Revision of the ESSENCE Five Keys good practice document: Funders Survey
BACKGROUND -
ESSENCE on Health Research is an initiative that allows donors/funders to identify synergies, establish coherence and increase the value of resources and action for health research. ESSENCE has led several innovative approaches to achieve harmonization and optimization of research funding, including the development of a good practice document series with the aim of better streamlining efforts aimed to support efficient and targeted research capacity building. One such output, the Five Keys to improving Research Costing in low- and middle-income countries (LMICs) (‘the Five Keys’), was published in 2012 and subsequently, translated into French and Spanish. In 2014 a suite of multi-media training materials, Using the Five Keys to improving Research Costing in LMICs, was created to support training related to research costing, particularly to assist trainers to deliver short presentations as well as more in-depth workshops.

Since 2012, the Five Keys has been the most sought after and downloaded good practice document developed by ESSENCE. Evaluation research conducted by ESSENCE members has shown that this document has served as a timely, free and uniform framework to be used, particularly since few similar resources are available. However, this research has also pointed to changes in the research management environment in LMICs. Consequently, it was agreed at the ESSENCE members’ meetings in Ottawa and Lisbon in 2018, and subsequent discussions of several members of the Research Management Working Group, that ESSENCE embarks on a revision of the Five Keys that would reflect the changes in the research management landscape since 2012 and improve the Five Keys through the inclusion of updated experiences and cases.

PURPOSE OF THE SURVEY -
•To gather information on the use and impact of the Five Keys good practice document and the related training materials
•To gather new information on the research funding and research costing practices of funders
•To understand/assess, from a funder’s perspective, the major changes in the research funding and research management environment since the publication of the Five Keys in 2012
•To gather information, from a funder’s perspective, on common research costing and research management practices at recipient institutions

COMPLETING THE SURVEY -
The survey questions are structured under 5 headings. It should take approximately 15-20 minutes to complete the survey. You can edit your response after you have submitted the survey by clicking on the 'Edit my response' button.

CONFIDENTIALITY -
Participation in this survey is voluntary. The information in this study will be used only for the revision of the ESSENCE good practice document on research costing. All responses will be treated as confidential and only anonymized, aggregated data will be published in the final report. Respondents will be consulted for consent should it be necessary to identify an individual/organization for the sharing of specific practices or experiences. During the project, the survey data will be kept in a password-protected database which only the project team can access. The database will be deleted on completion of the revised ESSENCE good practice document on research costing.

DEFINITIONS -
Low- and middle-income countries (LMICs):
Countries as per the classification of the World Bank.

Research costing:
Calculating the true cost of all the resources needed to undertake a piece of research and includes the direct and indirect /overhead costs.

Research pricing:
Research costing assists to determine the appropriate price for a piece of research. The price is what is request and ultimately granted by a funder. The price could, therefore, be different from the cost of the research.

Indirect costs:  
Costs that are not directly attributable to a piece of research, but nonetheless need to be paid for. It is sometimes also referred to as overhead costs.

Research management:
It embraces anything that research-focused organizations can do to maximize the growth and impact of the research portfolio. It can include the development, implementation, monitoring and evaluation of research related policies and strategies; research capacity development; facilitation and management of research partnerships and collaborations; identifying and disseminating research funding opportunities; supporting the development of funding proposals, including budgeting, costing and pricing; promoting and supporting research ethics and integrity, compliance and responsible research conduct; research contracts negotiation and management; research financial management; research project management; research data and information management; research dissemination, communication, uptake and innovation.

QUERIES -
For any queries or technical issues related to the survey, please contact Dr. Karin Dyason, Project Coordinator at karin.dyason@signify.co.za

