Engineering Research Center in Reservoir and Production Management
FAPESP – Statoil Brazil
Engineering Research Center in Reservoir and Production Management
|Funding duration:||maximum of 10 years, according to item 5 of this call|
|Instructions for submission:||available from June 1st 2017|
|Proposals submission:||until July 28th, 2017|
Patricia Tedeschi: Chamada_statoil@fapesp.br
3.2 Composition of the Research Center team
3.3 Involvement of international universities
3.4 Participation of STATOIL
3.5 FAPESP-Statoil Joint Steering Committee (JSC)
3.6 International Advisory Board
5.2 Items that may be funded by FAPESP
5.3 Items that may be funded by STATOIL
5.4 FAPESP Restrictions
5.5 Required Institutional Support
5.6 Supervision of the Center
5.7 Program Funding
Annex 3: General terms for Code of Conduct
Annex 4: Instruções específicas sobre o uso do SAGe
One of the challenges in advancing knowledge is the complexity of current scientific and technological problems. Tackling these problems often requires longer term and more substantial support than that usually offered by FAPESP through its Regular Research Grants (or Thematic Projects). Longer term financing and (in many cases) interdisciplinary approaches permits more complex problems to be addressed and often more successfully results.
In many cases, the identification of the most potentially rewarding technology challenges can stem from an association with business or government entities, which are directly connected to market or societal needs. In this context, FAPESP has built on its successful CEPID program and has adapted it to facilitate partnership with committed co-funding industrial partners, who are motivated to deploy the research results. Therefore, following the approach of Research Partnership for Technological Innovation (PITE) program, FAPESP has created the Engineering Research Centers (ERC).
The core mission of the ERC initiative is to establish a long-term world class Research Center with effective mechanisms for education and dissemination of knowledge, and technology transfer. These programs require not only long-term financing but also a reasonable degree of delegated authority in the application of the funding, considering previous alignment of the project frame with the Statoil and FAPESP. They also require a strong institutional connection to the co-funding partner, and a regular and rigorous assessment of the center’s performance.
Statoil is a Norwegian multinational energy company with headquarter in Stavanger. The company has 43 years in oil and gas (O&G) production on the Norwegian continental shelf and is operating in more than 34 countries, with a production of 1.93 million boe/d.
Established in the country since 2001, Brazil is a core area for Statoil. Peregrino is our first major operatorship outside the Norwegian continental shelf. In addition, we have a consistent exploration portfolio, being operator in 2 pre-salt licenses BM-C-33 (Pão-de-Açucar) and BM-S-8 (Carcará). The Espírito Santo basin is another emerging oil play in Brazil, where Statoil is well positioned with 4 operating licenses and partnership in 4 licenses.
Statoil’s R&T department in Brazil, the Research and Technology Center Rio (RTCR), was established in Brazil in 2012 with the ambition to develop research and innovation in collaboration with the scientific community. This is a part of the investments obligations arising from O&G exploration in Brazil.
Statoil has a long term commitment in Brazil and is continuously expanding and developing the asset portfolio. We thus have a particular interest in R&D in the field of Reservoir and Production Management innovation and technology in order to:
(i) Improve the efficiency of the operations;
(ii) Increase reservoir recovery
(iii) Accelerate production
(iv) Reduce Capital Expenditure (CAPEX)
In partnership with FAPESP, Statoil wishes to establish a Brazilian Center of Excellence in Reservoir and Production Management. The focus of the Center at a strategic level will be to undertake R&D into:
(i) Production optimization
(ii) Enhanced / Increased Oil Recovery (EOR / IOR)
(iii) Water handling
Statoil recognizes the ERC program as a suitable vehicle to promote a long-term research program in this field with São Paulo research institutions and universities.
The collaboration between academia and the Brazilian industry is stimulated and well seen. We believe that the interaction between these players will enhance the results of the Center of Excellence efforts accelerating the process to bring research into implementation. The collaboration overseas is also desirable, exchanging knowledge beneficial for all parties.
a) Engineering Research Center (ERC): As a part of FAPESP’s ERC Program, it is a complex and long-term project regarding to develop world-class research that lead to the consolidation of a Research Center.
b) CRPM: The Engineering Research Center in Reservoir and Production Management, in the call for proposals referred to as the Center.
c) Principal Investigator (PI) is the researcher responsible for preparing and submitting the Proposal and for the scientific and administrative coordination of the Project if approved by FAPESP and STATOIL. The PI should have the explicit endorsement of the Host Institutions and the other associated institutions, if this is the case. At a Research Center as part of FAPESP’s ERC Program, the PI is the Center Director.
d) Co-Principal Investigator (Co-PI) is a team researcher, proposed by the PI and approved by FAPESP and STATOIL. All co-PIs must have an excellent research background, their participation must be clearly specified in the Research Project, and this participation must be essential to the development of this Research Project. The Co-PIs may be entitled to using FAPESP’s Complementary Benefits.
d.1) The PI is necessarily one of the project's Co-Principal Investigators.
d.2) The Center may have more than one Co-Principal Investigator in addition to the Principal Investigator.
e) Associate Investigator (AI): Team researchers, assigned by the Principal Investigator and approved by FAPESP and STATOIL, who are responsible for contributing to well-defined parts of the Research Project.
f) Host Institution: The institution hosting the Project and to which the PI is connected. This connection is not necessarily of employment, but in any case, it is necessary that a formal connection be established in a manner considered satisfactory by FAPESP and STATOIL regarding the commitments of the Principal Investigator and the Host Institution to the Project. The Host Institution should provide institutional support to storing and accessing material and equipment for the project researchers.
g) ANP: Brazilian National Agency of Petroleum, Natural Gas and Biofuels.
