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Grant Agreement

September 17, 2013



Dr. Leonid Lecca
Director
Socios en Salud Sucursal del Per
Av. Merino Reyna N 575
Carabayllo
Lima 41,
Peru

Dear Dr. Lecca,

Re: Grand Challenges Canada Grant Number 0351-03
Saving Brains: Community-based Family Coaching for Children with
Developmental Risks in Lima, Peru

Grand Challenges Canada is pleased to award Socios en Salud Sucursal del Per (the
Grantee) a grant up to the amount of $270,000 CAD for the period beginning September 30,
2013 (the Start Date) for 24 months (the "Grant Period"). This agreement (the "Grant
Agreement") contains the terms and conditions of this grant.

The Grantee agrees that the payment of any funds under the Grant Agreement is subject to its
compliance with the conditions set out herein, including those in Attachments A, B, C, D, E, F, G,
H, I, J and K, which form an integral part of this Grant Agreement.

A. Purpose of the Grant
The purpose of this grant is to support work that is called Community-based Family Coaching
for Children with Developmental Risks in Lima, Peru, as described in the Grantee's proposal
(the "Proposal") submitted in response to a Grand Challenges Canada Request for
Proposals, with a deadline of February 11, 2013, and a final negotiated budget dated
September 4, 2013 (the Budget), and Project Framework and Results-based Management
Accountability Framework (RMAF) dated September 3, 2013, (together, the "Project"). For
interpretive purposes, this Grant Agreement supersedes any attached documents.
B. Use of Grant Funds
Grant funds may only be used for the Project. Any grant funds unexpended or uncommitted
at the end of the Grant Period must be promptly returned to Grand Challenges Canada. Any
Budget category change of more than 10% and equivalent to $10,000 CAD or more must be


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approved in writing by Grand Challenges Canada in advance. The Grantee may not use the
grant funds to reimburse any expenses incurred prior to the Start Date and after the
conclusion of the Grant Period. In regards to travel, the use of grant funds must be
consistent with the Grand Challenges Canada Travel Policy (Attachment F), provided that, in
all instances, all Grantee airline travel must be through economy class or equivalent. If the
Grantee has its own travel policy, the Grantee will use the lower cost policy.
The Grantee hereby represents and warrants that the specific activities funded pursuant to
this Grant Agreement are not already funded by another Grand Challenges Canada grant or
funding agreement.
C. Investment of Grant Funds
Grant funds must be invested in highly liquid investments (such as interest-bearing bank
accounts) with the primary objective of preservation of principal, so that they are available for
the Project. Grand Challenges Canada requires the Grantee to report the amount of any
interest or other income generated by the grant funds, including currency conversion gains
(collectively "Interest"). Any Interest must be used for the Project. At the end of the Grant
Period, any remaining Interest must be applied to another Grand Challenges Canada-funded
project (current or under consideration), or returned to Grand Challenges Canada if no other
Grand Challenges Canada-funded projects exist with the Grantee's institution.
D. Compliance with Anti-Terrorism Principles
The Grantee acknowledges that Grand Challenges Canada is subject to and must comply
with Canadas Anti-Terrorism Act 2001, c.41 (hereinafter ATA), including the provisions of
the Criminal Code of Canada R.S.C. 1985, c. C-46 (hereinafter Code) brought into effect by
the ATA, namely Part II.1 of the Code (see http://laws.justice.gc.ca/en/C-46/index.html),
which Code provisions create offences related to the participation in, financing, facilitation
and carrying out of terrorism and support for entities affiliated with terrorism. Grand
Challenges Canada is committed to adhering to the provisions and principles of the ATA in
all work it undertakes and supports.
During and after the term of this Grant Agreement, with regard to the Project and all Property
provided by Grand Challenges Canada to the Grantee pursuant to this Grant Agreement, the
Grantee shall ensure that the Property is not used in any manner that would constitute a
breach of the ATA or the Code.
The Grantee further agrees to comply with any other instructions regarding compliance with
the terms and conditions of this Section, which Grand Challenges Canada may be required
to issue during the term of this Grant Agreement in response to changes to Canadian law.
For the purposes of this Section, the term Property includes real and personal property of
every description, and deeds and instruments relating to or evidencing the title or right to
property, or giving a right to recover or receive money or goods, and all funds transferred
from Grand Challenges Canada to the Grantee pursuant to this Grant Agreement by
whatever means of transfer.



