“research and innovation for growth and prosperity” · with uk universities in building...
TRANSCRIPT
The Newton Fund
“Research and Innovation for
Growth and Prosperity”
May 2016
The Vision
The UK will use its strength in research and innovation to promote
the economic development and social welfare of partner
countries. By working together on bi-lateral and multi-lateral
programmes with a research and innovation focus, the UK will
build strong, sustainable, systemic relationships with partner
countries. This will support the continued excellence of the UK
research base and innovation ecosystem and will unlock
opportunities for wider collaboration and trade.
Our partner countries
Egypt
China
Colombia
Chile
South Africa
(and sub-Saharan Africa)
Indonesia
Mexico
Brazil
India
Vietnam
Thailand
Philippines
Turkey Kazakhstan
Malaysia
UK Delivery Partners
Our aim is to build strong, sustainable and systemic links between every part of
our research base and innovation ecosystem – and every part of yours
5
The Pillars
TRANSLATION PEOPLE RESEARCH
6
People
School Student PhD Postdoc Young Prof Academician
PhD
Partnerships
Newton International
Fellowships
Researcher Mobility Schemes
Newton Advanced
Fellowships STEM Pipeline
Technical Training
& Employability
Developing People’s
Science & Innovation Capability
Leadership in Innovation
Industry-Academia Partnership
7
Research
Collaborative research programmes
• Joint research calls
• Joint centres
• Access to research and innovation infrastructure
Energy
Living With
Environmenta
l Change
Health Global
Uncertainties
Food Security
Big Data
8
Translation
• Research and Innovation Bridges
• Global Innovation Capacity Building
• Developing entrepreneurial skills in S&I small and medium sized
enterprises
9
Launched in April 2014 for 5 years and £75M per year
2015 UK Spending review agreed to extend and expand
Newton Fund
Extension – Newton Fund extended to 2021
Expansion – Newton Fund doubling from £75M per year
currently to £150M by 2021. £735M UK investment
to 2021 with partner countries providing
matched resources within the Fund
How is the Newton Fund evolving?
Newton UK – Thailand Research and Innovation Partnership Fund
“…£2 million per year could be
available for matching by
Thailand…”
“...up to £4 million per year
could be available for
Newton UK – Thailand…” 2014 –
2015
2016
“…£3 million per year could be
available for matching by
Thailand…”
“...up to £6 million per year
could be available for
Newton UK – Thailand…”
- Develop a human capital
in research and
innovation
- Improve a scientific
research standards and
infrastructure
- Build a capacity for
translating research and
innovation to commercial
- Enhance learning
capacity of a R&D
regional network
Improvement in National
Competitiveness and
Quality of Life through
utilizing science, research
and innovation as a driving
force
- People
Programme
- Research
Programme
- Translation
Programme
ACTIVITIES
OBJECTIVES
(outcomes)
GOAL
(impact)
Focus Areas
• Health and Life Science
• Agritech
• Future Cities
• Environment & Energy
• Digital, Innovation & Creativity
Result Chain formulation for LogFRAME
Thailand Delivery Partners
Our aim is to build strong, sustainable and systemic links between every part of
our research base and innovation ecosystem – and every part of yours
Mechanism for in-country co-ordination
While our individual Delivery Partners will be forging links with their opposite
numbers in-country, our Embassy, Consulate or High Commission will be making
sure the whole programme really does represent a “whole system” partnership
between the UK and our partner country.
