RESEARCH FUNDING POLICY

 

A registered charity in England and Wales (number: 1178063)

 

Adopted by the Charity Trustees on January 2019

  1. About this policy

 

  • This policy applies to CF Warriors (“the Charity”), a charity registered in England and Wales (number 1178063.

 

  • The charitable objects of the Charity are:-

 

For the public benefit, the relief of sickness and the preservation of health among people with cystic fibrosis by:

  • providing goods and/or equipment that can be used to aid the fitness and health of people with cystic fibrosis and support and practical advice for carrying out appropriate forms of exercise;

 

  • providing funding for research into cystic fibrosis, in particular the treatment of cystic fibrosis and the effects of exercise on people with cystic fibrosis. (“the Objects”).

 

  • The Charity is governed by the charity trustees of the Charity (Charity Trustees) who have a duty, acting at all times in the best interests of the Charity, to apply the Charity’s assets to advance the Objects and have ultimate responsibility for all research funding decisions.

 

  • The purpose of this policy is to set out the principles and procedures that guide the Charity Trustees when they are awarding research funding to further the Objects. It also provides information about the Charity’s research funding process to anyone who is applying to the Charity, or would like to apply to the Charity, for funding.

 

  • In this policy references to persons who are “connected” with a Charity Trustee mean:

 

  • a child, stepchild, grandchild, parent, brothers or sister of a Charity Trustee;
  • the spouse, unmarried partner or civil partner of a Charity Trustee or of any person falling within paragraph (a) above;
  • any person who is in a business partnership with a Charity Trustee or any person who is in a business partnership with any person falling within paragraph (a) or (b) above; and
  • any company, business, trust or organisation in which a Charity Trustee (or any other person connected to them) has an interest as a beneficiary or through ownership, control or influence.

 

  1. Our funding priorities

 

  • The Charity Trustees are keen to support activities that advance the Objects in an effective way. However, they recognise that the Charity may have limited amount of funds to distribute at any given time. The Charity Trustees’ current funding priorities are:

 

  • We only fund world-class research.
  • We only fund research that falls within our charitable objects.
  • We only fund research that will have a meaningful impact for people with cystic fibrosis.
  • We only fund research the results of which are capable of being freely published and accessed by the general public to ensure the rapid sharing of knowledge for the benefit of people with cystic fibrosis.

 

  • The Charity Trustees will:

 

  • take reasonable steps to assess risks and carry out appropriate checks on all organisations seeking research funding to ensure that they are suitable for the Charity to work with;

 

  • write appropriate terms and conditions to ensure that the research funding can only be used in line with the charity’s objects, and ensure that the organisation understands and accepts them;

 

  • put appropriate monitoring and reporting arrangements in place to ensure that the Charity Trustees are kept suitably updated;

 

  • ensure that the funding does not give rise to more than incidental private benefit for the researcher;

 

  • consider the Charity Commission’s relevant guidance and seek independent professional advice on the terms and conditions of the research funding; and

 

  • ensure that the decision to award research funding is in the Charity’s best interests.

 

  • The Charity Trustees will occasionally award research funding that fall outside the priorities stated in this policy, provided that they are satisfied that the funding will further the Objects and is an appropriate use of the Charity’s funds.

 

  • The Charity Trustees will review the research funding priorities and principles set out in this policy annually.

 

  1. Who can apply for research funding

 

  • The Charity Trustees welcome proposals that support their funding priorities from [the CHERC based at the University of Exeter], although the Charity Trustees are particularly keen to support [organisations that concentrate their research on the benefits of sport and exercise to people with cystic fibrosis].

 

  • The Charity Trustees will usually only award funding to organisations based in the United Kingdom (UK) that either:

 

  • are registered as charities with the Charity Commission for England and Wales, the Office of the Scottish Charity Regulator and/or the Charity Commission for Northern Ireland; and/or

 

  • qualify as charities under the law of England and Wales, but are not required to register with the Charity Commission for England and Wales.

 

However, the Charity Trustees will also consider proposals from charities that are established outside the UK and non-charitable organisations that are established either in the UK or elsewhere.

 

  • The Charity Trustees will not usually award funding to an applicant that has:

 

  • previously submitted a proposal where the applicant failed the Charity Trustees’ due diligence checks and the issues identified at that time have not been addressed;and

 

  • [OTHER TYPES OF APPLICANT NOT SUPPORTED].

 

  1. What we will fund

 

  • The Charity Trustees usually make research funding awards of between £[AMOUNT] and £[AMOUNT].

