R2HC Grant Conditions
1.
Funding
1.1. This grant is funded from grants made to Save the Children Fund (SCUK), by the
Department for International Development (DFID) and the Wellcome Trust (the
Donors), for ELRHA to implement the R2HC programme.
1.2. Definitions used in these Grant Conditions are set out in clause 26.
1.3. These grant conditions are issued by SCUK (the Grantor) on behalf of ELRHA
and are enforceable by SCUK.
2.
Grant Details
Project Title
Recipient
Amount
Start date
End date
Recipient Bank details
Currency
3.
Bank name:
Bank address:
Account holder name:
Account number:
SWIFT code:
Bank Sort code:
IBAN number:
BIC number:
Routing details:
UK sterling
Name
Address
Name
Number
Code
Code
Code
Code
Details
General
3.1. As the grant manager, SCUK may change these grant conditions to meet Donor
requirements because of changes in law, or to achieve ELRHA’s objectives and
agreed upon in writing by recipient. SCUK will inform Recipient if any new
conditions which it issues apply to Recipient Project funding. Recipient shall not
be liable for any actions contrary to these new conditions that occur prior to
modification of these grant conditions executed by the Parties.
3.2. By signing a copy of these grant conditions, the Recipient accepts and agrees to
abide by them.
3.3. SCUK may terminate the Project funding at any time and cancel part or all of
the unspent part of the Project Funding if either or both of the Donors reduce
or cancel their grants. SCUK will give the Recipient as much notice as possible
and will cover Project costs already incurred as at the date of termination.
4.
Donor Conditions and Policies, Data Sharing and Publication
4.1. The Wellcome Trust’s Conditions form part of this contract and the
Recipient must comply with them to the extent that they are
applicable. If there is any difference and/or conflict between these
conditions and the Wellcome Trust’s Conditions, the Wellcome Trust’s
Conditions will prevail. The Wellcome Trust’s Conditions can be found
on their website at
http://www.wellcome.ac.uk/Funding/Biomedical-science/Applicationinformation/WTD004055.htm
4.2. Polices attached in Schedule 4 form part of this Agreement and the Recipient
must comply with them.
(The Policies Applicable will depend of the Due Diligence result, if the applicant
has Policies and Procedures in place fulfilling the requirements of the Donor,
the Recipient Policies will be applicable otherwise SCUK Policy will have to be
applied)
4.3. The Recipient is expected to comply with the Wellcome Trust’s policies which
can be found here:
http://www.wellcome.ac.uk/About-us/Policy/Policy-and-positionstatements/index.htm.
4.4 The Recipient:
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5.
agrees that personal and other data relating to its application and the
Project provided to EHLRA may be shared with the Wellcome Trust and
DFID for review, monitoring and evaluation purposes and that Project
information may be shared on a reasonable basis with other external
bodies by the Donors
acknowledges that the Donors and the Grantor will publicise summary
information about the Project and Project funding on its website and
elsewhere.
Recipient General Obligations
5.1. The Recipient will:
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use its best endeavours to ensure all research activity is completed by
the end date stated in clause 2
only use the Project funding for the Project and activities listed in the
Proposal
ensure that it has adequate and appropriate resources to complete the
Project
inform the contact person as soon as possible of:
• a change of Project lead (Principal Investigator)
• any significant change to the information included in the Proposal
(location, methodology….)
• implementation delays of more than 30 days
• budget variance of more than 15% per budget category
• any other events which may or are likely to prevent or delay Project
completion or adversely affect ELRHA’s reputation or that of the
Donors
• any child safeguarding incidents or concerns
• any thefts, frauds, corrupt practices or other incidents which require
action in line with Anti-Bribery & Corruption Policy present in
Schedule 4.
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6.
plan, implement, report and monitor achievement of the activities set
out in Schedule 1
be responsible for the financial and administrative management of the
Project in the field
employ staff on contracts of employment which are compliant with
relevant laws and regulations for the country in which they are
employed
not communicate directly with the Donors about the Project
facilitate ELRHA and Donor visits in connection with the Project on
reasonable notice
ensure that appropriate consents are in place for collection, use,
storage, sharing and publication of personal data to enable it to meet
the open access obligations set out in these conditions and comply with
law and regulations governing data collection, storage and use in the
countries where it is located and/or where Project activities take place
comply with all other law and regulations applicable to the Project in all
countries where Project activities will take place and obtain all
necessary official approvals and licences.