2.1 Requirements for the PI and the co-PI's
a) A PhD degree or equivalent qualification.
b) A formal connection with a research institution in the state of São Paulo.
c) Proven substantial scientific or technological production and leadership in large and bold research projects.
d) Proven experience and competence in the area in which the Project is inserted, demonstrated by:
d.1) Quality, regularity and impact of researcher’s scientific and technological production.
d.2) Supervision of researchers at the graduate level.
d.3) Experience with scientific exchange and execution of research projects in collaboration with researchers from institutions in Brazil and in other countries.
d.4) Ability to form research groups with results recognized by the scientific community.
3. The Engineering Research Center in Reservoir and Production Management
The plan for the selected ERC-RPM should include internationally competitive research in the topics listed below. The plan must as much as possible explore the synergies and complementarities among these topics.
In broader terms, the research center is expected to demonstrate a substantial contribution to each of the following goals:
a) Perform world-class science and research on the cutting edge of either fundamental or applied knowledge, seeking economic, environmental and social impact through innovation.
b) Transfer of knowledge to STATOIL and to the society, including corporate and/or non-governmental and/or public sectors. Some examples of valuable achievements towards this objective are:
b.1) Carrying out projects in partnership with governmental or non-governmental agencies that are responsible for public policies.
b.2) Start-up of small businesses that incorporate results of research developed by the Center in their products or services. These small businesses may benefit from the Innovative Research in Small Business Program (PIPE) at FAPESP.
c) Interacting with the educational system, especially at the graduate and post-graduate levels, for example through the FAPESP Public Education Research Program.
All the aforementioned activities and goals of the Research Centers stem from the performance of internationally competitive research, following the best global excellence benchmarks.
3.1 Topics to be Covered in the Research Plan
The themes of interest shared by STATOIL and FAPESP for this Call for Research Proposal are shown in the organogram below.
The Center will encompass three focused but complementary research programs on the topics of interest below and with further details provided in Annex 2. A short summary of the three research programs is provided below:
a) Production Optimization:
Increase production from the wells by improving efficiency and improved knowledge of fluid behavior in the wells.
b) Enhanced/Improved Oil Recovery (EOR/IOR):
Evaluate different methods to increase the recovery factor of reservoirs with advanced studies.
c) Water Handling:
Minimize water production, increase the span of possibilities when handling produced water and reduce complexity of water flooding.
Center proposals must contain research plans for all three research programs, supported by details of proposed academic contributions and statements of capabilities in each area. Novel approaches around the themes of research are welcome. Selected targets will be developed further by collaboration between STATOIL and the PRMC.
FAPESP and Statoil will host a workshop in order to clarify the technology demands and strategic directions foreseen for the Center of Excellence in Production and Reservoir Management. This workshop will be held in São Paulo city in May 2017, at FAPESP facilities, and will be open for the participation of members of Brazilian academia and the local technology centers and industry established in São Paulo state. The main objective is to discuss the scientific challenges and potential R&D opportunities and also to discuss the capabilities of the potential proponents to develop research in the proposed areas.
3.2 Composition of the Research Center team
A key success factor for the Research Centre will be a balanced research and management team led by the PI, and supported by high quality administrative and management services. The latter may also include representative(s) from Statoil. A research team is composed of Associate Investigators, Visiting Researchers, Post-Doctorate Researchers, graduate and undergraduate students, and technical support personnel.
The Centre should be able to demonstrate world-class expertise, and be underpinned by the scale, depth and duration of the proposed research activities. To deliver the research programs efficiently and effectively will require continuous interaction between team members to achieve the scientific and technological goals, and the transfer and diffusion of knowledge.
The dimensions, structure, and operation of the Center should be determined based on the activities to be carried out regarding research, dissemination and transfer of knowledge. In particular, the Center should be hosted by one Institution in the State of São Paulo. The association with other institutions in the State of São Paulo will be considered to enhance the value of the proposal and in some cases, may be essential to make the proposal stronger.
The Center must have a clear defined common scientific and technological focus around reservoir and production management that articulates all research activities to be developed. It must be understood that this is not an institutional support program and, therefore, research divisions, departments, units and institutions will not be supported as such. Funding of Center activities will be long term, limited to 10 years, with regular assessments and any consequences of these assessments throughout this period. Funds allocated may be used with a degree of autonomy. However, FAPESP and STATOIL will maintain permanent supervision with periodic evaluations of Center activities.
The proposals for this Call for Research Proposals must include a proposal for the academic organization and management systems of the Center, which unequivocally demonstrates the possibility of reaching the established objectives.
The Centre shall be directed by an Executive Committee (EC) composed of a Director (Principal Investigator), a Deputy Director, a Coordinator of Education and Dissemination of Knowledge, and a Technology Transfer Coordinator. The EC shall be supported by a staff of managers, professionals to be hired by the Host Institutions who should carry out and supervise all management and administrative tasks necessary for the operation of the Centre.
