UNIK – Call for proposals

The Danish Universities are hereby invited to submit proposals for UNIK funding.

The deadline for proposals is 1 April 2008 at 12.00 p.m.

This call for proposals describes the funding opportunities and proposal requirements. Proposals that fail to meet the requirements set out in this call will be rejected. 

Proposals must be written in English, as they will be evaluated by international experts only.

A Danish version of the UNIK call is also available at www.fi.dk. In case of discrepancy between the English and the Danish version, the English version shall always take precedence.

1. Background

The UNIK initiative is part of the Danish government’s strategy to meet the opportunities and challenges of globalisation. A pool of globalisation funds has been established following a political agreement in November 2006 to, among other things, enhance research in Denmark. The overall aim of the UNIK initiative is to promote world-class research in Danish Universities.

A total of DKK 480 million is available in 2008-2009, provided that the Danish Finance Acts of 2008 and 2009 are adopted. The funds will be distributed to the Universities based on one round of proposals. It is important to note two things: (1) The Universities will be the actual applicants for UNIK funding as opposed to individual researchers, and (2) Within the scope of a UNIK proposal, funding may be used in the same way as the core funding for research that is provided directly by the state as block grants to the Universities.

This represents a new way of granting research funds in Denmark. Usually, funds distributed through competition are granted to an individual researcher in charge of a particular research project with a predefined budget.

Furthermore, UNIK funding may be viewed as risk capital that can be invested in a prospective field of research, where the outcome of the proposed research is somewhat uncertain from the outset. This will enable the University to make investments in fields of research that it would not be possible to give priority to, without the UNIK funds. It is, however, also expected that a UNIK proposal can document excellent past performance of the research groups involved.

It is expected that successful parts of a UNIK proposal will be embedded in the University’s activities after the end of the UNIK timeframe. Therefore, the possibility of continuing successful UNIK activities within the ordinary budget of the University will have to be considered already at this stage. Also, the possible embedment of activities will be deliberated during the negotiating of an agreement with those Universities awarded UNIK funding.

The actual size of the grants and the duration of the UNIK funded activities are open and may depend on the particular field of research. However, it is expected that the available DKK 480 million will be divided into 5 – 8 larger grants of approximately DKK 10 – 20 million per year for five years. This includes overhead charges, following current regulation at the time when the funds are granted.

All proposals compete on equal terms and against each other. There is no a priori decision about geographical or thematic allocation of funds.

2. What is a UNIK?

In this context, “a UNIK” is a term used to describe research activities that are funded through the UNIK initiative. A UNIK is considered to go beyond an individual research project, but to be more focused than an overall research theme.

A UNIK may vary in size. It may include some or several research groups, research centres and/or individuals, who contribute to the research carried out within the proposed UNIK. It is, however, important that the proposed UNIK is well conceived and well organised. The most appropriate size and organisation of the individual UNIK may depend on the research field concerned or the research groups involved. Therefore, it will be the Universities’ responsibility to suggest the optimal organisational structure for each UNIK proposal.

A UNIK is defined as a dynamic and closely co-ordinated research framework involving interrelated research activities or sub-themes in a prospective field of research. A UNIK can deliver excellent research. It will promote synergy amongst the activities and consolidate a focal point for research at the University. In addition, it is critical that the research themes of the UNIK are in accordance with the strategy of the University.

3. What type of research is eligible for funding?

UNIK funding can be awarded to basic as well as applied research, and to all thematic areas. 

Collaboration between research groups at the Universities is a possibility, but it is not a required element for proposals. Thus, collaboration between Universities is not included in the evaluation criteria for UNIK proposals. In all cases only one University will be the grant holder. Likewise, interdisciplinary collaboration between research groups within a proposed UNIK is a possibility, but not a required element. 

In terms of budget items funding can be awarded as salaries to academic as well as administrative staff, operational expenses and overheads. Funding can also be awarded for equipment to the extent that this equipment supports the research carried out within the proposed UNIK. In general, UNIK funding may cover all purposes, which the core funding for research provided directly by the state as a block grant to the universities is used for. 