Research Conduct and Publication
6.1. In Accordance with section 4.1 the Recipient must:
Endorse the commitments of the Concordat to Support Research
Integrity which are available at:
http://www.universitiesuk.ac.uk/highereducation/Pages/Theconcordat
tosupportresearchintegrity.aspx#.VAgol-lOXcs

Have in place formal written procedures for the handling of allegations
of research misconduct, such procedures to meet at least the minimum
criteria set out in the Wellcome Trust’s statement on the handling of
allegations of research misconduct.
http://www.wellcome.ac.uk/About-us/Policy/Policy-and-positionstatements/WTD002756.htm

Ensure that it and the Project team are familiar with the requirements
of the Wellcome Trust’s policy and positions on Research involving
human participants and able to comply with them.
http://www.wellcome.ac.uk/About-us/Policy/Policy-and-positionstatements/WTP052064.htm
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Before starting, and throughout the Project, ensure that all applicable
legal and regulatory requirements for the country in which the
activities are conducted are met, and all necessary licences and
approvals have been obtained and remain valid.
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Have in place formal written procedures for managing the process of
obtaining ethical approval, which must be in place at all relevant times
during while the Project is running. If no ethical approval is required, it
must inform R2HC project manager.
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Ensure that it is familiar with and able to comply with the Wellcome
Trust’s Open Access Policy.
http://www.wellcome.ac.uk/About-us/Policy/Policy-and-positionstatements/WTD002766.htm
6.2. Any failure to comply with clause 6.1 may be treated as grounds for
terminating the grant on reasonable notice, which may be immediate if the
failure is serious.
7.
Risk assessment
7.1. The Recipient must include an initial Project risk assessment in the Proposal or
supply one within one calendar month from the date of the first payment.
8.
Reporting
8.1. The Recipient must submit the following reports in the formats set out in
Schedules 2 and 3:
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a progress report on the research implementation and detailed statement
of the costs incurred six months after the start date of the agreement
a mid-term review 12 months after the start date: interim narrative and
financial report
a narrative report with the first draft of the research report three months
before the end date on page 1
a final narrative and financial report no later than three months after the
end date.
8.2. The Recipient must make changes to these reports to meet Donor
requirements as reasonably required. The Recipient shall be given as much
notice of such changes as possible, and wherever possible at least 10 working
days advance notice. The Recipient must make the changes within 10 working
days, unless otherwise mutually determined by the partie.
8.3. If the Recipient fails to comply with these reporting requirements, SCUK may
not make any further grants to it until these reports have been received and
approved.
9.
Publicity And Use Of Logo
The Recipient will follow the R2HC communication guidelines in Schedule 5.
10.
Grant Payments
10.1. The Project Funding must be used in accordance with the approved Project
budget set out in Schedule 1. If the Recipient uses any part of the Project
funding for any other purpose SCUK will be entitled to require immediate
repayment of that amount.
10.2. ELRHA can only guarantee each Project funding instalment as long as funds
are received from the Donors. It will give Recipients as much notice as
possible if it becomes aware that one or more Donor(s) may be planning to
withdraw funding for the R2HC Programme.
10.3. Project funding will not be awarded on a Full Economic Cost basis.1
10.4. Project funding will not cover open access publication costs and charges which
the Recipient may have to pay in order to comply with its obligations under
clause 4.1. An application for separate funding to cover these costs and
charges can be made to the Wellcome Trust.
10.5. SCUK will pay the Project funding in 4 stages:
(Subject to the outcome of the Due Diligence Process, and (for ‘rapid response’
research) may be amended in relation to the timing of the ‘trigger event’)
40% within 10 days of the date on which these Conditions are received back,
signed by the Recipient
40% within 10 days of acceptance of the Interim narrative and financial report
10% within 10 days of validation of the first draft of the research report,
10% of acceptance of the final financial and narrative report and SCUK is
satisfied that the Recipient has complied with these conditions (whichever is
the later).
10.6. Payments will be reduced if more than 30% of the preceding payment has not
been spent or contractually committed in full as at the date on which the next
payment falls due by a deduction equivalent to the unspent and/or
uncommitted amount (up to a maximum of 30% of the preceding payment).
