Internal closing date at Stellenbosch University for institutional signature: 18 April 2018
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SOUTH AFRICA – NORWAY COOPERATION ON OCEAN RESEARCH INCLUDING BLUE ECONOMY,
CLIMATE CHANGE, THE ENVIRONMENT AND SUSTAINABLE ENERGY (SANOCEAN)
(2018 – 2023)
National Research Foundation (NRF) and
The Research Council of Norway (RCN)
Internal closing date at Stellenbosch University for institutional signature: 18 April 2018
Programme Guidelines1: Background
The first South Africa Norway programme on research co-operation initiated in late 2001 and was fully implemented in 2002 for an
initial four-year period. The programme was extended for a second phase up to 2011 with the signing of a new Business Plan in May
2006. The Framework Document for the third co-operation programme SANCOOP was signed in February 2013. It came to an end
31 December to 2017 and was superseded by SANOCEAN (2018 - 2023)
2: Objectives and priorities of the research co-operation programme
The goal of the Programme is enhanced knowledge – based policies and decisions for sustainable development in the areas of
oceans and ocean space (blue economy), environment (with emphasis on oceans and pollution), climate change and sustainable
energy in South Africa and Norway. Particular attention shall be paid on aspects leading to income generation and provide selling
arguments to producers, service providers as well as young entrepreneurs. The research needs to be relevant to South African and
Norwegian priorities. On a wider scale, the Programme shall aim to contribute to achieving the Sustainable Development Goals
(SDGs).
SANOCEAN (hereafter ‘the Programme’) is a programme with significant potential to contribute to expanded research opportunities
and improve research cooperation between South African and Norwegian researchers within the selected thematic areas. Its main
focus is to strengthen, in a sustainable way, quality research and capacity building in the partner countries, both at institutional and
individual levels. Special emphasis will be put on ensuring the participation of Historically Disadvantaged Institutions (HDI) in the
Programme.
3: Funding and Modalities of Cooperation.
Norway, through the Ministry of Foreign Affairs – MFA will provide this joint research programme with NOK 30 million over a period
of six years, and South Africa, through the Department Science and Technology – DST will provide ZAR 15 million during the same
period, in addition to the South African administrative costs. The programme will run until 2023 and will be managed jointly by the
National Research Foundation in South Africa (NRF), on behalf of DST, and the Research Council of Norway (RCN), on behalf of
MFA.
2The primary modality of co-operation is through joint research projects, which should include one or more of the following elements:
▪ exchange of project staff and post-graduate students
▪ exchange of scientific and technological information and documentation
▪ joint laboratory and field work
▪ provision of equipment grants (only for disbursement to South African institutions)
▪ dissemination of research findings
▪ planning of joint participation in international research programmes
▪ mandatory participation in the SANOCEAN launching and concluding conferences (one of the events to be held in South Africa
and one in Norway); must be included in the project budget.
Multi- and interdisciplinary research is encouraged as well as scientific complementarity between the South African and Norwegian
Research teams. Projects in the following broadly defined thematic areas under the broader oceans framework will be considered:
• Ocean space and the Blue Economy
• Environment
• Climate Systems Impacts on Society
• Sustainable energy
For details about the different themes applicants are asked to consult point 2.9 in the Framework Document.
4: Types of grants
The programme offers grants in the following categories. All grants must be related to the implementation of joint projects.
▪ Return airfares, subsistence, local transport and insurance for travel in and visits to South Africa and Norway. The
grant will provide for return air tickets at discounted economy class rates, local transport costs, accommodation costs not
exceeding the rates of a tourist class hotel for the first 28 days, after which the rates will be reduced by 50 %. Host institutions
are encouraged to provide suitable accommodation other than hotels for researchers/students staying for longer periods. Per
3diem will be provided at the Norwegian and South African Government per diem rates. The grant does not cover any costs for
accompanying family members.
