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Guidelines for the Submission and Selection of Proposals for Young Investigator Grant

Current guidelines as from September 1st, 2020.

1) Purpose and characteristics (back to index)

The Young Investigator Grant modality is intended to support research projects that favor the nucleation of new groups and the decentralization of the state research system, developed under the responsibility of a researcher with exceptional performance for the current career stage. Support is provided in the form of a Grant, and young investigators who are not yet formal employees of research Institutions may be awarded a Young Investigator Fellowship under the conditions described below.

1.1) Young Investigator Grant (back to index)

The purpose of the Young Investigator Grant (YIG) is to support high-quality, scientifically sound research projects that are expected to nucleate new groups of researchers in Institutions that do not yet have a research tradition, or to create new lines of research in Institutions that already have a consolidated tradition. It also aims to stimulate the attraction (under internationally competitive conditions) of young investigators with demonstrated international research experience after completing their Doctorate and still in their professional affirmation phase to research institutions in the state of São Paulo.

Applicants need to demonstrate achievements after the doctorate that indicate leadership capacity and great potential for the nucleation of new research groups that work on modern themes with a clear international insertion – themes not yet covered by researchers in the state of São Paulo. The project must demonstrate feasibility of execution under the conditions in which they intend to operate.

This modality supports research projects selected on a competitive basis. Applications are submitted to Analysis Panels that take into account the Young Investigator's previous achievements, particularly in terms of publications and other results that demonstrate internationally competitive research on current and relevant themes in the respective fields.

FAPESP allows the proposal for the Young Investigator Grant to be submitted before any expression of interest from a Research Institution. In these cases, upon a favorable preliminary analysis of the proposal, the Principal Investigator will have 90 days to present the confirmation from a Research Institution interested in hosting the project. Only then will FAPESP proceed with the final analysis of the proposal.

Funds for approved proposals are granted in such a way as to quickly ensure the minimum conditions for the full and autonomous development of the project. Proposals may include a request for funds to invest in the infrastructure of emerging research institutions to enable the development of the approved projects. Facilitation for complementary requests is ensured through a sped up analysis process for these requests.

The funds awarded depend on the field of research and the details of the approved project. The budget decision takes into account the operating conditions of the institutions. As a result, researchers who want to carry out their projects at Institutions lacking in infrastructure may receive larger grants than they would receive to carry out these projects at better-equipped Institutions. Thus, FAPESP seeks to create realistic and appropriate conditions for the execution of the approved project.

In return, FAPESP requires that the Institution where the project will be carried out undertakes to comply with the purposes of the YIG, providing the selected young investigator with appropriate working conditions, space, infrastructure, time dedicated to research, administrative and technical support staff and the freedom to recruit students for the project. In the review process, FAPESP will take into account (in addition to this institutional support) the Institution's human resources policy insofar as it is relevant to the purposes of this support opportunity.

1.2) Young Investigator Fellowship (back to index)

a) Young investigators who are not yet formal employees of the Institution where the research will be conducted may apply for the Young Investigator Fellowship.

a.1) If the YI Fellowship is awarded, to implement it, the researcher must access the YI Grant process in SAGe, go to the "Mais Ações" menu, and select the "Utilizar Quota de Bolsa" option. Guidelines for submitting a proposal can be found in the Researchers Support Manuals, available through the "Manuais" link in SAGe.

b) YI Fellowship Components:

b.1) Monthly fees: in the amount defined in FAPESP's Table of Fellowship Values in Brazil, available at www.fapesp.br/3162 .

b.2) Moving Cost Allowance: Fellowship Recipients who need to relocate to the city where the research Host Institution is located may request Moving Cost Allowance according to the guidelines described at www.fapesp.br/7771.

b.3) Maternity/Paternity Leave: period of leave of absence without interruption of payment in case of maternity/paternity leave (complete guidelines at www.fapesp.br/8484).

b.4) Reimbursement of the social security contribution to the National Institute of Social Security – INSS (according to the rules described at fapesp.br/16951 and fapesp.br/16953).

c) The Young Investigator Fellowship requires exclusive dedication to research. Throughout the term of their Fellowship, Recipients of the Young Investigator Grant modality are not allowed to be formal employees or receive a fellowship from any other entity, salary, or remuneration for performing activities of any kind.

c.1) In exceptional and justified circumstances, as defined in PR Ordinance no. 05/2012 (www.fapesp.br/7090), FAPESP may grant permission to carry out activities that contribute to the development of the research project.

c.2) The permission referred to in the Ordinance must be requested by sending a Change Request of the type "Autorização para Exercer Atividades", which must be submitted as part of the Fellowship process in SAGe.

2) Duration (back to index)

2.1) Young Investigator Grant (back to index)

The duration of the Young Investigator Grant may be up to 60 months, with the possibility of an extension of up to 12 additional months under exceptional circumstances and with justification accepted by FAPESP.

FAPESP may exceptionally analyze a duration of less than 60 months.

2.2) Young Investigator Fellowship (back to index)

The Young Investigator Fellowship may be awarded for an initial period of up to 24 months and may be renewed for up to an additional period of 36 months, provided that the total duration of the Fellowship does not exceed the duration of the YI Grant. Under no circumstances will the YI Fellowship last longer than 60 months.

a) When submitting the proposal, the Host Institution must explain the circumstances that will allow the researcher to become a permanent staff member when the requested YI Fellowship ends.

3) Submission date (back to index)

Applications may be submitted to FAPESP at any time throughout the year.