10.7. SCUK may suspend payments if:
1
It identifies any irregularities, misappropriation, or misuse of funds in
an audit carried out under clause 14.
Only for UK based institution. Under FEC, all Higher Education Institutions (HEIs) in the UK
are required to identify all direct and indirect costs for each research project, including
space/estate charges, depreciation, an adequate recurring investment for infrastructure,
equipment, consumables, travel and the cost of all staff working on the project (including
Principal Investigators, research assistants, technical and administrative staff).

It has reasonable grounds for being unsatisfied with the progress of the
Recipient in implementing the Proposal, in which case it will notify the
Recipient and work with it to improve progress.
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Any of the information given in the Proposal or Project reports is
dishonest, misleading or inaccurate.
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The Recipient or Project is subject to an investigation by the police, tax
authorities or any regulatory authority.
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The Recipient has not complied with any other significant obligation in
this agreement and in particular any Donor requirements.
10.8.
Where payments are suspended, SCUK will agree with the Recipient an
appropriate course of action which may include terminating the Project
funding if the Recipient is not able to provide a satisfactory response within
a timeframe which meets SCUK’s and the Donors’ reasonable requirements
or reasonably concludes that it cannot continue the relationship with the
Recipient without damaging ELHRA’s reputation.
11.
Return Of Unused Funds
11.1.
If the Recipient does not use any part of the Project funding or it becomes
unable to complete the Project because it ceases to exist or cease
operations or for any other reason, it must notify SCUK and SCUK will be
entitled to repayment of all unspent funds within 3 weeks of such
notification.
11.2.
Assets purchased for the Project must be returned to SCUK at the end of the
project unless the Recipient is notified that it may keep them.
12.
Financial Management
12.1.
The Recipient will keep good accounting records. The recipient must retain
evidence of all expenditure and send it promptly to the Grantor on request.
12.2.
Earned interest on spent funds may be retained by the Recipient for use
within the Project.
12.3.
The Recipient should ensure expenses are specified in the books in, at the
very least, the same level of details as in the budget and in such a way that
the items of the budget and the accounts are comparable.
12.4.
The Recipient must provide promptly such financial information and copies
of its records as SCUK reasonably requires and agrees to these records being
shared with the Donors.
13.
Procurement, Equipment And Asset Management
13.1.
The Recipient will comply with the procurement, equipment and asset
management policies set out in in Schedule 4.
13.2.
The Recipient must maintain an up to date inventory of all equipment
purchased with Project funding over a value of £1,000 sterling in the
required format and copy this to SCUK at least once a year.
13.3.
The Recipient will maintain and insure at full replacement value all
equipment purchased with Project funding.
13.4.
The Recipient will no later than 14 days before the Project End Date submit
a list of all equipment purchased with Project funding and SCUK will indicate
within 7 days which items are to be transferred to it and which may be kept
or disposed of by the Recipient.
14.
Audit And Donor Access To Financial Records
14.1.
The Recipient will have in place and follow its own internal auditing policies
in relation to the Project.
14.2.
SCUK may carry out additional internal or external inspections and audits on
reasonable notice at its own cost and the recipient will allow access to both
SCUK and the Donors on reasonable notice to inspect its financial records,
equipment and project facilities.
15.
Intellectual Property
15.1.
The Recipient will retain Project IP which it creates or develops, and will
ensure that any Project IP which is created or developed by a subcontractor
is assigned or licenced to it on such terms as will enable it to grant the
licence set out in clause 15.2 and comply with clause 15.3. If the
subcontractor is not a research institution, an assignment will be necessary.
15.2.
The Recipient hereby grants to the Grantor and Donors an irrevocable,
perpetual, non-exclusive, worldwide, royalty-free license to copy, publish
and otherwise publicly distribute all Project IP.
15.3.
In line with clause 4.1, the Recipient must observe the Wellcome Trust’s
policy on Intellectual Property Rights and patenting, which is available on its
website.
http://www.wellcome.ac.uk/About-us/Policy/Policy-and-positionstatements/WTD002762.htm
15.4.
The Recipient must ensure that anyone it employs or engages as a student,
volunteer or visiting fellow on the Project is employed or engaged on terms
that vest all Intellectual Property Rights generated by the Project in it and
will assist the Grantor in taking appropriate steps to identify, protect,
manage and exploit such Intellectual Property Rights.
15.5.
