NUFU 2007-2011
GUIDELINES FOR APPLICANTS Multi-annual bilateral or network projects
Guidelines for applicants to NUFU Multi-annual bilateral or network projects 2007 - 2011 1. Introduction 1.1.
Application procedures
1.1.1. Project proposal A project proposal to the NUFU-programme should be planned and worked out jointly by the proposing researchers of the main cooperating institutions. The project proposal should be submitted online to SIU (NUFU secretariat) within 1 June 2006 at 1600 hours local time in Norway (GMT+2). The procedure of applying for funding from NUFU for multi-annual projects is as follows: Researchers from at least two institutions – one in the South (UiS) and one in Norway (UiN) – prepare a joint project proposal, which must be submitted online. Access to the NUFU application form requires the following procedure. 1. Both researchers (project coordinators) must create a personal account at SIU’s “Online application and reporting service”. This is done at “My SIU/Min SIU” (home page of www.siu.no). 2. One of the project coordinators may then open their joint NUFU project proposal. 3. The project coordinator then grants the other project coordinator access to the same proposal by register information about his/her partner institution and his/her email address. 4. When logging in to “My SIU” the other coordinator will then find their joint project proposal available for editing. When submitting the project proposal separate Cover pages (document) will be available for printing by the Project coordinators (at UiS and UiN). This document should be printed and duly signed by the project coordinators and heads of the respective departments. The signed Cover page should be submitted to the relevant central administrative body at the institution within 1 June. The institutional administrative body should keep the cover pages until the deadline for submission of the prioritised list of applications from the institution (1 October 2006).
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1.1.2. Institutional confirmation of proposals Each institution (in Norway and in the South) must, based on the signed cover pages, confirm and accept that the proposal(s) submitted by the researchers are to be proceeded to external evaluators. This confirmation and acceptance that must be done online on 12 June at the latest, gives the proposal(s) status as official proposal(s) from the institution. The confirmation of the proposal must be done by an officially appointed coordinating unit or contact person at the institution. For the institution (coordinating unit or institutional contact person) to submit the confirmation applies the following procedure: 1. The appointed institutional contact must create a personal account at “SIU’s online application and reporting service”. This is done at “My SIU/Min SIU” (home page of www.siu.no). 2. SIU must be informed of his/her role. This can be done by sending an email to nufu@siu.no 3. Having validated this information, the NUFU secretariat then grants this already registered user the role of an Coordinating unit /contact person at the institution and will notify the user by email. 4. By logging in to “My SIU” the user will now have access to the necessary forms for confirmation of proposal(s). This “user role” also provides reading access to the project proposals in which his/her institution is engaged. The registration process can be carried out at any time. 1.1.3. External evaluation All eligible official project proposals are sent from SIU to two external evaluators – one from the South and one from the North, who will assess the scientific quality of the proposals. 1.1.4. Institutional assessment The external evaluations will be made available online for the institutions (institutional contact) from 1 September 2006. The institutions will then make their assessment of relevance and feasibility of the proposed project(s). An assessment form will have to be filled in online for each project. The institutions must, based on these assessments prepare a prioritised list of all applications from their own institutions. The prioritised list of applications should be filled in online within 1 October 2006. When submitting the institutional assessment separate documents including a prioritised list of all applications from their own institutions will be available for printout. This document should be signed by the Vice Chancellor / President / Rector or similar and forwarded to SIU by mail within 1 October 2006, together with the signed Cover pages for each project proposal.
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At this point the proposals turn to be official applications, and each proposal will be presented as one application from two institutions. The ranking from the institutions in the South will be given double weight compared to the ranking from the institutions in the North (see selection criteria at www.siu.no). The NUFU board will make decisions about allocation of funds based on the assessment and ranking from the institutions, balancing renewal and continuation of projects as well as the composition of the portfolio of the NUFU programme.
1.2. Timetable for the application process to NUFU in 2006 The timetable for the application process to NUFU in 2006 will be as follows: Activity Responsible Deadline Call for proposals SIU 1 February 2006 Submission of joint research proposals Researchers/Project 1 June 2006 coordinators Confirmation of proposals from the NUFU coordinating unit 12 June 2006 institution (or similar) at institutional level Assessment by external evaluators SIU 31 August 2006 Submission of prioritised list of Vice Chancellor/ 1 October 2006 applications from the institution President/Rector or similar / NUFU coordinating unit at institutional level (or similar) Decision on allocation of funds NUFU board 15 November 2006 Letter of reply to the institutions SIU 15 December 2006 Please note that this will be the only ordinary call for proposals to be announced in NUFU’s forth period (2007– 2011). All ongoing collaborative projects (Pro.id. PRO .../2002 and PRO ../2003) applying for a second period must therefore do so in accordance with the time table and the procedures outlined in the section above. Project proposals submitted as hard copies will not be handled by SIU.
