Demand management measures
Update - March 2016
NERC implemented new measures in 2015 designed to raise discovery science standard grant success rates.
This is to reduce the number and size of applications from research organisations for NERC's discovery science standard grant scheme, and to ensure research excellence, efficiency and value for money for the taxpayer.
From the July 2015 standard grants scheme, the maximum standard grant award limit was reduced to £800k (100 per cent Full Economic Costing (FEC), £640k at 80 per cent FEC). There is a process for requesting exceptional permission to exceed the funding limit detailed in section B of the research grants and fellowships handbook.
The demand management measures are based on historic application and award data and will limit the number of applications an individual research organisation can make, where that organisation fails to meet a 20 per cent success rate quality threshold.
Research organisations that fail to meet the 20 per cent success rate threshold will have the number of applications they can make in each standard grant round restricted, until they meet the threshold. The data will be re-calculated annually using the six most recent grant rounds.
Restrictions will be calculated on a sliding scale; in the most extreme cases institutions will be limited to one application per grant round.
The outcome from the first round under demand management measures (July 2015) is that the overall success rate increased to 14 per cent compared to 11 per cent from the January 2015 closing date. The objective is to reach a success rate of 20 per cent.
A full list of the quotas that will apply for the second year (2016-17) to the July 2016 and January 2017 standard grant (including new investigator) closing dates is available below, with frequently asked questions at the foot of the page.
As part of an RCUK harmonised approach to ensure greater transparency in the peer review process, panel recommendations and funding cut-off points are also published on the NERC website and give a more immediate indicator of the performance of individual proposals.
NERC publishes annual success rate information by organisation and department based on a wider range of NERC funding schemes.
The calculation for the 20 per cent success rate quality threshold will be based on data from six standard grant rounds (only).
The measures only apply to NERC standard grants (including new investigators); likewise the data used to calculate research organisation restrictions is only based on NERC standard grants (including new investigators).
Where a research organisation submits more applications to any round than allowed under the cap, NERC will office-reject any excess applications, based purely on the time of submission through the Je-S system (last submitted = first rejected). Any lead or component application from another research organisation linked to the rejected application will also be rejected. If any applications are subsequently rejected based on rule adherence or remit, a research organisation cannot submit alternative applications.
An application counts towards an organisation's quota, where that organisation is applying as the grant-holding organisation (of the lead or component grant). This will be the organisation of the principal investigator of the lead or component grant.
The data used in the calculation will exclude applications that are 'office rejected' or 'withdrawn by research organisation'. Where an application is considered outside the NERC remit and redirected to another research council under the Cross-Council Funding Agreement it will be 'withdrawn by the research organisation' on the NERC system and not count in calculations towards the quota.
The quality threshold will be based on percentage of successful / unsuccessful applications (rather than those scoring seven or above) to avoid future referees and moderating panels adopting 'grade inflation' to artificially increase the success rate of individual research organisations.
The sliding scale cap for research organisations with a success rate below 20 per cent will be calculated in the following way.
Take the number of grants awarded over six rounds, calculate the number of proposals that would have to have been submitted to give research organisations a success rate of 20 per cent (number of awarded grants x five). This is the 'six round 20 per cent application number'.
Limit the number of allowable submissions to the 'six round 20 per cent application number'. Apply the cap on a per round basis; ie divide the six round 20 per cent application number by six.
The 'six round 20 per cent number' will be recalculated annually.
The table shows which data will be used to determine the quota.
|Quota year||Closing date||Quota announced||Six round data used|
|2015-16||JULY15, JAN16||January 2015||JULY11, DEC11, JULY12, DEC12, JULY13, JAN14|
|2016-17||JULY16, JAN17||January 2016||JULY12, DEC12, JULY13, JAN14, JULY14, JAN15|
|2017-18||JULY17, JAN18||January 2017||JULY13, JAN14, JULY14, JAN15, JULY15, JAN16|
NERC wrote to individual research organisations in February to confirm their data over the six-grant rounds - July 2012 to Jan 2015 inclusive - and to outline the quotas for research organisations that fail to meet the 20 per cent success rate threshold.
Research organisations had until the end of February 2016 to challenge the data.
How can multi-organisational collaborative proposals be submitted?
Multi-organisational collaborative proposals can be submitted on either a single Je-S form or multiple Je-S forms. The two main options are explained below, but a combination of these two can be used.
One lead grant proposal by organisation X with one Je-S form and one grant reference and no component grants.
The lead Principal Investigators (PI's) and all Co-Investigators (Co-I's) are named on the same grant proposal. The Co-I's may be from multiple organisations. If successful the lead organisation X would be responsible for transferring funds to the organisations (Y and Z) of the Co-Is.
The proposal counts as one application (and award, if successful) for the lead organisation (X) submitting the grant proposal only. There is a lead PI and lead grant proposal to organisation X, with separate component proposals to organisations Y and Z. Each component proposal has a PI, Je-S form, and unique NERC reference number. If successful, a separate grant is awarded to each organisation. Each lead and component proposal counts as an application. Each application counts towards the submitting organisations cap, ie it counts as an application towards Organisations X, Y and Z and count as an award to each, if successful.