4) Definitions (back to index)

a) Principal Investigator (PI): the researcher who assumes responsibility for the preparation and submission of the proposal and for the scientific and administrative coordination of the project, if approved by FAPESP.

b) Associate Researcher (AR): the researcher of the team, designated by the Principal Investigator and approved by FAPESP, who assumes responsibility for contributing to parts of the Research Project.

c) Host Institution: the Institution that hosts the research project and, in general, the Institution where the Principal Investigator is based. The Host Institution must assume commitments regarding the storage and access to materials and equipment, institutional support for the research project and the management of any intellectual property created.

d) Emerging Research Institution: refers to an Institution that does not yet have a consolidated research tradition. It can also be considered the Institution with a consolidated research tradition where a new line of research will be created.

5) Application requirements (back to index)

5.1) Principal Investigator (back to index)

a) Have no pending responsibilities with FAPESP (i.e., issuance of reviews and return processes, delivery of Scientific Report and Financial Report). Proposals for which the PI has unfulfilled responsibilities with FAPESP, which are overdue by more than 60 (sixty) days, will not be reviewed.

b) To hold a PhD or equivalent title.

c) Quality and regularity of scientific and/or technological output. Further information on the requirements for the Academic background of the Principal Investigator is specified in section 12.1.6.b.

c.1) In the event of periods of leave of absence on the part of the applicant due to maternity/paternity leave, disability, temporary disabilities or intensive care for ill, elderly or disabled people, which have had an impact on their research productivity, the applicant may submit a request for an analysis of the deadlines for eligibility, through the channel “Converse com a FAPESP”, under the terms of PR Ordinance no. 171/2024 .

c.2) Information on each period of leave of absence should be included in the applicant's curricular summary, sent when submitting the proposal for a Grant or Fellowship.

d) Demonstrate successful experience as a researcher, after the doctorate, for at least 2 years, in an internationally competitive research group outside Brazil.

d.1) Exceptionally, and at the discretion of FAPESP, applicants with less than 2 years (but always more than 1 year) of international postdoctoral experience may be accepted, provided that they have a good network of international collaboration with excellent groups and have demonstrated exceptional performance and leadership potential during the international internship.

d.2) Indicators that help assess the quality of international experience in the eligibility phase are: (1) the quantity and potential impact of publications resulting from postdoctoral research; (2) the leading role played in these publications; (3) the number of papers presented at prominent international conferences in the field of research, especially those presented as a “guest”; (4) the number of lectures presented as a guest of research entities (other than the Host Institution of the proposal under review), especially those presented at first-tier foreign entities; (5) other indicators (for example: awards, participation in organizing committees, moderation of scientific sessions, roundtables of prominent international conferences, ownership of licensed patents).

e) Obtain acceptance for your linkage to a research Institution in the state of São Paulo.

e.1) FAPESP allows the proposal for the Young Investigator Grant to be submitted without an expression of interest from a research Institution. In these cases, upon a favorable preliminary analysis of the proposal, the Principal Investigator will have 90 days to present the confirmation from any research Institution interested in hosting the project. Only then will FAPESP proceed with the final analysis of the proposal.

e.2) If the relationship with the Institution is not an employment relationship, the YI Fellowship may be awarded under the conditions outlined in items 1.2 and 2.2 of these guidelines.

f) The PI should inform whether is applying for or receiving a grant from other sources for the same purpose as the research proposal submitted.

5.2) Host Institution (back to index)

a) Acknowledge the infrastructural needs demanded by the project, according to the information declared in the document: Anexo II- Information approved by the Host Institution on institutional infrastructure.

b) Be classified as an Institution without a consolidated research tradition, or an Institution with a consolidated research tradition but where a new line of research will be created.

6) Required conditions and obligations ((back to index)

6.1) Principal Investigator (back to index)

For the duration of the Grant, the Principal Investigator must meet the following conditions and obligations:

a) Remain with no pending responsibilities with FAPESP (i.e., issuance of reviews and return process, delivery of Scientific Report and Financial Report). Noncompliance will lead to blocking the PI's funding.

b) Be aware of the obligations specified in the Grant Contract.

b.1) Noncompliance with the rules and the terms specified in the Grant Contract may imply the cancellation of the Grant and the obligation to return funds already released by FAPESP, in updated amounts.

c) Provide, free of charge, Grant/Fellowship reviews in their field of knowledge and within the deadlines stipulated, when requested by FAPESP.

d) Consult FAPESP before committing to activities that will require the Principal Investigator’s absence from the Host Institution for more than 90 days, according to CTA Ordinance no. 74/2023, available at www.fapesp.br/16110.

d.1) In the event of an exceptional situation that requires the Principal Investigator to be away from the Host Institution for more than 90 days while maintaining responsibility for the Grant, FAPESP may consider requests on an exceptional and duly justified basis.

e) Consult FAPESP before accepting any financial support from any other funding entity, whether public or private, for the execution of the research project related to the Grant awarded.

f) Do not modify the project (initial plan, dates, etc.) without the prior consent of FAPESP.

g) Submit Scientific Reports and Financial Reports within the deadlines specified in the Grant Contract, accompanied by the required documentation.

h) Make all arrangements to ensure the success of the approved research project.

i) Refer to FAPESP's support in theses, papers, books, conference abstracts and any other publication or form of dissemination of activities resulting, completely or partially, from a Grant from the Foundation, as foreseen in Clause 7 of the Grant Contract and described at www.fapesp.br/11789.

j) In the event that the research project funded by FAPESP has also been awarded financial support from any other public or private source, the researcher is obligated to inform and refer to the support, with clear indication of its source, in all forms of dissemination mentioned in the previous item.