▪ Cost of travel and accommodation for mandatory participation at the launching and concluding conferences of SANOCEAN
by at least one project representative from each partner project.
▪ Post-graduate exchange grants. Grants can be made available for full-time post-graduate students to spend up to 12 months
at the partner institution within the research project. The grant covers return air tickets at discounted economy class rates; local
transport costs, accommodation costs and per diem at the rates indicated above.
▪ Post-doctoral exchange grants. Grants will be made to fully funded post-doctoral students to spend up to 12 months at the
partner institution within the overall research project. The grant covers return air tickets at discounted economy class rates,
local transport costs, accommodation costs and per diem at the rates indicated above.
▪ Salary subsidy. This item provides subsidy to their department/institution enabling researchers in Norwegian independent
research institutions (not part of a university or university college) to work full time for limited periods on the research component
of the project. Researchers at South African are normally not eligible for such salary subsidy. Subsidy will be allocated
according to the relevant rates (including social costs) and regulations at the researcher's home institution. Subsidies are
limited to a maximum of three months per year and do not provide for any overheads to the institution.
▪ Equipment grant. A once off grant for the purchase of equipment for South African institutions only, not exceeding 15 % of
the total project costs. The need and applicability of the equipment for the implementation of the project must be documented
and included in the project application.
▪ Purchase of consumables. Laboratory consumables, stationary and the likes necessary for the implementation of the project.
▪ Temporary auxiliary staff. Technicians, field staff such as enumerators, translators etc. exclusively employed for the
implementation of the project.
▪ Workshops and conferences. Costs of organising and/or participating in joint workshops and conferences organised by the
project can be covered by the allocation.
▪ Project management. This item relates to the compensation to the lead institutions in each country for project management.
These institutions may receive compensation for the time spent by the academic project director on management and co-
ordination. The compensation may cover the equivalent of the institution's total expenses on salary (including social costs) but
not the institutional overheads and must not exceed one month for the whole project period.
▪ Running costs. Administrative costs related to the project can be awarded to the lead institution on both the Norwegian and
South African sides. They should be calculated as percentages based on the other project expenditures and should not exceed
10 %, to be divided between the two institutions.
▪ Dissemination costs. May include publication expenses, audio visual outreach and contracted services needed for these
activities.
4▪ Planning of joint applications to international research programmes. Grants are available for travel, accommodation and
per diem relating to the preparation of submissions to international programmes.
Grants are available for a maximum of three years. The total amount applied for cannot exceed NOK 3.0 mill. per project for the whole
period. The total amount of each joint project applied for cannot exceed NOK 1,000,000 per annum. It is expected that more than
50% of the project funding is allocated to the South African partner.
5: Main beneficiaries
▪ Researchers, postdoctoral candidates and postgraduate students in Norway and South Africa.
▪ Young researchers from historically disadvantaged backgrounds in South Africa and historically disadvantaged institutions;
and
▪ female researchers
Each joint application must include two principal investigators, one in South Africa and one in Norway.
The principal investigator in Norway should normally possess a PhD or be qualified to at least senior lecturer/associate professor
level, and be affiliated to any of the universities, specialised university institutions, the state university colleges, other PhD awarding
institutions or any of the research institutes financially supported by the Research Council of Norway.
The principal investigator in South Africa should ideally possess a PhD and must be a member of a university, university of technology,
or science council. Other research organisations may qualify for support under this programme only if they form part of a consortium
with a South African university, university of technology, or science council.
Each application must be supported by the institutions of the participating researchers. Collaborating institutions are encouraged to
sign memos of understanding on the division of tasks and other modalities of co-operation, including measures to be taken in case of
major currency fluctuations, before the start of their respective projects.
