CARIMA Annual Conference 2013 and Training Workshops Enhancing capacity for grant writing and

1. CARIMA Annual Conference 2013 and Training Workshops Enhancing capacity for grant writing and research/project management SUSTAINABLE RESEARCH SYSTEMS AND THE ESSENCE FIVE KEYS Josepha FobaTendo Douala, 10 december 2013

2. INSTITUTIONAL PLANNING • Creating a sustainable research system requires that research should be viewed as an indispensable part of the institution's mission and an important faculty task • Otherwise, researchers will tend to view research projects as one-time events, rather than as essential system building blocks • Direct Government investment (even for the best case scenario) in research is minimal • Institutional strategy should therefore build revenue reserves for local research capacity and research RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

3. Fundingstreamsfor research • Every research system has the potential for mobilising more than one funding stream for research • Examples of funding streams include; • state support of human resource costs • Seed grants or special subventions to develop research capacity (Infrastructure, equipment and/or human capacty development grants) • Grants from international funding agencies • Contract research with private sector and community partners • Gifts and Endowments • Consultancy RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

4. Sustainability considerations requires that each project should be costed meticulously and with justification, irrespective of the source of funding • Additionally, grant and contract budgets normally allow budget items that represent overheads and are generally referred to as indirect costs • Effective indirect cost recovery policies and good practice can contribute to institutional financial reserves to support local research and develop capacity for more research. RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

5. Introducing the ESSENCE 5 Keys RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

6. ESSENCE (www.who.int/tdr/partnerships/initatives/essence/en/) • ESSENCE: Enhancing Support for Strengthening the Effectiveness of National Capacity Efforts • ESSENCE on Health Initiatives is an initiative between funding agencies to improve coordination and harmonisation of research-capacity building • It is a partnership in which members embrace the principles of donor harmonisation and country alignment expressed in the 2005 Paris Declarationon Ad Effectiveness and in the 2008 Accra Agenda for Action RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

7. ESSENCE Members • The UK Department of International Development (DFID) • Canada’s International Development Agency for Development (IDRC) • Norwegian Agency for DevelopmentCooperation (Norad) • Ministry of Foreign Affairs of Denmark (Danida) • The Bill Clinton and Melinda Gates Foundation • FIOCRUZ Brazil • The Howard Hughes Medical Institute • The New Partnerships for Africa’s Development (NEPAD) • European and Developing Countries Clincal Trials Partnerships (EDCTP) • The US National Institutes of Health/Fogarty International Centre (NIH/FIC) • The Rockefelller Foundation • Canada’s Global Health Initiative (GHRI) RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

8. Background to the 5 Keys • The 5 keys are found in a good practice document initially prepared in response to challenges faced by low and middle-income countries in determining the full cost of research projects • The importance of this initiative derives from its relevance to the ability of these institutions to sustain their research environments • The aim of the document is to help institutions to accurately identify and understand the full costs of their research-otherwise they will end up running grants at a loss • Of particular interest is indirect costs RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

9. Rationale for focus of indirect costs • Indirect costs are often not calculated accurately or consistently by institutions • Funders have diverse policies and practices related to reimbursement of indirect costs • The coordination of external research grants is underdeveloped within the target institutions • Dialogue between funders and institutions is inadequate RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

10. THE 5 KEYS RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

11. Key 1: Defining and categorising direct and indirect costs • This forms the basis of research costing • However categories vary between institutions and funders • The key presents fairly widely accepted definitions, supported by case studies RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

12. Key 2: Determining indrect–cost rates • Many of the target institutions simply use estimates or adopt rates set by funders • Good practice tocalculate accurate rates and negotiate appropriate rates withdonors • Includes pointers and approaches for determining indirect-cost rates RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

13. Key 3: Institutional Management of external research grants • This key highlights the role of grants management in institutions • It also provides pointers for establishing relevant structures and systems, as well as taking a strategic approach to responding to calls for application • It also discusses recovery and redistribution of indirect cost • Case studies are used to support all issues, ideas and orientations RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

14. Key 4: Developing relevant skills • Provides pointers relevant to capacity building; including support for capacity building, competency framework for strategic and operational research-management staff • Presents a synopsis of the responsibilities of institutional grants management employees • Also highlights skills and background knowledge required by grants managers RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

15. Key 5: Bridging the gaps between funders and research institutions • Stresses the importance of dialogue as a means of getting to know each other better (especially with respect to specific issues, challenges, strengths and weaknesses) and thus collaborating better • Pointers on how and on what to engage this dialogue • Proposes standardisation as a good strategy simplifying processes and communcation RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

16. THE RESOURCE PACK FOR TRAINERS • Following consultations and pilot training programmes based on the 5 keys good practice document, ESSENCE has produced a resource pack for trainers. • Trainers are research managers and finance managers • Trainees could be researchers and junior/new research support and/or finance staff • Trainers and trainees do not have to be finance experts, but trainers should have a good knowledge of the processes involved in both research and budgeting RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

17. Contents of the resource pack • The Trainer’s Guide • The Five Keys document • A set of short video interviews • A set of three slide presentations that can be be adapted or modified for presentations of; 1hour (suitable for a session at a conference or a lunch-hour discussion),3 –hour seminar and a 3- day workshop • A set of course notes for participants attending longer events. These can be customised, by using context-specific/relevant case studies and examples RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

18. Orientation on when to train and how to picth training • Includes; • indicators on the needs for training • Suggestions for different levels of intervention depending on the situation- • high level of uncertainty over how to determine indirect costs and ineffective or absence of an institutional research costing policy • confusion about how to apply the the institutional research-costing policy and/or differences in the application of this policy across the institution • Effective policy framework exists, is applied correctly, but there is a need to provide orientation for new staff/researchers RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

19. For more information, visit website www.carima-net.org RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union

20. THANK YOU FOR LISTENING RIMI4AC Project - A programme of the ACP Group of States, with financial assistance of the European Union