Pijarana Samukkan
Research and Innovation
Programme Manager
Prosperity Section
British Embassy in Bangkok
Tel. +662 305 8280
Email:
• Science, Technology and
Innovation Policy Office (STI)
• National Science and
Technology Development
Agency (NSTDA)
• Thailand Research Fund
(TRF)
• Office of the Higher
Education Commission
(OHEC)
• Institute for Promotion of
teaching Science and
Technology (IPST)
• Office of the Vocational
Education Commission
(OVEC)
• Office of the Basic Education
Commission (OBEC)
• National Astronomical
Research Institute of Thailand
(NARIT)
• BIS + FCO + SIN
• RCUK
o MRC
o BBSRC
o STFC
o EPSRC
• Academies
o Royal Society
o British
Academy
o Royal Academy
of Engineering
• British Council
• Innovate UK
Advanced Fellowships
Mobility Grants
Leaders in Innovation
Fellowships
• PhD Placement
• Professional Development
• Researcher Link
(workshop & travel grants)
Institutional Links
Industry-Academia
Partnerships
STEM Education
Joint Research
Mechanism for in-country co-ordination
15
Translation
Research
People
Healt
h
Infectious Diseases
Cancers Ag
ricu
ltu
re
Rice
RC
UK
Sm
all
Gra
nts
Energy – Food – Water Nexus
Astronomy
RC
UK
Med
ium
G
ran
ts
Atmospheric Pollution & Human Health
Impact of Change on Water Resources
STEM Education
PhD Scholars &
Supervisor Travel Grants
Mobility
& Fellowships
Professional Development
Researcher Links
Industry-Academia
Partnerships
Overall Plan @ March 2015
Leaders in Innovation
Fellowship
Institutional
Links
16
2014/15 2015/16 2016/17 2017/18 2018/9
1. STEM Education:
curriculum and support system
2. PhD Placement
3. Mobility
4. Advanced Fellowships
5. Professional Development
6. Researcher Links:
mid-career researchers & project officers
7. Joint Research:
Health, Rice, Environment, Creativity,
Astronomy, ect.
8. Industry – Academia Partnerships
9. Leaders in Innovation Fellowships
10. Institutional Links
11. SEA Capacity Building in Innovation
Overall Plan @ March 2016 (cont.)
17
Calls Open – tentative period
No. Call Status
1. STEM Education:
• STEM Ambassadors
• STEM Personnel: teachers / principals
• UK Expert for curriculum revision /
development
• UK Expert for evaluation system
Close
May
Close
Not identified yet
2. PhD Placement Scholars &
Travel Grants for PhD Supervisors
Jun –Sep
3. Mobility Jan –Mar
Apr / Jun
4. Advance Fellowships Jan –Mar
Jun – Sep
5. Professional Development
June
6. Researcher Links: workshop and travel grants
July - Sep
18
Calls Open – tentative period (cont.)
No. Call Status
7. Joint Research
• Health & Rice
• Small research grants
o Energy- Food - Water Nexus
o Capacity Building through Astronomy
• Medium research grants
o Atmospheric Pollution & Human Health
o Impact of Change on Water Resources
Close
May
May
8. Industry-Academia Partnership
Jun – Sep
9. Leader in Innovation Fellowship (opened by TH Delivery Partners: NSTDA and TRF)
Sep / Oct
10. Institutional Links April - June
July - Sep
STEM Education
Review and revision of STEM Education Policy 1. Grade 1-6 (Primary school) 2. Grade 7-9 (Middle school) 3. Grade 10-12 (High school) 4. Vocational level 5. Long distance learning
Creating
STEM Ambassador
Creating STEM Network
Creation of
Monitoring & Evaluation
Creating STEM Personnel
Building of
STEM Support System
Revision of
Curriculum and Materials
Newton STEM Education for Thailand: year 2015/16 – 2018/19
PhD Placement
• Enable scholars to stay for longer periods in UK higher education
institutions
• Creating more opportunities to learn from the UK’s research
excellence and create collaborative links.
TRF 6 months
Newton Fund 6 months
PhD
Scholar
PhD
Supervisors 1-2 weeks &
Up to 3 scholars
International Collaboration Programmes
(Mobility)
• Support early career researchers in embarking on research collaborations
with their UK counterparts
• Cover Natural Sciences, Engineering, Social Sciences and Humanities
(Human Sciences)
• Based around a new joint high quality research project
• Awards for up to 2 years for science, and up to 1 year for social science
(Science & Engineering £12,000 from RS + THB 500,000 from OHEC)
(Social Sciences & Humanities£10,000from BA+THB 500,000 from OHEC)
• Includes visits, travel, subsistence, research expenses
• Part of flexible mobility support seeding long-term collaborative
partnerships that may go on to attract larger-scale funding
Newton Advanced Fellowships
• Fellowships to support early to mid career researchers
(up to 15 years post PhD).
