Engineering Research Centers

Preliminary results

Webinar Presentation

CALL FOR RESEARCH PROPOSALS 2017

Summary:
Funding duration:	maximum of 5 years, according to item 6 of this call
Instructions for submission:	Proposals must be submitted only through SAGe system.  Proposals must not contain any information considered to be confidential.
Proposals submission:	until June 9th, 2017
Contact: Patricia Tedeschi: chamada_shell@fapesp.br

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Table of Contents 

1. Introduction

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 is very often more successfully.

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 utilize the research results, creating the Engineering Research Center Program.

The core mission of the Engineering Research Center 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 reasonably high degree of delegated authority in the application of the funding. They further require a strong institutional connection to the co-funding partner, and a regular and rigorous assessment of the Center’s performance.

BG E&P Brasil Ltda. (“Company”) is a member of Shell Group of Companies, which strategy seeks to reinforce its position as a leader in the energy industry by providing more and cleaner energy solutions. Today the Company is one of the largest investors in research and development (R&D) among international oil and gas companies in Brazil.

In the context of the investment obligations arising from pre-salt hydrocarbon production in the Santos Basin, the Company has a particular interest in research that aims to identify technologies that unlock business opportunities in New Energies and Chemicals that are structurally better than what is available today; specifically:

(i) new energy carrier(s) which are low cost, dense, abundant and clean; and

(ii) new pathways to economically and sustainably convert methane to products.

In partnership with FAPESP, Company wishes to establish a Brazilian Research Center for New Energies. At a strategic level the Center will focus to undertake research into:

(i) Dense Energy Carriers: the development of cost effective and efficient solar driven routes to synthesize relevant product molecules from molecules that are widely available in the environment. This implies synthesis of molecules like hydrogen, methanol, hydrocarbons or ammonia from water, carbon dioxide and nitrogen. Carbon dioxide necessarily will need to be captured from the environment, for instance, from the air.

(ii) Advanced Energy Storage: research on batteries with both intercalation-based and conversion-based electrodes, electrolytes of various types, and other storage devices, including flow batteries and supercapacitors. Research projects are aimed at exploring phenomena at various length- and time-scales, while being limited to topics that directly influence the function of an individual cell.

(iii) Methane to Products: find new credible pathways from methane to high-value large-volume products (order of magnitude on par with current NG consumption for energy, i.e. millions of BOE per day), particularly in market segments where competition from new energies is structurally limited. Examples include a range of base chemicals (e.g. methanol, acetylene, ethylene), but also potential new outlets such as carbon-based materials for construction, building and agricultural applications.

(iv) Computational Material Science: to advance in renewable and carbon neutral energy research, relying solely on empirical research is expensive; and to enable answering the question of how to select the right combination of materials as well as architecture for optimal performance for a given energy application, efficient use of computational research is essential. We would like to take full advantage of both existing computational tools and new methods and techniques developed as necessary in developing building renewable energy research/technology portfolio.

The Center will aim to achieve world-wide recognition for, and have positive and sustainable societal impact with its research in the New Energies space. It is also envisaged that in future the center may also sponsor the development of further education courses (Bachelor and Masters Level) and vocational training for new entrants and employees in the New Energies space in Brazil.

Company recognizes the Engineering Research Center program as a suitable vehicle to promote a long-term research program in this field with Sao Paulo research institutions and universities. This initiative expands the aims of the FAPESP CEPID program, adding a component of research collaboration with industry since the inception of the proposals, thus bringing in the approach of FAPESP's Research Partnership for Technological Innovation (PITE) program. The New Energies Research Center (NERC) in Sao Paulo, to be established by FAPESP and Company, will perform world-class research in the New Energies space to advance the knowledge in the fields of Dense Energy Carriers, Advanced Energy Storage, Methane to Products conversion and Computational Material Science. Thus combining the best of both program's practices.