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1.3. Application categories In the fourth program period NUFU introduces four different categories of multi-annual projects. These are: • New bilateral cooperation projects - maximum NOK 3,5 million • Ongoing bilateral cooperation projects - maximum NOK 3,5 million • New network projects - maximum NOK 6 million • Ongoing network projects - maximum NOK 6 million Bilateral projects have two partner institutions, whereas network projects have two to six partners in the South and one or more partners in the North. Support for new projects can be applied for by groups of researchers (UiS+UiN) who have not received support from NUFU before (individual researchers in the group may have been involved in NUFU cooperation before). Support for ongoing projects can be applied for by projects/groups of researchers that have received NUFU support for one period. Bilateral projects that have run for one period may extend their activity and become an ongoing network project in the second period. Research groups that have received support for a bilateral project for two periods may apply for support for an ongoing network project in the new phase, provided that the main partner institution in the South is eligible according to section 1.5 of this document. 1.4.
Partner institutions and project coordinators in the NUFU cooperation
There are two main groups of cooperation projects within the NUFU cooperation: bilateral projects and network projects. Bilateral projects have two partner institutions, one in the South and one in Norway. Bilateral projects may have informal or formal cooperation with other institutions, without specific funding for such cooperation activities. One researcher at each partner institution have the responsibility for planning, implementation and reporting in the project, and they are called (academic) project coordinators. Network cooperation projects have two main partner institutions, one in the South and one in Norway. The cooperating researchers at the main partner institutions are project coordinators for the network project, and they have the main responsibility for planning, implementation and reporting. Other network partners should endorse the application, and at least one researcher should be involved as well as at least one PhD candidate (see NUFU Programme document 2007 – 2011 for specification of network activities), whereas responsibility and commitment to the project should be anchored in the leadership of the institutions.
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1.5.
The role of the institutions in the NUFU cooperation
The NUFU cooperation works according to a decentralised model, i.e. cooperation projects are initiated, planned, implemented and reported in cooperation between researchers at departmental level at the partner institutions. However, there are also responsibilities that rest with the institutional level. Institutions that have – or apply for - more than one NUFU project may form a “NUFU committee” that have the responsibility to assess and rank the applications, and to evaluate the project coordinator’s annual reports. This evaluation is required by NUFU; and all annual project reports need to be approved by the institution before further allocations are disbursed from SIU. Institutions with several NUFU projects may establish a “NUFU coordinating unit” as well, in order to take care of the day to day institutional handling of the NUFU cooperation, including the follow-up of financial issues and accounting. Experience in the NUFU programme tells that “NUFU committees” and “NUFU coordinating units” have proven to be useful tools for assessment and coordination. Institutions with one or very few NUFU cooperation projects are advised to designate the required evaluation to an already existing scientific committee at the institution. Institutions applying for support from NUFU, which do not have an institutional coordinating unit for NUFU projects, need to appoint a contact person at institutional level to take care of the institutional handling of the application procedure (see section 1.1.2. and 1.1.4.) 1.6.
Eligible countries and institutions
The NUFU Programme Document 2007 – 2011 states the NUFU policy regarding eligible countries and institutions . Norwegian universities and specialised universities, as well as university colleges which offer relevant PhD degrees, are eligible applicants. University colleges which do not offer relevant PhD degrees and Norwegian research institutions may join as partners of eligible applicants. NUFU partner institutions in the South should be found within Norway’s partner countries for development cooperation (see Norad’s web site: www.norad.no or the NUFU Programme Document 2007 – 2011). Exceptions will be made for Zimbabwe, which is a longstanding partner within the NUFU cooperation, and will thus in the fourth period in NUFU be included as eligible for NUFU support. Projects in other countries than Norway’s partner countries that have run for one period with NUFU support may apply for a second period. However, they have to present clear exit strategies, and will not be eligible for further support from NUFU after 2011. Guidelines for applicants to NUFU 2007 - 2011 www.siu.no/nufu
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New projects with main partner institutions in countries, which are not among Norway’s partner countries, are not eligible for support from NUFU. Institutions in these countries may join as partner institutions in a network cooperation (not main partner). South Africa will remain a partner country for Norwegian development cooperation until 2009. Projects involving South African institutions may apply for a full NUFU period (five years), but they need to present exit strategies and plan for termination in 2011. Projects involving South African institutions will not receive support from NUFU after 2011. Cooperation projects that have received support through separate agreements based on §2.2. in the NUFU Agreement (i.e. for the time being ongoing projects in Malawi), can apply for ordinary support within the NUFU programme. These projects are regarded as new projects in NUFU when they apply based on the general call for proposals. 1.7.