56: Criteria
The applications will be assessed according to the following criteria:
▪ scientific quality in relation to the research standards currently applicable within the field or discipline
▪ relevance in relation to the objectives and prioritised areas of this programme and the achievement of equity and redress goals
▪ qualifications and / or experience of the principal researchers involved
▪ contribution to capacity and competence building, especially related to young researchers from historically disadvantaged
groups in South Africa and female researchers in both countries
▪ cost effectiveness
▪ feasibility
7: Application process
All applications must be submitted electronically. For technical reasons, these applications must be submitted to the RCN. This
implies in practice that all joint applications must be submitted electronically by the Norwegian partner in each case for electronic
registration in Norway. The South African partners will be able to access the electronic application form by using the password of their
respective Norwegian partners. A paper version of all applications will then immediately be made available to NRF for registration
and further processing in South Africa. For technical reasons, figures relating to budgets and costs can be given in Norwegian Kroner
(NOK) only in the standard RCN electronic form. Specifications on budgets and costs in ZAR must be made in appendix 1, which all
projects are required to submit as part of the application form.
The application must consist of:
▪ the RCN electronic application form;
▪ appendix 1: South Africa – Norway research co-operation application form;
▪ a signed statement from the South African and Norwegian principal researcher/project manager and their respective
responsible institutions confirming that the proposal is submitted jointly with the approval of the institution (part of appendix 1);
▪ a project description which must be limited to a maximum of 10 pages;
▪ the curriculum vitae of the principal investigator and other participating researchers (CV’s should be limited to a maximum of 4
pages and focus on the most important research projects and publications); and
6▪ any other attachments that may be relevant, such as confirmations from other collaborating partners, invitations, names of
suggested experts/referees to assess the application, etc.
Please note that the term Project owner in the electronic application form refers to the applying institution, and the term Project
manager is equivalent to principal investigator.
Only fully completed applications submitted before the deadline will be considered. Failure to adhere to the formal
requirements of the application will result in the dismissal of the application.
8: Deadline
The applications must be electronically submitted to the RCN not later than 25 April at 13:00 CET. The web page system will
automatically become non-functional after the stipulated time.
9: Assessment procedure and decision making
The applications will be assessed independently by external evaluators in both countries. The results of the external evaluators will
be submitted to the respective implementing agencies. These results will be assessed by the International Committee (IC) who,
together with the secretariat, will prepare a ranking list for approval by the Joint Committee. The Joint Committee has the final decision
on which projects will be funded.
The IC is comprised of an equal number of representatives appointed from both countries, and will have ten members. Two of the
members will represent the management of NRF and RCN; respectively The IC will also review progress and final reports and report
their findings to the Joint Committee.
The Joint Committee is the highest decision-making body in the Programme. It shall be composed of participants from South Africa
led by DST, and participants from Norway led by MFA, as well as the Secretariat.
The NRF and the RCN are responsible for administering and monitoring the implementation of the projects supported by the
programme. They may carry out mid-term reviews and evaluations of selected projects.
7The DST, and the MFA, represented by the Norwegian Embassy in Pretoria, will meet during the second quarter of each year to:
▪ review the progress of the programme
▪ discuss possible revisions of plans and budgets for the programme
▪ approve work plans and budgets for the next year, and
▪ discuss issues of mutual concern.
This programme will be reviewed by an international panel, including Norwegian and South African members. The review will be
completed before the last session of the International Committee.
10: Disbursement and use of funds
Upon approval of successful projects by the Joint Committee, the contracts will be signed between the NRF and the successful South
African institutions and between the RCN and the successful Norwegian institutions. The disbursements will then be made according
to the approved agency mechanisms. The total disbursement of successful applicants will be limited to the total amount in NOK
approved by the Joint Committee.
Both researchers have the main responsibility for the scientific and financial accountability as well as the technical and administrative
coordination of the project.
The NRF and the RCN may withhold disbursement, wholly or in part, for the following reasons:
▪ if substantial deviations from the presented plans and budget occur
▪ if the main project objectives are in jeopardy
▪ if reports are not submitted as agreed upon
▪ if the project develops unfavourably in relation to the proposed objectives or in any other important respect.