2. Definitions

In this Call for Research Proposals the capitalized expressions listed below have the following meanings:

a. Principal Investigator (PI): is a senior academic faculty member and a Research Division leader. All PIs must have an excellent research background in a related field; their participation must be clearly specified in the Research Division Plan and this will be essential to the development of the projects to be carried out. It is desirable that the PIs have technology transfer experience. Each of the four Research Divisions (see Section 4) will be technically coordinated by a PI as its Research Division leader, who will be based at the appropriate institution. One of the four PIs will be appointed by FAPESP and Company to assume the role of Center Director, being responsible for the scientific and administrative coordination of the Center.

b. Co-Principal Investigator (Co-PI): an academic faculty member responsible for a major Project within the scope of the Research Division. All Co-PIs must have outstanding research records in a field related to the Project under his/her coordination. The Research Division Plan must clearly assign the responsibility for each major Project to one (1) Co-PI.

c. Associate Investigator (AI): team researchers, assigned by the PIs and approved by FAPESP and Company, responsible for contributing to well-defined elements of the research projects.

d. Education and Dissemination of Knowledge Coordinator (EDC): appointed by one of the Host Institutions to manage educational and communicational interfaces to disseminate output from the Center to the academic community and other stakeholders.

e. Technology Transfer Coordinator (TTC): an academic faculty member appointed by one of the Host Institutions to coordinate the Research Center´s technological transfer program. The Proposal may appoint the same individual to complement the profile of the Host Institution PI, if required.

f. Technology Transfer Manager (TTM): appointed by each Host Institution to develop and manage the institutional and business relationships and interfaces to translate output from the Center into practical applications. The TTM of the Hub Institution furthermore fills an advisory role to the EC on the Center’s technology transfer activities.

g. Host Institution: the institution hosting one (1) or more of the four Research Divisions within the Research Center, to which the associated PI(‘s) must be connected by formal employment. The Host Institution will provide institutional and administrative support for its Research Division(s), including storing and accessing material and equipment for the project researchers.

h. Hub Institution: one of the Host Institutions assuming the role of Research Center Hub. The Hub Institution will host the Research Center Executive Committee (EC) and provide the management resources necessary to achieve the appropriate level of direction and coordination of activities across the four Research Divisions.

i. ANP: Brazilian National Agency of Petroleum, Natural Gas and Biofuels.

j. NERC: New Energies Research Center.

k. Project: Research project, or specific line of research, with the aim of describing cause and effect relationships or evidencing new facts. In this Call for Research Proposals, every Project is described in and is part of a Research Division Plan.

l. Research Division: One of four (4) distinct areas of research under the New Energies Research Center scope. A Research Division comprises a combination of coordinated Projects with the aim of solving a bold scientific challenge. Description of each individual Research Division can be found in Section 4 and Annex IV.

Further details on the requirements for the personnel assigned to the Center are provided in Annex I.

3. Research Center structure

The Research Center will comprise four Research Divisions. Each Division may be hosted in a different Host Institution. Alternatively, a Host Institution may accommodate up to four Research Divisions. One of the Host Institutions will be appointed by FAPESP and Company to assume the role of Hub Institution. The Hub Institution will, in addition to operating its Research Division(s), host the Research Center Executive Committee (EC) and provide management resources necessary to achieve the appropriate level of direction and coordination of activities across the four Research Divisions. See Figure 1.

It is recognized that a Host Institution may need for other institutions to be involved in the delivery of its Research Division Plan. Therefore, Proposals from leading consortia of institutions are encouraged, in which a Host Institution is nominated along with partner institutions, which collectively have internationally leading academic capabilities in one of the four Research Division areas and supporting areas.

Each of the Research Divisions will deliver internationally competitive research in the topics detailed in Annex IV; FAPESP and Company believe that collaboration and maximization of synergies between the Research Divisions is key to achieve success.

The Center’s coordination activities will aim to promote and oversee this collaboration.

During the Proposal review process FAPESP and Company will engage with the PIs and Institutions who submitted a Proposal to select the Hub Institution location, nominate the Center Director, nominate the Education and Dissemination of Knowledge Coordinator, and define the detailed accountabilities of the Host and Hub Institutions within the Center structure.

Figure 1. Structure of the Research Center

Company researchers will have access to research partners in the wider international scientific communities in relevant activities, and the Research Center will be encouraged to take advantage of this network in the interest of developing and executing its Research Division Plans.