3.3 Involvement of international universities
Participation of international universities in projects should be proposed where such collaboration can provide unique and leading capabilities that enhances the technical outputs of the projects. Such international involvement could include, for example, periods spent by a São Paulo based PhD student or post-doctoral researcher at the university abroad.
3.4 Participation of STATOIL
Participation of STATOIL in the activities of the Research Center, including the appointment of STATOIL’s scientists or technicians to participate in the Center’s activities, is essential and will be discussed with the Principal Investigator and the Host Institution after the review process. The appointment of a Statoil representative as the Deputy Director of the Centre will facilitate a high level of interaction between the Centre, Statoil its affiliates.
3.5 FAPESP-Statoil Joint Steering Committee (JSC)
A FAPESP-Statoil Joint Steering Committee (JSC) will be established to provide overall direction to the Research Centre. The JSC will include representatives from FAPESP and Statoil, and will meet twice per year (every 6 months) to review the progress of the Centre, including the review and approval of the annual research plan. The JSC will ensure continued alignment of the Centre with the science and technology, education and technology transfer requirements of both FAPESP and Statoil. This will include a particular focus on identifying development and deployment opportunities for the research outputs of the Centre to be developed by Statoil and affiliates. The JSC will consult with the IAB for reviews on project proposals, to ensure that quality is in the forefront of international research.
3.6 International Advisory Board
The International Advisory Board (IAB) will suggested by the university proponent and established by the Executive Committee. The IAB will be made up of renowned scientists in the field of reservoir and production management.
The IAB should include at least two foreign scientists who are active in the cutting edge of the knowledge in their areas. FAPESP and Statoil expects the IAB to guide the team regarding new opportunities for research, new directions, aiming at increasing its international competitiveness and also the Center visibility abroad. The IAB should not be considered a substitute to the FAPESP evaluation system, which will be implemented solely by FAPESP and STATOIL. The IAB must be convened by the Center Executive Board at least once a year, preferably in conjunction with a meeting of the JSC, and a workshop including all team members After every IAB meeting there will be a scheduled meeting with FAPESP and STATOIL representatives.
4. Necessary Conditions to Create a Center
The essential conditions to justify a Center are:
a) Research Plan: The Proposal for a Center should have as a core an advanced and original research plan that is highly competitive both nationally and internationally.
b) Host Institution: The institution hosting the Research Center and to which the PI is connected. This connection may not necessarily be through employment, but it must be formal in nature and appropriate to the responsibilities and commitments of the PI and the Host Institution.
c) The formal commitment from the Host Institution(s) must include:
c.1) A detailed description of the institutional contribution as well as schedules for disbursement and/or hiring of personnel. In this official document, there should be details on contributions regarding the following:
c.1.i) Physical space and infrastructure: The physical area set aside for the Center should not only provide for perfect functioning of activities related to research, innovation and diffusion, but also permanent interaction among its researchers. When this does not fully exist, the proposal must include a commitment to build it and timeline for its construction.
c.1.ii) Personnel assigned to the proper administration and management of the Project.
c.1.iii) Technical support staff.
c.1.iv) Technical and Financial proposal at project levels should be delivered to Statoil in the documents established by the National Petroleum Agency, described in the ANP Regulation 3/2015.
c.1.v) The institutions involved shall commit themselves to share information for Statoil’s HSE qualification and Integrity Due Diligence verification. Statoil has the right to interrupt any ongoing application in case of issues in IDD and HSE processes.
c.2) The institutions involved in the Center must prepare a single Agreement listing all institutional commitments signed by the highest-level administration of each Institution.
d) The Center Director, who is also the PI, and Team: The experiences of the ERCs and similar Centers in other countries have shown that the success of implementing the Centers is highly dependent on the appropriate choice of its Director and Team of Researchers.
d.1) The Center Director, a researcher with a solid background of internationally competitive scientific achievements in the area of the Center, should also have proven leadership and management abilities to develop large-scale projects.
d.2) The PI and Co-PIs must stand out for their excellence. They must be researchers who have produced scientific work of international impact and have shown competence for cooperative research within the Center's focal theme. The research team is expected to include some young researchers with proven potential for research. The composition of the team must reflect the interdisciplinary nature of the Research Project.
d.2.i) The Proposal for the Center may be accompanied by requests for Research Grants – Young Investigator prepared according to FAPESP standards for the modality, which will be analyzed along with the Proposal for the Center.
d.3) There may be Researchers in other countries or other States of Brazil taking part in the research team provided they have proven excellence in research. In this case, the budget proposed may provide funds for transportation of these researchers to the Host Institution and for their maintenance, within the guidelines of the Visiting Research Award from FAPESP.
e) The Center must have an Education and Knowledge Dissemination Coordinator and a Technology Transfer Coordinator.
e.1) The Education and Knowledge Dissemination Coordinator should be experienced in developing projects in this area .
e.2) The Technology Transfer Coordinator should be a researcher experienced in Technology Management.
f) The PI and co-PIs must demonstrate a substantial time and dedication to the Center activities.
f.1) The PI and Co-PIs are expected to dedicate, at least, 20 hours per week to activities in the Center.
f.2) Other team members may be less dedicated, if justifiable and compatible with their duties in the project.
g) Agreements, joint projects or collaborations established or under negotiation with internationally recognized foreign Centers, departments or research institutes with research focus on the area of the Research Center are non-exclusive conditions that can make the proposal more competitive. When they are not included in the proposal, the selected Research Center should establish such collaborations in the first two years of its operation.
h) Ensure that the total time dedicated to the project and declared by the respective participants in the regular reports complies with the applicable internal rules and current labor legislation. Thus, the total time invested in all the research projects, whether those of Statoil or other entities, should not exceed that established by the legislation.
