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International Initiative for Research in Climate Change Adaptation and Mitigation between:

Social Sciences and Humanities Research Council (SSHRC)

And

German Research Foundation (DFG)
U.S. National Science Foundation (NSF)
The Research Council of Norway (RCN)
São Paulo Research Foundation (FAPESP)
Swiss National Science Foundation (SNSF)
UK Research and Innovation (UKRI)
The Wellcome Trust (UK)
National Research Foundation (NRF), South Africa

1. Background

This Memorandum of Understanding (MOU) among the funding bodies listed above (hereafter “Participants”) is for a coordinated partnership for an International Initiative for Research in Climate Change Adaptation and Mitigation (IIRCC). Nothing in this MOU is intended to create binding obligations under domestic or international law. This MOU is neither a fiscal nor a funds obligation document.

1.1 Purpose and objectives

The International Initiative for Research in Climate Change Adaptation and Mitigation will be offered through the existing New Frontiers in Research Fund (NFRF), administered by SSHRC on behalf of all three Canadian granting agencies. Established to promote interdisciplinary, international, high-risk/high-reward, transformative and rapid-response research, the NFRF has funded hundreds of researchers in Canada and their co-investigators from over 40 countries in the development of novel research projects that address the critical challenges of our time. The New Frontiers in Research Fund is unique in its aim of supporting projects proposing novel interdisciplinary approaches with the potential for real impact. With a total annual budget exceeding CAD$100M, NFRF has sought to promote these ends through three distinct funding streams. The IIRCC is intended to be delivered under the international stream with the goal of supporting interdisciplinary and trans-sectoral research on community-based, contextually appropriate responses to climate change.

The International Initiative for Research in Climate Change Adaptation and Mitigation call will support interdisciplinary and trans-sectoral research on community-based, contextually-appropriate mitigation and adaptation responses to at least two of the eight representative key risks of climate change, outlined in the Intergovernmental Panel on Climate Change’s (IPCC) Sixth Assessment Reports. Projects are intended to focus on the adaptation needs of vulnerable groups - those groups most impacted by the effects of climate change, owing to physical vulnerability (heightened exposure to events related to climate change and/or poor infrastructure), and socioeconomic vulnerability (limited resources to prepare or respond to the impacts of climate change, including but not limited to financial resources). All projects are to engage the affected community/(ies) in the co-creation, implementation, and ownership of the research, and to develop approaches related to policy implementation and knowledge mobilization. In this way, the call aims to strengthen the connections between research, governance, and communities, to ensure that funded research is both transformative and impactful. This approach ensures that the projects also develop strategies related to policy, communication, and community engagement, to encourage community acceptance, support and the behavioural changes required for implementation. The integration of team members from vulnerable groups is critical.

1.2 Definitions

• “Administering Agency” means the Social Sciences and Humanities Research Council (SSHRC), responsible for the management of the New Frontiers in Research Fund.
  
• “Competition Overview” means the document which describes the purpose of the IIRCC including target research areas.
  
• “IIRCC” means International Initiative for Research in Climate Change
  
• “Interdisciplinary Research” means research that:
  • Integrates information, data, techniques, tools, perspectives, concepts or theories from two or more disciplines or bodies of specialized knowledge.
  • Can be done by teams or by individuals.
  • Advances fundamental understanding or solves problems whose solutions are beyond the scope of a single discipline or area of research practice.

• “MOU” means this Memorandum of Understanding and its appendices.
  
• “NFRF” means the New Frontiers in Research Fund, responsible for the delivery of this initiative and managed by SSHRC.
  
• “SSHRC” means the Social Sciences and Humanities Research Council.
  
• “Vulnerable Groups” means those groups currently most impacted by the effects of climate change, owing to both physical vulnerability (heightened exposure to events related to climate change and/or poor infrastructure) and socioeconomic vulnerability (limited resources to prepare or respond to the impacts of climate change, including but not limited to knowledge, technology, or financial resources).

2. Details of the call

The Participants intend to work together to create a Competition Overview document that describes the IIRCC, including:

2.1 Target research areas

i. The call is anticipated to ensure that projects address at least two of the 8 representative key risks identified in the 6th IPCC report Impacts, Adaptation and Vulnerability.

ii. The call is expected to focus on vulnerable groups without specifically targeting any geographic regions.

2.2 Timeline

Date	Milestone
January 24, 2023	Competition launches Convergence Portal opens for Notices of intent (NOI)
February 2023	Information Webinars
May 2, 2023	Deadline to submit a required Notice of intent to apply (NOI)
May 7, 2023	Convergence Portal opens for full applications
September 12, 2023	Deadline to submit full application
February 2024	Notice of funding decisions
March 2024	Start date of awards

2.3 Funding model

i. This clause outlines the expected funding model of the IIRCC.

ii. The IIRCC is expected to consist of a single stream of grants with a duration of three years each with the possibility for time extensions.

iii. Each Participant sets their own limits for the amount of funding available to support successful projects. Due to the fact that different Participants have different policies on indirect costs and other matters, the maximum and the minimum award per project can vary. For example, the maximum award might be much higher for projects eligible for funding from a Participant that includes significant indirect costs within the grant, than for projects funded by different Participants.

