ANSWERS TO THE QUESTIONS ASKED AT THE SEMINAR HELD ON DECEMBER 26, 2012
PART 1
1. The application forms available at www. ***** are in. pdf format and require converting before being completed. Can we obtain these forms in editable format?
- Grant applications must be prepared using the application registration portal available at http:// konkurs. *****. Once you have completed the initial registration procedure all requisite forms will be made available to you in editable format. Instructions on how to prepare your grant application in electronic format using the application registration portal are available on the designated competition website, www. *****.
2. Is it absolutely required that each grant application be prepared in two languages? Will the grant applications prepared in two languages be assessed differently from the grant applications prepared in English only?
- A grant application must be prepared in English or in English and Russian. Grant applications prepared in two languages are easier for the experts to work with but their availability in two languages does not affect the assessment procedure in any way.
3. Are applicants required to translate into English their abstracts from the single state registry of legal entities, the documents proving the authority of the signatories, their award certificates, etc.?
- No, they are not.
4. Apart from the documents specified on the application registration portal, http://konkurs. *****, what other documents are required?
- You may submit any documents you deem worth submitting.
5. Is it the leading scientist or a representative of the host institution that has to register on the application registration portal, http://konkurs. *****, and fill out the grant application?
- Either the leading scientist or the representative of the host institution charged with completing the grant application.
6. Are applicants required to upload scanned versions of their abstracts from the single state registry of legal entities and their signatories’ power of attorney documents?
- Yes, they are. The electronic version of an abstract from the single state registry of legal entities must match the hardcopy submitted as part of the application binder.
7. What is a scientific discipline and what is a research area?
- The eligible scientific disciplines are listed in Paragraph 4.2 of the Competition Documentation.
A research area is the actual title of the research project (research topic) within one of the eligible scientific disciplines.
8. Are there any requirements pertaining to the volume of the grant application? Are applicants required to submit a list of literature?
- There are no specific requirements pertaining to the volume of the grant application but you should remember that grant applications will be evaluated by experts and the larger they are, the longer it will take the experts to complete their assessment. You may submit a list of literature if you deem it necessary.
9. Are applicants allowed to use information not only from Web of Science when completing paragraphs 4.1 and 4.3 (Form No.5), but also from other citation systems, such as Scopus and Google Scholar (provided they specify the citation system in parentheses)?
- Applicants are recommended to use the following citation systems: Science Citation Index Expanded, Social Science Citation Index, Arts & Humanities Citation Index. Lists of indexed journals and their search forms are freely available at http://ip-science. /mjl/.
10. A leading scientist has published 170 works within the past five years, is he required to list all of them in his application?
- He must list the most important works pertaining to the research project in question.
11. If a monograph has been submitted for publication to a publisher and an article has been accepted by a journal for publication, can they be included in the list of works published by the project staff members?
- No, they cannot. You must list only the works that have been published by the time you submit your application.
12. Does a leading scientist have to confirm his nonresident status as it was required by Activity 1.5 back in 2012?
- No, he does not.
13. How will a leading scientist have to prove his 4-month physical presence?
- In order to prove his or her physical presence at the host institution, the leading scientist must submit a letter from the host institution/organization signed by the head of the host institution/organization listing specific dates on which the leading scientist was physically present at the laboratory. Foreign citizens must also submit copies of relevant pages of their passports baring the stamps of immigration authorities.
14. If a leading scientist is an RF citizen who has been residing in the United States for an extended period of time, can he submit copies of pages from his travel passport instead of his internal passport?
- Yes, he can.
15. Are applicants required to submit supporting documents for the project staff members, young researchers, undergraduate and graduate students?
- No, they are not.
16. Are applicants allowed to hire graduate students, including foreign graduate students, from other institutes or are they required to hire only graduate students attending the host institution/organization?
Are applicants required to submit a list of names of the graduate students they intend to hire for the project or are they allowed to simply indicate they will hire four graduate students if they win a grant?