If I am a Co-I with costs greater than £65k, do I need to put in my own Je-S form?
No, there is no restriction on the funding which can be requested by the non-lead organisations/Co-I's, as long as the total cost of the project does not exceed the limit (£800k*). So, for example, the lead organisations Je-S form could include Co-Is based at other eligible organisations and all their costs (directly incurred, directly allocated, estates and indirects).
*There is a process to request NERC authorisation to exceed the £800k limit in section B of the research grants and fellowships handbook.
I am a Co-I with costs less than £65k, can I put in my own Je-S form?
No, separate Je-S forms cannot be submitted where the costs are under £65k. In those cases, costs should be requested on the lead or another component Je-S form, on which you could be named as the Co-I. If successful the funding would be passed to your organisation from the grant holding organisation.
I am an eligible Co-I unable to submit a proposal due to the cap on my organisation; do I have to be a Project Partner or subcontractor to be involved in a collaborative proposal?
No, as an eligible Co-I from an eligible organisation, you can be named as the Co-I on the lead proposal and have your costs requested under the normal FEC categories (see 2. above). Projects Partners are people and organisations not eligible in their own right for NERC funding and predominantly contributing in cash or kind to projects (not requesting funding). Subcontracts should only be used where the organisation is not directly eligible for NERC funding.
Is the quota an annual cap or does it apply to each standard grant call?
The cap is applicable to each standard grant call (two per year). So if you have a cap of five, you can submit up to 5 proposals (as lead or non-lead) to both the July and January closing date.
How often will the cap be recalculated?
The cap will be recalculated annually (every two rounds).
Is data rounded up or down?
The calculation for the cap is rounded to the nearest whole number, so a calculated cap of 10·3 would be rounded down to 10, whereas a calculated cap of 2·6 would be rounded up to 3.
Does the cap just apply to standard grants or is it applied to all discovery science schemes?
The measures are only applicable to the Standard Grant (including New Investigators) scheme. Proposals to the urgent grant scheme and large grant scheme do not count as a submission under the cap.
What data is used to inform the success rate and cap?
The success rate data and cap are based on the standard grant scheme only (including where it included a New Investigator call, from December 2012). Large grant and urgent grant submissions are not included. Proposals to other schemes that are now closed (small grants, the separate New Investigator scheme and consortium grants) do not count as a submission or successful grant.
We have specifically chosen to only include data that is (and is therefore) directly comparable with the scheme that the demand measure applies to. Other schemes that NERC run have different parameters and assessment processes.
How does the cap relate to proposals submitted through the NERC-NSF Lead Agency Agreement?
Where a proposal is submitted into the NERC standard grant closing date then the proposal will count. If the proposal is submitted to NSF, it will not count towards the organisation's cap.
Note: Individual PIs are restricted to the number of proposals that they may be involved in. This rule has not changed. For NERC any applicant to a Standard or Large grant call may submit no more than two proposals as an investigator; only one of these may be as the lead PI. Involvement of a UK investigator in a preliminary proposal submission to NSF as the lead agency will count as a submission as non-lead PI/Co-I to the NERC July standard grant call in that year.
What happens to grants/PIs that transfer between organisations?
The proposal will be included under the data for the initial organisation submitting the proposal. This will generally be indicated by the NERC grant reference ending in '/1'.
Why are you using 'success rates' rather than a quality metric, such as score at panel, to calculate the caps?
The calculation is based on percentage of successful/unsuccessful applications (rather than a quality/grade metric). This is to avoid future referees and moderating panels intentionally or unconsciously adopting 'grade inflation' to artificially increase the success rate of individual research organisations.
Why wasn't more notice given on the introduction of these measures?
NERC formally asked research organisations to manage their demand more carefully in 2011. Since then we have been publishing success rates, by organisation and department, to help research organisations do this.
Why aren't the research councils implementing demand management in the same way? Why not apply at an individual researcher level?
It was important for NERC to apply measures at the level most appropriate for our community. NERC Council considered the merits of different approaches; applying measures at an individual, department and the organisational level. NERC demand management measures are being applied at an organisational level because this is where there is the most data available, and because the organisations that we fund have responsibility for managing the applications that are made to NERC.
Won't these measures disproportionately negatively impact on new investigators?
All research organisations have responsibility for managing and nurturing early career researchers and ensuring they have opportunities to apply for funding. We recognise the importance of supporting early career researchers and will explicitly monitor the impact of demand management measures on new investigators. The NERC Science & Innovation Strategy Board will consider how NERC can best support new investigators and later this year will recommend any action we need to take to ensure they have appropriate support.
Won't these measures restrict the ability for organisations to retain and recruit staff as individuals are worried that they won't be able to apply for NERC funding?
The demand management measures are for NERC's discovery science standard grants scheme only (which accounts for around 20 per cent of available NERC competitive funding). There are other funding schemes that organisations may apply to. There is also the opportunity for staff to apply as a collaborator on a proposal that has a lead principal investigator based in another research organisation and where the funds are requested on the lead organisations Je-S form.
The measures have been introduced on a sliding-scale of cap over a short time period (three years) and calculated on annual basis which should allow organisations to get above the 20 per cent success rate threshold relatively quickly if institutional demand management measures are put in place.
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