Call for proposals
Joint Network on Sustainable Cities and Urbanisation in
India
Closing Date: 16:00 on Thursday 11th February
Contents
Summary .................................................................................................................................... 3
Background ................................................................................................................................ 3
Call Scope ................................................................................................................................... 4
Newton Fund ............................................................................................................................. 5
Budget ........................................................................................................................................ 5
Duration of Network .................................................................................................................. 5
Number of Awards ..................................................................................................................... 5
Applicant Eligibility..................................................................................................................... 5
Eligible Costs .............................................................................................................................. 6
Consortium coordinated by NIUA which will represent the Indian side of the network .......... 7
How to Apply.............................................................................................................................. 8
Application Process .................................................................................................................... 8
Intention to submit .................................................................................................................... 8
Submitting your application....................................................................................................... 8
Documents Required ................................................................................................................. 9
Jes proposal form ....................................................................................................................... 9
Case for Support pro forma (maximum of six sides of A4) ........................................................ 9
Justification of Resources document (maximum of two sides of A4)........................................ 9
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Pathways to Impact (maximum of two sides of A4) ................................................................ 10
CV (maximum of two sides of A4 per applicant) ..................................................................... 10
Workplan/gantt chart (maximum of one side of A4) .............................................................. 10
Letters of support (maximum of two sides of A4) ................................................................... 10
Assessment Process ................................................................................................................. 10
Assessment Criteria ................................................................................................................. 10
Timeline.................................................................................................................................... 11
Contact details ......................................................................................................................... 11
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Summary
The Research Councils UK (RCUK) and the National Institute of Urban Affairs, New Delhi
(NIUA)1 are delighted to invite applications to establish a UK-India Network with a focus on
sustainable cities and urbanisation2.
This call is to establish the UK lead and participants in an ongoing UK -India networking
programme. The aim of the programme is to enable UK centres of excellence in urban
research to build links with counterparts in India and develop a vibrant community in this
area. This call is envisaged to be the first stage in a longer term UK-India research
programme in sustainable cities and urbanisation.
Funding is available to support a single award, led by an established UK centre of
excellence in receipt of significant RCUK investment for interdisciplinary research directly
relevant to sustainable cities and urbanisation. To be eligible, applicants must currently be
in receipt of RCUK funding.
We therefore expect a small number of applications and the community to self organise
into submitting appropriate bids which represent the substantial research investments
made by the Research Councils in the area of sustainable cities and urbanisation.
Funding of £125,000 is available to UK applicants on a full economic cost basis, with the
Research Councils meeting 80% of fEC. Matched resources are available for Indian Partners
identified by NIUA. It is envisaged that a single award will be made, for 12 month duration,
to begin on 1 May 2016.
Background
RCUK and NIUA recognise that the best and most impactful research and innovation can
often be delivered by working with, and benchmarking against, the best researchers and
innovators internationally. To this end, both funders wish to develop collaborative activities
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NIUA National Institute of Urban Affairs (NIUA) is a premier institute for research, capacity building and
dissemination of knowledge for the urban sector in India. It conducts research on urbanization, urban policy
and planning, municipal finance and governance, land economics, transit oriented development, urban
livelihoods, environment & climate change and smart cities. Its mission is to develop new research and
expertise for supporting effective innovations in the urban sector and their dissemination through knowledge
exchange, training and capacity development. (see http://www.niua.org/)
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bringing together UK and Indian urban research and innovation communities, to share
expertise and develop new urban research agendas.
From 1991 to 2011, the urban population in India increased from 100 million to 200 million.
On average, the population of India’s six major metropolises nearly doubled between 1981
and 2001. By 2041, 50 per cent of India’s population is expected to live in cities.
India is undergoing a massive programme of urbanisation under the India Smart Cities
Challenge. It is widely recognised that engagement in interdisciplinary research will be
essential in order to successfully deliver this programme. A complementary initiative, the
ATAL Mission for Rejuvenation and Urban Transformation (AMRUT) is also being undertaken
with the aim of providing basic services (water, sewerage, transport etc) to households
across India, as well as build amenities to improve quality of live, particularly in poor and
disadvantaged communities.