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E. Anti-Corruption
The Grantee declares and guarantees that no offer, gift or payment, consideration or benefit
of any kind, which constitutes an illegal practice, has been or will be made to anyone by the
Grantee, either directly or indirectly, as an inducement or reward for the award or execution
of this Grant Agreement. Any such practice is grounds for terminating the Grant Agreement
or taking any other corrective action as required.
The Grantee shall declare in writing to Grand Challenges Canada if the Grantee, its officers,
employees or independent contractors included in the project:
were convicted during a period of three years prior to the signing of the Grant
Agreement by a court of law in Canada or in any other jurisdiction for an offence
involving bribery or corruption, or
are under sanction for an offence involving bribery or corruption, imposed by a
government, a governmental organization or an organization providing development
assistance.
The Grantee shall require its subcontractors to declare to the Grantee in writing if they or any
of their officers, employees or independent contractors involved in the project:
were convicted during a period of three years prior to the submission of the Project
proposal by a court of law in Canada or in any other jurisdiction for an offence
involving bribery or corruption, or
are under sanction for an offence involving bribery or corruption, imposed by a
government, a governmental organization or an organization providing development
assistance.
The Grantee shall make such declarations it receives from its subcontractors known to
Grand Challenges Canada by providing Grand Challenges Canada with a copy of such
declarations.
Grand Challenges Canada may terminate this Grant Agreement forthwith for default where it
is found that the Grantee has made a false declaration.
F. Compliance with National Laws
In carrying out this project, the Grantee shall, subject to its privileges and immunities, be
responsible for complying with all applicable laws and regulations of the countries in which
the Project will be carried out and to which Project personnel may have to travel as part of
the Project.
G. Indemnification
a) Assumption of Risk and Indemnification General
The Grantee shall indemnify and hold harmless Grand Challenges Canada, the
consortium members (Canada's International Development Research Centre and the
Canadian Institutes of Health Research) and the Government of Canada or their affiliates


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or the officers, employees, agents, independent contractors, subcontractors or licensees
of any of them (the Indemnified Parties), against, and assumes the risk of, any claims,
actions, losses, expenses (including legal fees and disbursements) and damages arising
out of or resulting from, or that are alleged to arise out of or result from, a breach of any
material term or representation or warranty of this Grant Agreement, or any other claim
by a third party arising out of or resulting from, or that are alleged to arise out of or result
from, Project activities or use of Project outputs conducted by the Grantee or its affiliates,
or their officers, employees, independent contractors, subcontractors and subgrantees,
agents, or licensees.
b) Assumption of Risk and Intellectual Property Indemnification
The Grantee assumes the risk of claims, actions, losses, expenses (including legal fees
and disbursements) and damages arising out of actual or alleged infringement of
intellectual property rights committed in the course of or in relation to the Project by the
Grantee or its affiliates or the officers, employees, independent contractors,
subcontractors, subgrantees, agents, or licensees of any of them, and shall indemnify
and hold the Indemnified Parties harmless against same.
c) Insurance
The Grantee will acquire and maintain reasonable insurance to cover its indemnification
obligations, as would be acquired and maintained by a reasonable and prudent
organization carrying on a similar line of activities in the relevant market.
H. Warranty
To the best of the knowledge of the Principal Investigator and his or her team, having not
performed a patent or other intellectual property search, neither the outputs of the Project nor
the use of the outputs of the Project by the Grantee is or will violate or infringe upon the
intellectual property of any third party.
To the best of the knowledge of the Principal Investigator and his or her team, neither the
outputs of the Project nor the use of the outputs of the Project by the Grantee is or will violate
the privacy rights of anyone, nor will they defame anyone.
I. Insolvency
At the discretion of Grand Challenges Canada, this Grant Agreement shall immediately
terminate without notice if the Grantee (i) ceases to operate, (ii) commits an act of bankruptcy
within the meaning of Canadas Bankruptcy and Insolvency Act, R.S. 1985, c.B-3, as
amended, or under any comparable legislation in any other jurisdiction, (iii) is deemed
insolvent within the meaning of Canadas Winding Up and Restructuring Act, R.S. 1985, c.
W-11, as amended, or under any comparable legislation in any other jurisdiction, (iv) makes
an assignment for the benefit of creditors or has a receiving order made against it, him or her
under applicable bankruptcy or insolvency legislation in any jurisdiction, or in respect of
whom a receiver, monitor, receiver-manager or the like is appointed, or (v) becomes insolvent
or makes an application to a court for relief under Canadas Companies Creditors
Arrangement Act, R.S. c. C-25, as amended, the Bankruptcy and Insolvency Act, the Winding
Up and Restructuring Act or under any comparable legislation in any other jurisdiction


