentology, palaeontology, taphonomy, terrestrial and marine geophysics; engineering and resource geology, geomorphology (ie solifluction), planetary geology, quaternary studies; dating methods; archaeological prospection techniques; processes affecting the archaeological record; development of trade and technology through the analysis of archaeological materials; conservation of archaeological materials; spaceborne, airborne and ground based equipment design, development, construction and deployment with relevance to Earth Sciences; GIS in Earth Sciences.
Freshwater Sciences (FS) Dr Rachel Quinn
(01793) 411512
E-mail:
Biology of freshwater animals, plants and microorganisms at the level of individuals, populations or communities in relation to their natural environment. Taxonomy and biodiversity studies of freshwater organisms and environments. Hydrology and glacial hydrology; Limnology; Fluvial geomorphology and erosion of land surfaces by water; Hydrogeology; Chemistry of freshwaters and their associated sediments, and groundwater. Research proposals must be focused on environmental issues and must clearly demonstrate how the proposed work would directly benefit and improve our understanding of the Freshwater Environmental Sciences.
Marine Sciences (MS) Dr Lisa Hole
(01793) 411632
E-mail:
Physical and chemical oceanography; coastal processes (e.g.sediment dynamics etc); marine biology; sea ice/climate interactions; marine aspects of ocean-atmosphere interactions; earth observation science and technology related to marine processes and systems.
Terrestrial Sciences (TS) Dr David Gale
(01793) 411796
E-mail:
The structure, behaviour and interactions of plant and animal populations and communities in relation to the natural environment. All aspects of soil science. Taxonomy and biodiversity studies relating to organisms in their environment. Also Evolution of human diet, health and disease; Human evolutionary history and modelling change in human ecosystems.
NERC’s responsibility for support of ScienceBased Archaeology (SBA) is divided between the Earth Sciences PRC and the Terrestrial Sciences PRC. The NERC contact for SBA is Dr David Gale (01793) 411796.
1.2.3Enquiries regarding policy issues surrounding research grants should be addressed to: -
Dr Elaine Thorpe
(01793) 411751
E-mail:
1.3 HOW DO I APPLY?
1.3.1All applicants must complete the current version of RG1 form (availble from thw WWW) and include an additional 7 copies. NERC will return proposals which are not complete or do not strictly adhere to the terms and conditions set out in this booklet. Any queries about presentation, terms and conditions or eligibility that are not covered by the information and guidance presented here are best raised with NERC personnel prior to completion of the RG1 form.
1.3.2 Other NERC awards schemes (postgraduate studentships and postdoctoral fellowships) are described in separate booklets entitled ‘NERC Studentships’ and ‘NERC Fellowships’ which are available on written request.
1.4 The NERC reserves the right to change any of the conditions in this booklet as it may think fit without prior notification. Changes to terms and conditions are signalled or announced via the NERC (A&T) home pages on the World Wide Web. (Address
SECTION 2 : THE RESEARCH GRANTS SCHEMES
2.1 GENERAL AIMS
2.1.1It is the aim of the Natural Environment Research Council to provide financial help for research workers in institutions recognised by the NERC (hereafter referred to as institutions) to initiate and develop their own projects and ideas. The research carried out under NERC research grants should be timely and of high scientific merit. These aspects in particular are examined by the peer review and assessment process.
2.1.2In making research grants to institutions, the NERC provides the funds required to support the research, apart from academic salaries and basic infrastructure costs, which will be provided by the institution. Research grants are intended to cover the direct costs of projects, with a contribution to the indirect costs of the institution provided through a standard percentage addition to the staff element of direct costs. Institutions may themselves contribute to the cost of the research programme.
2.1.3The NERC aims to give investigators whose work it supports freedom to develop the work in their own way, consistent with the need to retain adequate control over the expenditure of public funds. The conditions under which grants are made allow investigators flexibility in planning and executing the work, but major changes from the original intention of the project require the approval of the NERC (see section on final reports).
2.1.4The NERC is committed to increasing public awareness and public understanding of the science it supports. The obligations and expectations for all applicants are set out in para 3.6.3 and for all grant holders in paras 5.6 and 5.8.
2.2 SPECIFIC AIMS
2.2.1The NERC will award a research grant for a stated period to support a specific investigation in which the applicant will be personally engaged: support is provided to allow the investigator to enter promising new fields of research or to take advantage of developments in theory, practice or instrumentation applicable to environmental research.
2.2.2 Research grants may meet the costs of:
a)employing additional scientific, laboratory technical, or other assistants especially required for the purpose of the research including, and in exceptional cases, clerical or secretarial staff;
b)inviting senior scientists of distinction to the investigator’s institution as Senior Visiting Fellows, to give full time advice and assistance to the investigator in research in the field in which the visitors are eminent. These Senior Visiting Fellows may be attached to research schools either within the United Kingdom or abroad. The period of the visit should not exceed one year;
c)enabling an investigator to visit a recognised centre abroad to study new techniques and research developments where such a visit would be of direct benefit to a research project. Such an award would only be considered if it were not possible for other organisations such as the Royal Society to support the visit;
d)purchasing special pieces of scientific equipment which it would not be customary for the institution itself to provide as part of the normal equipment of a research laboratory, and for which funds are unlikely to be available from some other source in the immediate future. In such instances investigators must ensure that there is a large research component associated with the application. NERC makes separate provision for the establishment of central equipment services and facilities (See sections 2.7 and 2.8).