Before such a decision is taken, the NRF and the RCN will discuss the matter with the institutions and the project directors concerned.
If it is decided to withhold disbursements, this will be implemented both in Norway and South Africa.
811: Reporting
Benefiting institutions must submit the following within the life span of an approved research project:
▪ a joint electronic annual progress report on the research co-operation of the preceding calendar year, using a standard reporting
format provided on the RCN website
▪ an annual, financial report from their respective institutions on the utilisation and employment of the funds during the preceding
calendar year, and
▪ an ultimate joint project report with financial statements upon the completion of the project.
▪ the final report must consider outputs, outcomes and expected impacts resulting from the research activities.
All accounts in the projects must be part of the regular auditing procedures of the responsible institutions.
Principal investigators must assist and co-operate with the NRF and the RCN in performing audits, follow-ups and evaluations, as
well as providing any other information that the agencies may request, including records and documents.
South African Secretariat: Norwegian Secretariat:
National Research Foundation The Research Council of Norway
Science & Technology Agreement Funds (STAF) Division of Society and Health
P O Box 2600 P O Box 2700, St. Hanshaugen
0001 Pretoria N-0131 Oslo
South Africa Norway
Home page: www.nrf.ac.za Home page: www.rcn.no
Coordinator: Mr Teuns Phahlamohlaka Coordinator: Mr Jan M. Haakonsen
Enquiries: +27 (12) 481 43 85 Enquiries: +47 22 03 72 54
e-mail: teuns.phahlam@nrf.ac.za e-mail: jha@rcn.no
9Appendix 1
Application guidelines
General information
All applications must be submitted electronically. For technical reasons, these applications must be submitted to the Research Council
of Norway (RCN). This implies in practice that only one joint application must be submitted. It is possible for anyone of the involved
parties to work on the same application before submitting it. A paper version of all applications will be made available to the National
Research Foundation (NRF) immediately after the deadline for registration and further processing in South Africa. Since all
applications will be electronically processed through the RCN system, figures relating to budgets and costs can be given in Norwegian
Kroner (NOK) only in the standard RCN electronic form. Totals for the whole project will still have to be in NOK, though, with a
specification on the currency exchange rate used. The total budget figures transferred from the Partner Form must be entered as
International funding in the “Funding Plan” table in the electronic application form. Only the budget figures of the Norwegian partner
should be entered as From Research Council in the same table.
The whole application consists of:
▪ the RCN electronic application form;
▪ appendix 1 Partner Form, signed by the South African and Norwegian principal researcher/project manager and the South
African institution’s research officer.
▪ a project description
▪ the completed Results chain form
▪ the curriculum vitae of the academic project PIs
▪ all other documentation as specified in the Programme Guidelines and the requirements for Researcher project.
Only fully completed applications submitted before the deadline 25 April will be considered.
10Detailed guidelines for completing the application form.
It is essential that you read the call announcement as well as the Programme Guidelines before filling in the application form. There
are also online guidelines connected to the different parts of the application form and a video on the RCN web-pages showing how
the electronic form should be completed. The following text consists largely of extracts from the online guidelines which are relevant
to the type of application. In addition, some explanations are offered for the benefit of applicants unfamiliar with the RCN procedures,
and to consider different terminology used in the two countries. These additional clarifications are in bold.
Creating (Setting up) the application.
It is the Norwegian research institution who must log in and create the application. The South African cooperative partner must register
as a user on the www.rcn.no (click “Log in” and follow the directions for “New user”). After the South African partner has registered,
the Norwegian project manager can share the application by clicking on “Share application”. It is only the one that created the
application who can submit it (= the Norwegian project manager or PI). The applications must be electronically submitted to the RCN
no later than 25 April at 13:00 hours CET. Please note:
• the web page system will automatically become non-functional after the stipulated deadline and refuse any late-comers, even
if they arrive only seconds after the deadline.