Urbanisation and urban living is a theme of interest to RCUK and sustainable cities and
urbanisation was identified in the UK-India Task Force on Science and Innovation as a ‘Grand
Societal Challenge’ and therefore a focus area for research collaboration.3 It is envisaged
that this network will act as a precursor to other joint activities in these areas between the
UK and India. This is an opportunity for researchers to strengthen links in anticipation of
possible future activities.
Call Scope
The purpose of this call is to provide resources to establish a 12 month network which will
allow UK Centres of Excellence to form long-term relationships with Indian based
researchers in areas of research that are of direct relevance to sustainable cities and
urbanisation. The successful award will be led by one such UK Centre of Excellence with the
expectation that they will coordinate with others as well as engage with the wider research
and innovation communities in the UK and India.
The purpose of the award is to provide pump-priming funds to strengthen existing links and
building new ones between researchers in the UK and India. Specific objectives that
underpin the scheme are:
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To establish a multi-institutional and interdisciplinary network and to build long-term
partnerships between UK and Indian Centres of Excellence
To develop a UK-India research dialogue in the area of sustainable cities and
urbanisation
http://www.rcuk.ac.uk/international/offices/india/indianews/140423/
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To promote mobility and develop capacity, thus contributing to the development of an
internationally networked cohort of researchers who have the skills to work globally
Develop research and innovation partnerships that promote the economic
development, sustainable urbanisation and welfare of developing countries
To organise workshops and networking events which engage the wider UK-India
academic community
To promote engagement beyond academia, including but not limited to private sector
organisations, NGO’s and relevant policy makers in both the UK and India
Newton Fund
Funding for UK side of the Joint Network on Sustainable Cities and Urbanisation will be
provided from the Newton Fund. The Newton Fund is an initiative intended to strengthen
research and innovation partnerships between the UK and emerging knowledge economies.
It was launched by the Chancellor of the Exchequer in April 2014, and will deliver up to
£375M of funding over five years.
More information about the Newton Fund can be found here.
RCUK guidance on ODA compliance can be found here.
Budget
Funding of £125,000 is available to UK applicants on a full economic cost basis, with the
Research Councils meeting 80% of fEC
Duration of Network
It is envisaged that the network will be 12 months in duration, with the award commencing
on 1 May 2016.
Number of Awards
A single award will be funded via the call.
Our expectation is for the UK research community to self organise and submit a
consortium bid for the opportunity. We therefore do not expect to receive a high number
of applications. The proposal should fully justify the involvement of all partner
organisations involved.
Applicant Eligibility
Funding is available to support one network led by a UK based Research Organisation
recognised for RCUK funding. Proposals are restricted to members of research teams in
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the UK currently in receipt of RCUK funding for interdisciplinary research directly relevant
to sustainable urbanisation.
Multi-institutional and interdisciplinary proposals are therefore encouraged and
applicants are expected to engage with the wider research and innovation communities.
The Principal Investigator will need to be based at a UK Research Organisation recognised
for RCUK funding and the research team must demonstrate evidence of research activity on
sustainable urbanisation, including investment from external funding. The application must
come from a PI who holds at least one live research funding award worth more than £500k
in a topic with direct relevance to sustainable cities and urbanisation.
The principal investigator must meet the standard eligibility requirements of the Research
Council under which the majority of the application’s remit lies. Please follow the links to
the relevant Councils guidance below:
Arts and Humanities Research Council (AHRC)
Biotechnology and Biological Sciences Research Council (BBSRC)
Engineering and Physical Sciences Research Council (EPSRC)
Economic and Social Research Council (ESRC)
Medical Research Council (MRC) - MRC Units and Institutes are also eligible to apply
Natural Environment Research Council (NERC)
Science and Technology Facilities Council (STFC)
Co-investigators also need to demonstrate research activity relevant to sustainable
urbanisation. The network as a whole must be interdisciplinary in nature and must
demonstrate a clear and appropriate plan for engaging with relevant disciplines and wider
research and innovation communities in both the UK and India. It should represent the
substantial research investments made by the Research Councils in the area of sustainable
cities and urbanisation.
The network must also demonstrate how it will engage the wider UK community through
the running of networking opportunities.
Eligible Costs
The following costs are considered eligible for this call:
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Travel and subsistence for the UK Principal Investigator, Co-Investigators and named
participants to attend project-related meetings and events both in the UK and India
Reasonable costs to support other non-named UK participants to attend events,
where appropriate and justified including reimbursement of travel and subsistence.