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(collectively or severally referred to as Act of Insolvency). In the event Grand Challenges
Canada does not terminate this Grant Agreement as a result of an Act of Insolvency, it shall
be entitled, in its sole discretion, to suspend or modify its payment obligations under this
Grant Agreement.
In the event of termination arising out of an Act of Insolvency, the Grantees ownership rights
in any intellectual property and other Project outputs funded by Grand Challenges Canada
and developed in pursuit of the Project objectives shall be deemed to have automatically
transferred to Grand Challenges Canada on the date immediately preceding the actual Act of
Insolvency and will be subject to Grand Challenges Canadas Global Access Policy.
J. Sufficiency of Funds
Notwithstanding anything to the contrary contained in this Grant Agreement, Grand
Challenges Canadas obligations herein are subject to sufficient funds being made available
to Grand Challenges Canada by the International Development Research Centre (IDRC)
during the Grant Period. For purposes of clarity, third-party donor funds that are contributed
to Grand Challenges Canada in relation to the Project and which are to be provided by Grand
Challenges Canada to the Grantee would necessitate the negotiation of an amendment to
this Grant Agreement, or a separate agreement, as between Grand Challenges Canada and
the Grantee, in order to supplement the Grantee funds provided to the Grantee pursuant to
this Grant Agreement. It is understood that, on receipt of reliable information indicating that
sufficient funds may not be made available to Grand Challenges Canada in relation to the
Project, Grand Challenges Canada shall immediately notify the Grantee in writing. In any
such event, Grand Challenges Canada and the Grantee shall work together to develop a plan
for the orderly management of the Project in light of any financial shortfalls, including
ensuring that irrevocable commitments to third parties made in good faith before the date of
any written notice from Grand Challenges Canada to the Grantee are met.
K. Environmental Assessment
Under the Canadian Environmental Assessment Act ("CEAA"), aspects of this Project may be
required to undergo an environmental assessment before financial assistance is provided to
carry out such aspects of the Project by Grand Challenges Canada. A determination as to
whether an environmental assessment is required will be made by Grand Challenges
Canada. Should an environmental assessment be required, the Grantee shall conduct such
an assessment, upon direction from Grand Challenges Canada, and prepare a report in
accordance with the CEAA.
Grand Challenges Canada reserves the right to take any action necessary to ensure
compliance with the requirements of the CEAA or to ensure environmental protection more
generally, including but without being limited to the termination of the Grant Agreement or the
imposition of any mitigation or follow-up measures necessary to reduce, eliminate or control
any adverse environmental effects of the Project.
If an environmental assessment is required, Grand Challenges Canada shall determine
whether the Project is likely to cause significant adverse environmental effects on receipt of
the environmental assessment report provided by the Grantee, and any other information that
Grand Challenges Canada deems to be relevant. The Grantee shall not in any way