• Researchers who have already established (or are well advanced in
the process of establishing) a research group or research network
• Aim – To support the development of their research strengths
through collaboration and for more formalised training and
development.
• Up to two years, with multiple short periods in the UK
• Fellowship will provide a salary top up, research support, training
costs, exchange of staff and travel and subsistence
(£37k per year from the Academies + THB 1.5 million from TRF )
• Cover Natural Sciences, Engineering, Social Sciences and Humanities
(Human Sciences).
Professional Development
Support the research environment and encourage optimal impact
from research, by enabling researchers continue to develop their
skills and providing supported through the ‘life cycle’ of their career
Midcareer Researchers
• A training programme for Thai researchers with 5-15 years’
research experience to enhance advanced skills in managing
research projects
Project Officers
• A training programme for project officers, coordinators and
international officers
Professional Development (cont.)
Midcareer
Project Officer
Researcher Links
o The Researcher Links programme aims to stimulate initial links
between, and support capacity building among, ‘rising star’ early
career researchers in partner countries and the UK.
The Researcher Links: WORKSHOP
o bring together the UK – Thailand bilateral cohort of early career
researchers to take part in a workshop
The Researcher Links: TRAVEL GRANT
o provide financial support for early career researchers to spend up
to six months in the UK to enhance and strengthen collaboration,
Researcher Links (cont.)
Workshop
- 2 workshop leads from UK and Thailand apply for the grant
- They can identify 4 mentors
- Workshop between Thailand and UK
- At most 40 participants
- Approximate 1.5 million baht per workshop
Travel grant
- Up to 6 months in the UK
- 2 way exchange (Thailand UK or UK Thailand)
Researcher Links (cont.)
Priority areas:
1. Physical Science & Engineering & Infrastructure
2. Agriculture, food, and nutrition
3. Demographic change and migration
4. Health & Life Sciences
5. Education research and innovation for development
6. Humanity and Social Sciences
Small Research Call: 1-2 year flexible short-term support for research
• Funding: up to £100k from RCUK + up to 1 million from TRF per project
• Research Area:
o Creative Economy & Cultural Heritage
o Energy- Food - Water Nexus
o Mental Health
o Capacity Building through Astronomy
o Combating disease in swine and poultry
(including zoonotics and microbiome)
o Skills for using Large Facilities
Agreed by
TH Delivery
Partners
Joint Research: regional programme
[UK-IND-PH-TH-MY]
Medium Research Call: 2-3 year research funding for internationally
competitive and innovative collaborative projects between researchers from
Indonesia, the Philippines, Thailand and/or Vietnam and the UK that will
allow the pursuit of shared research interests.
• Funding: up to £400k from RCUK + up to 2 million from TRF per project
• Research Area:
o Atmospheric Pollution & Human Health
o Impact of Change on Water Resources
o Tropical Peatlands
Agreed by
TH Delivery
Partners
Joint Research: regional programme
[UK-IND-PH-TH-VN]
Leaders in Innovation Fellowship Programme
Partnership in capacity building for innovation between the UK and
Thailand:
Leaders in Innovation Fellowships (LIF) Programme: Entrepreneurship
training and mentorship for researchers who wish to commercialise an
innovation
• Residential training programme: Two weeks in the UK shall
culminate in a final pitch day, which the winner of the final pitch
competition shall be awarded.
• Fellows will be provided with ongoing support from in-country
Partner Agency, as well as follow- up support from their coaches in
the form of scheduled phone/video/email correspondence.
• Regional Hub Events To showcase the Leaders in Innovation
Fellows innovations, build cross—regional - UK linkages and to
further embed the Fellows within their local innovation ecosystem
Industry-Academia Partnership Programme
• Lead applicant must be Thai University partnering with an industry
organisation and a UK institution. The industry partner may also be
considered as the UK institution if it is headquartered in the UK.
• Total funding of £10,000 – £50,000 over two years to support salary,
travel and accommodation costs for activities and workshops
o Industry-Academia cooperation - IAPP will fund collaboration
projects between industry and academia organisations which will
aim to enhance education or research outcomes in universities.
o Disseminating learning - funds workshops to help spread good
practices and escalate impact of the exchanges to a broader level.
o Building UK Linkages - Projects must also include a UK partner
institute – academic or industry - to build innovation and
engineering links between both countries.