k) Take the necessary steps to ensure that, through the service offered by the Host Institution, the full texts of the papers or other types of scientific communication resulting (in whole or in part) from the project funded by FAPESP and published in international journals are made available in an institutional repository of scientific works, in accordance with the open access policy of each journal, as soon as the manuscripts are approved for publication, or in the shortest time compatible with the restrictions of each journal, and in any case no later than 12 months from the date of publication. FAPESP Policy for Open Access to Publications Resulting from Grants and Scholarships is available at www.fapesp.br/12632.

l) Verify, in a timely manner, whether the execution of the project produces or could potentially produce results, in whole or in part, which might be the object of protection by Patent of Invention, Utility Model, Industrial Design, Software or any other form of protection of Intellectual Property rights, subject to FAPESP's Intellectual Property Policy, available at www.fapesp.br/pi .

m) Be aware of and respect the guidelines contained in FAPESP's Code of Good Scientific Practices, available at www.fapesp.br/boaspraticas .

n) Ensure that the data generated during the project is properly managed.

o) Always use the updated versions of the rules, forms and procedures available at www.fapesp.br and www.fapesp.br/sage .

6.2) Host Institution (back to index)

For the duration of the Grant, the Host Institution must meet the following conditions and obligations:

a) Ensure that the researcher and the group of researchers participating in the project receive all the institutional support necessary for its realization, as previously agreed with the Principal Investigator.

a.1) Particularly, the researcher and the research group participating in the project shall be provided with physical space for the proper installation and operation of equipment, permission to use all facilities (laboratories, computer networks, libraries, databases, etc.), and access to all services (laboratory, administrative, import technicians, etc.) available at the Institution and relevant to the execution of the project.

b) Be able to commit to FAPESP for the assignment of use and/or donation of equipment and permanent materials acquired with project funds.

b.1) Must also guarantee access to them by the Principal Investigator and the project team, maintenance in good condition, and insurance to protect the equipment and materials, for the duration of the project and at least 10 years after its completion, unless otherwise agreed with FAPESP's permission.

b.2) In the Young Investigator Grant, the assignment of use or donation is only effected after the expiration date of the Grant, according to a resolution of FAPESP's Executive Board from March 7^th, 2006.

b.3) The Host Institution commits to using its best institutional efforts to guarantee and facilitate access to the equipment acquired by FAPESP for researchers from institutions in the state of São Paulo and outside the state, for the purpose of developing qualified research projects.

c) To reimburse FAPESP for the entire investment made if the project is hindered or made unfeasible due to noncompliance with items "a" and "b" and without the prior consent of FAPESP.

d) Be aware that failure to comply with the institutional support described in items "a" and "b" above and in the Grant Contract may affect the progress of future proposals submitted to FAPESP by researchers of the Unit.

e) Immediately notify FAPESP if the Principal Investigator is absent or unable to work.

f) Provide a support service rendered by the Institution's libraries, aimed at managing, guiding researchers, indexing, and making available in the institutional repository the full texts of papers or other types of scientific communication resulting from research and projects partially or fully supported by FAPESP and published in international journals. The Policy for Open Access to Publications Resulting from FAPESP Grants and Scholarships is available at www.fapesp.br/12632 .

7) Restrictions (back to index)

The PI is forbidden to:

a) Be a Principal Investigator on another current or completed Grant, in the following modalities: Young Investigator Grant; Regular Research Grant; Thematic Project Grant; Research in Public Policies Program; Public Education Research Program; Research, Innovation and Dissemination Centers (RIDC); Engineering Research Centers/Applied Research Centers (ERC/ARC); Research Partnership for Technological Innovation Program (RPTIP); or in Calls for Proposals.

a.1) The Principal Investigator may submit a new proposal for a Grant in the modalities indicated, except for the Young Investigator Grant, within their respective guidelines, during the term of a Young Investigator Grant. If it is approved, it can only begin after the previous Young Investigator Grant has ended.

b) Be a Co-Principal Investigator on another current or completed Grant, in the following modalities: Thematic Project Grant; Research, Innovation and Dissemination Centers (RIDC); Engineering Research Centers/Applied Research Centers (ERC/ARC); Research Partnership for Technological Innovation Program (RPTIP); or in Calls for Proposals.

c) Expend Grant resources outside the term of the Grant Contract.

d) Modify the approved research project (initial plan, dates, etc.) without prior consent of FAPESP.

e) Use FAPESP funds for any purpose other than those approved, except under the conditions available at www.fapesp.br/normaspc .

f) Make financial investments with project funds.

g) Allocate funds granted to the project for hiring:

g.1) Any individual (natural person) with whom they are linked by marriage, stable union or kinship ties of affinity or consanguinity, including ascendants, descendants or collateral relationships up to the 4th degree.

g.2) Any legal person (corporate entity) that has as partners the grantee himself, his spouse, his relatives by affinity or by consanguinity, including ascendants, descendants or collateral relationships up to the 4th degree.

g.3) Under no circumstances, a natural or legal person with whom the grantee has a business relationship, debt or credit.

8) Fundable Items (back to index)

The research project budget submitted to FAPESP must be detailed and each item must be specifically justified in relation to the objectives of the proposed project. It is recommended to read the Guidelines for the Use of Funds and Financial Reports, available at www.fapesp.br/normaspc .