5. Support Offered by FAPESP and STATOIL
a) For the Centers selected, funding will initially be awarded for a 3 years’ period, which may be renewed, by decision of the Joint FAPESP-STATOIL Steering Committee, at the end of the 3rd, 5 th, and 7th years. Wide ranging assessments that may include visits to the Center will be performed. Continuation of funding is dependent on these assessments. In any event, after ten years, FAPESP and STATOIL will not have any commitment to maintain the Center.
b) Funding from FAPESP and STATOIL is not expected to be the sole and exclusive support of the Center – within the Project there should be documentation of total necessary budgeting for the operation of the Center and the sources, including FAPESP and STATOIL, which will contribute to each item.
c) A significant factor in providing value to the Proposal during the selection process is the existence of funding from sources beyond FAPESP, STATOIL and the Host Institution, provided they are aimed at objectives that are in line with the mission of the Center, as defined in the Project submitted to FAPESP and STATOIL.
d) Funding from FAPESP and STATOIL may be complemented by other sources if the FAPESP-STATOIL Joint Steering Committee approves the contributions in advance.
e) The total economic and financial support from FAPESP and STATOIL to the Center will not be larger than R$ 5.000.000,00 annually for any year, considering both Parties contribution; included in this total are the values ascribed to the Overhead for Direct Infrastructure Costs for the Project and the overheads for any awarded fellowships.
5.1 Funding duration and schedule
The maximum support duration for the Center is 10 years, subject to the evaluations mentioned above.
The financial support from FAPESP and Statoil to the Center will be yearly limited to the total amount of R$2.500.000,00 by each party. The specific contribution for each project is subject to further approvals.
Guidance: Institutions should note that as far as the Statoil financial support is concerned, there is flexibility on distribution over the years. This applies only to the Statoil financial support, and institutions should also ensure that proposals are compliant with the guidance provided in this document on the constraints of the application of financial support by both FAPESP and Statoil.
5.2 Items that may be funded by FAPESP
FAPESP is forbidden by law to support administrative activities. For this reason, support for all administrative activities as an institutional contribution will be essential to making the creation of a Center feasible.
Items that may be funded by FAPESP are: Fellowships (at scientific initiation, technical training, master, doctorate, post-doctorate levels), visiting researcher grants, organization of work meetings, research equipment, consumables, third-party services, per diem allowances for travel, transportation, living expense aids to visiting researchers. Funding may cover civil construction of research infrastructure to remodel or adapt already existing structures (considering no increase in built area), which are essential to the appropriate execution of the Research Project. Further information on Fundable Items is available at Annex 1.
5.3 Items that may be funded by STATOIL
The Statoil financial source shall follow the rules of the ANP Regulation n° 3/2015, or any other Regulation that replaces it. The items that may be funded with funds requested to STATOIL are the ones qualified for the “Projects or Programs in Research and Development” by the referred Regulation, such as:
a) Capital goods or equipment, necessary to the Research Project, provided they stay under the ownership of Institutions of the public or private Higher Education and Research Institutions in the State of São Paulo, after the completion of the project;
b) Fellowship for undergraduate, Masters, Doctorate students and Post-Doctorate researchers, with values at least equal to the fellowships FAPESP provides for these arrangements, including contingency funds;
c) Acquisition of consumables, travel expenses and services where directly necessary to the Research Project;
d) Expenditures directed to the infrastructure necessary to the Research Project;
e) Funds to supplement wages of faculty or researchers employed by institutions of Higher Education and Research that host the project;
f) Funds for hiring, for the period of the project, researchers and technical support needed for research work associated with the project;
Statoil may also fund other expenses as its sole discretion.
5.4 FAPESP Restrictions
a) There may be no additional salary payments of any nature using FAPESP funds.
b) The law also prohibits FAPESP from supporting administrative activities of any kind. These activities, necessary for the success of the Center, should be fully guaranteed by the Host Institutions, with complementary funds coming from any other sources being well documented.
c) FAPESP funds may not be used to finance neither construction of new buildings nor of annexes to already existing buildings
5.5 Required Institutional Support
As already mentioned, FAPESP is forbidden by law to support administrative activities and paying salaries. For this reason, support for all administrative activities (procurement, management, secretary services, and others) and payment of research support personnel as an institutional contribution will be essential to the feasibility of creating a Center . Thus, guaranteeing administrative infrastructure is an essential part of the institutional contribution.