Industry-Academia Partnership Programme
Potential Models of Collaboration
• Deliver a training programme for Engineering educators on modern
teaching methods incorporating novel techniques and ICTs
• Deliver training in research methods for industry-oriented projects
• Collaborative Research Projects undertaken with Industry in
partnership with both UK and The Partner Country’s universities
• Student competitions for solving industry-related problems
• Enlist UK Experts to conduct Masterclasses for Partner Country
Engineering lecturers and industry personnel for complex subject
matter
• Send established and future research leaders to UK universities for a
six month/ 1 year industry-led research programme
• Industry 'chairs' brought into Partner Country Universities and ‘Buddy’
with UK Universities in building Industry-Academia linkages
• Bilateral Exchanges between Industry and Academic organisations to
design/ develop research agenda and curricula in Emerging
Technologies
Institutional Links
• Grants can be between £50,000 to £300,000 over two years
• Grants for establishing links between higher education, research
institutions and businesses with the aim of translating research to
drive economic development and social welfare in partner countries.
• Initiate new research and innovation collaborations between
academic groups, departments and institutions in partner countries
and the UK
• Develop existing collaborations at group, departmental and
institutional level
Institutional Links:
Thailand co-funder: Thailand Research Fund (TRF)
Duration of grants: up to 2 years
Size of grant: £50,000-£100,000 per grant
Thematic priority areas:
• Education research and innovation for development
• Economic growth
• Demographic change and migration
• Rural and urban development
• Infrastructure
• Governance, society and conflict
• Innovative and Sustainable Competitiveness in Food & Drink Technology
• Health & Life Sciences
Institutional Links: call launched in 2015
Thailand co-funder: Office of the Higher Education Commission (OHEC)
Duration of grants: up to 12 months
Size of grant: £50,000-£100,000/grant
Thematic priority areas:
• Agriculture and Food
• Energy
• Environment and Natural Resources
• Health
• Social Science and Humanities
• Biodiversity-Based Socio-Economy
Research applicable to industry will be welcome. We also encourage
multidisciplinary proposals across the above themes.
How to apply?
• We accept online application only through the website of
UK Delivery Partner
37
How to Apply
Grant Management
System (GMS)
• Non-binding scholarship and grant but monitoring and evaluation
report is required
• Accept majority of the research fields from sciences to social
sciences
• Most programme have different completion date
• Need to be accepted by host institution in the UK prior to application
(evidence is required)
• Only government body, research institute, higher education
institutions (private/public) can apply
• Awarded grantees can reapply but selection process is upon the
guideline of each programme
38
How to Apply: conditions
Selection Process
Apply online
Eligibility Check
ODA Check
Expert Review (written review and/or expert panel meeting)
Joint UK-TH final selection
Success to Date
Researchers Links: workshop grants
• Nottingham and KMITLB: Sustainable Pig Production: the
knowledge and technology exchange between UK and Thailand
• London School of Hygiene and Tropical Medicine and Mahidol:
Genomic Epidemiology in Infectious Diseases - Pathogen Genomics
Capacity Building Workshop
• CEFAS and BIOTEC: Scientific, technological and social solutions
for sustainable aquaculture in Thailand: a key player in global aquatic
food supply
• Kings and Thammasat: THRIVE: Improving Child and Adolescent
Mental Health in low and middle income countries
• West England and KKU: Short Food Supply Chains: A pathway to
sustainable development and employment creation
• University of London and Mahidol: Documenting and preserving
indigenous languages: principles, practices and tools
• Imperial and Bangkok U: Women Entrepreneurship
41
Successful Application – previous years
Institutional Links
• King's College London and Mahidol: Development and Evaluation of
Chimeric Antigen Receptor T Cells (CAR-T Cells) for Treatment of Cancers
• Institute of Food Research and Kasetsart: Health as a driver for adding
value to the Thai rice industry
• Newcastle University and Thammasat: Highly-energy efficient and cost
effective biodiesel production from vegetable oil sources in Thailand
• London School of Hygiene & Tropical Medicine and Khon Kaen: Improving the diagnosis and prevention of melioidosis and tuberculosis in
Thailand and the UK
• University College London and Chulalongkorn: Molecular pathology of
rare genetic diseases in children