Fundable items include:

8.1) Costing expenses of the research project (back to index)

a) Permanent material acquired in the country and imported;

a.1) Multi-User Equipment: FAPESP will consider requests for acquiring large equipment under the Multi-User Equipments Program (MEU) only in exceptional and well-justified circumstances. After analyzing justifications, and if there is a recommendation to award equipment considered multi-user, the Principal Investigator will be instructed to open a new FAPESP process in the MEU modality to implement the equipment award. Rules and procedures for this submission can be found at www.fapesp.br/11195.

b) Consumable supplies acquired in the country and imported;

c) Third-Party Services contracted in the country and abroad;

c.1) When the application includes costs to pay for third-party corporate entity services at the project's Host Institution or Partner Research Institutions, the justification for this service must be detailed and itemized, including a breakdown of the cost of the requested service into consumable material, personnel, and others. The respective Institution must bear all personnel costs. The cost of the service requested will be analyzed, including compatibility with other providers of similar services.

d) Transportation Expenses and Daily Fees for activities directly linked to the proposed research, including for Visiting Researchers;

e) Fellowships/Scholarships as Associated Submission:

e.1) Young Investigator Fellowship.

e.2) Scientific Initiation, according to the rules described at www.fapesp.br/4729.

e.2.1) The student must have already completed a sufficient number of subjects relevant to the development of the research project.

e.3) Masters, according to the rules described at www.fapesp.br/8685.

e.3.1) The referred student must have been accepted into the postgraduate program of the Host Institution in the process.

e.4) Doctorate (DD), according to the rules described at www.fapesp.br/5315.

e.4.1) The referred student must have been accepted into the postgraduate program of the Host Institution in the process.

e.5) Scientific Journalism (SJ), according to the rules described at www.fapesp.br/9826.

e.6) Public Education Research Program (PERP), according to the rules described at www.fapesp.br/9827 .

e.7) Technical and Academic Training, according to the rules described at www.fapesp.br/bolsas/tt .

f) Grant for research infrastructure: in the initial request or when submitting the first Scientific Report, the Principal Investigator may request funds for minor refurbishments to provide the necessary infrastructure for the project's development. Such a request must be supported by a detailed justification and must be linked to an appropriate Host Institution match.

8.2) Research Overhead (back to index)

a) Research Overhead consists of two parts:

a.1) Fringe Benefits;

a.2) Direct Research Infrastructure Cost (DRIC);

b) The Guidelines for the Use of Research Overhead Funds are available at www.fapesp.br/rt.

c) In addition to the Grant Research Overhead, the Research Overhead - Institutional Research Infrastructure will be awarded, according to the rules described at www.fapesp.br/rti .

8.3) Complementary requests (back to index)

Complementary Requests are those associated with the objectives of the current Young Investigator Grant, whose processing or treatment undergoes some modification as a result of this condition. Guidance on sending complementary requests are available at www.fapesp.br/1413. The concept applies to requests for the Visiting Researcher, Publications, Participation in Scientific Meeting, Equipment Repair Awards and to requests for regular Scholarships/Fellowships in Brazil and for the Research Fellowship Abroad (RFA).

8.4) Non-fundable items (back to index)

Salaries of any kind, non-technical and occasional third-party services, civil constructions resulting in increase in the constructed area and administrative services and materials are non-fundable.

Other prohibitions concerning the use of funds granted by FAPESP are specified in the Guidelines for the Use of Funds and Financial Reports, available at www.fapesp.br/normaspc .

9) Format for the submission of proposals (back to index)

Requests for Young Investigator Grant must be submitted through the on-line system SAGe ("Sistema de Apoio à Gestão"), available at: www.fapesp.br/sage. Within SAGe (under the "Manuais" link), it is possible to find documents that explain how to register users, prepare and submit proposals for Grants, and request the registration of Institutions.

9.1) Staff description (back to index)

In addition to the Principal Investigator, the staff may include:

a) Associate Researchers;

b) Scholarship/Fellowship Recipients;

c) Students without a Scholarship/Fellowship, with well-defined tasks in the research project;

d) Technical support staff;

e) Administrative staff.

Staff members must be included when filling out the application in the SAGe's "Dados Gerais do Projeto" > "Pessoas Envolvidas" tab. All staff members must have an up-to-date registration in the SAGe system, containing a copy of their ID card.

9.2) Documents required to apply for the Young Investigator Grant (back to index)

The following documents are required for the submission of the Young Investigator Grant proposal:

a) Research project. The project must clearly state its objectives, characterize its originality and boldness, and be perfectly presented. It is expected that, in the project’s scientific foundation, it is stated what advances at the frontier of knowledge could be achieved and, therefore, its international competitivity. The research project must have a basis demonstrating that it is executable by the proposer investigator and their staff within the deadline specified in the proposal.

The project body should not exceed 20 pages, excluding annexes.

b) Curricular summary of the Principal Investigator and each of the Associate Researchers.

c) Doctorate completion certificate.

d) Results of previous grants: if the Principal Investigator has participated as Principal Investigator, or Co-Principal Investigator, or as a beneficiary of other Grants or Scholarships/Fellowships awarded by FAPESP, submit a document containing its results, project titles and process numbers for the last 5 years. If the Principal Investigator has not participated in FAPESP Grants or Scholarships/Fellowships, submit a document containing the following sentence: "The Principal Investigator has not received support from FAPESP in the last 5 years under the conditions defined in the guidelines".

e) Complete Doctorate transcript of the Principal Investigator, issued as an official document (with stamp and signature or authenticity code). The transcript must contain: the full names of the subjects; any failures or withdrawals of the candidate; the passing criteria (minimum grade) or, alternatively, a statement from the University stating the criteria.

f) Project execution schedule.

g) Individual activity plans for each Scientific Initiation, Masters, Doctorate (DD), Scientific Journalism, Public Education Research Program, Technical Training and/or Academic Training Scholarship/Fellowship requested.