Master’s students and PhD candidates
Education is an important component of each and every NUFU supported project. Most projects allocate a substantial part of the total budget to scholarships for Master’s students and especially fellowships for PhD candidates. The aim of all educational activities within the NUFU programme should be to educate new researchers, and contribute to capacity and competence building at the institutions in the South. NUFU scholarships should thus not be used for general education of Master’s candidates, but should be earmarked to selected students that have a potential for continuing into PhD education and hence contribute to strengthen the institution’s capacity for research and research based education. Candidates recruited for PhD education should be staff or prospective staff of the home institution. However, it is a precondition that the candidates are given sufficient time for their degree studies and that workload at the institution is balanced accordingly. Completing a PhD degree that gives the candidate satisfactory qualification as a researcher will normally require three to four years full time commitment. Projects should start the recruitment of PhD candidates early in the project period. The process of identifying PhD candidates should be finalised during the first year of the project if the candidates are to be able to complete their degree within the project period. The recruitment process for Master’s students and PhD candidates should be open and transparent. The recruitment should be done in cooperation with relevant bodies at the respective institution. The NUFU programme aims at contributing to gender equity in research and education. Since women are underrepresented in higher education and research in all South countries, projects should pursue the recruitment of female PhD candidates.
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NUFU introduces a system of reward to projects that are successful in pursuing the stated goals on gender balance. For projects that succeed in enrolling 40% female PhD candidates a bonus of NOK 50 000 will be granted, in addition to the ordinary project funds. These extra funds should be used with the purpose to facilitate the active participation of women in the project activities. The reward will be allocated based on statements from the projects in one of the annual reports, confirming that the requirements are fulfilled. 1.8.
Disbursement of funds
All project funds are transferred from SIU to the Norwegian main partner institutions. Disbursement of funds to project activities in the South is made by the Norwegian main partner institutions according to annual budgets. The project coordinators may revise the budget every year when they do the annual financial reporting, including transfer of money between budget years. The partner institutions in the South report disbursed project finances annually to the Norwegian main partner institution while the Norwegian main partner institution is responsible for reporting of the total project finances to SIU. 1.9. Accounting and audit Institutions in Norway and in the South that receive funds from NUFU are instructed to ensure that appropriate accounting systems are implemented, and that accounting will be done according to generally accepted accounting principles. Audit should be carried out in accordance with international standards. Each institution is accountable for funds received from the NUFU programme.
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2. Guidelines to the NUFU Application Form
Please note that the references in the sections below refer to the different parts in the in the electronic NUFU Project Application form.
The NUFU Project Application form consists of the following sections: Start Page: Project title and category Part A:
Basic information about project partners
Part B:
History of cooperation
Part C:
Project information
Part D:
Project elements
Part E:
Financing and budget
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START PAGE 1. Application category Applications to NUFU for multi-annual cooperation projects have to be defined as belonging to one out of four application categories. The categories are: 1. New bilateral cooperation projects - maximum NOK 3,5 million 2. Ongoing bilateral cooperation projects - maximum NOK 3,5 million 3. New network projects - maximum NOK 6 million 4. Ongoing network projects - maximum NOK 6 million For further information on each of the categories, see the NUFU Programme Document 2007 - 2011. 2. Title of proposed cooperation project Not more than 100 letters, and preferably short, indicative for the project’s main idea and easy to use!
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Part A: BASIC INFORMATION ABOUT PROJECT PARTNERS A.1. Details of partner institution in the South (UiS) Select the name of the proposing institution from the menu list. If the name of the relevant institution(s) is not available, please contact the NUFU secretariat at: nufu@siu.no or tel: +47 55 30 88 00, which will update the list. Central administrative unit When selecting an institution, information about the institutions’ responsible central administrative unit of NUFU projects (Office for International Relations or similar) will appear automatically, as soon as the relevant unit/person has registered her-/himself at the SIU web site (My SIU). See section 1.1.2. for further instructions. Proposing departments Give name and address of the faculty/department/institute/centre where the project is administratively located. If the unit has appointed a person to be responsible to assist the academic project coordinator in the administration of the project, please include name and position of the administrator. Proposing researchers The proposing researcher is the institutions’ project coordinator who has to be a researcher employed by the institution on permanent basis. CVs for the project coordinators are to be recorded under part A.5. A.2. Details of partner institution in Norway (UiN) Select the name of the proposing institution from the menu list. If the name of the relevant institution(s) is not available, please contact the NUFU secretariat at: nufu@siu.no or tel: +47 55 30 88 00, which will update the list. Central administrative unit When selecting an institution, information about the institutions’ responsible central administrative unit of NUFU projects (Office for International Relations or similar) will appear automatically, as soon as the relevant unit/person has registered her-/himself at the SIU web site (My SIU). See 1.1.2. for further instructions. Proposing departments Give name and address of the faculty/department/institute/centre where the project is administratively located. If the unit has appointed a person to be responsible to assist the academic project coordinator in the administration of the project, please include name and position of the administrator. Proposing researchers The proposing researcher is the institutions’ project coordinator who has to be a researcher employed by the institution on permanent basis. CVs for the project coordinators are to be recorded under part A.5.
