H3Africa Guidance Notes for applicants submitting full proposals

Completing and Submitting the Form

  • Applications must be completed in English.
  • Abbreviations should not be used unless fully explained
  • Answers should be restricted to the text boxes provided; the text boxes will expand automatically as you type. Where required you MUST adhere to the word limit.
  • Applications will only be accepted via our online application portal AAS Ishango Online System (Ishango). Only applicants who have been invited to submit a full proposal will be considered.
  • The closing date for the submission of your fully completed forms online will be 20.59 GMT on Friday 14th July 2017.

Notes Relating to Questions on the Form

Please note that the application will need to be validated by:

  • the Head of the Department in which the work will be undertaken
  • the Finance Manager, Chief Finance Officer, Director of Finance or equivalent of the Institution on behalf of the Institution

Co-applicants and Collaborators:

The lead applicant can add co-applicants to the application who will then receive an automated invitation to sign-up on Ishango where they can fill in their details both in the application and in their individual portal accounts.  Co-applicants online CV details (portal – My Details section) must be fully updated to enable the lead applicant to submit the application successfully. The lead applicant will be required to fill in details of their collaborators in the relevant section of the application. For the definitions, please see below.

Co-applicant: A co-applicant is a researcher who will have significant intellectual input into, and part ownership of, the research if the grant application is successful. You must meet the eligibility criteria.

Collaborator: A collaborator is an individual named in the body of the application who may, for example, assist with specific elements of the research or provide access to resources, reagents or samples, but who would not normally be involved in the day-to-day execution of the project. Collaborators are not assessed for eligibility in the same way as applicants. They are not ‘key’ to the research and neither they, nor their organisations, have to sign up to the AAS’ Grant Conditions. However, host organisations are responsible for ensuring that there are no intellectual property rights (IPR) issues arising from the funded research, including from agreements with collaborators. Collaborators may not be paid for their contribution towards the research project (although funds may be provided for collaborative visits where beneficial to the grant and scientifically justified). Individuals wishing to be paid for their services, and who would not own any intellectual property or other products arising from the research, are eligible to be consultants.


AESA requires that a full citation, including the title of the paper and the name of all the authors, is provided.  We do not wish to specify a format. Applicants will be asked to resubmit their references page if the citations are not provided in full and this might result in a delay to the processing of the proposal.  Applicants may refer to papers “in press”; copies of these papers should be submitted.  Manuscripts that are "in preparation" or "submitted for publication" must not be included in the reference list but key data from these papers may be submitted as part of the allowed appendix/appendices of additional data.

Data Management and Sharing Plan:

Data management and sharing plans should be clear, concise and proportionate and in accordance with the data sharing and management plan for both AESA (http://www.aasciences.ac.ke/aesa/en/explore--resources/explore--resources/policies/) and H3Africa( http://www.h3africa.org/consortium/documents).  Applicants are free to structure their plan in the manner that best meets their needs but should consider seven key questions and ensure these are addressed clearly within their plan.

  1. What data outputs will your research generate and what data will have value to other researchers?
  2. When will you share the data?
  3. Where will you make the data available?
  4. How will other researchers be able to access the data?
  5. Are any limits to data sharing required – for example, to either safeguard research participants or to gain appropriate intellectual property protection?
  6. How will you ensure that key datasets are preserved to ensure their long-term value?
  7. What resources will you require to deliver your plan?

Progress Milestones

Set key performance indicators that are clear, measurable, achievable, timebound and adjustable to allow performance improvement. If possible understand the starting point and set targets that are time bound and realistic to demonstrate success. Performance monitoring plans should at minimum include indicator, target, achievement, and timeframe. 

Currency Details

You are requested to calculate your budgets using the local currency’s most current USD exchange rate and be willing to disclose the exchange rates used to AESA as necessary.

Financial Support

Our guidelines for costs are different from the regular costings.  The grant will cover directly incurred costs and research management support costs.

Directly incurred costs: costs that directly arise from the conduct of the project and reflect what will actually be spent (staff costs, equipment, travel, etc).

Research management support costs: actual costs to support the delivery of the project for example:
a) Training costs
b) Administrative costs
c) Other: other justifiable costs such as computing and internet, utilities, etc

Please note that the grant can only be used to deliver the objectives stated in the grant application. Ensure that the best estimates for the full cost of undertaking the project described in the application are requested.


Please detail staff costs requested for all staff to be funded by the grant.  This should include salaries, staff benefits (appropriate to local circumstances) and any staff related training. 

Definition of Terms Relating to Salaries.

Staff category:  For example: “Administrative support staff” and “Research staff”.

Salary grade/scale:  The national or local salary grade/scale on which the individual will be employed.

Basic starting salary:  Salary to be paid to the individual upon their appointment to the post, exclusive of any allowances for which the individual is eligible.  If the post is part-time, the salary should be quoted on a pro rata basis and should reflect the percentage of time expected to be spent on the grant.

Total cost on grant:  Total cost of the post, inclusive of any locally-recognised allowances, employer’s contributions and increments, over the period of the grant.Employer’s contributions should include any statutory obligations and contributions towards an institutional pension scheme where applicable.

Materials and Consumables: This includes all costs relating to materials and/or consumables necessary for the daily running of the project.