g.1) It is not necessary to refer to the name of the Scholarship/Fellowship Recipient when sending the Grant proposal. If the Scholarship/Fellowship is approved, the Principal Investigator of the Grant must arrange a selection process for the Scholarship/Fellowship Recipients.

g.2) For each Technical Training and/or Academic Training Fellowship requested, the Activity Plan must be prepared according to the template available for download on SAGe. It must include the title and summary of the activity plan, intended objectives, work plan, justifications for choosing the Fellowship level and for the proposed activity plan.

h) Budgets from authorized representatives/vendors: for each permanent material requested with a unit value greater than ten minimum wages, submit three budgets, or report if there is only one vendor.

i) Description of the activities carried out by the staff. A brief description (up to one paragraph) of the activities on the project is required for each associate researcher, Scholarship/Fellowship Recipient, and student without Scholarship/Fellowship included on the staff.

j) Data management plan, prepared according to the guidelines available at www.fapesp.br/gestaodedados . The document should contain up to two pages, indicating:

j.1) What data will be generated by the project; and

j.2) How data will be preserved and made available, considering ethical, legal, confidentiality and other issues.

The following documents must be presented when submitting the initial proposal if the Host Institution is defined. Otherwise, these documents will be requested at the appropriate time:

k) Manifestation of the Head of the Host Institution, according to the model available for download on SAGe.

l) Information approved by the Host Institution on the institutional infrastructure, according to the model in Annex II available for download on SAGe, describing the institutional support and the infrastructure available and to be provided for the development of the project, including:

l.1) Current academic, administrative and technical support services at the Host Institution;

l.2) Facilities;

l.3) Personnel hired by the Host Institution to support the project.

This document must be signed by the Principal Investigator and the Head of the Host Institution with the authority to guarantee the commitments contained therein and shall be attached to the Grant Contract if the proposal is approved.

m) Equipment park: description of the Host Institution's scientific equipment park.

FAPESP requests that the Host Institution maintains a list to be made available to researchers with the institutional seal. The list should be updated annually.

A list of the Host Institution’s current equipment (including equipment with a purchase price of $20,000 or more) must be submitted with the following information for each item:

m.1) Type, manufacturer and model (for example: Oscilloscope Tektronix mod. 7904);

m.2) Relevant characteristics (for example: 500 MHz; 1mV; single beam);

m.3) Nature: national or imported material;

m.4) Year of acquisition;

m.5) Rate when acquired;

m.6) The person who’s institutionally responsible for the access to the equipment.

Mandatory document for the initial contracting of the Grant, in cases where there is an award of funds in the permanent material line:

n) Term of Acceptance of Transfer of Ownership of Materials by Assignment of Use and/or Donation, according to the model available for download on SAGe.

9.3) Documents required to implement the Young Investigator Fellowship (back to index)

If the Young Investigator Fellowship is awarded, the following documents will be required for its implementation in SAGe:

a) Manifestation of the Head of the Host Institution, according to the model available for download on SAGe. A copy of the document attached to the Young Investigator Grant process may be submitted.

b) Proof of leave of absence or resignation for candidates who are formal employees (may be submitted later, up to the date of acceptance of the award).

b.1) If the researcher is not a formal employee, a signed statement providing this information must be submitted.

9.4) Additional documents (back to index)

9.4.1) For proposals in which the Principal Investigator is not a formal employee of the Host Institution, a non-employment contract must be submitted stating (among other items deemed necessary by the Host Institution) that:

a) Any intellectual property created during the Principal Investigator's internship at the Host Institution will belong to the Host Institution; and

b) If there are benefits from the licensing or commercialization of the Intellectual Property, the inventors will be entitled to a share of these benefits under the rules of the Host Institution and the federal Law n° 10.973/2004.

10) Authorizations required by Law to perform the research (back to index)

It is responsibility of the Principal Investigator and the Host Institution to request, obtain and hold all legal and required authorizations for the proper execution of the project, which must be issued by the control and inspection bodies relating to the nature of the research, when so required.

If the proposal is approved, the Grant Contract will contain a clause requiring that the Principal Investigator and the Host Institution have such authorizations and demonstrate them to FAPESP whenever requested.

11) Intellectual Property (back to index)

FAPESP's rules regarding the intellectual property of the results of projects supported by the Foundation are described at www.fapesp.br/pi.

12) Review of applications (back to index)

12.1) Review process (back to index)

Applications sent to FAPESP for different types of support opportunities are reviewed using the peer review system (www.fapesp.br/analise).

The maximum number of Grants that can be awarded must comply with the limits defined in FAPESP's annual budget proposal, approved by the Board of Trustees.

For awarding Young Investigator Grants, the review done by Area Coordinators and Associate Coordinators, based on the reviewers' opinions, intends to identify those proposals that are considered excellent in four components: a) Research Project; b) Principal Investigator's Academic background; c) Conditions offered by the Host Institution; and d) Budget requested.

The review process is carried out in five stages and involves the participation of ad hoc reviewers, Area Coordinators and Associate Coordinators.

The five steps of the review process are listed and described below:

a. Eligibility of the proposals and indication of reviewers by the Area Coordinators.

b. Analysis and issue of reviews by the ad hoc reviewers.

c. Analysis and recommendation by the Area Coordinators.

d. Analysis and recommendation by the Associate Coordinators.

e. Scientific Director's decision and analysis by the Executive Board and the Board of Trustees.