Moreover, the Host Institution must ensure:
a) Personnel and services for administration and management, including at least:
a.1) One Executive Manager of the Center.
a.2) One Technology Transfer Manager.
a.3) One Education and Knowledge Dissemination Manager.
a.4) All technical personnel needed for perfect support of research and other activities.
a.5) Plan for admitting new researchers/professors: Item not required, but adds significant value to the proposal.
b) Total technical support and facilities for the Center.
c) Administrative support for procurement, scheduling, accounting, and all other administrative tasks needed for successful functioning of a Center of the intended size.
All institutional contributions must be described and quantified in physical data and financial and economic numbers: Earmarking, salaries for researchers and support personnel, facilities (layout of the area to be occupied by the Center), equipment and infrastructure to which the Center will have access (e.g. communication, computer network, support workshops, administrative resources). The intensity of the institutional support considered necessary and approved by FAPESP will be an important item in FAPESP assessment of the proposals.
5.6 Supervision of the Center
The activities at each Center will be assessed annually via the Progress Reports. At the end of the 3rd, 5th, and 7 th years, wide-ranging assessments that may include visits will be carried out. The results of these assessments will be decisive to continued support from STATOIL and FAPESP.
a) If the Center is not approved on the 3rd year assessment, it will have 6 more months of reduced support in order to deactivate.
b) If the Center is approved in the 3rd year, it will have its support renewed for 2 more years.
c) If the Center is not approved in the 5th year assessment or in any of the subsequent assessments the Center will have one additional year of reduced support to deactivate or find new sources of funding.
5.7 Program Funding
FAPESP and STATOIL will, each one, reserve up to R$2.500.000,00 annually to implement the program, with up to 1 proposal expected to be selected.
6. Presentation of Proposals
All proposals will be internationally peer reviewed; hence, they must be presented in ENGLISH.
During the review process, the reviewer may consult the Lattes CVs of the PI, Co-PIs and other members of the scientific team; therefore, the Lattes CVs must be updated.
The proposal must be submitted by the PI (Centre Director if the proposal is approved), with the endorsement of the appropriate institutional directors (for example, at a State University there should be an endorsement from the Unit Director, the Dean of Research, and the University President), and of the Co-PIs. The list of documents that must be submitted is available at the SAGE System, and includes.
Identification on Cover Sheet
PI, name of the Centre, name of Host Institution and associated institutions, names and connections of Coordinators proposed for Education and Dissemination of Knowledge and Technology Transfer.
Abstract (30 lines)
The research proposal's abstract.
Summary (up to two pages)
a) Statement of the Centre mission;
b) Description of the Centre and its specific features;
c) Focus of research activities and, if applicable, their multidisciplinary articulation;
d) Expected Technology Transfer and Education and Dissemination of Knowledge activities;
e) Justification for creation of the Centre; Brief description of the institutional contribution.
Research Plan and description of its scientific relevance (up to 20 pages, including bibliographic references)
The Research Plan is the core of the Centre Proposal. It should describe the scientific and technological challenges to be faced, the state of the art in the area, as well as the means, methods, and materials necessary to face them. It should list activities proposed with the state of the art in the area. A bold and original Research Plan that is highly competitive nationally and internationally is expected. How the chosen strategy will influence the area of research in a significant manner should be shown. The Research Plan should articulate the vision for the Centre, outlining the scientific macro-challenges that will be faced and/or the sought after scientific discoveries. The plan needs to specifically justify, in terms of complexity of problems and/or scale and potential of scientific relevance, the special support that is offered and the potential time span of 10 years. The scientific objectives of the Centre and the research activities should be described in a sufficiently detailed manner to allow for scientific assessment of their merit as well as of the need for a Centre to carry them out. They should be aligned with the statement of the Centre Mission defined above. The Research Plan should also show how the integration between Education and Dissemination of Knowledge and Technology Transfer must contribute to advancing research.
2) Justification for the Centre (up to three pages): the existence of the Centre must be justified based on the nature, importance, and feasibility of the activities to be developed. It should be based on each of these reasons:
a) Complexity of the problems to be addressed;
b) Scale and duration of the research activities to be carried out;
c) Multidisciplinary character of the research planned;
d) Need for continual interaction between Team members.
3) Action Plan for Education and Knowledge Dissemination (EDC) (up to three pages, including bibliographical references):
The activities of the Center must include dissemination of knowledge. This will mainly focus on the graduate and post-graduate level. The experience of participants in this type of activity should be briefly described, emphasizing documented results.
The activities of the Centre must include dissemination of knowledge . This will mainly focus on the graduate and post-graduate level. Prior experience of participants with this type of activity should be briefly described, emphasizing documented results. The Proposals are expected to contribute to Education and Dissemination of Knowledge and to engaging graduation and post-graduation levels. The project team must include a Coordinator responsible for these activities and a Manager hired by the Host Institution.