Any commercial use of, or grants to any third party of any exploitation rights
over, such Intellectual Property Rights will be subject to the Wellcome
Trust’s prior written consent and its standard revenue- and equity sharing
terms in place at that time which are available on its website at - insert link
15.6.
If the Recipient does not protect, manage or exploit Project Intellectual
Property Rights the Recipient will do whatever is necessary to enable SCUK
to protect, manage and exploit such Intellectual Property Rights. This right
will not normally be exercised until six months after SCUK has notified the
Recipient that it is failing to protect, manage and exploit such Intellectual
Property Rights to SCUK’s satisfaction but SCUK may exercise such right
sooner where it reasonably considers that the opportunity to protect,
manage or exploit such Project Intellectual Property Rights for the public
benefit could be lost if more immediate action is not taken. The Recipient
agrees to do, and will ensure that its employees, students and any third
party acting on its behalf do, all acts required to assist the Grantor in such
protection and exploitation.
15.7.
The recipient must obtain SCUK’s prior written approval before engaging any
third party to take any steps on its behalf in connection with commercial use
or exploitation of Project Intellectual Property Rights.
15.8.
The Recipient will do all additional acts necessary and execute all additional
documents as may reasonably be required to ensure that the Intellectual
Property Rights are appropriately vested to achieve the aforementioned
purpose (either by the Recipient assigning, licensing or waiving any such
rights so that SCUK, the Donors, and members of the public are able to enjoy
the free use and dissemination of such documents).
16.
External implementing Partners
16.1.
The Recipient may sub-grant part of the Project funds to external
implementing partners with the prior written consent of SCUK on behalf of
ELRHA.
16.2.
The Recipient will remain responsible for any implementing partner and
must ensure that it enters into a partnership agreement with the
implementing partner which imposes on the implementing partner all
obligations set out in these conditions which are relevant to them. This
includes (but is not limited to):
17.
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safeguarding the project funding and enable the Recipient to
recover unspent or misused funds in accordance with these
conditions
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ensuring that the implementing partner reports fully on their
activities, and
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complying with all SCUK and Donor positions and policies referred
to in these conditions.
Liability and indemnity
17.1.
SCUK shall not, in any circumstances or for any reason, be held responsible
or liable directly or indirectly for any claims, costs or liabilities arising out of
or in connection with this agreement, or for any loss or damage suffered by
the Recipient, its employees and/or any third parties.
17.2.
The Recipient shall indemnify and keep indemnified SCUK against all direct
losses suffered or incurred by SCUK from a third party claim resulting from
the actions and/or omissions of the Recipient in connection with the Project
(together the “Liabilities” and each a “Liability”).
17.3.
SCUK shall make no claim in connection with this agreement or its subject
matter against the principal investigator or any other employee, student,
agent or appointee of the Recipient (apart from claims based on fraud or
wilful misconduct).
17.4.
In order to conserve the assets of the Recipient for application to its
charitable purposes, the maximum liability of the Recipient to SCUK arising
out of or in connection with this agreement or its subject matter, including
under the indemnity in clause 17.2, shall not exceed the return of the
Project funding provided by SCUK under this agreement and stated at clause
2 of this agreement.
17.5.
For the purposes of the indemnity in clause 17.2, SCUK shall in respect of all
Liabilities:
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on becoming aware of any such Liability notify the Recipient of the
relevant facts and circumstances;
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use reasonable efforts to provide the Recipient with any relevant
information in relation to such Liabilities and keep the Recipient
fully informed in this respect;
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not knowingly or recklessly take any action that is likely to crystallise
or increase any Liability of the Recipient (unless such action is taken
with the prior written approval of the Recipient);
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not make any admission as to liability or agree to any settlement or
compromise of such Liabilities without the Recipient’s prior written
consent (such consent not to be unreasonably withheld or delayed);
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take such action as the Recipient may from time to time reasonably
request in relation to such Liabilities (at the expense of the
Recipient);
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ensure that Recipient is entitled to take over the conduct of any
matter triggering the indemnification, including appointing legal
counsel reasonably satisfactory to both parties; and
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take all reasonable steps to mitigate the liability in respect of such
Liabilities.
17.6.
Nothing in this agreement excludes or limits SCUK’s liability or the
Recipient's liability in respect of either (i) death or personal injury caused by
negligence, or (ii) fraud or fraudulent misrepresentation.