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A.3. Network partners (for network projects only). Give name, postal address, telephone, fax, web-page and official e-mail address of each of the participating partner institutions in the South and in the North (if relevant) in the proposed cooperation project. Specify also the name of the relevant department and the most central researcher that have been involved in the preparation of the proposal. A.4. Cooperation agreement Make reference to the general agreement of cooperation, Memorandum of Understanding or similar, between the two main cooperating institutions participating in the proposed cooperation project. For network projects an agreement of cooperation should be entered between the main partner institutions when applying for support from NUFU. Endorsing agreements between all participating institutions should be entered before project start up (and do not have to be attached to the proposal). A.5. Curriculum Vitae (CV) Register the Curriculum vitae (CV) for the proposing researchers according to the format in the application form. The proposing researchers are defined to be the academic project coordinator at the main partner institution in the South (UiS) and at the main partner institution in Norway (UiN) respectively. Please note that no attachment can be added to the application format. For network cooperation projects CVs for main researchers at each cooperating institution should be added. Please note that SIU reserves the right to publish the CVs on Internet when presenting the project at the SIU website. CVs for identified PhD candidates should be registered in part D.2.3.
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Part B: HISTORY OF COOPERATION If the proposed project is a continuation of an ongoing NUFU supported bilateral or network project, please indicate the NUFU identification (PRO XX/YYYY) and the title of the project. If the proposed project is a new cooperation, please indicate whether any of the participating researchers and/or departments have been involved in NUFU supported projects; and if possible, indicate the NUFU identification (or the title) and time period of the project. Results and achievements from previous NUFU period (for ongoing projects only) Goals and objectives for the previous project period. Give a summary of the original goals and objectives for the project in the first period. Results achieved in the first project period Please give a brief presentation of results achieved in the project in the first project period. Describe the results in terms of: - educational achievements (number of Master and PhD candidates completed; education programmes established etc.) - scientific achievements (publications, dissemination activities) - impact for development Deviations from original objectives and project plan Describe deviations from the original project plan that occurred during the project period; objectives that were not met etc. Make a short comment on the reasons for the deviations. Rationale behind the proposal for continuation of the project Explain the reasons for the proposal for a continuation of the project, with an emphasis on the added value of a second period with NUFU support.
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Part C: PROJECT INFORMATION C. 1. Project synopsis and discipline area Synopsis The synopsis should give a short description (not more than 200 words) of the cooperation project’s main objectives, main activities, expected results etc. The synopsis should reflect the Project Description (application form Part B) and be authoritative for NUFU information purposes. Discipline Area of the proposed project A Discipline Area List for the NUFU Programme is attached to the guidelines. Select one Main Discipline Area from the menu list, and as many Sub-Discipline Areas as relevant. C.2. Project description All items in the project description should be filled in. The proposal will be evaluated by two external evaluators, and the project description should be as clear and distinct as possible, in order to facilitate the evaluation of the proposal. The project description should in total not exceed 4000 words (appr.10 pages) for bilateral projects and 4800 words (appr.12 pages) for network projects. C.2.1. Background, reasons for the project, importance, innovation Describe the background for the project proposal; including a brief description of the current situation within the sector/subject area at the department/ institution, in the country/region and internationally. Indicate the reasoning behind the project, including importance and to what extent the project represents innovative research (within its field of study, country, and region). Objectives The objectives of the proposed cooperation project should be clearly defined. Research description The scope of the planned research should be described, including indication of research question – if relevant. Hypotheses should be presented – if relevant. C.2.2. Methodology Give an outline of the research methodologies that will be relevant for the project. Theoretical approach Indicate what theoretical approach the proposal builds on, and how the proposal relates to the state of knowledge within the relevant discipline area.