Funding will not be awarded to already completed activities, and funding can be awarded at the earliest from the time when the final decision on the proposal has been taken.

4. Who is eligible for funding?

Only Danish Universities are eligible for funding. One proposal for each UNIK should be submitted by the management of the University – i.e. at the level of Rector (Vice Chancellor) or a corresponding level. Individual researchers or research groups are not eligible for funding.

To ensure a reasonable success rate, an upper limit for how many proposals each University can submit has been set. The limit for proposals is based on the size of the Universities. The list below shows how many proposals each University is permitted to submit.

5. Process for evaluation of proposals

To minimize possible conflicts of interest in the assessment of proposals, an international expert panel will be established to carry out the evaluation. The international expert panel will consist of a chairperson and approximately 10 highly experienced international researchers with a broad professional background as well as experience in management and strategic planning at universities. The expert panel will meet at least twice during 2008.

In addition, all proposals will be sent for comments by external international reviewers. The aim is to have four external reviewers for each proposal. They will be made aware that they are not reviewing proposals for ordinary research projects. The external reviewers will be selected by the expert panel. The Universities will be consulted before the final decision on the external reviewers is taken. The external assessment will contribute to the international expert panel’s deliberations.The evaluation process will take place from April 2008 to November 2008. During this period of time the Universities will be invited to make comments on the assessment of the proposals.      

The Danish Minister for Science, Technology and Research will make the final decision on the allocation of funds. The Minister’s decision will be based on recommendations for funding by the international expert panel.

Since the call covers funds that will be made available in both the Finance Acts of 2008 and 2009, it is necessary to separate the decision on allocation of UNIK grants into two parts. In December 2008 approximately DKK 240 million will be awarded to one part of the proposals selected for funding, provided that the Danish Finance Act of 2008 is adopted. In January 2009 approximately DKK 240 million will be awarded to the remaining proposals selected for funding, provided that the Danish Finance Act of 2009 is adopted.

All proposals selected for funding are considered equally successful regardless of whether the actual grant is awarded in December 2008 or January 2009.

The Universities selected for funding in December 2008 will be informed of the Minister’s decision by the end of December 2008. The Universities selected for funding in January 2009 will be informed of the Minister’s decision in early January 2009. Information regarding proposals rejected for funding will also be communicated to the Universities in January 2009. Detailed grounds for the rejection will be given. A list of the UNIK proposals selected for funding will be posted on the website of the Danish Agency for Science, Technology and Innovation in January 2009.

At the beginning of 2009, agreements will be signed with the Universities selected for funding. The agreements will outline the more specific terms of a UNIK grant. 

In summary, the process for evaluation of UNIK proposals and allocation of grants follows the schedule shown below.

Time schedule for evaluation and allocation of grants

Successful UNIKs will be requested to submit annual reports to the Danish Agency for Science, Technology and Innovation. It is expected that mid-term and final evaluations will be carried out during the course of a UNIK. The expenditures related to the evaluations will be covered by the Danish Agency for Science, Technology and Innovation.

6. Evaluation criteria for a proposed UNIK

The evaluation of a UNIK proposal will be based on the six criteria listed below. The criteria are divided into two sections. The first two criteria constitute the very definition of a UNIK and serve as conditions to be fulfilled in order to receive UNIK funding. The last four criteria are also highly important, but the proposed UNIKs may not be equally strong in all aspects pertaining to these criteria and yet may still be found eligible for funding.

To be considered for UNIK funding, a proposal must as a minimum fulfil the definition of a UNIK outlined in points 1 and 2 below:

1. A UNIK is a dynamic and closely co-ordinated research framework involving interrelated research activities or sub-themes in a prospective field of research. It can deliver excellent research. It will promote synergy amongst the activities and consolidate a focal point for research at the University.

2. The research themes of the UNIK are given high priority by the University. The University can demonstrate potential synergy with other major research and strategic initiatives at the University.