In broader terms, the goals of the Research Center must be able:

3.a) To perform world-class fundamental and/or applied research, seeking positive and sustainable economic and societal impact through innovation;

3.b) To transfer knowledge to society, including corporate, non-governmental and/or public sectors, e.g. by publishing results in the peer-reviewed literature, by carrying out projects in partnership with companies, governmental agencies or NGO’s responsible for public policies, or through establishing small businesses using research developed by the Center. These projects may benefit from other FAPESP programs such as PITE (Partnership for Technological Innovation), PPP (Public Policies Research Program) or PIPE (Innovative Research in Small Business Program).

3.c) To interact with society, especially with the educational system at the primary and secondary levels (for example through the FAPESP Public Education Research Program).

3.d) To undertake collaboration with leading universities from other countries that provide opportunities for international training of PhD students and post-doctoral researchers, facilitating the transfer of technical knowledge and enhancing the Brazilian academic base.

3.1 Composition of the research and management team

A key determining factor for the success of the Research Center will be the existence of a balanced research and management team led by the Center Director, and supported by high quality administrative and management services. The latter may also include representative(s) of Company. The Center 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 Divisions efficiently and effectively will require continuous interaction between the PIs, Co-PIs, AIs and EC 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 based on the selected Proposals.

The Research Center will be directed by the Executive Committee (EC), comprising the Center Director, a Deputy Center Director (appointed by Company), the PIs of the Host Institutes, the Hub´s Technology Transfer Coordinator (TTC), and the Education and Dissemination of Knowledge Coordinator (EDC). The EC should be supported by professional staff (to be hired by the Hub Institution and/or Institutions hosting other Research Divisions) to undertake and supervise the management and administrative tasks necessary for the operation of the Center.

The Research Center shall have a clearly defined science focus that articulates the research activities to be developed with clear deliverables. 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 Research Center activities will be long term (initially limited to 5 years, with the possibility to be extended for up to 10 years, subject to the prior consent from both FAPESP and Company) and with ongoing support conditional on regular progress and quality assessments throughout this period. The funds allocated may be used with a reasonably high degree of delegated authority, and FAPESP and Company will supervise expenditures through the periodic assessments of the Center’s activities.

3.2 Participation of Company

The participation of representatives from Company and its research partners will be discussed with the PI and the Host Institution after the announcement of the selected Research Proposal(s). The appointment of a Company representative as the Deputy Director of the Center will facilitate a high level of interaction between the Center, Company and its research partners.

3.3 FAPESP-Company Joint Steering Committee (JSC)

A FAPESP-Company Joint Steering Committee (JSC) will be established to provide overall direction to the Research Center. The JSC will include representatives from FAPESP and Company and will meet twice per year (every 6 months) to review the progress of the Center and execution of the research plan. The JSC will ensure continued alignment of the Center with the science, technology, education and technology transfer requirements of both FAPESP and Company. This will include a particular focus on identifying commercial development and demonstration opportunities for the research outputs of the Center.

3.4 International Advisory Board (IAB)

The Center will establish an International Advisory Board (IAB) of renowned scientists in appropriate research fields to provide independent advice on the establishment and operation of the Research Center. The IAB will include at least two foreign scientists who are active at the leading edge their fields. The IAB’s main role will be to advise on: the operation of the Center, guiding the team regarding the direction and execution of ongoing projects within the Research Divisions, new opportunities for research, and strategies to increase its international competitiveness.

3.5 Involvement of foreign universities

Participation of foreign universities in projects should be proposed when such a collaboration can provide unique and leading capabilities that enhance the output of the projects. International involvement could include, for example, periods spent by a São Paulo based PhD student or post-doctoral researcher at the university abroad or vice versa.

4. Research Center scope

The Center will encompass the four (4) distinct, but complementary, Research Divisions summarized below (note that further details are provided in Annex IV):

4.a) Research Division: Dense Energy Carriers

In a low-cost electricity world, molecules still have a very significant role to play for several applications as molecules offer a high product utility combined with lowest handling/storage costs. More specifically, molecules offer the highest energy densities when compared to any form of electricity storage and are therefore within Company referred to as ‘Dense Energy Carriers (DEC)’.