• University of Liverpool and Khon Kaen: Role of Innate immune
responses in the pathogenesis of opisthorchiasis and development of
cholangiocarcinoma (bile duct cancer) in rural communities in Thailand
• Imperial, Cambridge and Bangkok U: Women Entrepreneurship
Research Links
42
Successful Application – 2015/16
Industry-Academia Partnerships
• KMUTT:
Properties and Durability of Low-Carbon Cement and Concrete and
Their Applications
• Mahidol:
RailExchange: UK-Thailand rail professionals and education
exchange
• KMUTNB :
Establishing Partnerships in Development of Ceramic Membrane
Reactor for Catalytic Partial Oxidation of Methane using Nitrous
• Mahasarakham:
Advanced reader model for magnetic recording via muti-scale
approach
43
Successful Application – 2015/16
Official Development Assistance
Jane Casey – Statistics Adviser
Department for International Development
A bit of background…
• Definition agreed in 1969 by the OECD DAC (Development Assistance Committee).
• ODA is the key measure used in most aid targets and assessments
of aid performance.
• DAC members agree definition – UK can influence but cannot
set/change the definition.
• 1970 most DAC members agreed to long term objective of 0.7% ODA
target.
• 2004 UK govt. set target to achieve 0.7% by 2013.
• Measured on a calendar year basis
• Detailed programme level data scrutinised and published by the
OECD
Primary purpose test…
“”each transaction of which is administered with the
promotion of the economic development and
welfare of developing countries as its main
objective”.
Primary purpose –
benefitting the UK
Economic Development and Welfare
as the main objectives: Examples
• Social and cultural programmes
• Assistance to refugees
• Civil police work
• Research
“ Only research directly and primarily relevant to
the problems of developing countries may be
counted as ODA.”
Not ODA or Not reportable as ODA
• Military aid: The supply of military equipment and services,
and the forgiveness of debts incurred for military purposes.
• Peacekeeping: The enforcement aspects of peacekeeping.
• Anti-Terrorism
Depends on objective
Nuclear energy ???
• The peaceful use of nuclear energy, including
construction of nuclear power plants, nuclear safety
and the medical use of radioisotopes
• Military applications of nuclear energy and nuclear
non-proliferation activities
Where to find out more….
http://www.oecd.org/dac/stats/officialdevelopmentassistancedefinitionandcoverage.htm
https://www.gov.uk/government/organisations/department-for-international-development/about/statistics
ODA eligibility process
Delivery Partner
Newton Fund/BIS
Team
DFID ODA Team
OECD
If unable
to answer
Answer Answer Answer
If unable
to answer
DFID Chief
Statistician
Newton Fund: Consideration for ODA and IDA
• Is the project addressing the economic development and welfare of the
country in question?
• Are the countries involved on the DAC list of ODA recipients?
• Is there a development need that my project or activity is addressing?
• Is this credible or is there evidence of the need?
• How would this project or activity be applied in the country?
• What would the impact of my project or activity be, and who would
benefit?
• How does my project or activity contribute to sustainable
development?
• Would this lead to a reduction in poverty in a developing country?
• What would success for this activity look like?
• How would success or impact be measured?
What if I don’t have a UK
partner institution?
www.britishcouncil.org 53
Supporting and finding partners in the UK
• Support institutional matching and institutional partnerships
• Assistance to both UK and Thai researchers to connect with
potential partners for the Researcher Links and Institutional
Links calls
Email: [email protected]
When contacting us, please ensure that you include the
following information:
• Which call you wish to find a partner for (Researcher Links
Workshops/Researcher Links Travel Grants/ Institutional
Links)
• Area of research
• An abstract of your proposed topic for collaboration
• Information about you (the researcher) and your institution
• CV of the lead applicant including publications
www.britishcouncil.org 54
55
Supporting and finding partners in the UK
56
All About Newton
http://www.newtonfund.ac.uk/
• About Newton Fund
• How to fine UK partners
• Funding Opportunity
• What is ODA
• Partnering Countries
• Partnering Organisations
• Key Facts & Figures
• Update News : Tweets
Key Points
Understand the Newton
• Newton Fund is the Official Development Assistance
• Primary purpose of the Newton Fund is to promote
the economic development and welfare of the partner
country. It must be clear that there is a development
problem affecting poor people and that the project will
address this.