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implement or carry out the aspects of the Project covered by an environmental assessment
report until Grand Challenges Canada has provided its authorization to do so in writing.
L. Subgrants and Subcontracts
The Grantee has the exclusive right to select subgrantees and subcontractors for the Project,
with the exception of considerations related to Canada's Anti-Terrorism Act 2001 referenced
in Section D above. All subgrantees and subcontractors shall become a party to an
agreement with the Grantee that is substantially consistent with the Grantees obligations
under this Grant Agreement. The Grantee recognizes that the selection, removal or
replacement of a subgrantee, subcontractor, Co-Principal Investigator or Co-Investigator can
represent a significant change within the meaning of Section Q (Termination) below, and thus
can be sufficient grounds for termination or suspension of the grant or withholding of payment
by Grand Challenges Canada. Grand Challenges Canada has not earmarked the use of the
grant funds for any specific subgrantee or subcontractor. The Grantee, and not Grand
Challenges Canada, is responsible for ensuring that all subgrantees and subcontractors' use
of grant funds is consistent with this Grant Agreement and the Proposal. Neither the Grantee
nor subgrantees nor subcontractors may make any statement or otherwise imply to donors,
investors, media, the general public or any other party that Grand Challenges Canada directly
funds the activities of any subgrantee or subcontractor. At the discretion of the Grantee, an
individual or organization involved in this project may state publically:

______________________ is a _______________________ on the Project
Insert name of individual Insert name of role

Community-based Family Coaching for Children with Developmental Risks in Lima, Peru
funded by Grand Challenges Canada to the Grantee Socios en Salud Sucursal del Per.

Any agreements with subgrantees and subcontractors the Grantee engages to assist with the
Project must include the following language:
"Your organization has been selected to participate in this Project at our discretion. You may
not make any statement or otherwise imply to donors, investors, media, the general public or
any other party that you are a direct Grantee of Grand Challenges Canada. You may state
that Socios en Salud Sucursal del Per is a Grantee of Grand Challenges Canada and that
you are a subgrantee or subcontractor of Socios en Salud Sucursal del Per for the Project.
You are subject to the same grant clauses as the original grant to Socios en Salud Sucursal
del Per. This subgrant agreement is subordinate to the original grant to Socios en Salud
Sucursal del Per by Grand Challenges Canada. By signing this agreement, you admit notice
of the original grant to Socios en Salud Sucursal del Per by Grand Challenges Canada. To
the extent that this subgrant agreement conflicts in any way with the obligations of the
Grantee under the original grant agreement, the Grantee shall act in accordance with its
obligations under the original grant agreement and may modify the terms of the subgrant
agreement without the subgrantee's consent to ensure that they are consistent with the terms
of the Grant Agreement.
In addition, any agreements with the subgrantee or subcontractors may include the following
language with respect to Co-Investigators and Co-Principal Investigators:


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You may state:
______________________ is a _______________________ on the Project
Insert name of individual Insert name of role

Community-based Family Coaching for Children with Developmental Risks in Lima, Peru
funded by Grand Challenges Canada to the Grantee Socios en Salud Sucursal del Per.

M. Payments and Reports
Please refer to Attachment A for the Project Framework, Attachment B for the Results-based
Management Accountability Framework (RMAF) and Attachment E for the Schedule of
Reports and Payments. Where indicated, Grand Challenges Canadas payment is contingent
on satisfaction of the listed deliverable and/or milestone. Grand Challenges Canada may
authorize changes to the payment and reporting schedules from time to time, where
appropriate. Grand Challenges Canada will confirm any such changes in writing.
Grand Challenges Canada expects its grantees to be focused on results. The RMAF
approach to project management is designed to help outline the expected results of a project
and to allow the Grantee and Grand Challenges Canada to monitor progress in achieving
project results. Grantee will be required to complete and update the RMAF table semi-
annually, and upon request.
N. Report Templates

The Grantee is required to submit one or more reports regarding the expenditure of grant
funds and your progress on the Project. Please refer to Attachment D for the Reporting
Progress Guidelines. Grand Challenges Canadas progress report templates and submission
guidelines for this grant will be provided to the Grantee at an appropriate time.