With this in mind there is a clear need for the development of cost effective and efficient solar driven routes to synthesize relevant product molecules from molecules that are widely available in the environment. This implies synthesis of molecules like hydrogen, methanol, hydrocarbons or ammonia from water, carbon dioxide and nitrogen. Carbon dioxide necessarily will need to be captured from the environment; for instance, from the air.

An illustrative (by no means limiting) example is the electrolysis of water into hydrogen (and oxygen) using ‘green power’ followed by the subsequent conversion of hydrogen and CO₂ into methanol. A broad area of solar driven synthesis of Dense Energy Carriers is considered. We do not want to limit your thinking in any way and we would like to invite you to bring up and discuss any specific route that meets the above criteria.

4.b) Research Division: Advanced Energy Storage

Safely increasing energy density and cycle life are central to successful, expanded deployment of energy storage technologies across markets and uses. It is recognized that there are many approaches available to address the current challenges for both mobility and stationary applications of energy, whether tackling materials properties (e.g. electrodes), transport phenomena (e.g. fluid flow, gas diffusion), or ionic conductivity (e.g. electrolytes).

Since significant efforts in industry and academia are already in progress globally to advance the performance and commercialization of lithium-ion batteries, the AES research portfolio does not include projects aimed at improvements of these systems.

The AES program expects to include research on batteries with both intercalation-based and conversion-based electrodes, electrolytes of various types, and other storage devices, including flow batteries and supercapacitors. Research projects are aimed at exploring phenomena at various length- and time-scales, while being limited to topics that directly influence the function of an individual cell.

4.c) Research Division: Methane to Products

The objective is to find new credible pathways from methane to high-value large-volume products (order of magnitude on par with current NG consumption for energy, i.e. millions of BOE per day), particularly in market segments where competition from new energies is structurally limited. Examples include a range of base chemicals (e.g. methanol, acetylene, ethylene), but also potential new outlets such as carbon-based materials for construction, building and agricultural applications.

Despite decades of research there are to date still no clear winners for direct conversion routes of methane. Activating and converting the methane molecule typically requires higher temperatures and/or catalysis. However, the resulting products are typically more reactive than methane leading to undesired by-products. Thus the main challenge is not so much the activation of methane, but rather the ability to mitigate the sequential and parallel reactions that lower selectivity.

Conventional direct conversion routes include pyrolytic pathways and oxidative pathways. Pyrolytic pathways are (strongly) endothermic yielding fundamental challenges such as the need for substantial heat input (at high temperatures), and equilibrium-limitations, resulting in partial conversions per pass (with its downstream separation challenges). Oxidative pathways are typically strongly exothermic, requiring heat removal, and thus not limited by equilibrium, but have similar challenges in heat management, reactivity of the products (against the oxidant), and/or downstream separation and recycle.

By exploring new developments made in scientific fields such as electro-chemistry, nano-materials, structured catalysts, computational sciences and synthetic biology combined with the availability of cheap electrons (i.e. energy), fundamentally different approaches might become available for converting methane.

4.d) Research Division: Computational Material Science

To advance in renewable and carbon neutral energy research, relying solely on empirical research is expensive; and to enable answering the question of how to select the right combination of materials as well as architecture for optimal performance for a given energy application, efficient use of computational research is essential. We would like to take full advantage of both existing computational tools and new methods and techniques developed as necessary in developing building renewable energy research/technology portfolio.

Proposals pertaining to the Computational Material Science Division should describe the planned contribution to themes pertaining to the other three Research Divisions with a view to fostering synergy among the various components of the research effort.

5. Proposal - minimum requirements and optional sections

A PI may only submit one (1) proposal, which should contain a Research Division Plan pertaining to at least one of the four Research Divisions detailed in Section 4 and a plan for the operation of the Center Hub. The required content and format of the Proposal is detailed by Annex II. In the following discussion of general aspects of the Proposal, references between square brackets indicate the pertinent items in Annex II.