• Each Newton Programme has specific target group
and objective
Using Result Chain for proposal development
Activities
Outputs
Outcomes
Impacts
Resources
Technical
results of
an intervention
Direct effect of
an intervention
Wider
Developmental Effects:
contribution to poverty
reduction
Note: Clear explanation on the pathway to impact with enough information
Research Programme
Good strategy on how to play with the Newton
Study
Implementation
Scaling up
Newton Programme Early-Career Researchers
Mid-Career / Senior Researchers
Students
• PhD
Placement • RL: Travel
Grant
• Mobility
• Advanced
Fellowship
• IAPP
•In
sti
tuti
on
al L
inks
• RL:
work
shop
THANK YOU
Pijarana Samukkan
Research and Innovation Programme Manager
British Embassy, Bangkok
Tel. +662 305 8280
e-mail: [email protected]
IS IT ODA?
This note helps donors to decide whether a particular expenditure qualifies as official development assistance (ODA). It supplements the Development Assistance Committee (DAC) Statistical Reporting Directives.
Further guidance on ODA eligibility of expenditures in the field of conflict, peace and security is available in the DAC’s “ODA Casebook on Conflict, Peace and Security Activities.”
IS IT ODA?
www.oecd.org/dac/stats
IS IT ODA?Factsheet - November 2008
DAC Members occasionally request the Secretariat’s view as to whether a particular expenditure should be reported as official development assistance (ODA). This paper outlines the reasoning the Secretariat uses to answer such enquiries, and discusses some specific cases. It should not be taken as a definitive guide to ODA eligibility, since only the DAC may determine such eligibility. Further details are provided in the Statistical Reporting Directives (available at www.oecd.org/dac/stats/dac/directives).
Official development assistance is defined as those flows to countries and territories on the DAC List of ODA Recipients (available at www.oecd.org/dac/stats/daclist) and to multilateral development institutions which are:
i. provided by official agencies, including state and local governments, or by their executive agencies; and
ii. each transaction of which:
a) is administered with the promotion of the economic development and welfare of developing countries as its main objective; and
b) is concessional in character and conveys a grant element of at least 25 per cent (calculated at a rate of discount of 10 per cent).1
1. This calculation helps determine whether a loan is concessional. If the loan satisfies the ODA criteria, then the whole amount is reported as ODA. The grant element itself is not reportable as a flow. Reporting is on a cash (nominal) basis, except for Paris Club debt service reduction (see under “Flows” below).
www.oecd.org/dac/stats
ECONOMIC DEVELOPMENT AND WELFARE AS THE MAIN OBJECTIVE
ODA ELIGIBILITY OF AID TO MULTILATERALS AND NGOS
This is often the decisive criterion for determining ODA eligibility. In the final analysis it is a matter of intention. But in order to reduce the scope for subjective interpretations and promote comparable reporting, Members have agreed to limits on ODA reporting, e.g.:
Exclusion of military aid - The supply of military equipment and services, and the forgiveness of debts incurred for military purposes, are not reportable as ODA. On the other hand, additional costs incurred for the use of the donor’s military forces to deliver humanitarian aid or perform development services are ODA-eligible.
Peacekeeping - The enforcement aspects of peacekeeping are not reportable as ODA. However, ODA does include the net bilateral costs to donors of carrying out the following activities within UN-administered or UN-approved peace operations: human rights, election monitoring, rehabilitation of demobilised soldiers and of national infrastructure, monitoring and training of administrators, including customs and police officers, advice on economic stabilisation, repatriation and demobilisation of soldiers, weapons disposal and mine removal. (Net bilateral costs means the extra costs of assigning personnel to these activities, net of the costs of stationing them at home, and of any compensation received from the UN.) Similar activities conducted for developmental reasons outside UN peace operations are also reportable as ODA, but not recorded against the peacekeeping code. Activities carried out for non-developmental reasons, e.g. mine clearance to allow military training, are not reportable as ODA.