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Project design and activities Give an outline of the project design and the activities, including research activities as well as educational activities, not exceeding 1000 words. C.2.3. Academic competence and capacity at UiS and UiN Include a description of the available academic competence and experience, enabling the Department at the UiS and UiN respectively to implement the project (Departmental CV). Particular emphasis should be put on the available capacity for supervision of students/candidates. Administrative competence and capacity at UiS and UiN Give a description of the available capacity at UiS and UiN respectively for administration and management of the project. C.2.4. Division of responsibility and labour between UiS and UiN Indicate in brief how responsibility and labour is planned to be distributed between UiS coordinator and research group and UiN coordinator and research group(s). Please include responsibility for both educational and research activities. Risk factors An analysis should be made of risk factors outside the projects that may threaten the successful implementation of the project, such as factors related to political and societal conditions, terms and conditions at institutional level, security issues, manpower situation etc. Indicate what measures will be taken in order to counter such risks. C.2.5. Reference to publications and research Make reference to publications and research considered to be of particular scientific and contextual relevance for the proposed cooperation. C.3. Specific comments on strategic issues In addition to the general project description, the application should make specific comments on issues of particular relevance to the NUFU programme (ref NUFU Programme Document 2007 – 2011): Relevance Describe how the project is relevant to institutional strategies and priorities at the partner institutions (UiS + UiN) (please make references to relevant strategy documents – if available). Indicate also the relevance of the project to national strategies for development and poverty reduction in the South country/countries.
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Gender It is a stated objective of the NUFU programme to promote gender equity in research and education. Please indicate what measures that have been taken in the planning process and will be taken during implementation in order to a. Pursue gender balance among the participating researchers, PhD candidates and Master’s students b. Mainstream gender into the research and education activities of the project Measures to promote gender equity in the NUFU supported projects could include: - involving both male and female researchers in the research group - ear-marking of scholarships/fellowships for female candidates - taking practical steps to facilitate female participation - taking measures to secure equal access to equipment, networks, arenas Mainstreaming gender means that gender should be included as a dimension in research and education activities within the project, where applicable. Sustainability and exit strategies For all projects: The project should be planned for a five year period, aiming at sustainability at the institutions in the South. Please describe what measures that will be taken in order to make the achievements of the project sustainable. Include a description on how the research and education activities will contribute to increase the competence and capacity of the department/faculty/institution; and what measures will be taken in order to secure that increased academic competence will continue to benefit the institution after the project period. For projects applying for a second period of NUFU support: Present specific strategies for the cooperation when funding from NUFU is terminated, including plans for integrating the achievements of the project in the mainstream activities of the partner institution in the South. Strategies for attracting funds from other sources should be included.
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Part D: PROJECT ELEMENTS Give as specific information as possible on the planned activities in the proposed cooperation project. The activities in this part correspond to the activity categories in the NUFU budget (part E.2.). The information given here is seen as expected output from the project, and the projects will have to report according to the stated information. D.1. Research Sub-projects Indicate the title of the research sub-projects to be carried out. Publication and dissemination Innovative research as well as capacity and competence building in research are the bottom line in the NUFU programme. Disseminations of research results are regarded important for local and national development. It is however also expected that research result are published in international and national peer-reviewed journals. Indicate in projects where it is applicable, the number of publications, products and dissemination activities that are planned for, according to the given categories. Specify the number of expected publications by each group of involved participants (researchers, PhD candidates and Master’s students). Under group one, please indicate how many articles that are planned to be published in international or national peer reviewed journals. Researchers in the project Give name, degree and position of the UiS and UiN researchers, apart from the project coordinators, who will participate in the NUFU supported research and research training activities of the proposed cooperation project. Please note that PhD candidates and/or Master’s students should not be registered under this item. D. 2. Education D.2.1. PhD activities PhD education and research related to doctoral education are the main priority in the NUFU programme. Information on all activities related to education of PhD candidates should be specified in this item. PhD candidates Indicate the total number of PhD candidates involved in the project. Then specify the number of candidates to be supported by NUFU fellowships, and the number of estimated candidates on fellowships from other sources of funding. Indicate the number of Norwegian candidates and candidates from the South respectively. Please
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observe that NUFU fellowships can only be granted to candidates from the South institution(s). Indicate the number of PhD fellows in each of the two possible training models. Please note that “sandwich model” is defined as a training model where parts of the study (field work, course work, writing etc) are conducted at one institution in the South and parts of the study (course work, laboratory work etc) are conducted in the North, or at another institution in the South. Please specify at which institution(s) the doctoral degrees will be awarded. The degrees should preferably be awarded at a South institution. Establishment of agreements for sandwich programmes/joint study programmes between the participating institutions is encouraged. Indicate the estimated number of female and male PhD fellows respectively. Degrees/programmes Tick off whether the project proposal contains plans for developing new PhD programme(s). If yes, please indicate at what institution in the South the programme(s) will be developed. Support will only be given to the establishment of programmes that are in accordance with