 

  • All funding awarded by the Charity must be used to cover costs that are directly connected to carrying out the charitable activities that the Charity Trustees have agreed to fund (Funded Activities). Unless the applicant is able to demonstrate that the expenditure is essential for, and directly linked to, the Funded Activities, funding must not be used to fund any of the following types of expenditure:

 

 

  • salary costs;

 

  • capital expenditure (the applicant must also be able to demonstrate that any assets acquired using monies awarded by the Charity will be used for similar purposes after the end of the Funded Activities);
  • contributions to the cost of overheads

 

 

OR

 

[Research funding can be used either to cover costs that are directly connected to carrying out the charitable activities that the Charity Trustees have agreed to fund or to fund expenditure on the following ORThe Charity Trustees are particularly keen to award research funding that will fund the following types of expenditure]:

 

  • salary costs;

 

  • capital expenditure, [provided the applicant is able to demonstrate that the expenditure is essential to the charitable activities that the Charity Trustees have agreed to fund and that any assets acquired using research funding awarded by the Charity will be used for similar purposes after the end of the proposed activities];

 

  • contributions to the cost of overheads, [provided that the applicant is able to demonstrate that such overhead costs are essential for, and directly linked to, the charitable activities that the Charity Trustees have agreed to fund]; and

 

 

  • The Charity Trustees will award funding up to [[100] OR[OTHER PERCENTAGE]]% of the cost of a proposal. However, the Charity Trustees:
    • will consider funding part of the cost of a proposal where the total cost is shared with one or more other funders; and

 

  • encourage applicants to seek matched or additional sources of funding for their proposal.

 

  • If a funding award covers part of the cost of a proposal, the Charity Trustees may require the applicant to provide details of the other funder(s) and the funding that they have secured or applied for (including any loans or other commercial funding).

 

  1. How to apply for funding

 

  • All research funding proposals must be made in writing. Proposals must explain in detail how the funding will be used and put forward a strong case for support. In particular, a proposal must:

 

  • demonstrate how the activities funded will benefit the intended beneficiaries and advance one or more of the funding priorities;

 

  • set out how use of the funds will be managed;

 

  • give details of the key individual(s) who will be responsible for the management of the funding and delivering theproposed activities;

 

  • provide a budget for the proposed activities;

 

  • give details of any other funding that has been awarded or that is being sought for the activities to be funded by the Charity.

 

  1. If the applicant is a non-charitable organisation the proposal must also:

 

  • a complete, up-to-date copy of the organisation’s governing document;

 

  • if the organisation is a UK charity:
    • its registered charity number(s) as issued by the Charity Commission for England and Wales, the Office for the Scottish Charity Regulator and/or the Charity Commission for Northern Ireland; and/or
    • if it is a charity under the law of England and Wales that is not required to register with the Charity Commission for England and Wales (because it is either an exempt or excepted charity, or has income below the registration threshold), evidence of its charitable status (such as an HMRC reference number);

 

  • if the organisation is a charity established outside the UK, evidence:
    • of its charitable status. This might, for example, include evidence of registration with a non-UK charity regulator and/or written confirmation from an appropriately qualified professional that the organisation is established as a charity in the relevant jurisdiction; and
    • that all of the activities in the proposal will qualify as being charitable for the public benefit if they are undertaken by an organisation that is registered as a charity in England and Wales.

 

  • the organisation’s most recent set of accounts
  • provide evidence that the organisation has a bank account with at least two unrelated signatories; and

 

  • demonstrate that all of the activities in the proposal will qualify as being charitable for the public benefit if they are undertaken by an organisation that is registered as a charity in England and Wales.

 

  1. How we make decisions about research funding proposals

 

  • The Charity Trustees have ultimate responsibility for all funding decisions and for ensuring that all funds awarded are used to advance the Objects.

 

  • The Charity Trustees must declare the nature and extent of any interest, direct or indirect, which could, or could be seen to, prevent them from making a decision only in the best interests of the Charity. Situations in which a conflict of interest may arise include where:

 

  • a Charity Trustee (or a person connected to them) stands to benefit from funding by the Charity (see paragraph 7 (Research funding to Charity Trustees or connected persons); or

 

  • a Charity Trustee has a duty of loyalty to a third party that conflicts with their duty to the Charity.

 

Any such conflict of interest must be declared and managed by the Charity Trustees in accordance with the Charity’s conflicts of interest policy.

 

  • The Charity Trustees may delegate certain decision-making responsibilities. In particular:

 

  • the Charity Trustees may appoint a committee to review research funding proposals and make recommendations to them;

 

  • individual Charity Trustees and/or members of the Charity’s staff] may be asked to review research funding proposals and make recommendations to the Charity Trustees; and

 

  • before making a decision to award research funding, the Charity Trustees may ask anyone they consider has relevant expertise or experience to provide them with information and to join in their discussions, but not to take any part in the final decision.