Civil police work - Expenditure on police training is reportable as ODA, unless the training relates to paramilitary functions such as counter-insurgency work or intelligence gathering on terrorism. The supply of the donor’s police services to control civil disobedience is not reportable.
Social and cultural programmes - As with police work, a distinction is drawn between building developing countries’ capacity (ODA-eligible) and one-off interventions (not ODA-eligible). Thus, the promotion of museums, libraries, art and music schools, and sports training facilities and venues counts as ODA, whereas sponsoring concert tours or athletes’ travel costs does not. Cultural programmes in developing countries whose main purpose is to promote the culture or values of the donor are not reportable as ODA.
Assistance to refugees - Assistance to refugees in developing countries is reportable as ODA. Temporary assistance to refugees from developing countries arriving in donor countries is reportable as ODA during the first 12 months of stay, and all costs associated with eventual repatriation to the developing country of origin are also reportable.
Nuclear energy - The peaceful use of nuclear energy, including construction of nuclear power plants, nuclear safety and the medical use of radioisotopes, is ODA-eligible. Military applications of nuclear energy and nuclear non-proliferation activities are not.
Research - Only research directly and primarily relevant to the problems of developing countries may be counted as ODA. This includes research into tropical diseases and developing crops designed for developing country conditions. The costs may still be counted as ODA if the research is carried out in a developed country.
Anti-Terrorism - Activities combatting terrorism are not reportable as ODA, as they generally target perceived threats to donor, as much as to recipient countries, rather than focusing on the economic and social development of the recipient.
•
•
•
•
•
•
•
•
Annex 2 of the Statistical Reporting Directives lists those international agencies contributions to which are reportable as ODA. ODA coefficients are provided for United Nations agencies which conduct part of their activities in favour of development. These coefficients are revised every few years in consultation with the agencies concerned.
United Nations agencies have established many specific-purpose funds. These are too numerous, and arise and disappear too quickly, to be listed in the Directives. The same applies to national non-governmental organisations. In both cases, Members must use their judgement as to whether contributions have an ODA character2. When in doubt, they may consult the Secretariat, at [email protected] providing details of the fund in question.
The Directives also list the main international non-governmental organisations (INGOs) contributions to which are reportable as ODA. These are increasingly numerous. Where Members have contributed to INGOs not on this list, they should assess their ODA character in the light of the INGOs’ aims, programmes and membership. If they believe the contribution should be counted as ODA, they should inform the Secretariat so that Members can consider the INGO in the annual review of Annex 2.
2. The coefficient established for an agency partly active in development does not normally apply to specific-purpose funds it sets up, the ODA character of which should be assessed individually. For example, 70 per cent of contributions to WHO’s core budget are reportable as ODA. But contributions to WHO’s bilharzia programme are 100 per cent ODA-reportable, while contributions to its International Agency for Research on Cancer are not ODA-reportable.
www.oecd.org/dac/stats
OFFICIAL AGENCIES
IS IT ODA?
FLOWS
CONCESSIONAL IN CHARACTER
Official flows comprise transactions undertaken by the official sector (i.e. Government) at their own risk and responsibility, regardless of the source of funds (taxation of or borrowing from the private sector). Official agengies include federal, state and local departments and agencies. The market-based transactions of central monetary authorities, however, do not enter into the statistics.
Sometimes one official agency subsidises another. Since the subsidy is internal to the official sector of the donor country, it is not reported as a flow. Rather, the transaction recorded is that between the subsidised agency and the developing country. If this transaction meets the other ODA criteria described in this paper, it is recorded as ODA.
Official subsidies to private firms may be recorded as other official flows (OOF). They are not considered to meet the tests of ODA, since by definition they support activities with a primarily commercial objective.
Official subsidies to private not-for-profit organisations (“non-governmental organisations”) that are active in development are reportable as ODA.