institutional strategies (see the NUFU Programme Document). Support will not be given for development of programmes in Norway. Tick off whether the proposed programme will be a joint degree programme. If the project will develop a joint degree, please indicate which cooperating universities that will be offering the joint degree. Establishment of joint degrees should only be pursued if national regulations in both (all) countries allow such degrees to be given. D.2.2. Curriculum Vitae for PhD candidates Curriculum vitae should be filled in for candidates that are already identified. The application will be strengthened by presenting already identified well qualified PhD candidates. Please note that the PhD candidates have to be staff or prospective staff of (one of) the partner institution(s) in the South. Register the Curriculum vitae (CV) for PhD candidate(s) according to the given format. Please note that no attachment can be added to the application format. D.2.3. Master’s activities Please observe that NUFU scholarships should not be used for general education of Master’s candidates, but should be earmarked to selected students that have a potential for continuing into PhD education and hence contribute to strengthen the institution’s capacity for research and research based education. Information on all activities related to education at Master’s level should be specified in this item. Guidelines for applicants to NUFU 2007 - 2011 www.siu.no/nufu
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Indicate the total number of Master’s students. Then specify the number of students to be supported by NUFU scholarships, and the estimated number of students on scholarships from other sources of funding. Indicate the number of Norwegian students and students from the South respectively. Please observe that NUFU scholarships can only be granted to students from the South institution(s). Indicate the number of Master’s students in each of the two possible training models. Please note that “sandwich model” is defined as a training model where parts of the study (field work, course work, writing etc) are conducted in different institutions in the South. Please specify at which institution(s) the Master’s degrees will be awarded. Establishment of agreements for sandwich programmes/joint study programmes between the participating institutions is encouraged. Indicate the estimated number of female and male Master’s students respectively. Tick off whether the project proposal contains plans for developing new Master’s Programme(s)/course(s). If yes, please indicate at what institution in the South the programme(s)/course(s) will be developed. A course is defined as a single course which is (or can be) part of a Master’s programme. A programme is a total study programme that qualifies for a Master’s degree. Support will only be given to the establishment of courses/programmes that are in accordance with institutional strategies (see the NUFU Programme Document). Support will not be given for development of courses and/or programmes in Norway. Tick off whether the proposed programme will be a joint degree programme. If the programme will develop a joint degree, please indicate which cooperating universities that will be offering the joint degree. Establishment of joint degrees should only be pursued if national regulations in both (all) countries allow such degrees to be given. D.2.4. Training of technical/administrative staff Give the number of technical and/or administrative staff to be trained. Indicate the type of training planned for. The training of technical and administrative staff should be related to the implementation of the proposed project. D.3. Other collaborative activities State briefly if other collaborative activities are planned, such as attendance at local, national and international meetings, collections and documentation for archives and film, extension services to end users in private and public sector, collaboration with industry etc.
D.4. Milestones in the project period
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Indicate the time schedule for important activities within the project. Indicate in which half-year the activities will start up, take place or be completed. Activities presented in Part D should be reflected in the milestone table.
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Part E: FINANCING AND BUDGET E.1. Specification of application for project management. This is a specification of the number of man/months which is the basis for figures given in the NUFU Budget E.2. project management (see definition of projects management below). E.2. Budget Please register all amounts in NOK. Please note: The budget should indicate the distribution of funds for each year of the project period. The distribution of funds during the project period should relate to part D.4. indicating milestones in the project period. The annual distribution of funds may be subject to adjustments from the project coordinators as part of the reporting procedures every year, when presenting revised budgets for the following year. Research activities Travel expenditures Travel costs to and from Norway or third country are estimated according to the cheapest way of international air travel. Travel expenses beyond this limitation will have to be covered by the traveller. Visits to Norway are covered within the standards of Norwegian national regulations. Regulations established at the individual UiN institutions concerning Visiting Researchers shall be used. For the Norwegian travellers, stays abroad are estimated according to the official Norwegian regulations (Statens reiseregulativ). In cases of visits to other countries than Norway, coverage is based on the regulations of the home country or home institution. Travel in the home country should be estimated in accordance with the national regulations or regulations established by the home institution, but not exceeding the official Norwegian regulations. If the national rates are insufficient to cover the real costs connected to the travel and accommodation, remuneration can be arranged based on submitted receipts. Field work Expenditures for accommodation, field assistance and necessary equipment for doing field work should be budgeted for under this item, in accordance with the national regulations or regulations established by the home institution. If the national rates are