• an application can be submitted several times before the deadline. It is only the latest version that will be considered.
Applicant
Project Owner
Please note that the term Project owner in the electronic application form refers to the Norwegian applying institution. This is because
the technical solution only admits one Project owner. The South African applying institution will be regarded as an equal applicant
and the name of the Institution will be stated in the separate appendix described below.
The Project Owner (formal applicant) must be a Norwegian research institution (university, university college, research institute or
other institution at which research constitutes an important activity) represented by a designated project administrator. (See:
Definition and specification of the concept "research institution" and a list of approved Norwegian research institutions under
Researcher project).
The Project Owner is legally accountable for ensuring that the conditions applicable to a potential grant are fulfilled. The institution
must provide the enterprise number under which it is registered in the Register of Business Enterprises as well as information
11regarding its accountants, when relevant. The project administrator is the individual who is authorised to represent and assume
obligations on behalf of the Project Owner in respect of the Research Council.
Confirmation
The eSøknad software does not support personal signatures, but the Norwegian submitter must confirm that a project administrator
is prepared to assume responsibility for the project on behalf of the research institution.
The person who has submitted the application and the designated project administrator will receive confirmation of receipt by e-mail
immediately after the application has been received by the Research Council. Once the official registration process has been
completed, the project administrator and the project manager will be notified by e-mail as to who has been assigned to be the case
officer. For this programme, though, signatures are required eventually, as explained further below.
Project manager
The term Project manager is equivalent to principal investigator.
The project manager is the individual in charge of the progress and performance of the project on behalf of the Project Owner. The
project manager must be formally qualified for employment at associate professor level, which usually entails a completed
doctorate. The project manager is the academic/scientific contact person.
The person who has submitted the application and the designated project administrator will receive confirmation of receipt by e-mail
immediately after the application has been received by the Research Council. Once the official registration process has been
completed, the project administrator and the project manager will be notified by e-mail as to who has been assigned to be the case
officer. The field for Academic degree must be completed (even when not marked by an asterisk [*]).
Project info
For guidance to filling in the application, see the button on each point you are supposed to fill in.
Project timetable
Please note that the earliest possible starting date of projects under this call is 1 December 2018. The latest possible start-up date
is 1 April 2019. The total project period cannot exceed 48 months.
Cost Plan
The total budget figures transferred from the Partner form must be entered (in NOK) under the budget line Procurement of R&D
12services in the "Cost Plan" table. Please make sure to mention the amount under “Specifications” below the table together with the
exchange rate used.
Cost code
Abroad
The total budget figures transferred from Partner form must also be entered (in NOK) under this budget line in the Cost Code
table.
Funding plan
From Research Council
The total amount applied for by the Norwegian partner must be entered here. This is due to the technical limitations of the system.
International funding
The total budget figures of the South African partner from appendix 1 must be entered here, converted into NOK. Details about any
possible additional funding sources should also be listed.
Fellowships
This point is not applicable for this programme and must be left blank. Instead, any exchange grants applied for South African post-
graduate students should be specified in the Partner form.
Allocations sought from the Research Council
Only the budget figures for the Norwegian partner must be entered here.
Partners
The South African partner(s) must be registered here.
Attachments
All attachments to grant proposals must be submitted in pdf-format.
Project Description
The project description is not to exceed a maximum of 10 pages, including the list of references and a results chain table. Any
13pages more than the maximum allowed will as a rule not be forwarded for assessment.
The project description constitutes a key component of the grant application. Together with the information given in the application
form and other attachments, it provides the basis for consideration of the project proposal. The application will be assessed in
relation to the assessment criteria stipulated for the relevant Researcher project and the requirements and guiding principles set out
in the call for proposals. The project description must account for the expected outcomes and impact of the proposed project in
relation to the result chain provided as part of this call.