Flows are transfers of resources, either in cash or in the form of commodities or services. Since DAC statistics concentrate on transactions likely to have a development impact, loans for one year or less are not counted. Repayments of the principal of ODA loans count as negative flows, and are deducted to arrive at net ODA, so that by the time a loan is repaid, the net flow over the period of the loan is zero. Interest is recorded, but is not counted in the net flow statistics. Where official equity investments in a developing country are reported as ODA because of their development intention, proceeds from their later sale are recorded as negative flows, regardless of whether the purchaser is in a developed or a developing country.
Disbursements are measured on a cash basis, not an accruals basis, except that:
• wherever contributions to multilateral development banks and funds are made in the form of promissory notes, the full amount of the note is recorded at the time of deposit; and
• the net present value of debt relief provided by implementing a Paris Club debt reorganisation through debt service reduction is reportable as an ODA grant in the year of the reorganisation.
Some transactions not recorded as transfers in balance of payments statistics are nevertheless eligible to be recorded as ODA, since they represent an effort by the official sector in favour of development. These include the costs of developmentally relevant secondary and tertiary education and vocational training (including stipends and travel) provided to developing country nationals in the donor country, the administrative costs of ODA programmes, subsidies to non-governmental organisations, in donor refugee costs and programmes to raise development awareness in donor countries.
Capital investment in the donor country is not regarded as a flow and is therefore not eligible to be reported as ODA. This applies even to the construction and equipment of training and research facilities related to development issues. The running costs of such facilities may, however, be counted as ODA.
From the earliest discussions of the concept of ODA, Members agreed that it should represent an effort in favour of developing countries by the official sector. Loans at market terms were excluded. When in the early 1970s interest rates began rising sharply, it was further specified that loans could only be reported as ODA if they had a grant element of at least 25 per cent, calculated against a notional reference rate of 10 per cent per annum.
These elements remain today. In recent years, long-term interest rates in most OECD Member countries have fallen well below 10 per cent, so the 25 per cent grant element level has become easier to attain. But to qualify as ODA, loans must still be concessional in character, i.e. below market interest rates.
Where concessional and non-concessional financing are combined in so-called “associated financing packages”, the official and concessional elements may be reported as ODA, provided they have a grant element of at least 25 per cent. Such contributions must also meet the special concessionality tests for associated financing, which are based on market interest rates and set out in the Arrangement on Guidelines for Officially Supported Export Credits (OECD, 2008 Revision).
www.oecd.org/dac/stats IS IT ODA?
RCUK and Country Partner Call ProcessP
re-C
all L
aun
ch4
-6 w
eeks
Cal
l Op
en
12
wee
ksA
sses
smen
t o
f A
pp
licat
ion
s1
6-2
0 w
eeks
Aw
ard
ing
of
Ap
plic
atio
ns
5-6
wee
ksP
ost
-A
war
d
RCUK & Country Partner plan to launch a call
Budget, ODA compliant common themes identified and agreed
Call documents created and agreed
Call launch
Call Close
Eligible?Eligibility checks
completed by RCUK and country partner
Amendments Required?
Yes Application rejected
No
Returned for amendment
Yes
once amended
Intention to submit
RCUK and country partner identify reviewers and panel members from Intention to Submit
Approach panel members/ reviewers
Panel meeting
PI response(applicant’s opportunity to respond to reviews)
If needed, shortlisting
Final decisions signed off by RCUK and country partner
Invite peer reviewers in JeS system
No
Reviews received and checked they can be used (i.e. no conflict of interest)
No
Application rejected
Application awarded?
Applications processed in Siebel, including any negotiations needed
Award letter is sent to applicant’s RO
After award letter accepted, expenditure must be incurred. Start confirmation is generated and
returned to activate the grant
Grants started and are active in the system
Yes
Negotiations can vary in time, ideally 4 – 6 weeks
Between 6-8 weeks after call launch
4-6 weeks after call launch
3 months before call close
2 weeks after call close
3 weeks after call close
Approx. 16-20 weeks after call close
5-6 weeks before the panel meeting
4 weeks before the panel meeting
1-2 weeks after panel meeting
Applicants informed 2 weeks after panel meeting through JeS
3-5 weeks after the panel meeting