 

  • In all cases where a recommendation is made to them to award research funding, the Charity Trustees may (in their absolute discretion) refuse to approve that recommendation, particularly if they consider that such funding would not be an effective way to further the Objects, or would conflict with the Charity’s policies or interests.

 

  • The Charity Trustees may take up to 90 days to consider research funding proposals and decide if they will award funding or not.
  • The Charity Trustees will inform applicants of their decision in writing.
  • If an applicant is awarded research funding, the Charity Trustees will:
    • set out the key terms of the research funding and any conditions that are attached to it in writing by way of an agreement or letter; and
    • ask the applicant to sign the agreement or letter to indicate that they accept the terms and conditions.
  • If the Charity Trustees decide not to award funding for a research proposal the Charity Trustees are not obliged to give the applicant reasons for their decision but may do so at their discretion as they consider appropriate.
  • The Charity Trustees’ decision whether to award funding is final.

 

  1. Research funding to charity trustees or connected persons
  • Clause 6(2)(a) of the Charity’s constitution authorises a Charity Trustee or any person connected to them to receive a benefit from the Charity as a beneficiary of the Charity, provided that a majority of the Charity Trustees do not benefit in this way.
  • If an application for research funding is made to the Charity by a Charity Trustee, or a person connected to them, the non-conflicted Charity Trustees may therefore consider awarding research funding in accordance with this policy.
  • If a Charity Trustee, or a person connected to them, applies for research funding the conflicted Charity Trustee must:
    • absent themselves from any discussion of the research funding application by the non-conflicted Charity Trustees; and
    • have no vote and not be counted as part of the quorum in any decision of the non-conflicted Charity Trustees on the funding.

 

  1. Due diligence
  • When the Charity Trustees are considering a research funding proposal, they will undertake due diligence checks on the applicant. The checks that are undertaken will vary according to the Charity Trustees’ assessment of any risks associated with the proposal or the applicant.
  • Due diligence may include requesting details of, and taking such steps as the Charity Trustees consider to be reasonable to scrutinise, any of the following:
    • the applicant’s governing documents;
    • if applicable, the applicant’s status as a charity, including (where it is required to do so) evidence that the applicant has been registered with a charity regulator;
    • the applicant’s latest accounts and financial position;
    • the identity of the applicant’s directors, trustees, executive committee or other key personnel, in particular, to seek to establish whether they are authorised to act in that capacity;
    • the applicant’s governance and operational structures and practices;
    • the applicant’s internal financial controls;
    • relevant operational policies and procedures that the applicant has in place, for example, in relation to safeguarding children and vulnerable adults, and on equality and diversity;
    • the applicant’s aims and values; and
    • any external risk factors that might affect the proposal.
  • In cases where the applicant will receive support from another funder, or works with a partner, the Charity Trustees may undertake due diligence on that funder or partner.
  • The Charity Trustees will keep a written record of any due diligence that they undertake.

 

  1. Reporting requirements and monitoring
  • The Charity Trustees will take steps to monitor the use of the research funding and verify that it is used for the purposes that have been agreed. The arrangements for monitoring will vary according to the nature of the funding, but the Charity Trustees will always seek to ensure that the arrangements are appropriate and proportionate.
  • Arrangements for monitoring use of the funding may include asking the recipient to provide any of the following:
    • copies of formal records such as receipts, invoices, bank statements and management accounts to show that funds have been used for the purpose for which they have been awarded and in accordance with the agreed terms;
    • regular written or verbal updates showing progress to date, summarising key achievements or problems encountered, indicating whether targets have been met and giving reasons for any delay in implementing work funded by the Charity;
    • a final written report on completion of the work funded by the Charity, showing how funds have been spent, evaluating where the work has been successful and identifying lessons that can be learnt; and
    • information about any proposed changes to the proposed activities.
  • If appropriate, the Charity Trustees may also visit funded activities and interview individuals involved in running those activities.
  • Basic monitoring requirements will be set out in the research funding agreement/letter. However, the Charity Trustees may take any additional steps to monitor the use of the funds that they consider appropriate.

 

  1. Clawback and repayment

The Charity Trustees may require repayment of all or any part of the funding if:

  • the project or purpose for which it was awarded does not proceed;
  • part of the funding remains unused when the activities that it was intended to fund have been completed; or
  • the funding is used for a purpose other than that which has been agreed.