- The composition of the project staff may change in the course of the project, which is why a leading scientist may submit a preliminary list of names of the project staff members, including graduate students, that will be finalized if he wins a grant. At any stage of implementation of the research project, the project staff must include:
Not less than two candidates of sciences, not less than three undergraduate and not less than three graduate students attending the host institution of higher learning;
Not less than three candidates of sciences and not less than four graduate students attending the host organization for graduate education purposes.
17. Does Section 1 of Form 5, “Information about the level and status of the host organization’s research activities within the proposed research project area”, imply the status at the time of application or at some time in the future?
- Section 1 of Form 5, “Information about the level and status of the host organization’s research activities within the proposed research project area”, implies the status at the time of application.
18. What is implied by the “List of documents to be produced upon completion of the research project» in Paragraph 2.4, “Research project implementation plan”?
- In addition to the documents specified in the Regulations, the list of documents to be produced upon completion of the research project may include any documents produced in the course of the project, such as instructions, methods, manuals, blueprints, models, software, algorithms, databases, research protocols, etc. evidencing achievement of relevant benchmarks accounted for by the research project implementation plan.
19. Are applicants required to submit a list of equipment and how detailed does it have to be, if they are?
- Applicants are required to submit a list of the most expensive and important equipment items.
20. Are applicants allowed to submit application documents signed using facsimile signatures in. pdf format? Do signatures have to be certified with stamps? If so, does it have to be the stamp of the host institution or the stamp of the leading scientist’s employer?
- All application documents requiring signatures must bear original signatures only. Applicants are not required to have their signatures certified with stamps.
21. If an applicant wants to submit his application in Russian and English, does he have to put together two separate hardcopy binders (one in Russian and the other – in English) or can he combine them into a single binder?
- Both options are acceptable.
22. Are the following entities eligible to participate in the competition:
- Institutions of higher learning subordinated to regional governments rather than the federal Ministry of education and science,
- Private institutions of higher learning,
- Research institutes without the status of governmental research center,
- Limited liability companies, autonomous noncommercial organizations, and other legal entities?
- The following legal entities are eligible to participate in the competition:
a) Russian institutions of higher learning of any legal-organizational form, including private institutions of higher learning;
b) Research institutions subordinate to the following state academies:
1) Russian Academy of Sciences;
2) Russian Academy of Medical Sciences;
3) Russian Academy of Agricultural Sciences;
4) Russian Academy of Architecture and Construction Sciences;
5) Russian Academy of the Arts;
6) Russian Academy of Education;
c) Governmental research centers of the Russian Federation (47 GRC).
23. Can two Moscow institutions of higher learning submit a joint application?
- Two institutions of higher learning cannot submit a joint application.
24. Can a foreign leading scientist submit an application if he has collaborated with an institution of higher learning in a different country?
- Yes, if he has not been collaborating with this Russian institution of higher learning under a contract of employment since 2010.
25. Is it possible to involve several scientists in a research project? For example, is it possible to involve a scientist specializing in chemical technologies and a leading scientist specializing in information systems if this will help establish a modern laboratory focused on interdisciplinary research?
- A grant application may be submitted on behalf of one leading scientist only. If the leading scientist wins a grant, he may involve other specialists in his research project but he will be singlehandedly responsible for the outcomes of his research project.
26. What are the criteria used to determine the position of “leadership” of Russian and foreign leading scientists within their respective scientific research areas?
- The criteria used to determine the leading scientist’s work experience and scientific research achievements are available in the “Evaluating grant applications” section of the Competition Documentation, as well as in the presentation available in the “Competition/2012” section of the following website: www. *****.
27. Are there any limitations pertaining to the number of foreign participants, including foreign participants from among former Russian citizens?
- There are no such limitations but their number should be reasonable.
28. What sort of costs can be covered using the means of co-financing – materials, equipment, travel, research?
- Co-financing can be used to cover all of the costs listed above. All eligible costs that can be covered using co-financing are listed in Paragraph 3.3.2, Section 3, “Host organization’s contribution budget”, of Form 4.
29. If the amount of co-financing raised in a report year exceeds the required minimum, is it possible to carry the excess over into the next year and raise a respectively smaller amount in the next year?