4) Action Plan for Technology Transfer (TT) (up to three pages including bibliographic references): Research activities at the Centre should have great potential for exchange with other research and knowledge transfer institutions to the productive and government sectors. The Technology Transfer proposal should describe how the Centre will develop and implement these activities. Prior experience of participants with this type of activity should be briefly described, emphasizing documented results (projects, co-authored publications, licensed or co-licensed patents, absorption of graduate students by collaborator companies, etc.). The plan must be described and the viability of technology transfer activities must be shown via projects done in partnership, incubation of companies, continuing education programs, and other activities. The project team must include a Coordinator responsible for these activities and a Manager hired by the Host Institution AND
5) Management Plan and Organizational Structure for Centre operations, including:
a) Governance, Management Plan and Structure (up to three pages): The Center must have an organizational structure and governance that are adequate to the complexity and diversity of its objectives. The organizational chart must include Coordinators responsible for the education and diffusion of knowledge activities and the Coordinator of the technology transfer activities, in addition to other coordinators that the proposers consider necessary. The governance should also show how the Center will be located within the Host Institution organization, and how research programs will be integrated to other institutions. The governance should detail the management model for activities and mechanisms of collaboration. In terms of team meetings, at least one annual meeting should be included, in which the results and/or projects and/or plans for the coming period will be presented and discussed, held in addition to regular team meetings. The governance shall also include information on how the Centre will manage health, safety, security (HSE) and environmental risks, and it should contain a management of change strategy statement.
b) Executive Committee (CE) (one page): This should be composed of at least the Principal Investigator responsible for the proposal (Centre Director), the Vice Director, and the Technology Transfer and Education and Dissemination of Knowledge Coordinators. There may be other members if necessary. The CE should supervise all day-to-day operations at the Centre and should be assisted by an appropriate support team connected to the Host Institution.
c) Proposal for composition of the International Advisory Board (IAB) (up to two pages): Suggested names, their justification, and modus operandi of the IAB. FAPESP expects the IAB to perform the main role of supervising the functioning of the Centre and guiding the team regarding opportunities and research, new directions to take, and increased international competitiveness of the science created by the Centre. Members should be both researchers who are very highly regarded for their international excellence and people to whom the Centre Director and Coordinators have easy access.
6) Team: it must be presented at the SAGE System and must be completed with all the Team Members, including researchers (including post-doctorate fellows), technicians, administrative support personnel, and students. A description of the responsibilities of each of the co-Principal Investigators should be included in the Research Plan. The Centre is expected to have a Team with a balanced distribution between co-Principal Investigators, Associate Investigators, Visiting Researchers, Post-Doctorate Researchers, students and the corresponding technical and administrative support. In addition to the Centre’s Director and Vice Director, the Proposal must include:
a) The Coordinator responsible for Education and Dissemination of Knowledge activities;
b) The Coordinator responsible for Technology Transfer activities;
c) The team of researchers responsible for executing research projects to be developed;
d) For each member of the scientific team (Principal Investigator - Director, Vice Director, TT and EDC Coordinators, and Principal Investigators) the proposal must include the Résumé (model available at SAGE);
7) Description of the infrastructure available for the project
8) Details on other current and expected support (up to two pages) : list of other support already contracted or other expected support.
9) Details of institutional support and its costs (up to five pages): description of the institutional support offered by the Head Institution, including detailed information on the costs of each item of support.
10) Estimate of Total Budget for the Centre: this should include all sources of funds the Centre will have access to. The funds should be listed in terms of general items (Scientific Personnel, Technical Personnel, Administrative Personnel, Students, Permanent Equipment and Material, Consumables, Third-Party Services).
11) Budget Request for FAPESP and STATOIL: it must be filled in the SAGE “R$/US$” form for FAPESP. Statoil budget can be found in the list of documents. Both should include justification (based on the objectives for the Research Plan, the Technology Transfer and Education and Dissemination of Knowledge Plans) for all of the items, detailing the relationship of the need with the Proposal item. This budget request for FAPESP and STATOIL should be prepared for the first five years of the Centre’s operation, with justifiable estimates. The budget should include the support requested from FAPESP for Research, Technology Transfer and Education and Knowledge Dissemination, detailing the function to be met for each item (Research, Technology Transfer and Education and Knowledge Dissemination).
7 Proposal Review
Proposals will undergo a competitive review process, considering the degree to which the proposal complies with each one of the conditions listed in sections 2 and 4 of this Call for Research Proposals.
Proposals will be submitted to FAPESP via SAGE and be distributed to reviewers appointed jointly by FAPESP and Statoil with expertise relating to each of the three research program areas. Each reviewer will analyze and report on the program (s) relevant to his/her area(s) of expertise for each proposal received.
The JSC will issue a final recommendation to the FAPESP Scientific Director, who will confirm the final selection decision.
The review process may include (at the discretion of the JSC) an interview with the proposing PI, the research team, and directors of the Host Institution, as well as visits to participating institution(s).
FAPESP and Statoil are not bound to accept any of the proposals.
7.1 Review and selection criteria
1) SCIENTIFIC MERIT. Boldness of the Proposal benchmarked by analysis of the international state of the art for the area. The Project should be strategic and present reachable and measurable objectives to be met during the duration of the Program. It is essential that realistic and detailed timelines be made for the first two years of the Project. The research plan should indicate the potential of the Centre to become a world-class reference in its field. One of the important elements of the plan should be the strategy for effective international cooperation.
2) FOCUS. One common scientific/technological focus that articulates research activities to be developed is mandatory. This is closely related to the Centre Mission described above.
3) JUSTIFICATION FOR CREATION OF THE CENTRE. The Proposal must explain the need to create the Research Center. This Program is not simply a mechanism for funding, but rather intends to contribute to building a world class Center capable of creating cutting edge science and transferring and diffusing knowledge.