12.1.1) Eligibility of the proposals and indication of reviewers by the Area Coordinators

In this phase, the Area Coordinators (www.fapesp.br/1479) verify that the requirements specified in sections 5.1 and 5.2 of these guidelines are totally met. For requests considered eligible, the Area Coordinators indicate which ad hoc reviewers to consult for issuing a review. Requests that are considered ineligible are sent to the Associate Coordinators for analysis and final decision. If the Associate Coordinators agree that the proposal is ineligible, it returns to the Principal Investigator with a review clarifying the reasons for the decision.

12.1.2) Analysis and issue of review by the ad hoc reviewers

The ad hoc reviewers are specialists in the field of the projects being proposed. They analyze the proposals and issue reviews that contemplate each of the criteria mentioned in section 12.1.6. Their detailed reviews form the basis for the subsequent steps of the analysis.

12.1.3) Analysis and recommendation by the Area Coordinators

Applications for Young Investigator Grant in each area are jointly discussed at periodic collegiate meetings attended by all Area Coordinators and Associate Coordinators. This procedure favors the homogeneous application of the benchmarks of excellence established by FAPESP based on the experience of analyzing a large number of applications. In order to prioritize, it is necessary to analyze the set of proposals and their respective reviewers' opinions. This analysis is essential because different reviewers may use criteria with different levels of demand, so it is not possible to simply compare the concepts assigned by reviewers. To prioritize proposals rated as excellent, the panel will use the criteria described in section 12.1.7.

Analysis Panel sessions take place within each field of knowledge, so that proposals are always analyzed joining others from the same field of knowledge.

12.1.4) Analysis and recommendation by the Associate Coordinators

The Associate Coordinators examine the proposals and compare the Area Coordinators' recommendations with the reviews issued by the ad hoc reviewers. Particularly, they verify consistency with FAPESP's excellence benchmarks and whether all the criteria in section 12.1.6 and, if necessary, those in sections 12.1.7 and 12.1.8 were properly considered during the analysis. If there are any discrepancies, they are sent to the Area Coordinators for discussion. Finally, recommendations are conducted to the Scientific Director.

Evaluations by the Associate Coordinators take place separately for different major fields of knowledge.

12.1.5) Scientific Director's decision and analysis by the Executive Board and the Board of Trustees

Based on the analysis of the Area Coordinators and Associate Coordinators, the Scientific Director makes the final decision. When there are doubts or there is a mismatch between the Coordinators' recommendations, the proposals are discussed with the Associate Coordinators before the final decision is taken. The Scientific Director's decision is submitted for analysis by the Executive Board, which will deliberate ad-referendum of the Board of Trustees.

12.1.6) Review criteria

In the analysis by the ad hoc reviewers (section 12.1.2), Area Coordinators (section 12.1.3) and Associate Coordinators (section 12.1.4), the criteria used to classify the proposals are listed below and included in the reviewers' opinion form.

Each request is analyzed considering four components: a) Research Project; b) Principal Investigator's Research background; c) Conditions offered by the Host Institution; and d) Budget requested.

a) Research Project

The scientifically sound research project should demonstrate its potential to nucleate a new research group and create a new line of research.

a.1) Original, daring, internationally competitive and perfectly presented research project.

a.2) The research challenges are perfectly formulated and situated in relation to the state of art and the existing literature.

a.3) The methodology described is compelling.

a.4) What would be the advances that its results would bring to the field of knowledge in which it is inserted, if is successful.

a.5) The results are highly likely to significantly expand the frontier of knowledge in the field and therefore have a very significant scientific impact.

a.6) Adequacy of the deadline proposed for the development of the project.

a.7) Participation in the project (with appropriate intensity) of Scientific Initiation or postgraduate students in the case of projects carried out in academic institutions.

a.8) Adequacy of the quantity and activity plans proposed for the Scholarships/Fellowships - Associated Submissions requested in the proposal.

a.9) Adequacy of the Data Management Plan for the proposed project, considering all ethical, confidentiality, security, and other applicable restrictions, according to the practices of the discipline(s) involved in the project.

b) Principal Investigator's academic background

b.1) Quality and regularity of scientific and/or technological output. Important elements for this analysis are: list of publications in journals with a selective editorial policy; published books or book chapters; patents in which they appear as inventor; other forms of intellectual property; research results effectively transferred and adopted by companies or the government; and any other information that may be relevant.

b.1.i) The fundamental document to be considered for the analysis of this item is the curricular summary (www.fapesp.br/6351) presented with the proposal.

b.1.ii) In the event of periods of leave of absence on the part of the applicant due to maternity/paternity leave, disability, temporary disabilities or intensive care for ill, elderly or disabled people, which have had an impact on their research productivity, the applicant may submit a request for an analysis of the deadlines for eligibility, through the channel Converse com a FAPESP, under the terms of PR Ordinance no. 171/2024 .

b.1.iii) Information on each period of leave of absence should be included in the applicant's curricular summary, sent as part of submitting the proposal for a Grant or Scholarship/Fellowship.

b.2) Demonstrated leadership experience in research projects related to the issue of the proposal under analysis.

b.3) International experience in research after the doctorate or demonstrated active participation in international networks for research collaboration.

b.4) Results obtained by the applicant with previous funding from FAPESP.

b.5) The Principal Investigator is still in the phase of professional affirmation but already has a wealthy output for the current career stage. Particularly, the candidate must be fully capable of independently coordinating research projects and implementing new lines of research.

b.6) Other remarks about the researcher's scientific, technological and academic output, which are relevant to the analysis of the viability and scientific quality of the proposal.

c) Conditions offered by the Host Institution

c.1) The Institution's research tradition.

c.2) The project is designed to implement a new line of research in an Institution (unit, department) with a consolidated research tradition.

c.3) Adequacy of the institutional, physical and support staff infrastructure offered by the Institution where the project will be carried out.