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insufficient to cover the real costs connected to the field work, remuneration can be arranged based on submitted receipts. Scientific equipment This item covers purchase of scientific equipment related to the project’s research activities. Please note that all equipment budgeted for should be available to the cooperation project during the project period. The equipment becomes the property of the institution in the South when the cooperation project is terminated. Norwegian institutions should make the necessary equipment available for use at its own institution. Other expenditures This item covers expenditures related to the project’s research activities which are not covered under the previous items. PhD activities Fellowships Fellowships for PhD candidates admitted to programmes at institutions in the South should be granted according to local (University) regulations. It is a precondition that the candidates are given sufficient time for their degree studies and that workload at the institution is balanced accordingly. NUFU takes the regulations and rates for the Norad Fellowship program (NFP) as model for support to education in Norway. PhD fellows doing doctoral work in Norway are liable to pay taxes (Master’s students do not pay taxes). For the PhD fellow to receive approximately NOK 8000 after taxes, taxes and dues have to be added in the budget dependent on length of stay. In addition there will normally be other expenses due to the character and level of the work (travel, fieldwork, dissertation costs not covered by any of the institutions etc.), which will have to be included in the budget under other relevant items (see Research activities above). Please note: the rate indicated above may be subject to adjustment during the project period. Like the NFP, the NUFU programme does not pay any expenses for accompanying families. Development of new programmes This item covers costs related to development of new PhD programmes. Please note that support for UiN researchers teaching assistance and course/seminar work at the UiS institutions should be budgeted for under Project management. Master’s activities Scholarships Scholarships for Master’s students admitted to programmes at institutions in the South should be granted according to local (University) regulations. Guidelines for applicants to NUFU 2007 - 2011 www.siu.no/nufu
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Development of new courses/programmes. This item covers costs related to development of new Master’s courses or programmes. Please note that support for UiN researchers teaching assistance and course/seminar work at the UiS institutions should be budgeted for under Project management. A Master’s programme is defined as a total study programme qualifying for a Master’s degree. A Master’s course is defined as an element in a Master’s programme. Training of technical and administrative staff This item covers expenses related to the training of technical and/or administrative staff. Training should be related to the implementation of the cooperation project. If training is offered in Norway or in a third country, the budget should include travel expenditures and costs related to daily allowance and accommodation. Publication and dissemination The item covers costs related to publication and dissemination activities that are part of the objective for the cooperation project. Costs for publication of theses for Master’s and/or PhD fellows admitted to the project may also be included here. Other collaborative activities This item covers costs related to various types of activities like conferences/seminars/ workshops, collections and documentation for museums/archives/film, courses in academic writing, presentation techniques etc. Additional activities that support the development of the institution, faculty or department may be included in this item. Such activities could include support for development of library services, training of staff at Finance department, support to develop research administration services at institutional level etc. Project management Project management UiS The UiS department may receive compensation for the academic UiS coordinator’s time spent in academic and administrative management and coordination where his/her time has to be substituted by the department. An estimate of the number of months of work needed to accomplish these functions shall be stated (see item 16 above). Compensation will be allocated according to the relevant rates/regulations at the researcher’s home institution. As a general rule, the UiS department will not be compensated for the UiS researchers’ workload related to research and education activities in the cooperation project, except for supervision of PhD candidates. For network projects the projects management costs for all UiS should be combined in this item.
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Remuneration for staff members participating in the project Faculty and staff members participating in activities financially supported by NUFU should be employed and paid by their home institution. A premise for participation in the NUFU Programme is that basic salary to the researchers who participate in NUFUsupported cooperation is not covered by NUFU. However, remuneration for increased responsibility and work load for project coordinators and researchers can be covered according to local rates and regulations. For network projects the relevant costs for all UiS should be combined in this item. Project management UiN The UiN department may also receive compensation for the academic UiN coordinator’s time spent in coordination of the cooperation project, supervision of Master’s students and PhD fellows in sandwich programs, course and seminar work carried out at the institution in the South and/or in regional training programmes, and planning of curriculum development. Compensation is supposed to cover substitute manpower at the UiN researcher’s department/centre. An estimate of the number of months of work needed to accomplish these functions shall be stated (see item 19 above). NUFU accepts a maximum of NOK 35 000 per man-month as compensation to the UiN department/centre. For network projects the project management costs for all UiS should be combined in this item. Sub-total project costs Summing up of all items above are given as sub-total project costs, which is the basis for the calculation of project administrative costs. Project administrative costs UiS Project administrative costs UiN Project administrative costs UiS and Project administrative costs UiN should be calculated on the basis of sub-total project costs. The total project administrative costs (UiS + UiN) must not exceed 10% of sub-total project costs. In bilateral projects the project administrative costs should be distributed between the main UiS and UiN partners. This could be done on an equal basis, i.e. as a 50/50 split, or according to agreement between the partner institutions. For network projects the project administrative costs should be distributed between the partner institutions according to agreements within the project, based on division of work and responsibility. Project administrative costs are intended to contribute towards administrative expenses on department/institute/centre/faculty level associated with the time and resources invested in the administration of research and training activities, accounting and reporting etc. that represent additional burden as a direct result of these activities. Guidelines for applicants to NUFU 2007 - 2011 www.siu.no/nufu
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Sum project application to NUFU Sum project application represents the summing up of the budget figures, which is the total budget of the proposed cooperation project forwarded to NUFU for funding. The budget reflects the cooperation project’s proposed plan of activities as described in the application form under parts C and D. The proposed budget and activities will form the basis for the NUFU Board’s decision regarding a possible provisional allocation to the project. The total project sum should not exceed NOK 3 500 000 for bilateral projects and NOK 6 000 000 for network projects. Comments to the budget Please make comments to the budget that may facilitate the understanding of the external evaluators and the NUFU board in the selection process.