2.4 Application and review process

i. The NFRF is to be responsible for the entire application and adjudication process, using their application portal (Convergence portal). Participants may contribute to the process by recommending potential reviewers, but the NFRF will be responsible for the delivery of the competition.

2.5 Other conditions

i. Each Participant is to follow their own rules/policies/terms and conditions governing the use of funds awarded to successful projects.

ii. Research teams awarded a grant are to follow the rules/policies/terms and conditions of the awards as set by each of the Participant providing funds, including but not limited to: use of funds, intellectual property, etc.

iii. The Participants intend to encourage scientists and scientific institutions receiving funds within this call to enter into agreements to ensure the effective protection and adequate distribution of intellectual property and the rights of use resulting from such funded projects.

3 Roles

The NFRF administered by SSHRC on behalf of Canada’s three federal research funding agencies, is to oversee the management of this initiative.

3.1 Governance and Management

Each Participant can appoint at least one representative to the Call Working Group. The Working group is chaired by NFRF (SSHRC). The Participants intend to arrive at decisions preferably by consensus. In the rare case if voting is needed, the principle is one Participant one vote. The Working Group is expected to have the following functions (NFRF is responsible for drafting all the call-related documents mentioned below):

i. Provide policy-level guidance on the overall execution of the Call.

ii. Approve a communications strategy for the Call and work to publicize it within their agencies and through their networks.

iii. Meet or participate in teleconferences or via e-mail to address questions as needed.

iv. Agree on the content of the application forms and instructions.

v. Agree on the funding decision, which will be arrived at according to the following:

The Participants intend to use a “consensus model” for funding decisions, whereby all relevant Participants agree to fund (as per their own rules and regulations) each project identified to be meritorious through the merit-review process before it is added to the funding list. As a general rule, the Participants intend to fund projects according to the outcome of the merit-review process, beginning with the most meritorious projects. The Participants intend to continue through the list until one Participant runs out of funds and there are no more high or medium priority applications that can be funded by the remaining Participants.

3.2 Administrative Costs

The Participants understand that:

i. All operations and management costs pertaining to the administration of the Call according to normal processes and procedures, such as the merit review process and announcements, will be borne by the NFRF program.

ii. Operations and management costs pertaining to the planning of the end-of-grant forum will be borne by the NFRF program. Costs for staff attending the end-of-grant forum is intended to be paid for by their respective Participant organization.

iii. The costs for any additional combined or joint activities, such as joint announcements, is intended to be shared by the Participants. These activities will be discussed prior to them taking place with the distribution of costs to be determined at that time. It is anticipated that costs are going to be shared proportional to the Participants’ financial commitment to the call.

3.3 Information

The Participants intend to conduct activities (manage records in their holdings pertaining to this competition) in accordance with their respective applicable laws, policies and regulations, including but not limited to those pertaining to access to information, privacy, security and information management and intend to ensure that applicants are informed of how their personal information is collected, used, disclosed, and disposed. Within this framework, the Participants intend to make every effort to promote favorable conditions for the fulfilment of this cooperation.

The Participants understand that:

i. As the Administering Agency for this initiative, SSHRC (NFRF) intends to share with Participants all information pertaining to applications and awarded grants that include researchers eligible to receive funding from them.

ii. SSHRC is subject to Canada’s Privacy Act and manages personal information in accordance with this legislation and applicable Treasury Board Policies and Directives. Although all Participants are not subject to Canada’s Privacy Act, they recognize that all personal information disclosed under the IIRCC is subject to the protections and provisions of the Privacy Act. All Participants intend to refer any requests for information to SSHRC and to cooperate, if necessary, on any Access to Information Act or Privacy Act requests received by SSHRC pertaining to this competition.

iii. SSHRC is subject to Canada’s Access to Information Act (ATIA) and manages personal information accordance with this legislation and applicable Treasury Board Policies and Directives. Although all Participants are not subject to Canada’s Access to Information Act, they recognize that all information contained in SSHRC records and held under SSHRC’s custody or control is subject to the ATIA. All Participants intend to refer any requests made under the ATIA to SSHRC and to cooperate, if necessary, on any ATIA request received by SSHRC pertaining to this competition.

iv. In the event of a privacy breach, SSHRC intends to be the lead. SSHRC intends to immediately inform and consult with the Participant(s) of the country(ies) of the breached material. The Participants intend to inform SSHRC of any privacy breaches, and if necessary, cooperate in the investigation and containment measures. Participants shall also endeavor to inform SSHRC immediately of any compulsory process or other legal mandate that may require them to produce or disclose personal or other confidential information covered by this MOU.

4. Differences in interpretation and application

The Participants intend to make reasonable efforts, in good faith, to resolve any differences arising from the interpretation and application of this MOU through informal discussions and the development of mutually satisfactory options. Ultimately, if necessary, the heads of the Participant’s organization or its designees might become involved to resolve a dispute.

5. Final dispositions

This MOU is intended to be valid retroactively from 1 December 2022, until 30 September 2028.

Other entities who are not Participants may become signatories to this MOU, upon the mutual written consent of the Participants.

Amendments to this MOU may be implemented only by the written mutual consent of all the Participants.

Each Participant may discontinue cooperation under this MOU by endeavoring to give six months’ written notice to the other Participants. The discontinuation of this MOU should not affect activities already approved by the Participants or in progress under the terms of this MOU.

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