These templates and guidelines are subject to change. Please submit reports electronically
to your Project Coordinator. Grand Challenges Canada will send the Grantee an email with
the contact information for these individuals. The Grantee also agrees to submit such other
reports that Grand Challenges Canada may reasonably request from time to time.
O. Record Maintenance and Inspection
Grand Challenges Canada requires that the Grantee maintain adequate records for the
Project, to enable Grand Challenges Canada to easily determine how the grant funds were
expended. These records are to be maintained for a minimum of two years after the
conclusion of the Grant Period. The Grantees books and records must be made available for
inspection by Grand Challenges Canada or its designee at reasonable times, to permit us to
monitor and conduct an evaluation of operations under this grant.
At the request of Grand Challenges Canada, the Grantee will permit representatives of Grand
Challenges Canada or its designees to visit the Grantees premises and any Project sites at
times convenient to the parties concerned, and will facilitate the discussion of the results and
progress of the Project between Grand Challenges Canada representatives and Project
personnel.



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P. Change of Principal Investigator
Grand Challenges Canada shall receive prior notice in writing of any proposed change in the
Principal Investigator for the Project. Grand Challenges Canada shall be consulted and
provided the opportunity to provide input on the selection of any new Principal Investigator for
the Project.
Q. Termination

Grand Challenges Canada has the right, at its discretion, to terminate or suspend the grant or
withhold payment if (i) Grand Challenges Canada is not reasonably satisfied with the
Grantee's progress on the Project, (ii) significant leadership or other changes occur that
Grand Challenges Canada believes may threaten the Project, (iii) Grand Challenges Canada
does not approve any change in the Principal Investigator of the Project (the applicant who
generated the idea that forms the basis of this Project), (iv) the Grantee or Grand Challenges
Canada receives a complaint, including a legal claim, that in the opinion of Grand Challenges
Canada raises a risk of liability, (v) the Grantee fails to comply with any term or condition of
this Grant Agreement, (vi) any of the representations or warranties of the Grantee set forth in
Attachment K is not true, correct and complete in all material respects, or (vii) activities
funded by this Grant Agreement are taking place in, or relate to, countries not on Grand
Challenges Canadas Country Eligibility List. On termination, if requested by Grand
Challenges Canada, the Grantee agrees to promptly return to Grand Challenges Canada any
unspent and uncommitted grant funds (as of the date of termination) previously distributed to
the Grantee by Grand Challenges Canada for the Project.

R. Publication
The Grantee agrees that it will make available to the public through open access channels
the results of the research emerging from the Project, or any reports or other publications
regarding the Project funded by this grant (collectively, the "Materials"), and anticipates that
the Materials will be published in a treatise, thesis, trade publication or in any other format
that is available for the interested public as soon as practical, consistent with the need to first
secure intellectual property rights in a manner that maximizes the benefits to developing
world interests.
1
Specifically, the Grantee is expected to use good faith efforts and work in a
collaborative fashion with its subcontractors and funders associated with the Project to
facilitate broad dissemination and accessibility of the Materials in the developing world.
S. Global Access, Ethics and Data
The Grantee acknowledges that it understands and commits to compliance with the Grand
Challenges Canada Ethics Policy, Grand Challenges Canada Global Access Policy and
Grand Challenges Canada Data Access Policy, which are integral parts of this Grant
Agreement and have been included as Attachments G, H and I.