A Proposal will include the following minimum requirements:

5.a) Research Division Plan: detailing objectives, scope, existing capabilities and execution plan for at minimum one (1) of the Research Divisions detailed in Section 4, which should describe how the center will achieve a world-class level of research in the area defining the Division.

5.a.i) The Plan will list the key roles (with individuals identified when possible and including a schedule for hiring of personnel if required) [II.6.c] and detail the budget (including a schedule for disbursement) [II.7, II.8] and delivery mechanisms for the research [II.4], its associated technology transfer program [II.5] and associated education and knowledge dissemination program [II.12].

5.a.ii) The Plan will further describe the physical space and infrastructure and contain a detailed description of the institutional contribution [II.9].

Graphical depiction of the allocated space is recommended. The physical area should enable execution of the research. When infrastructure needs to be built to achieve this, the Proposal must include confirmation of the commitment to do so and the construction timeline.

5.b) Information on Host and partner Institutions:

5.b.i) Confirmation by the Host Institution that the activities described in the Research Division Plan(s) will be hosted in a higher education and research institution, or research institutions, which are public or non-for-profit private entities in the State of São Paulo and are committed to the long-term success of the proposed Center. When institutional collaboration is proposed, FAPESP and Company may require that a formal relationship will be established with the non-Host institution(s) [II.9].

5.b.ii) A detailed description of the contribution from the Host Institution. The Proposal should include a statement signed by the highest leadership in the Host Institution describing the physical space, personnel, and infrastructural resources that will be allocated to the Research Division [II.9].

5.c) Description of the research team, in terms of structure, personnel (including technical support personnel), qualifications and experience. The description should include a one-sentence description of the project under the responsibility of each co-PI, followed by a listing of the AIs and other participants. Well-qualified and experienced researchers from other states in Brazil or overseas may be nominated. The proposed budget may provide funds for such researchers, within FAPESP guidelines for visiting-research awards [II.6.c].

5.d) Details of agreements, joint projects or collaborations established or under negotiation with internationally recognized foreign Centers, departments or research institutes with a research focus in relevant areas. These are not mandatory but can enhance the strength of the Proposal. If not already established, the Proposal should consider putting in place such collaborations within the first two years of the Center’s operation, to increase effectiveness of the Research Division. When such collaborations are proposed, FAPESP and Company may require a formal relationship to be established [II.14].

5.e) A description of the administration and management personnel to support the Research Division operation. To ensure good communication with researchers from other countries, fluency in English is highly desirable and, depending on characteristics of the Proposal, may be indispensable [II.9].

5.f) Management plans and institutional-support offer for the Research Center Hub. In addition to operating its Research Division, the Hub Institution will host the EC and offer the management resources required by direction and coordination of activities across the four Research Divisions. The Proposal should include sections to (1) describe executive and knowledge management plans, (2) show adequacy of the offered physical space and infrastructure, and (3) demonstrate commitment of the PI´s Institution to the development of the Research Center. Submissions showing that preliminary negotiation among two or more institutions have led to the definition of a consortium comprising a Hub Institution and one or more Host Institutions will be especially prized; in this case, a copy of the sections describing the Research Center Hub operation should be included in each submission [II.11].

5.f.1) Executive and Knowledge Management Plans for the Hub

5.f.1.a) Executive Management Plan for the Hub. The Center Director, and more broadly the Executive Committee are expected to promote a number of administrative initiatives of critical importance for the success of the NERC:

5.f.1.a.1) Coordinate and maintain direction of the NERC, across the four Research Divisions;

5.f.1.a.2) Build and maintain organization to manage NERC support with required administrative tasks;

5.f.1.a.3) Search and apply for additional funding sources for the NERC;

5.f.1.a.4) Manage health, safety, security, and environmental risks.

In addition, the Director should carry out routine administrative tasks, such as requesting payments to FAPESP and submitting proposals of changes in the agreed NERC funding distribution to the Company. The Executive Management Plan should describe (i) measures to be taken by the Director to achieve the desired goals, and (ii) the administrative and management support personnel that will assist him/her, individuals being identified whenever possible.