Other attachments
▪ the Partner form including a signed statement from the South African and Norwegian principal investigator/project manager
and their respective responsible institutions; confirming that the proposal is submitted jointly with the approval of the institution;
▪ the curriculum vitae of the academic project directors and other participating researchers (CV’s should be limited to 5 pages
and focus on the most important research projects and publications); and
▪ any other attachments that may be relevant, such as confirmations from other collaborating partners, invitations, names of
suggested experts/referees to assess the application (optional), etc.
▪ books, articles and reports should NOT be attached
14Appendix 2
Results Chain
Results Based Management (RBM) is increasingly utilised for monitoring and evaluation of projects and programmes by national and
international agencies (e.g. the World Bank, various UN agencies, OECD, H2020, etc.). The results chain is the principal tool applied to
implement RBM. It is intended to show how a management team believes actions or activities will lead to some desired results.
In the case of SANOCEAN the overarching goal of the programme is enhanced knowledge – based policies and decisions for sustainable
development in the areas of oceans and ocean space (blue economy), environment (with emphasis on oceans and pollution), climate change and
sustainable energy in South Africa and Norway. As specified in the Framework Document ( 2.4. and 2.4), a results chain has been developed for
the programme accompanied by a set of measurable and verifiable qualitative and indicative indicators, including measurable targets if relevant.
Research is in its nature a long-term undertaking where actual outcomes may differ from the original expectations. Results from research
undertakings take time to fully analyse, high quality research publications must undergo time-consuming peer reviews before they are ready to be
printed in a journal and the actual impacts of the results may not be visible until long after the research project itself has come to a formal
conclusion. Therefore, a results chain framework for research thus must be adapted to these realities and indicators carefully selected to reflect
the nature of research.
15South Africa – Norway Cooperation on Ocean Research (SANOCEAN) Duration: 2018 - 2023
Purpose: Enhanced knowledge – based policies and decisions for sustainable development in the areas of oceans Budget:
and ocean space (blue economy), environment (with emphasis on oceans and pollution), climate change and NOK 30 mill. + ZAR 15 mill.
sustainable energy
Activities: Outputs or short–term results Outcomes or medium-term Impact or long-term results
results
▪ Joint research activities ▪ Working papers and presentations in ▪ A more competent and ▪ Increased policy-relevant knowledge
▪ Exchange of project staff international meetings balanced research workforce about ocean and ocean related issues
and post-graduate students ▪ Articles published in referee-based in the participating research in South Africa and Norway
▪ Exchange of scientific and journals, other journals, units ▪ Utilisation of project outputs by
technological information textbooks, anthologies ▪ Incorporation of collaborative government institutions, private sector
and documentation ▪ Popular scientific articles, fact projects into regular research and/or civil society
▪ Contribution towards a sustainable use
▪ Joint laboratory and field sheets, media exposure programmes of the
▪ Redress and equity promotion of the oceans
work participating institutions ▪ Adaption strategies to climate and
▪ Purchase of research ▪ Degrees awarded to students ▪ Joint participation in
attached to the project environmental change in the oceans
equipment (only for international research calls ▪ Job creation in the marine and
disbursement to South ▪ New patents (if applicable) maritime sectors
African institutions) ▪ Increased public debate about
▪ Supervision and training of the sustainable use of the
students attached to the oceans
research projects ▪ Policy recommendations for a
▪ Promotion of redress and more sustainable management
equity of the oceans
Indicators ▪ Number of scientific publications ▪ Increased share of global ▪ Degree of reduction of CO2 emissions
▪ Extent of exchanges scientific publication in the two countries
▪ Number & categories of researchers ▪ Increased citations in scientific ▪ Reduced vulnerability of the oceans
& students involved in projects publications
▪ Citations in the media ▪ Increased demand for research
▪ Dialogue with policy-makers results by public & private sector
Beneficiaries ▪ Researchers & students, particularly ▪ Research institutions in both ▪ Public and private sector
women & historically disadvantaged countries ▪ Society at large
groups and institutions ▪ Governments of both countries
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