1
For the purposes of this Grant Agreement, developing world will be defined as the countries listed as
low-, lower-middle- and upper-middle-income countries in the World Banks Income Classification Scheme
at the time of implementation or commercialization.


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The principles of the Global Access Policy are (1) making Project technologies and solutions
accessible, both in terms of price and availability, to those in need, particularly in the
developing world, (2) broadly and promptly disseminating knowledge and information gained
through the Project to the global scientific community and beyond, and (3) commercialization
of any Project outputs is encouraged but must be done in a manner consistent with the
principles of the Global Access Policy. The Grantees commitment to Global Access with
regard to Project technologies and information survives the Grant Period and will last
indefinitely.
The principles of the Grand Challenges Canada Ethics Policy are (1) research involving
human participants will be conducted in a manner that demonstrates, protects and preserves
respect for persons, concern for the welfare of individuals, families and communities, and
justice, (2) research involving animals must be conducted in a manner that ensures their
humane care and treatment, and (3) certain research endeavours, including but not limited to
research with recombinant DNA, biohazards and genetically modified organisms, may be
subject to enhanced regulation and oversight.
The principles of the Data Access Policy are (1) Data will be shared as broadly and as
promptly as possible to foster innovation and optimize prospects for the translation of
knowledge into life-saving solutions. Data access should enhance the value of research and
advance the objectives of Grand Challenges programs; (2) Respect for cultural diversity,
scientific integrity, and the privacy of individuals and communities that contribute data will be
ensured in all data access activities. Respect must also be given to matters of attribution as
they pertain to researchers and institutions that share data; (3) Those who collect, produce,
share and use data are responsible for ensuring data quality, security, and modes of access
and use that are consistent with applicable laws, regulations, and standards of ethical
research conduct as outlined in Grand Challenges Canada Ethics Policy; (4) A proportional
approach will be adopted when balancing the needs of investigators against those of
communities and sponsors that expect health benefits to arise from the activities to which
they contribute data or resources. The risks and benefits of data access will be considered
and accounted for when sharing data; and (5) The aim of benefitting the individuals and
communities who enable and support inquiry, be they research participants or investigators,
should be furthered to the extent possible and is of particular importance when involving
individuals and communities from developing countries. The sharing of data that can be
used to foster breakthrough solutions to global challenges is one way to ensure benefits are
returned.
T. Non-exclusive License

In furtherance of your commitment to the Global Access Policy, you hereby grant to Grand
Challenges Canada a non-exclusive license and an agreement not to assert, as set out in
Attachment J. You hereby acknowledge that the consideration for this license and agreement
not to assert is the monies forwarded, or to be forwarded, to you under this Grant Agreement,
the sufficiency of which is hereby acknowledged by you.

You will have the Principal Investigator, and all your employees, collaborators, contractors,
subcontractors, subgrantees, consultants, partners, investors and/or affiliates who will be
involved in this Project, review Attachment J and execute the undertaking therein.



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You also agree to assist Grand Challenges Canada in perfecting or confirming this non-
exclusive license, by executing any documents that may be required, including but not limited
to a confirmatory license, for filing with national regulatory authorities, such as intellectual
property offices. Should it be necessary, you agree to negotiate in good faith and execute a
detailed license agreement containing at least the terms set out at Attachment J.