5.f.1.b) Knowledge Management Plan for the Hub. The Director is also expected to insure that knowledge generated within the Research Divisions will be captured and distributed across the Center. Of special significance is the organization of the half-yearly Progress Review meetings, of the Annual meetings of all researchers, International Advisory Board and observers from FAPESP and the Company, and of the Wide-ranging Performance Assessment at the end of year 3. Other important components of the Knowledge Management Plan are

5.f.1.b.1) Initiatives to facilitate collaboration between the Research Divisions, including but not limited to workshops, webinars, newsletters, and webpage development;

5.f.1.b.2) Participation in research-related international meetings;

5.f.1.b.3) Plans to acquire equipment, books, and databases for libraries;

5.f.1.b.4) Organization of courses to update technical personnel dedicated to the support of research;

5.f.1.b.5) Measures associated with technology transfer, such as the protection of intellectual property;

5.f.1.b.6) Procedures to promote publication of results in peer-reviewed literature or presentation in conferences.

5.f.2) Physical Space and Infrastructure for the Hub

In addition to providing physical space for the Research Institute, the Hub Institution should properly accommodate the Executive Committee, described in item 3.1, the Executive Manager, the Technology Transfer Manager, and additional administrative support staff. It should also offer adequate infrastructure to enable the management, administrative and support duties of the EC. Existing resources should be described, graphical depiction being desirable. Where infrastructure needs to be refurbished or built, the Proposal must include confirmation of the commitment to do so and the construction timeline. Neither FAPESP nor Company funds can be applied to this end.

5.f.3) Institutional Commitment to support the Hub

Given the legal restrictions on the financial contribution from FAPESP and Company, the Hub Institution is expected to offer the above-described physical space and infrastructural support. In addition it should allocate or recruit administrative personnel to support the Hub Institute. Of capital importance are two dedicated staff members: the Executive Manager, a skilled administrator who is expected to care for the day-to-day administrative operation of the Hub with minimum supervision, and the Technology Transfer Manager, who is expected to have sufficient knowledge to interact with and support the work of the other technology transfer personnel and to seek opportunities to interact with other organizations, internationally. The Proposal should include a statement of commitment from the highest leadership of the Hub Institution. The statement should describe the personnel that will be dedicated to the Hub Institute, with identification of individuals, if possible, or of the timeline for recruitment. Statements from a consortium of institutions willing to co-finance the hiring of dedicated personnel will add exceptional value to the Proposal.

Each Proposal must nominate Co-PIs for the roles of Research Center TTC and EDC. Minimum requirements for the TTC, EDC and other EC roles are listed in Annex I. The same TTC may be nominated to complement the Research Division PI’s profile in the area of technology transfer, if necessary.

6. Support offered by FAPESP and Company

6. a) The NERC is viewed as a long-range initiative. Funding will be awarded initially for a maximum of five (5) years and may be renewed for up to ten (10) years subject to broad performance reviews at the end of years 3 and 5and the approval of both FAPESP and Company. FAPESP and Company will not have any commitment in connection with this Call for Research Proposals to provide funds to the Center beyond five (5) years, although they may choose to do so at their sole discretion.

6.b) The investments from FAPESP and Company are not expected to be the sole source of funding and exclusive support for the Center. Proposals should provide details of the required budget and proposed sources and application of funds. Planned external financing will add value to Proposals in evaluation.

6.c) External funding will require the advance approval of the JSC.

6.d) The Center will also be encouraged to secure additional funding, from public or private sources (in Brazil and internationally) to support the translation of output from the Center into products, equipment, services which may be commercialized or developed to benefit consumers, the development of the industry in Brazil, or the achievement of Company´s business objectives.

6.e) The Center funding structure will be regulated by a separate agreement between FAPESP, Company and the Host Institution, which will provide that: (i) the funds to be granted by FAPESP shall be disbursed directly to the PI and (ii) the funds to be granted by Company shall be disbursed directly to the Host Institution.

6.1 FAPESP funding

FAPESP is forbidden by law to support administrative activities. For this reason, support from the Host Institution for all administrative activities will be required for the operational performance of the Center.