ESSENCE  Secretariat: Dr. Garry Aslanyan, aslanyang@who.int 

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(A) RESPONDENT AND ORGANIZATIONAL INFORMATION
Respondent first name: *
Respondent last name: *
Respondent title: *
If you selected 'Other', please specify
Respondent job title/ role: *
Organization name: *
Country: *
Organizational unit/division/department name: *
Organizational type: *
If you selected 'Other', please specify
Contactable email address: *
I am responding: *
If you selected 'Other', please specify
(B) USE AND IMPACT OF THE FIVE KEYS GOOD PRACTICE DOCUMENT AND TRAINING MATERIALS
My organization has used the Five Keys good practice document and/or training materials:
If you selected 'We were aware of the resource but never used it, please (if possible) provide a reason(s)
The Five Keys good practice document and / or training materials:
Additional comments on the use and impact of the Five Keys good practice document and / or training materials by your organization (optional)
Do you have any suggestions for the review of the Five Keys good practice document e.g. specific issues that should be addressed etc.?
Clear selection
If you selected 'Yes', please provide details
Has your organization ever formally recommended or endorsed the Five Keys and/or the training materials as a resource to any of your recipient (grantee) institutions in LMICs?
Clear selection
Additional comments (optional)
Have any of your funding recipients (grantees) provided feedback on the use or impact of the Five Keys good practice document and/or training materials for their institutions?
Clear selection
If you selected 'Yes', please provide details
Are you aware of any other resource(s) similar or complimentary to the Five Keys good practice document?
Clear selection
If you selected 'Yes', please provide details
(C) RESEARCH FUNDING, RESEARCH COSTING AND RESEARCH MANAGEMENT PRACTICES OF FUNDERS
The total budget of grants that your organization funds/provides can generally include:
Yes
No
Salaries (investigators)
Salaries (support personnel)
Allowances (investigators)
Allowances (support personnel)
Direct expenses
Indirect expenses/overheads
Depreciation costs
Clear selection
Additional comments (optional)
What charges are generally allowable for RESEARCH grants for LMICs
Allowed as direct cost
Allowed as indirect cost / overhead
Not allowed
I am not sure
Allowances
Branding
Community and public engagement
Data management plans
Depreciation costs
Dissemination
Educational tools
Ethics reviews
Equipment
Grant compliance e.g. audit fees
Infrastructure
Legal fees
Management fees
Maintenance
Meetings / Conferences
Open access publication fees
Partnership support / evaluation
Post-implementation reviews
Procurement
Project planning / organization costs
Rent
Research management
Salaries
Specific studies on gender
Subscriptions and publication fees
Supplies
Training of employees (pre-implementation)
Training on gender dimensions
Travel (international)
Travel (domestic)
Utilities
Vehicles
Other
Clear selection
If you selected 'Other', please specify
Additional comments (optional)
What charges are generally allowable for CAPACITY STRENGTHENING/TRAINING grants for LMICs
Allowed as direct cost
Allowed as indirect cost / overhead
Not allowed
I am not sure
Allowances
Branding
Community and public engagement
Data management plans
Depreciation costs
Dissemination
Educational tools
Ethics reviews
Equipment
Grant compliance e.g. audit fees
Infrastructure
Legal fees
Management fees
Maintenance
Meetings / Conferences
Open access publication fees
Partnership support / evaluation
Post-implementation reviews
Procurement
Project planning / organization costs
Rent
Research management
Salaries
Specific studies on gender
Subscriptions and publication fees
Supplies
Training of employees (pre-implementation)
Training on gender dimensions
Travel (international)
Travel (domestic)
Utilities
Vehicles
Other
Clear selection
If you selected 'Other', please specify
Additional comments (optional)
How is the current indirect cost /overhead rate for LMICs determined in your organization?
Clear selection
Additional comments (optional)
Does your organization have different indirect cost/overhead rates for different types of grants?
Clear selection
If you selected 'Yes', please provide details
Additional comments (optional)
Does your organization have different indirect cost/overhead rates for domestic grants and grants to LMICs?
Clear selection
If you selected 'Yes', please provide details
Additional comments (optional)
Does your organization have an indirect cost /overhead policy?
Clear selection
Additional comments (optional)
How does your organization fund RESEARCH MANAGEMENT ACTIVITIES at the LMIC recipient (grantee) institutions?
Additional comments (optional)
If your organization funds RESEARCH MANAGEMENT please specify the components of research management that are supported
Have you observed significant changes in the research funding environment over the past 5-6 years?
Clear selection
If you selected 'Yes', please list the changes that you observed
Have you observed significant changes in the approach to indirect cost/overheads at your organization over the past 5-6 years?
Clear selection
If you selected 'Yes', please provide details
Additional comments (optional)
Have you observed significant changes in the approach to funding for RESEARCH MANAGEMENT at your organization over the past 5-6 years?
Clear selection
If you selected 'Yes', please provide details
Additional comments (optional)
In your view, can funders do more to harmonize /coordinate their funding policies and practices
Clear selection
If you selected 'Yes', please provide details
Additional comments (optional)
(D) RESEARCH COSTING AND RESEARCH MANAGEMENT PRACTICES AT RECIPIENT (GRANTEE) INSTITUTIONS IN LMICs
Have you observed significant changes in research management (including grants and financial management) practices at your recipient (grantee) institutions in LMICs over the past 5-6 years?
Clear selection
If you selected 'Yes', please provide details
Additional comments (optional)
Have you noticed an increase in dedicated research and grants management staff (compared to academics taking on an administrative role) at recipient institutions in LMICs over the past 5-6 years?
Clear selection
If you selected 'Yes', please provide details
Additional comments (optional)
Have you observed significant changes in research costing and budgeting practices at your recipient (grantee) institutions in LMICs over the past 5-6 years?
Clear selection
If you selected 'Yes', please provide details
The recipient institutions in LMICs my organization works with have clear policies on indirect cost /overhead recovery?
Clear selection
Additional comments (optional)
What in your view is a key requirement for recipient (grantee) institutions to accurately calculate indirect cost /overhead rates?
Recipient (grantee) institutions in LMICs my organization works with have standard operating procedures for grants management
Clear selection
Additional comments (optional)
Recipient (grantee) institutions in LMICs often challenge the indirect cost/overhead rate allowed by my organization
Clear selection
Additional comments (optional)
Are there specific challenges /concerns that you as a funder have regarding research costing and grants management at recipient institutions in LMICs?
Clear selection
If you selected 'Yes', please provide details
(E) GENERAL
The revised research costing good practice document will include a number of case studies where funders and recipient (grantee) organizations will share their research costing practices. Would your organisation be willing to participate in a case study?
Clear selection
Are there any of your recipients (grantees) in LMICs that you can recommend for a case study?
Clear selection
If you selected 'Yes', please provide the name and details of the contact person at the institution
In your view what would be the most useful mode of dissemination of the updated research costing good practice document?
Please provide any additional comments or input that can benefit the project
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