Organisation of seminars/conferences/networking events in the UK
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Other costs that are essential for the delivery of networking activities, engagement
and events and are also eligible if fully justified
UK salary costs can be included for the time spent overseeing and providing intellectual
input to the activities, the cost of setting up and coordinating the activities (for example the
salary costs of a coordinator and administrative support) along with associated Indirect and
Estates costs. Time spent by the Principal Investigator on the coordination of the activities is
not expected to form the majority of the cost of the proposal. The UK funding to support
salaries is limited to 25 per cent of the total UK costs.
The salary costs of the lead researcher in India and other network participants cannot be
included. The costs of setting up workshops and networking events in India should not be
included as these will be covered by NIUA.
Reasonable costs of the Indian investigators’ travel and subsistence in the UK may also be
included if appropriate and justified. These should be included under the exceptions
heading so that they are paid at 100%.
As this is specifically a networking activity, requests for funds associated with supporting
research projects are not eligible to this call. Funds cannot be used for:
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Research consumables
Items of research equipment
Research related salary costs
Other research costs
Support of studentships
Attendance at conferences other than those organised specifically as part of the
network*
*For convenience and cost efficiency award holders may arrange collaborative meetings
alongside conferences at which their partners are already present. However the award
funds cannot be used to pay for the ad hoc conference attendance, accommodation or
costs.
Applicants are encouraged to seek additional co-funding from a variety of other sources to
further enhance and develop their network and help sustain long-term collaborative
relationships. This could include a monetary contribution from the applicant’s institution or
department of an in-kind contribution such as venue hire or accommodation costs.
Consortium coordinated by NIUA which will represent the Indian side of the
network
The partner organisation for this call is the National Institute of Urban Affairs (NIUA) who
have identified a consortium to represent the Indian side of the network based on their
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expertise and findings from an RCUK India and Science & Innovation Network mapping
exercise of research expertise within India in the field of Sustainable Cities and Urbanisation.
The NIUA consortium will consist of leading institutions in India working on the issues of:
urban governance and inclusion; urban planning; sanitation; urban big data; and
environmental management.
The NIUA led consortium will provide matched resources, individually or collectively, to
cover costs of setting up workshops and networking events in India, including hospitality of
UK Researchers attending said events/activities (but not travel costs, as these are covered
by the UK side of the agreement). The consortium will provide a full time equivalent
coordinator/administrator to support this initiative.
For more information on the NIUA consortium and for coordinating with the consortium
please contact: Dr. Ajith Kaliyath, National Institute of Urban Affairs akaliyath@niua.org
How to Apply
Application Process
Applications must be submitted by a Principal Investigator based at a Research Organisation
recognised for RCUK Funding. Applications are expected to involve researchers from
multiple eligible UK institutions, but should be submitted as a single application by the
Research Organisation of the UK Principal Investigator. If successful, the lead organisation
will be the recipient of the award, and will be responsible for managing and distributing the
finances for the partnership in accordance with the terms and conditions of the award.
Intention to submit
We ask that applicants complete an intention to submit form (using the proforma provided)
by 16:00 on Friday 15th January 2016. This form should be submitted via email to
RCUKNewtonFundEnquiries@rcuk.ac.uk Please note this form is only to enable RCUK staff
to select panel members in advance of the call close and is not intended to assess the
eligibility of your proposal. The intention to submit should not affect or delay the creation
and completion of your proposal on the Je-S system.
Submitting your application
Full applications must be submitted via the JeS system to the ESRC. This is an RCUK call but
will be hosted by ESRC on Je-S. The deadline for full applications is 16:00 on Thursday 11th
February 2016
Please note that the call will open in the JeS system in mid-January 2016. Further guidance
on how to submit via the JeS system will be provided in January.
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Documents Required
The following documents are mandatory documents for this call:
 JeS proposal proforma
 Case for support (using the pro-forma provided)
 Justification of resources
 Pathways to Impact
 Workplan/gantt chart
 CVs
Letters of support are optional attachments and should be included where necessary.
Please only submit the documents specified. If you are unclear about whether you can
include a specific attachment please contact RCUKNewtonFundenquiries@rcuk.ac.uk for
advice, as the inclusion of unrequested attachments can hinder the processing of your
application. RCUK reserves the right to reject applications that include attachments not
permitted on this call.