Items that may be funded by FAPESP are:

6.1.a) Fellowships (at scientific initiation, technical training, master, doctorate, post-doctoral levels) and visiting researcher programs;

6.1.b) Organization of work meetings;

6.1.c) Research equipment;

6.1.d) Consumables;

6.1.e) Third-party services;

6.1.f) Per diem allowances for travel, transportation, living expenses for visiting researchers;

6.1.g) Civil construction of research infrastructure through the modification of existing facilities and structures (within the existing footprint);

6.1.h) International collaboration and/or training costs for PhD students and researchers.

Further information on Fundable Items is available at Annex III.

FAPESP funding may not be used for:

i) Administrative activities;

ii) Additional salary payments of any nature;

iii) The construction of new buildings or of annexes to existing buildings (beyond the existing footprint).

6.2 Company funding

Items that may be funded by Company must follow what is defined by the ANP Resolution 50/2015 and its respective Technical Regulation 3/2015, available at www.anp.gov.br/wwwanp/pesquisa-desenvolvimento-e-inovacao/investimentos-em-p-d-i/regulamentacao-tecnica-relativa-aos-investimentos-em-p-d-i, and can consider:

6.2.a) Research equipment associated with a Project (to be owned by the Host Institution on completion of the Project) – this item may require ANP pre-approval;

6.2.b) Funds invested in PhD, interchange doctoral or post-doctorate fellowships at levels at least equal to the equivalent grants from FAPESP for these arrangements;

6.2.c) Provision for funds to be used to support training and collaborative activities with international partners where appropriate;

6.2.d) Acquisition of consumables, software licenses, travel and third-party technical services when directly associated with the project;

6.2.e) Funds invested in infrastructure associated with the project (to be owned by the Host Institution after the completion of the project) – this item requires ANP pre-approval;

6.2.f) Funds to supplement the salaries of researchers employed by participating institutions; these will be paid in accordance with the rules of the relevant institution, and in such a manner that does not imply employment by Company.

6.3 Institutional support

6.3.1) Research Division

Because of the legal requirements on the application of FAPESP funds, the Host Institution is required to provide support for all administrative activities (procurement, management, secretarial services, and others) and the payment of research support personnel.

Moreover, the Host Institution (or partner Institution) must provide for:

6.3.1.a) Personnel and services for Research Division management;

6.3.1.b) Personnel and support for procurement, scheduling, accounting and all other administrative tasks required to ensure the effective functioning of the proposed Research Division(s);

6.3.1.c) All other technical personnel, support and facilities needed to operationalize and maintain the research activities;

6.3.1.d) The recruitment of new researchers/professors (this is not a mandatory requirement, but can add significant value to the Proposal).

All institutional contributions must be described and quantified, physically and financially. This will include details of salaries for researchers and support personnel, the equipment and infrastructure to which the Research Division(s) will have access (e.g. communication, computer network, support workshops, administrative resources).

The level of the institutional support considered necessary will be an important factor in the assessment of the Proposals.

6.3.2) Hub Center

Further to the support of a Host Institution, the Hub Institution will host the Research Center Executive Committee (EC) and provide the management resources necessary to achieve the appropriate level of direction and coordination of activities across the four Research Divisions. The additional proposed contributions to the Research Center Hub must therefore be described and quantified.

6.4 Research Center supervision

The activities of the Center will be assessed annually by means of progress reports. At the end of the third and fifth years, wide-ranging assessments will be carried out which may include visits and interviews with the Center staff and researchers. The results of this assessment will be fundamental to any decision by FAPESP and Company with respect to continued support beyond the third year. In the event that funding is not continued the Center will be granted six months of reduced support whilst it closes down operations.