Travel costs: AESA will support travel by the lead applicant and any research staff employed on the grant to attend scientific meetings.  Please include travel costs of ~$800- $1,300 for 2-3 people (including the PI) for the H3Africa consortium meetings. In addition, support costs relating to travel and meetings between institutions involved in the network will be provided.  Where any costs for collaborative visits are requested, please detail travel and subsistence costs. The need for the visit and its duration, must be clearly justified and all air travel must be on economy class.

Communication: This includes all costs for internet access and journals (publication costs etc), and costs incurred in relation to community engagement activities.

  • Community Engagement:  AESA is committed to engaging with society about the research it supports.  We aim to foster mutual trust and understanding and place science within a societal, historical and cultural context. We expect those researchers who receive funding from AESA to help support an environment within which science can flourish by informing, consulting and collaborating with the non-academic public. Please ensure you provide a clear plan on how you will engage with the lay public in your work, beyond press and media activity. Any effective engagement activity should involve two-way aspects of listening and interaction.
  • Publication Costs: You can ask for costs for page charges and/or costs for colour prints for your original research papers. You can also ask for the costs of publishing other material which is essential to the project, such as:
  1. the proceedings of a workshop or conference we’ve funded
  2. questionnaires, recruitment material, newsletters etc for clinical, epidemiological and qualitative research studies
  3. the results of a clinical trial or epidemiological study
  4. community engagement materials where dissemination (including printing and publishing) is a key activity of the project.
  • Open Access: We will supplement your grant to meet the open access charges levied by publishers who support the open access model for all original, peer-reviewed, research publications that have been supported, in whole or in part, through this H3Africa call and are in compliance with the AAS open access policy.

Animals: This include costs for purchase, maintenance and any procedures associated with animal research.  Please contact us regarding the AAS policy on use of animals in research.

Fellowships: This include all expenses related to the students such as stipend, institution fees (where applicable), training etc

Training and workshops: This can include any costs involved in setting up training or workshops, including the cost of accessing training material.  Cost details for each course or training programme should be provided.

Equipment: The Institution’s Director of Procurement/Head of Purchasing (or equivalent) should be aware of all potential capital purchases. AESA expects that the grantees will adhere to the local institutions policies on procurement.  AESA may as necessary perform due diligence with regard to the availability of procurement guidelines and compliance of the same by the grantees.  AESA expects that all equipment must be entered into an institutional asset register and assigned an asset number which should be provided in the annual reports submitted to EASA.

  • It is expected that the equipment requested will be covered by the manufacturer’s warranty for the first year after it is purchased.  AESA will fund reasonable maintenance costs for the duration of the award after the initial period of warranty on all equipment where this is negotiated as part of the capital purchase cost.
  • Access charges should be calculated on a cost-recovery basis and can include (i) a maintenance or service contract providing a basic level of service; (ii) running costs; (iii) materials and consumables; and (iv) staff time.

Human Subjects Research: The AAS believes that research involving human participants is central to understanding the factors that underpin health and diseases, and is also important in evaluating the safety and effectiveness of biomedical and social interventions.  Accordingly, the AAS supports such research as a key part of its broad mission. In conducting research that involves human participants, the first priority for researchers should always be the protection of the rights, interests and safety of research participants.  Please read the full AAS policy on use of human subjects here:


Support Letter
If successful, the funds will be received and administered at the institution-wide level. The support letter should be clear on the institution's capabilities to manage with prudence and integrity the funds received.

Additional Guidelines:

  • Please be sure to include a clear plan on how you will engage the lay community in your work.
  • The grant may be used to contract out elements of the work where required, However the grantee is not permitted to make sub-grants.
  • The maximum term of the grant is four years from the date of agreement being signed. There is no minimum term.
  • Grantees must maintain transparent, adequate records to track and reconcile use of the funds provided and the results recorded from the research.
  • Grantees are expected to make reasonable attempts to publish research findings in quality peer-reviewed journals.
  • Applications must be for work programmes that are lawful in the country in which the work will be carried out.
  • Applications must not be submitted for research which would breach the intellectual property rights of other parties.
  • Non-allowable costs include costs for purchase or construction of a building, rental costs for space that is owned by the investigators’ institution, recruitment costs for staff.
  • The disbursement of funds will be according to the approved project budget and the disbursement schedules agreed to by AESA or GSK and the institution and will be set out in the Collaborative Research Agreement.
  • Where Ethical Approval is required, no funds will be disbursed until written proof of approval is provided.

Guidance on the contracting process for GSK

  • The outcome of the selection of GSK funded proposals will be final, binding and not open to appeal
  • Successful applicants must enter into a Collaborative Research Agreement with GSK before any funds are disbursed.

Depending on the intellectual contribution associated with the proposal, successful grantees will be expected to sign a collaboration agreement with GSK which will be based on the relevant Lambert Agreement (or similar), as described at http://www.ipo.gov.uk/Lambert , with the further intention that results of the collaboration are shared for the broader benefit of the research community.

  • Successful grantees will receive funds in Great British Pounds (GBPs)

Review Process:
When your completed form is received by AESA, it will be sent to expert reviewers carefully selected by the staff for peer review.  Highly scored applications will be shortlisted to proceed to the interview stage. Shortlisted applicants will be invited to attend an interview at the AAS/AESA offices in Nairobi, Kenya on 15th of September 2017.  We expect that the applicants will be notified of the outcome of the interviews by the 22nd of September 2017.  The outcome of the selection of funded proposals will be final, binding and not open to appeal.