Jes proposal form
Please complete all sections in the JeS proposal proforma. Costs should be listed in the
proposal form as usual. Please refer to the JeS guidance which will be provided in January
for specific guidance. Equipment costs are not permitted for this call so this section should
be left blank.
Case for Support pro forma (maximum of six sides of A4)
This is the body of your research proposal. It must not exceed six sides and must be in a
minimum font size of Arial, 11 point, with margins of at least 2cm. Please complete and
attach the ‘Case for Support Pro Forma’ and attach as the ‘Case for Support’ document.
As this is an RCUK call you must identify the council under whose remit the majority of the
application falls in the case for support pro forma. You must also complete the section on
ODA compliance. If this is not completed your application may be rejected. Please see
above link in the Newton Fund section for more information on ODA compliance.
Justification of Resources document (maximum of two sides of A4)
This must be a two-side A4 statement, written in a minimum font size of Arial, 11 point, with
margins of at least 2 cm. You must attach this as the ‘Justification of resources’ document.
This must contain a breakdown of the costs requested for this funding scheme, taking into
account the eligible costs section above.
The Justification of Resources document should explain why the resources requested are
appropriate for the networking proposed, taking into account the nature and complexity of
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the proposal. Where you do not provide explanation for an item that requires justification, it
may be cut from any grant made.
Pathways to Impact (maximum of two sides of A4)
This must be a two-side A4 statement, written in a minimum font size of Arial, 11 point, with
margins of at least 2 cm. The potential impact of the application should be fully detailed in
the case for support pro forma. Within the Pathways to Impact document, applicants should
briefly summarise what they will do to realise the potential impacts of the grant.
The Pathways to Impact attachment should outline the beneficiaries and users of the
network, for example the public sector, commercial private sector, third sector or the wider
public in general. Plans for engaging with academic audiences may be included, but only
where these form part of the critical pathway towards economic and societal impact.
CV (maximum of two sides of A4 per applicant)
Please include CVs only for the named principal investigator and co-investigators
Workplan/gantt chart (maximum of one side of A4)
Please include a gantt chart or workplan showing your planned timetable for the
application.
Letters of support (maximum of two sides of A4)
This is an optional attachment but should be provided for any organisations that are listed
as project partners in the proposal form. Any organisation that is making a contribution,
either in cash or in kind, to the application should be listed as a project partner in the
proposal form and provide a letter of support. The letter should outline the contribution
that the organisation will be making to the network. General letters of support that do not
outline a specific contribution will not be permitted. Please note UK Research Organisations
do not need to be listed as project partners and do not require a letter of support. They
should be listed as a Research Organisation in the proposal form as usual.
Assessment Process
NIUA have identified the consortium of Indian partners most relevant for this initial
network. This call is a competition for the UK side of the network consortium.
UK proposals will be assessed by an expert peer-review panel, according to the objectives of
this call
Assessment Criteria
The assessment criteria for the selection of proposals will include:
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Ability to develop and coordinate an interdisciplinary UK-India research network and
dialogue in the area of sustainable urbanisation
Experience of the consortium and quality/feasibility of network plans
Demonstration of existing RCUK research investment, of direct relevance to sustainable
urbanisation
The development of workshops and networking events which engage wider UK-India
research and innovation communities.
Engagement beyond academia, including but not limited to private sector organisations,
NGO’s and relevant policy makers in both the UK and India
Ability to promote mobility and develop international networking capacity
ODA compliance
Value for Money
The funding recommendations of the joint panel will be subject to approval by RCUK and
NIUA. Final funding decisions will be communicated to applicants by mid April 2016. The
start date for successful network is 1 May 2016.
Timeline
Call Opens
Call Opens in JeS
Intention to Submit due
Call Closes
Peer Review
Panel meeting
Funding decision announced
Award starts
17th December 2015
Mid January 2016
15th January 2016
11th February 2016
Feb-March 2016
Week commencing 28th
March 2016
Mid April 2016
1st May 2016
Contact details
Any enquiries related to this call should be directed to:
Laura Bones , International Policy Manager- Newton Fund, RCUK
RCUKNewtonFundenquiries@rcuk.ac.uk
01793 444263
Dr. Ajith Kaliyath,
National Institute of Urban Affairs
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akaliyath@niua.org
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