In addition, a proposal will be evaluated against the criteria listed in points 3 – 6 below:

3. The research themes are based on sound hypotheses and visions. Elements of the proposed research framework have already been established. The research groups involved have demonstrated excellence and originality in their previous research activities. Thus, a UNIK will result in competitive advantage in the research area.

4. A UNIK has a strong international orientation and the capacity to play a decisive role in partnership with international leaders in the relevant field of research.

5. A UNIK is ambitious and able to make probable a scientific breakthrough and/or significant scientific progress.

6. A UNIK contains an element recruitment and training of both national and international researchers who are at an early stage of their careers.

7. Requirements for a UNIK proposal

A complete UNIK proposal must consist of the following documents:

A. Application form, including popular scientific description and budget

Appendices:

B. Executive summary (max 2 pages)
C. Documentation of management structure and leadership (max 10 pages)
D. Research plan (max 16-17 pages)
E. Documentation of researcher excellence and past performance (max 12 pages)

If additional appendices are submitted, they will not be included in the assessment of the proposals.

One page is equivalent to a maximum of 2400 characters using a font size of no less than 11 points.

Proposals must be written in English, as they will be evaluated by international experts only.

A. Application form

The Universities are required to use the UNIK application form. The form is available in printed and electronic versions. It can be downloaded from the website of the Danish Agency for Science, Technology and Innovation under the menu item “Apply for funding”. It can also be procured from the Secretariat via an email as an attached document or in print form.

B. Executive summary (max 2 page)

• Summarize the main components of Appendices C – E (max 2 pages)

C. Documentation of management structure and leadership (max 10 pages)

• Describe the organisational structure of the proposed UNIK in an organisational chart with comments (max 1 page)
• Describe the University’s motivation and commitment to advance the proposed research, including potential synergy with other major research and strategic initiatives at the University (max 1 page).
• Describe plans to embed successful parts of the proposed UNIK into the activities and ordinary budget of the University after the end of the UNIK timeframe (max 1 page)
• Describe educational and training activities for e.g. PhD/post doc. (max 2 pages)
• Include CVs for the researchers with a leading position in the proposed UNIK (e.g. Principal Investigator(s)) (max 1 page, including selected publications per research leader, total max 5 pages*)

D. Research plan (max 16-17 pages)

• Describe vision, original idea(s), relevant questions and hypotheses for the proposed research activities (max 2 pages)
• Outline the important milestones for the UNIK (max 1 page)
• Describe research strategy and potential for synergy (2 pages for the overall UNIK, up to 2 pages for each of the individual sub-themes, total max 10 pages*))
• Describe methodology/technology, equipment and other aspects of the research environment, including facilities available for international students/researchers connected with the UNIK (max 2 pages)
• Describe relevance to society, research and/or education (max 1 page)
• If relevant, describe ethical aspects of the research, including the use of laboratory animals (max. 1 page)

E. Documentation of researcher excellence and past performance (max 12 pages)

• Describe excellent past performance of the research groups concerned (max 1 page per research group, total max 5 pages*)
• Describe the involvement of these research groups with national and international research partners (max 1 page per research group, total max 5 pages*)
• List selected publications and possible patent references for the research groups concerned (total max 2 pages)

* The stated max of 5 - 10 pages does not indicate that a UNIK should consist of four of five research groups. A UNIK may consist of more or less research groups. 

8. How to apply?

All applications to UNIK should be submitted as one paper copy and one PDF file via e-mail. The PDF file must contain the completed UNIK application form and Appendices B – E.

The printed copy must be provided with an original signature, while this is not a requirement for the PDF file. By signing the printed copy of the proposal, the University confirms that the printed version is identical to the PDF file.

Shortly after the submission of the proposal, the Universities will receive an acknowledgement stating that the proposal has been received.

• Download application form

Please send proposals to:

Forsknings- og Innovationsstyrelsen
Bredgade 40
DK-1260 København K
Att. Jette Nielsen

Please mark the envelope “UNIK”.

Please send electronic versions to: , cc: .