18.
Insurance
18.1.
The Recipient shall be responsible for procuring a full and comprehensive
insurance policy providing appropriate cover for activities undertaken during
the Project, such insurance cover shall include but not be limited to, items of
equipment.
19.
Changes to the agreement
19.1.
Any changes to this agreement must be recorded in a separate agreement
signed by SCUK and the Recipient, which will form part of this agreement.
20.
Internal control and whistle-blowing
20.1.
The Grantor has an obligation because of its charity registration in the UK to
ensure that its funds are not used by partners to fund groups or individuals
who are perceived to be linked to terrorism, even if the implementing
partner themselves does not appear on the proscribed lists. The Recipient
will check the names of the groups who will receive funds as a sub grantee
as part of this Project against relevant prohibited lists and inform the
Grantor if any of the groups appear on the lists. The following two lists must
be checked, the United Kingdom Treasury list and the United States OFAC
list.
20.2.
21.
Dispute resolution
21.1.
The Parties will refer any dispute for informal resolution by one senior
manager for each party, to be nominated at the time of the dispute.
21.2.
If the dispute is not resolved within thirty working days, either party may
refer it for mediation:
 if the Recipient is UK registered or located, under the Alternative
Dispute Resolution (ADR) Rules of the Centre for Alternative Dispute
resolution or such other mediation process as the parties agree
 if the Recipient is not UK registered or located, under the Alternative
Dispute Resolution (ADR) Rules of the International Chamber of
Commerce (ICC).
21.3.
Only if the dispute cannot be resolved by the methods set out above within
three months, the parties may issues legal proceedings.
22.
Confidentiality
22.1.
Neither party shall, during the term of this agreement or for three months
after it ends, disclose any Confidential Information relating to any other
party which is identified as being confidential without the disclosing party’s
written permission (other than by law or by Court Order), except to those
members of the Project team and other employees with a need to know in
order to run the Project. This obligation does not apply to information
which is already in the public domain, was already known to any Party at the
time it received it from or was otherwise disclosed to the receiving party by
a third party which was free to disclose it.
23.
Record keeping
23.1.
Project narrative and financial plans and reports, and audit reports shall be
retained for no less than 7 years following the final report of the Project
24.
Contact persons
The following people will act as contacts for each party, and all
communications about this contract or notices given under it must be
directed to these contact people. The parties will notify each other of any
change of contact person.
Grantor Contact Person
Vanessa Dallet
ELRHA Finance and Grants Manager
+44 (0)20 7012 3170
Fax: +44 (0)20 7012 6963
V.Dallet@savethechildren.org.uk
Recipient Contact Person
Name, Surname
Position
Tel number with country and area code
Fax number with country and area code
Email Address
25.
Jurisdiction
25.1.
This Agreement shall be governed by the law of England and Wales and the
parties agree to submit to the exclusive jurisdiction of the courts of England
and Wales to issue legal proceedings.
26.
Definitions
26.1.
The following words used in this agreement will have the following
meanings:
“IP” means patents, designs rights, trademarks, and all associated rights to
sue for passing off, copyright, moral rights and related rights, rights in
databases, domain names, rights in information (including know-how and
trade secrets) and all other similar or equivalent rights existing now or in the
future in any part of the world, in each case whether registered or
unregistered and including all applications for, and renewals or extensions
of, such rights for their full term
“Project” and “Proposal” mean the research activities and proposal set out
in Schedule 1
“Project IP” means all intellectual property as defined above which is
created by or developed from (in whole or in part) the activities set out in
the Proposal or is otherwise created in the course of the Project
“Wellcome Trust Conditions” means the Wellcome Trust’s Grant Conditions,
Award Letter and Policies and Positions for Grants.
Signed
For the Recipient
……………………………………………………………………………
Name
……………………………………………………………………………
Job Title
……………………………………………………………………………
Date
……………………………………………………………………………
LIST OF SCHEDULES
SCHEDULE 1 MAIN PROPOSAL DOCUMENTS
SCHEDULE 2: FINAL AND INTERIM REPORTS TEMPLATE
SCHEDULE 3: FINANCIAL REPORT TEMPLATE
SCHEDULE 4: LIST OF THE APPLICABLE POLICIES
SCHEDULE 5: COMMUNICATION GUIDELINES