c.4) Effects that the support for the proposal could have on the Institution. Note that: 1) The purpose of the Young Investigator Grant is to enable the appropriate creation of work opportunities for young investigators with great potential, preferably in Emerging Research Institutions, favoring the nucleation of new groups and the decentralization of the state research system. Candidates proposing to create a new line of research at an Institution with a consolidated research tradition may also submit a proposal. 2) In the case of an Institution with a research tradition, the proposal will only be approved if: a) The candidate has an exceptional performance record for the current career stage; b) Special circumstances are identified (for example, the proposal aims to create a new research group in the unit or department) that may justify the support of the proposal in this modality.

c.5) Institutional commitment to the proposal, according to the rules of the Young Investigator Grant.

d) Budget requested

d.1) Necessity of the equipment and permanent materials required to carry out the project, also taking into account the infrastructure already available at the Institution and the applicant's ability to use it.

d.2) Assessment of whether there are permanent materials and equipment for which FAPESP should or could request the creation of a system for access by third parties not involved in this Project.

d.3) Necessity of the consumable material required to carry out the project.

d.4) Necessity and suitability of third-party services to carry out the project, also assessing whether:

d.4.i) Third-Party Services are only of a technical and occasional nature, as required by FAPESP rules; and

d.4.ii) If, in any case, it can be reasonably expected that the service requested should be provided by the project's Host Institution in return for FAPESP's support.

d.5) Adequacy of the other values and items of the requested budget in relation to the objectives of the proposed research project.

12.1.7) Prioritization procedure based on budget availability

Based on budget availability, and if there are proposals that are considered excellent in the components described above, the following criteria will be used to prioritize the proposals:

a) Potential for international exchange with groups of excellence.

b) Adequacy of the funds requested in relation to the significance of the intended scientific or technological contribution (quality and impact of the results).

c) Budget balance between capital expenses, costing expenses and Scholarships/Fellowships, considering the nature of the project.

d) The proposal demonstrates funding from other sources to leverage FAPESP's investment.

e) Institutional support and the Institution's human resources policy insofar as it is relevant to the purposes of the Young Investigator program.

12.1.8) The most common deficiencies observed in applications for Young Investigator Grant

These are the most common deficiencies observed in the analysis of applications for Young Investigator Grants:

a) Regarding the Principal Investigator's Academic Background, as indicated on the reviewers' opinion form:

1. Scientific or technological output that does not attest to significant achievement as a result of their research activity, except under the conditions provided for in PR Ordinance no. 171/2024 .

2. Insufficient experience in the research area in which the research project is inserted, which may compromise its viability.

3. The scientific or technological output from previous grants is unsatisfactory.

4. The applicant does not meet the requirements of the YIG modality rules.

b) Regarding the conditions offered by the Host Institution:

1. The Institutional Support provided for in Annex II of the proposal does not meet FAPESP's requirement for administrative and management services.

2. The research infrastructure offered by the Host Institution does not allow for the perfect development of the proposed research project.

3. The proposal will not contribute to the nucleation of new research groups.

4. The proposal will not contribute to the decentralization of the state research system.

5. It is already a center with a tradition of research in the field of the project, with no exceptional circumstances under the Young Investigator Grant rules.

c) Regarding the Project, as indicated on the reviewers' opinion form:

1. Project with poorly defined, excessive or incongruous objectives.

2. Project with excessively limited objectives.

3. Unoriginal project.

4. Minor contribution to the field of knowledge.

5. Insufficient scientific basis / inadequate methodology.

6. Questionable feasibility of the execution.

7. Inadequate deadline.

8. Inadequacy of the quantity and activity plans proposed for the Scholarships/Fellowships requested.

9. Inadequate and/or insufficient Data Management Plan.

10. Insufficient participation by graduate and postgraduate students.

d) Regarding the Budget:

1. Items requested in the budget are not sufficiently justified.

2. Excessive cost considering the expected scientific or technological contribution or the probability of success of the project.

3. Overestimated budget.

12.2) Analysis deadline (back to index)

The expected average duration of the FAPESP review process for this support opportunity is approximately 75 days, assuming there are no incidents such as due diligence or return without a reviewers' opinion.

a) This number represents an average. Therefore, this does not mean that applications that are submitted 75 days prior to the estimated start of the grant will necessarily be evaluated within this time frame. Since the expected average time frame is 75 days, there will certainly be cases in which the period for a decision will be longer than that.

b) Requests for a Young Investigator Grant will be sent to four or more reviewers. For this reason, the review process may take longer than expected.

c) Considering that the specialists who participate in the review process of the proposals submitted to FAPESP ( ad hoc reviewers, area coordinators and associate coordinators) are mostly members of the academic community, and that in the period from December to January the Universities and Research Institutions in the state of São Paulo go on break and academic vacation, the Proposals submitted from October to January may suffer additional delays.

d) For each modality of funding, it is estimated a typical period necessary to complete the review process. FAPESP takes responsibility for making every effort to observe this limit. However, the Foundation cannot guarantee that this condition will be always fulfilled, since FAPESP's top priority is to ensure the quality of the review and selection process.

e) In fact, the most important part of the review process cannot be fully controlled by FAPESP: all applications are sent out to ad hoc reviewers for their opinion, and it is not always possible, despite FAPESP's efforts, to obtain a return process within the regular review deadline.

f) Furthermore, reviewers frequently ask for clarifications before submitting their final review and occasionally FAPESP itself may decide to send the application to additional reviewers if it considers that the submitted reviews are insufficient to make a well-founded final decision.

g) However, experience shows that in most cases the expected average deadlines are met, as can be seen from "Estudo Tempos/FAPESP", available at www.fapesp.br/estatisticas/analise .

h) Considering the above and in order to allow for appropriate planning, FAPESP requests researchers to submit their proposals at least 6 months prior to the desired starting date of the research project.