- Yes, this is acceptable. You may raise the entire amount of required co-financing in the first year and use governmental funding throughout the rest of the project implementation period.
30. Grants are issued in the amount of up to 90 million roubles each to be expended over the course of three years. Does the grant amount have to be broken down into three equal instalments or can it be broken down in an arbitrary fashion?
- It is recommended that the grant amount be broken down into three equal installments of 30 million roubles per annum.
31. Is the leading scientist paid for only four months of his physical presence in Russia or is he also paid for the time he manages the project from abroad?
- The leading scientist is paid in compliance with a bilateral agreement executed by and between the leading scientist and the host institution of higher learning. The leading scientist remains the head of the laboratory throughout the entire duration of the project regardless of his geographic location and physical presence in the Russian laboratory.
32. Are applicants required to include budget line item No.11, “Current laboratory repair costs”, in their project budgets?
- The cost in this line item may be zero roubles.
33. Are grant recipients allowed to redistribute funds among budget line items?
- Yes, they are.
34. How does one pay for accommodation of the leading scientist, third-party specialists and invited graduate students (including foreigners)? Which budget line item should reflect these costs?
- It is recommended that these costs be covered using nongovernmental funding.
35. The budget line item “ Fees payable for work performed by third-party organizations (not to exceed 5% of the total grant amount)” implies that grantees are allowed to spend up to 5% of the grant amount + 5% of the host institution’s co-funding or does it imply that they are only allowed to spend up to 5% of the grant amount?
- The 5% limit applies to the grant amount only.
36. Are there any age limitations pertaining to the leading scientist and other project staff members?
- There are no age limitations but applicants are encouraged to remember that the leading scientist is expected to supervise his laboratory and his research project by being physically present at the host institution/organization for not less than 4 months per annum.
37. Are applicants encouraged to hire researchers aged 40 – 60 years old who cannot be considered “young researchers” but who have a sufficient amount of experience and expertise within the project area?
- It is the leading scientist who puts together the project staff and, if necessary, he can hire researchers of any age category as long as he knows that their qualifications meet his expectations.
38. Are leading scientists allowed to hire scientific consultants from among prominent and authoritative experts within their respective research project areas, provided such consultants are unable to be physically present in Russia for at least four months per annum?
- Yes, they are.
39. How important is it to account for an applied component within the research project? Are purely fundamental research projects eligible for funding under the competition?
- Both applied and purely fundamental research projects are eligible for funding under this competition.
40. How innovative does the research project have to be? How do the competition organizers interpret innovativeness?
- Scientific novelty must be indubitable. Projects whose subject matter is viewed as innovative at the global scale will be given preference. Innovativeness is interpreted as an opportunity to invest an intellectual solution in order to develop and generate new knowledge, an idea that has never been used before to renovate and improve people’s lives (technologies, products, organizational forms of society, such as education, administration, organization of labor, public service, science, informatization, etc.) followed by its practical implementation (production) and guaranteed acquisition of added value (profit, advancement, leadership, priority, radical improvement, qualitative superiority, creativity, progress).
41. Are applicants encouraged to pursue a broad scope of research objectives or do their projects have to be focused on a single critical technology?
- It is more important to ensure accomplishment of all project objectives within the project implementation period.
42. Are grantees allowed to use equipment designed in the course of the project, or products manufactured using such equipment for commercial purposes?
- Grantees are encouraged to commercialize their project results.
43. What sort of reporting is required?
- The Interim Regulations (see the official competition website at www. *****) require quarterly reports on eligible use of grant funds, semi-annual project progress reports, and annual reports on the works performed and results achieved to be submitted by leading scientists.
44. Are leading scientists and their newly created research laboratories expected to engage in pedagogic activities?
- Not only are they expected, but they are also encouraged to engage in pedagogic activities.
45. Приравниваются ли результаты защиты научных диссертаций соискателей и аспирантов?[1]
- Yes, if these works have been performed within the research project area and the outcomes of dissertations presented for defense have been achieved by a project staff member within the framework of the project.