E.3. External financial contributors Indicate whether the proposed cooperation project has applied to other financial contributors for funding of activities. If relevant, indicate type of activity/-ies applied for (research, scholarships, curriculum development etc), status of the application (approved or pending) and the amount applied for. Please note that NUFU emphasises the positive effects of co-funding with other programmes and/or agencies. Funds under this item should NOT be included in the NUFU budget. Please note: Institutional administration and coordination support NUFU also provides support to the main partner institutions in the South and in Norway for institutional administration and coordination according to a fixed percentage (8,2%) of the total project allocation. NUFU’s administration at SIU will make an annual automatic calculation of support for institutional administration and coordination. The money will be disbursed directly from SIU to the account of the main UiS and UiN partner institution respectively. NUFU’s support for institutional administration and coordination will be distributed between the main UiS and UiN partner institutions on an equal basis, i.e. as a 50/50 split. For network projects parts of the support can be distributed from the main partner institutions to other institutions in the network, according to internal agreements between the network partners. NUFU’s support for institutional administration and coordination is a contribution to the general costs associated with the implementation, running, reporting and evaluation of Guidelines for applicants to NUFU 2007 - 2011 www.siu.no/nufu
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cooperation projects in the NUFU Programme on a central institutional level. This may be expenses like assistance from accounting department, central administrative tasks related to counselling, research management, monitoring of project implementation, institutional reporting etc. For institutions that are hosting several NUFU supported projects it is recommended that the support for institutional administration and coordination is used to establish and run a NUFU coordinating unit at institutional level. It is important to be aware that NUFU’s support for institutional administration and coordination is not support for activities at the project level and, subsequently, should not be budgeted for as part of the project application forwarded to NUFU. Note that no additional overhead costs can be deducted from the project allocation from NUFU.
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Attachment 1 DISCIPLINE AREA LIST FOR THE NUFU-PROGRAMME Main Discipline Areas: 000 200 400 500 700 900 999
HUMANITIES SOCIAL SCIENCES MATHEMATICS AND NATURAL SCIENCES ENGINEERING AND TECHNOLOGY MEDICAL SCIENCES AGRICULTURAL SCIENCES COMBINATION OF TWO OR MORE OF THE OTHER MAIN DISCIPLINE AREAS
Sub-Discipline Areas: 000 Humanities 010 Linguistics and Languages 040 Literature 060 Cultural sciences 070 History 090 Archaeology and classical studies 100 Folklore, ethnology 110 Musicology/musical studies 120 Art history 140 Architecture and design 150 Theology, religious studies 160 Philosophy 170 Film studies 180 Drama studies 190 Other humanities 200 Social sciences 210 Economics 220 Sociology 230 Architecture, Town and country planning 240 Political science and Organization theory 250 Anthropology 260 Psychology 280 Educational sciences, pedagogy and didactics 290 Human geography 300 Demography 310 Media studies and journalism 320 Communication sciences Guidelines for applicants to NUFU 2007 - 2011 www.siu.no/nufu
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330 Physical education, Sports Science 340 Law 360 Social work 370 Gender studies 390 Other social sciences 400 Mathematics and Natural sciences 410 Mathematical sciences 420 Computer sciences 430 Physical sciences 450 Earth sciences 460 Chemical sciences 470 Biological sciences 480 Ecology, Environmental Sciences 490 Other natural sciences 500 Engineering and technology 510 Mining and mineral processing 520 Material technology 530 Construction engineering, architecture 540 Electronics and electrical engineering 550 Information, computer and communication technology 560 Chemical technology and engineering 570 Mechanical engineering 580 Marine technology 590 Biotechnology 600 Food technology 610 Environmental technology 690 Other engineering and technology 700 Medical sciences 710 Basic medicine and veterinary medicine and basal odontology 750 Clinical medicine 800 Health sciences 810 Public health 830 Clinical dentistry 850 Sports sciences 890 Other medical sciences 900 Agricultural sciences 910 Agriculture 920 Aquaculture and fisheries 950 Veterinary medicine 990 Other agricultural sciences 999 Combination of two or more of the other main discipline areas
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