6.5 Research Division funding schedule

The financial support from FAPESP and Company to each of the Research Divisions will be limited to the total amounts (the equivalent in Reais (R$) of the total in US$ provided by each party) described in the table below. The values ascribed for overheads for direct infrastructure costs (see Section 2 of Annex III) and the overheads for any awarded fellowships are included in the total values indicated:

Guidance: Institutions should note that as far as the Company financial support is concerned, there is flexibility on phasing between Programs and across years, except that the 1st year funding total ($1,5 mln) should be regarded as a fixed total ceiling for that year. Institutions may propose variations to the Company funding allocation with respect to:

(i) alternative funding distributions across multiple Research Divisions within the year, provided the PI includes Research Division Plans for each of these Research Divisions in his/her Proposal and

(ii) a different total funding profile across the 5 years.

This flexibility is to ensure that institutions are able to optimize their Proposals with respect to investment phasing between Research Divisions and across years. It applies only to the Company financial support, and institutions should also ensure that Proposals are compliant with the guidance provided in this document on the constraints on the application of financial support by both FAPESP and Company.

7. Presentation of Proposals

All Proposals will be internationally peer reviewed; they must therefore be presented in ENGLISH. Each Proposal must contain a Research Division Plan and a plan for the operation of the Center Hub.

Proposals must not contain any information considered to be confidential. FAPESP and Company will consider all information in the received Proposals as being shared by its originators (i.e. PI, his/her Host institution and any associated institutions) on a non-confidential basis.

Proposals must adequately describe the arrangements for both the academic organization and management systems to be adopted by the Host Institution, and these should clearly demonstrate the feasibility of delivering the required scientific objectives.

The Proposal must be submitted by the PI, 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). During the review process, the reviewers may consult the Lattes CVs of the PI and other members of the scientific team; therefore, these must be kept updated.

More detailed guidance on required Proposal content and formatting is provided in Annex II.

8. Review of Proposals

Proposals will undergo a competitive and international review process, considering the degree to which the Proposal complies with the conditions of this Call for Research Proposals.

Proposals will be submitted to FAPESP and be distributed to reviewers appointed jointly by FAPESP and Company with expertise relating to at minimum one of the four Research Division areas. Each reviewer will analyze and report on the Proposal(s) relevant to his/her area(s) of expertise.

The jointly appointed International Committee of Reviewers (ICR) will also review the Proposals and taking into account the reviewers reports, the ICR will deliver a written recommendation on each Proposal and a ranking based on the technical analysis to the JSC. 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 appropriate leadership of the Host Institution, as well as visits to participating institution(s).

At the end of the review, FAPESP and Company may recommend the merging of proposals to form one (1) Research Division and (through engagement with the PIs and Institutions during the Proposal review period) will define how to combine the selected Research Divisions from different Host Institutions into one single Research Center to be managed through a Hub Institution. The governance of the Research Center will be established in a consortium agreement between the Hub Institution, the Host Institutions, FAPESP and Company.

FAPESP and Company are not bound to accept any of the Proposals.

8.1 Review and selection criteria

The criteria used for ranking and selecting Proposals will be as follows:

8.1.a) SCIENTIFIC MERIT. This will be based on the originality and degree of innovation of the Proposal, benchmarked by an analysis of the international state of the art for the area. The Research Division Plan should define specific, realistic and measurable objectives and milestones for each Project to be executed by the Research Division. It is essential to include realistic and detailed timelines at least for the first three years of the Center. The Research Division Plan should promote the potential for the Center to become a world-class reference in this space, and one of the important elements of the plan will be the strategy for effective international cooperation.

8.1.b) FOCUS. The Research Division Plan shall have a single and clear scientific/technological focus and objective that articulates all the research activities to be developed through the proposed Projects. Synergy among the research efforts in different institutions and across Research Divisions should be maximized.

8.1.c) ADEQUACY OF THE CENTER HUB PLAN AND VALUE OF THE INSTITUTIONAL SUPPORT OFFER. The Executive and Knowledge Management Plans and minimum requirements for the institutional-support offer are described in Section 5f. Proposals showing that prior negotiation among institutions has resulted in a proposed consortium to support the Research Center Hub will be especially valued.

8.1.d) QUALIFICATIONS OF THE RESEARCH AND MANAGEMENT TEAM. The requirements for the qualifications, skills and experience of the research and management team are detailed in Annex I. Intense participation of graduate students in the Research Division will enhance the strength of the Proposal.