46. How are the grant applications going to be assessed? Will you break them down into research areas and consider the group marks or will you support applications with the highest scores regardless of their association with a particular research area?
- Applications will be assessed within the scientific disciplines identified by the Grant Board. Applications with the highest scores will be supported regardless of their association with a particular research petition winners will be finalized by the Grant Board based on the results of assessment of the grant applications.
47. Are there any fundamental differences in the assessment of the grant applications submitted in 2013 as compared to the assessment of the grant applications submitted under the competitions held in 2010 – 2011?
- The application selection criteria approved by the Grant Board as fundamentally different in 2013 as compared to 2010 – 2011. Each application will be assessed by two Russian and two international experts – this has not changed.
48. What kind of parameters will be given special attention when selecting the winners: human resource, publication record, availability of previously created intellectual property, ideas, articles, patents, monographs, articles in foreign journals?
- Competition winners will be identified by the Grant Board on the basis of the results of assessment of the grant applications by international and domestic experts in compliance with the application selection criteria and their significance (weight coefficients). The application selection criteria are described in the Competition Documentation.
49. Will research organizations be given preference when determining the competition results in view of the fact that they did not take part in the competitions held in 2010 and 2011?
- No, they will not.
50. How much money will the Government of the Russian Federation allocate for the third open grant competition in 2013 – 2015?
- The Government of the Russian Federation plans to allocate approximately 1.2 billion roubles for the purposes of the third open grant competition in 2013 – 2015.
51. Is the competition budget broken down by scientific disciplines (are there any quotas assigned to the eligible scientific disciplines)? How much money is allocated to each of the 36 eligible scientific disciplines?
- The budget is not broken down by scientific disciplines.
52. Which of the two goals of the competition – to implement a research project and to establish a research laboratory – is more important?
- Both goals are equally important.
53. Who owns the rights to intellectual property created in the course of the projects funded under the competition?
- Any intellectual property created in the course of the projects funded under the competition shall be owned by relevant host institutions.
54. Are the grantees expected to apply for Russian or foreign patents?
- They are expected to apply for any kind of patents, preferably those whose status is higher.
55. Are the grants hereunder issued to leading scientists or host organizations?
Who signs the grant agreement: the host institution/organization and the RF Ministry of education and science or the leading scientist and the RF Ministry of education and science?
- The grants made available hereunder are a form of governmental support provided to research projects implemented under the supervision of the world’s leading scientists at Russian institutions of higher learning, research organizations of the governmental academies of sciences, and governmental research centers of the Russian Federation.
These grants are essentially governmental subsidies paid out to Russian institutions of higher learning and research organizations that will host research projects in question.
Pursuant to the relevant decision of the Grant Board of the Government of the Russian Federation, a trilateral grant agreement will be executed by and between the RF Ministry of education and science, the host institution/organization, and the leading scientist. The grant agreement shall be endorsed by the authorized official of the RF Ministry of education and science, the rector/director of the host institution/organization, and the leading scientist.
The leading scientist shall be personally responsible for achieving the research project results specified in the project proposal and grant application. The host institution of higher learning or research organization shall be responsible for ensuring eligible expenditure of grant funds.
56. If the grantee is an academic institution, will it receive its funding directly or via the Russian Academy of Sciences?
- It will receive its funding via the Russian Academy of Sciences.
57. Are the host institutions/organizations allowed to spend the grant funds only upon consent of the leading scientists?
- Pursuant to Resolution of the Government of the Russian Federation No.220 of April 9, 2010, host institutions of higher learning or research organizations are allowed to spend the grant funds provided by the Government of the Russian Federation hereunder only upon consent of the leading scientists supervising the research projects hosted thereby.
[1] Смысл предложения не понятен – не понятно, к чему должны приравниваться результаты защиты научных диссертаций соискателей и аспирантов, и непонятно, кто такие «соискатели». Ответ на этот вопрос переведен дословно, поскольку непонятно, что такое «результаты диссертаций, выносимые на защиту» (прим. пер.).