12.3) Appeals for reconsideration (back to index)

FAPESP guarantees to the applicant, upon submission of a well-founded Reconsideration Request for the initial decision, the right to a new review of the application. Reconsideration Requests must be made in accordance with the guidelines described at www.fapesp.br/reconsideracao .

13) Scientific Report (back to index)

13.1) Scientific Report of the YI Grant (back to index)

a) Scientific Reports must be presented on the dates specified in the Grant Contract of the YIG, which ordinarily are:

a.1) 1st Progress Scientific Report until the 20th day of the 18th month of the Grant.

a.2) 2nd Progress Scientific Report until the 20th day of the 36th month of the Grant.

a.3) 3rd Progress Scientific Report until the 20th day of the 48th month of the Grant.

a.4) Final Scientific Report up to 20 days after the last day of the 60th month of the Grant.

b) Partial and final Scientific Reports should be prepared according to the format available at www.fapesp.br/10429 .

c) Documents required to submit the Scientific Report:

c.1) Document with Succinct and Justified Description of use of Research Overhead and Fringe Benefits .

c.2) Form for the Submission of Scientific Reports on Grants duly completed and signed (only for processes on paper) .

c.3) At the time of submission of the Final Scientific Report, the Principal Investigator must provide a link to a web page describing how the data generated by the project may be accessed, as described in the approved Data Management Plan .

c.3.i) This information can be provided since the first Scientific Report and it is mandatory for submission of the Final Scientific Report.

c.3.ii) The link must be included in SAGe, for cases processed through this system, or when submitting the report for cases processed in printed format.

d) Form of presentation:

d.1) Processes submitted via the SAGe system must have Scientific Reports submitted electronically, as described in the "Submissão de RC" manual, available at SAGe, under the link "Manuais".

d.2) For paper-based processes, Scientific Reports must be submitted in printed form, sent by post or delivered in person to FAPESP. In this case, the forms for submitting the report and describing the use of Research Overhead and Fringe Benefits must be signed by the Principal Investigator.

13.2) Scientific Report of the YI Fellowship (back to index)

a) When a YI Fellowship is awarded, an identical copy of the Grant's Scientific Report must be attached to the YI Fellowship process in the SAGe system.

a.1) When the beneficiary of a Young Investigator Fellowship has obtained authorization to exercise activities under the terms of PR Ordinance no. 05/2012 , the Scientific Report must include a section describing the activities carried out during the period, indicating the respective workload.

a.1.i) In the case of paid activities, a statement from the paying source specifying the nature of the services provided, the number of hours worked per week, the period during which the services were provided and the remuneration received must also be attached for monitoring purposes.

b) Renewal of the Young Investigator Fellowship:

b.1) The 1st Progress Scientific Report, to be presented in the 18th month, will serve as the basis for the analysis of the first extension of the YI Fellowship for 24 months.

b.2) The 3rd Progress Scientific Report, due in the 48th month, will serve as the basis for the analysis of the second extension of the YI Fellowship for 12 months. In this case, the second report must be submitted two months in advance and presented in the 46th month. Failure to meet this deadline may result in the discontinuation of Fellowship payments, should the Fellowship be renewed.

b.3) For the Fellowship renewal request to be analyzed, a Change Request of the “Alteração de Orçamento” type must be submitted in the YI Grant process when submitting the Scientific Report to supplement the desired Fellowship quota.

b.3.1) After analysis, if the application is approved, a Grant Contract Amendment will be issued, to be signed by the Principal Investigator, the Host Institution and FAPESP.

b.3.2) In order to implement the renewal in the YI Fellowship process, the guidelines in the Researchers Support Manuals (available under the "Manuais" link within the SAGe) must be followed.

b.4) If the extension is denied, the applicant must submit a Complementary Scientific Report for the remaining period (6 months in the case of the first application and 2 months in the case of the second).

14) Financial Report (back to index)

a) The Guidelines for the Use of Funds and Financial Reports are available at www.fapesp.br/normaspc .

b) Financial Reports must be submitted on the dates specified in the Grant Contract. Guidance on submitting the Financial Report is available at www.fapesp.br/prestacaodecontas .

c) FAPESP allows the PI to appoint SAGe account users who support them in the preparation of the Financial Report. Detailed instructions on the preparation and submission of the electronic Financial Report, as well as on the indication of support users, can be found in the Researchers Support Manuals , available at the link "Manuals" at SAGe.

15) Changes to the award (back to index)

a) By signing the Grant Contract, the Principal Investigator acknowledges that the conditions and funds awarded by FAPESP are sufficient to enable the execution of the approved project, barring unpredictable circumstances.

b) For this reason, the researchers are advised to sign the Grant Term only after having assured themselves that the conditions, items and values of the budget approved by FAPESP are, under normal circumstances, enough to fully guarantee the successful execution of the project in question.

c) In the case of uncertainty, as accepting the grant, researchers are advised to tick the box "Solicito Mudanças" and immediately submit a well-founded change request, which will be analyzed by FAPESP.

d) Recognizing that in certain cases, after the initial award, there may be circumstances that affect the development of the project and require changes to the agreed conditions, FAPESP accepts that requests may be made to amend the Grant Contract, under the conditions detailed at www.fapesp.br/565.

Guidelines valid until August 31, 2020 are available at www.fapesp.br/14461 .

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