2.3 WHAT NONTHEMATIC SCHEMES ARE THERE?
2.3.1 There are two basic types of Research Grant:
a)Small Research Grant. This scheme provides for a more rapid response to applications costing between £2,000 and £25,000. Applications for less than £2,000 will not be accepted. Small research grants are intended for a discrete project (or as a pump primer for a large research programme). NB : The £25,000 is inclusive of indirect costs.
Closing dates 1 February, 1 June, 1 October.
Competition for New Investigators.At 1 February each year there will be an additional competition for New Investigators (see definition in Annex E). Applications submitted to this competition will be assessed separately from those received from all other Principal Investigators. Applicants to the New Investigators competition must be sole Principal Investigator and will be limited to two applications. This opportunity is similar in all respects to the small research grants scheme. New Investigators may apply to any of the other small grants closing dates but at these times they will be in open competition with all other applicants.
Closing date 1 February
b)Standard Research Grant. These awards are for amounts of over £25,000, and for periods not usually in excess of three years.
Closing dates 1 July, 1 December
2.3.2 Within each of these two basic schemes is a NERC initiative aimed at promoting new partnerships with industry, business, commerce or public sector agencies.
CONNECT Scheme A small pump priming grants to a maximum of £5,000 for support of short research projects or proposals for workshops or seminars involving the science base and industry. Applications to this scheme can be made at any time.
CONNECT Scheme B standard research grant that must have 50% cofunding from collaboratory partner. Prospective applicants are advised to contact those persons named in section 1.2. (i) for further information and application forms.
2.3.3The NERC is willing to consider applications made for support for a research project beyond the normal maximum of three years. It is not intended that this longer term support should substitute one continuing research grant for a number of short term research grants for reasons of administrative convenience, or continue general or part support of an existing programme which should be supported by an institution from its general funds.
2.3.4Ministry of Defence/Research Councils Joint Grants Scheme. Information is available on request from the NERC on the arrangements for research grants funded jointly by the MoD/RCs Joint Grants Scheme. These grants are intended to support research in the universities and other higher education institutions which is not only of high scientific quality, but is also likely to be of relevance to the defence industries.
Joining Forces for the Environment. The aim of this initiative is to facilitate and focus ways in which the Armed Forces might be able to work with the scientific community, primarily in the area of environmental research, by providing logistical assistance for scientific expeditions, data collection (land, sea & air) and access to MoD land. Any realistic request for Armed Forces assistance in the conduct of research will be considered. This initiative does not include the provision of funding. Applications should be made through NERC on the appropriate form (JFE1). Applications may be submitted at any time, however, if an application for MoD assistance accompanies a research grant application, then normal closing dates should be adhered to.
The contact point at the NERC for both schemes is Dr Elaine Thorpe ().
2.3.5Applications for research grants may be made at any time but no later than the closing dates shown above. Grant applications which do not arrive at the NERC in Swindon by a given closing date will be returned to the applicant. Similarly, those applications which do not give all the information required, or contain points that need clarification, will usually be returned to the applicant for correction and will not be considered until the next closing date.
2.3.6All applications for extensions to research grants requesting funds must be submitted as a new proposal and must clearly demonstrate that they are a direct development of, but not a supplement for, earlier work. Applicants are advised that referees and Grants Committees will not normally have seen the previous application and/or final reports. Extensions to small grants will not be made.
2.3.7Urgency Research Grants Exceptionally, a standard research grant application may be submitted at any time for rapid consideration under an urgency procedure. Such consideration will be restricted to cases in which the submission of applications is dictated by the unexpected occurrence of a timelimited scientific opportunity (eg earthquake, temporary exposure, or novel transient event in an ecosystem). Time limitation owing to availability of staff or experimental material etc will not be accepted as grounds for treatment as an urgency. The relevant Peer Review Committee Secretaries must be contacted prior to the submission of any application under the urgency procedure.
2.3.8The results of applications are given within five months of the closing date for standard research grants, and normally within four months for small research grants.
2.3.9When an application is approved, the research grant will be announced in a formal offer to the institution. Details of the award will be provided for the institution and the principal investigator.
2.4 THEMATIC MODE RESEARCH FUNDING
2.4.1 New thematic programmes, or further opportunities in existing thematic programmes, are regularly announced through Announcements of Opportunity in the scientific press and/notices on the NERC World Wide Web site. These Announcements of Opportunity will give details of research grant funding, including closing dates and programme managers to whom enquiries should be addressed. In general, thematic awards will be made under the same terms and conditions as awards made for nonthematic mode funding.
2.5 APPLICATIONS REQUESTING SEA TIME
2.5.1The next round of sea time applications is for calendar year 2000 and beyond. All new Research Grant proposals which are associated with an application for sea time must be submitted together with a copy of the sea time application, to NERC Awards & Training by 1 December 1998. Peer review will then be carried out, and funding decisions taken, on both the research grant and the sea time proposal.
2.5.2 Two copies of the associated sea time application and the supporting scientific case must be submitted, together with confirmation of full funding for sea time, to: Dr C Harper, NERC Marine Planning Office, Swindon, by no later than 1 April 1999. Sea time application forms for the 2000 programme, and guidance notes on their completion, are available from NERC Marine Planning Office, Swindon. In particular, please note that where the description of the supporting scientific case is identical for the RG proposal and the sea time application, the same case may be copied to A&T with the RG form and to Marine Planning with the sea time form. Where differences exist between work described in the RG proposal and the sea time application it will be necessary to provide separate scientific cases.