4) DIRECTOR QUALIFICATIONS. The Center Director must be a researcher with a solid background of internationally competitive scientific achievements in the area in which the Center works, who should also have the ability to lead and to manage in order to develop large-scale projects.
5) QUALIFICATION OF THE PRINCIPAL INVESTIGATORS. It is essential that the Director have an academic profile that is compatible with the proposals of the Plan and that the Principal Investigators have the potential to occupy the Director position.
6) QUALIFICATION OF THE TECHNOLOGY TRANSFER COORDINATOR. Experience in research and in Management and Transfer of Technology.
7) QUALIFICATIONS OF THE COORDINATOR OF EDUCATION AND DISSEMINATION OF KNOWLEDGE. Experience in research and development of projects in the area of Education and Dissemination of Knowledge.
8) ADEQUACY OF THE SCIENTIFIC TEAM. Criteria based on qualification, size, recent academic background, balance between senior and junior team members, participation of emerging leaders, involvement of post-doctoral researchers with grants on recent research done by Principal Investigators. The team is expected to have a balanced composition of Principal Investigators, Associate Investigators, Visiting Researchers, Post-Doctoral Researchers, graduate and undergraduate students, and technical support personnel, supported by top quality administrative and management services.
9) INSTITUTIONAL COMMITMENTS TO THE CREATION OF THE RESEARCH CENTER. The quality and quantity of the institutional contribution, including physical space to be used by the Center and administrative and management support, need to be compatible with the boldness of the proposal objectives.
10) TECHNOLOGY TRANSFER PROPOSAL. The intensity of transfer of knowledge to the industry, public or third sectors, may vary in intensity based on the Project focus, and should lead to a stronger bond between research institutions and the outside environment and contribute to bringing new challenges in research to institutions, guaranteeing that social benefits created by the research done are maximized.
11) EDUCATION AND KNOWLEDGE DISSEMINATION PROPOSAL. Mechanisms for diffusion and education that consolidate existing processes or propose radical innovations with the potential for improving teaching and the perception of science by society.
12) BUDGET ADEQUACY. Sources and uses; balance between costs and personnel and cost of equipment; adequacy to objectives; effective and appropriate use of existing multi-user infrastructure; access to other confirmed or prospective sources; institutional support.
Skills, experience and evidence of strategic management and business development capabilities within management team. Program management proposals, including progress and performance tracking arrangements, program governance framework, budget controls, internal audit. Internal and external communications plan. Stakeholder management plan. Risk management plan. Evidence of compliance with Statoil HSE, Ethical Conduct and Anti-Corruption policy.
14) COMPOSITION OF THE INTERNATIONAL ADVISORY Committee
Launch of the Call
April 12th 2017
Opening for submissions
June 1st 2017
Deadline for submission of proposals
July 28th 2017
Announcement of Proposals Selected
November 14th 2017
9. For Further Information
10. Implementation of the Approved Proposal
The cooperation between FAPESP, STATOIL, and the Host Institutions will be regulated by a separate agreement, which will define, among others:
a) The schedule of disbursements and financial reports;
b) The definition and timing of expected results at each stage of the project;
c) Clauses on Intellectual Property, commercial exploitation and confidentiality
e) Legal venue.
Annex 1: Items that may be Funded by FAPESP
The research project budget presented to FAPESP must be detailed and each item must be specifically justified in terms of objectives of the proposed plans. Please read the Accountability Manual: www.fapesp.br/5835.
Items that may not be funded are: salaries of any nature, third-party services of a non-technical and sporadic nature, civil construction, acquisition of publications, travel (except for field research and to present work at scientific conferences), administrative services and materials.
Items allowable for funding include the following.
1. Research project costs
a) Permanent material acquired in Brazil or imported;
b) Consumables acquired in Brazil or imported;
c) Third-Party Services hired in Brazil or abroad;
d) Transportation and Per Diem Expenses for activities connected directly with carrying out the proposed research, including for visits from Visiting Researchers;
e) Fellowships: Fellowships requested as a Budget item (BCO) under the following modalities and pursuant to FAPESP standards may be requested: Post-Doctorate (PD), Doctorate (DR or DD), ), Masters (MS), Scientific Initiation (IC), and Technical Training (TT).
e.1) The advisor/supervisor of each fellowship candidate must be the Principal Investigators or one of the co-Principal Investigators.
e.2) For each requested fellowship, a Plan of Activities must be presented with the initial proposal containing up to two pages, including the Fellowship Project Title, Summary, and Plan Description.
e.3) The plan for each fellowship needs to be consistent with the research proposal and should be referenced within the research proposal in a manner that makes it possible to see the connection with and the importance to the project proposed.
e.4) The name of the fellowship candidate should not be indicated on the proposal. If the fellowship is approved, the researcher responsible for the grant must hold a selective and publicly announced process to select fellowship candidates based on academic merit.
e.5) Rules for awarding fellowships as a budget item (BCO) are available at www.fapesp.br/2615.
e.5.i) Scientific Initiation Research Fellowship candidates should have already concluded a sufficient number of relevant classes in order to carry out the research project and obtain maximum academic benefit.
e.5.ii) Candidates for Doctorate, ”Doutorado Direto”, and Masters level fellowships should have been accepted into the project Host Institution’s graduate program or Co-PIs Institution.
e.5.iii) In the case of Post-Doctorate Fellowship given as a budget item of the project, the selective process must necessarily be international and must be documented and approved by FAPESP at the time that each Fellowship is awarded.
e.5.iv) If documents proving a public and international selective process are not presented the fellowship will not be granted by FAPESP.
e.6) Scientific Initiation, Master, Doctorate and Post-Doctorate fellowship may also be requested separately, as Complementary Requests, in accordance with what is set forth in item 4 below, connected to ERC Projects in specific proposals, according to the traditional procedures for the FAPESP Fellowship Programs.
2. Overhead (”Reserva Técnica”)
a) For the ERC Program, the rules for the Overhead in Regular Projects apply, with certain modifications with respect to the schedule.
b) The Overhead is composed of three parts:
b.1) Additional Benefits;
b.2) Overhead for Direct Expenses with Research Infrastructure;
b.3) Overhead for Institutional Expenses with Research Infrastructure.
c) The detailed rules for use of the Overhead are available at www.fapesp.br/rt.
3. Research Infrastructure Grant
a) In the initial request or at the time when reports are presented, the Principal Investigator may request funds for small remodeling projects, aimed at guaranteeing the infrastructure needed to develop the project. New construction is prohibited. This request should be justified in detail and be associated with relevant funding contributed by the Host Institution.
4. Complementary requests
The items needed to develop the project are expected to be accounted for in the proposal; however, exceptionally, FAPESP may receive additional requests associated with the proposal.
Complementary Requests are those requests associated with current ERC Project objectives whose consideration or treatment has undergone some modification as a result of this condition. Processes that are under consideration as complementary requests to the Research Center Project are called “Connected Processes.” The concept applies to requests for Research Assistance – Visiting Researcher, Research Assistance – Publication, and requests for Grants within Brazil – Regular and Foreign Research Grant – Regular.
a) Complementary Requests should be effective for a time compatible with that of the Research Center Project to which they are connected and may not, under any circumstances, exceed the effective time of the Research Center Project.
a.1) For Research Award from a Visiting Researcher, the duration of the stay should be contained in the duration of the Research Center Assistance to which it is connected.
a.2) For Fellowships, the start date should be such that there is an appropriate overlap between the effectiveness of the initial awarding of the fellowship and the remaining effectiveness to the Award to which it is connected. Adaptation of the connection will be analyzed by the Scientific Directorate considering items such as the nature of the work plan and the effective dates for the Award in relation to the effective dates for the fellowship.
a.2.i) If the overlap is not found to be appropriate, the Fellowship request will be analyzed, but it will not qualify as a Complementary Request.
b) Complementary Requests must necessarily be endorsed by the Principal Investigator for the ERC Project to which they are connected.
c) Requests submitted to FAPESP as “Complementary Requests" and which are not classifiable in the definition above will be received, but will be considered as independent and non-connected requests.
d) Complementary Requests in the modalities of Visiting Researcher and Publication Assistance associated with the Project may be waived from being sent for external analysis and be analyzed by the Area or Supervising Area.
e) Complementary Requests for Master, Doctorate, Direct Doctor, and Post-Doctorate Fellowships connected to the Projects will be given priority in the respective sessions of comparative analysis, if they are equal in conditions and in academic items to the other proposals under analysis.
f) For Complementary requests for Post-Doctorate Fellowships, there is differential treatment regarding the duration of the fellowship (see rules at www.fapesp.br/270).
g) Complementary Requests must be made individually using the appropriate forms and accompanied with relevant documentation, as described in the respective manual. Furthermore, they must be accompanied by the Project summary, which is an indispensable item for analyzing the activity proposed within the project’s context, highlighting the fact that this is a complementary request to a Research Center Project and citing the process number.
g.1) These requests will be new processes at FAPESP, with their own reports and accountability. The funds awarded will not be subtracted from the Project budget.
5. Use of STATOIL funding
The application of Statoil funding will be limited to expenditures allowed by Brazilian National Agency of Petroleum, Natural Gas and Biofuels (ANP) ANP Regulation 3/2015 (see http://www.anp.gov.br/wwwanp/?dw=78554).
It is expected that this includes the hiring of researchers and technical support staff needed for the project, and to supplement salaries of faculty or researchers employed by the institutions participating in the project. The funds contributed by the Statoil will be disbursed to the Host Institution, provided the Host Institution is accredited by ANP in the relevant technical areas.
The Host Institution shall use the templates required by ANP to report the Statoil´s investments share.
6. Cost of the research project
a. Permanent materials acquired in Brazil or imported;
b. Consumables acquired in Brazil or imported;
c. Third party services acquired in Brazil or abroad (with some restrictions);
d. Fellowships: Fellowships may be requested as a budget item (BCO) within the following program and in accordance with FAPESP standards: Post-Doctorate (PD), Doctorate (DR or DD), Masters (MS), Scientific Initiation (IC), and Technical Training (TT). Note that the advisor/supervisor for each fellowship must be the Centre’s PI or one of the Co-PIs;
e. Salary supplementation for faculty or researchers employed by the
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