U. Grant Announcements, Public Reports and Use of Grand Challenges Canadas Name
and Logo
Grand Challenges Canada will include information on this grant in its periodic public reports,
and may make grant information public at any time on its web page and as part of press
releases, public reports, speeches, newsletters and other public documents. In all of the
Grantees publications and presentations, the Grantee will acknowledge the support of Grand
Challenges Canada. If the Grantee wishes to use Grand Challenges Canadas logo in any
publications, presentations, materials, videos or any other public documents, the Grantee
must obtain and use an unaltered digital copy of the logo from the website
www.grandchallenges.ca/brandguidelines and comply with all terms and conditions set out on
that website. If the Grantee wishes to issue a press release or announcement regarding the
award of this grant, it must obtain advance approval from Grand Challenges Canada of the
press release and the date of release. Please note that Grand Challenges Canada will
ensure that all consortium members of the Development Innovation Fund will be
appropriately credited. The Grantee also agrees to obtain advance approval from Grand
Challenges Canada for any other use of Grand Challenges Canada's name or logo. The
Grantee agrees to contact info@grandchallenges.ca at least two weeks before any press
release, announcement or other publication date.
V. Representations and Warranties
Grand Challenges Canada is entering into this Grant Agreement in reliance upon your
representations and warranties set forth in Attachment K, which representations and
warranties shall be continuing beyond the term of this Grant Agreement except for those that,
by their terms, are limited to a specific date.
W. Counterparts: Original
This Grant Agreement, including any amendments, may be executed in counterparts which,
when taken together, will constitute one Grant Agreement. Copies of this Grant Agreement
will be equally binding as originals, and faxed or scanned and emailed counterpart signatures
will be sufficient to evidence execution, though Grand Challenges Canada may require the
Grantee to deliver original signed documents.
X. Assignment Clause
This Grant Agreement or any of the rights or obligations under this Grant Agreement may not
be assigned without Grand Challenges Canadas prior written consent. An assignment
includes (i) any transfer of the Project, (ii) an assignment by operation of law, including a
merger or consolidation, or (iii) the sale or transfer of all or substantially all of the Grantees
assets.



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Y. Entire Agreement, Severability and Amendment
This Grant Agreement is our entire agreement and supersedes any prior oral or written
agreements or communications between us regarding its subject matter. The provisions of
this Grant Agreement are severable so that if any provision is found to be invalid, illegal or
unenforceable, such finding shall not affect the validity, construction or enforceability of any
remaining provision. This Grant Agreement may be amended only by a mutual written
agreement of the parties.
Z. Governing Law
The construction, enforceability, validity and interpretation of this Grant Agreement shall be in
accordance with the laws of the Province of Ontario and the laws of Canada.
AA. Relationship
The Grantee undertakes the Project on its own behalf and not on behalf of Grand Challenges
Canada or any institutions providing Grand Challenges Canada with funding, and this Grant
Agreement and the funds flowing from it shall in no way be construed as creating the
relationship of principal and agent, of partnership in law, or of joint venture as between the
Grantee and Grand Challenges Canada or any institutions providing Grand Challenges
Canada with funding, including but not limited to Canada's International Development
Research Centre.
Neither Grand Challenges Canada nor any institutions providing Grand Challenges Canada
with funding assume any liability with respect to any accident to any person or any loss or
damage to any person or property arising from the Project.
BB. Survival
The terms of this Grant Agreement shall remain in full force and effect during any period in
which Grand Challenges Canada has suspended the grant or withheld any payment.
Following the termination of the grant, this Grant Agreement shall terminate and be of no
further force and effect, provided that the following sections shall survive and continue in full
force and effect indefinitely: Section G (Indemnification), Section O (Record Maintenance
and Inspection), with respect to record maintenance only, Section R (Publication), Section S
(Global Access, Ethics and Data), Section T(Non-exclusive License), Section U (Grant
Announcements, Public Reports and Use of Grand Challenges Name and Logo), Section V
(Representations and Warranties) and Section Z. (Governing Law).
CC. Special Clause Indirect Costs
The Grantee will provide an overview (no more than one page) by the first financial report on
how the indirect costs associated with this grant agreement will be used during the course of
the Project.



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This grant award offer is only valid 10 days from the date of this offer (September 17, 2013).
Therefore, the Grantee must sign and return this letter to Janne Dingemans, Project Coordinator,
Grand Challenges Canada, no later than September 27, 2013 to receive a Saving Brains grant
award. Please keep a copy for your records. If you have any questions, please contact Janne
Dingemans by email at janne.dingemans@grandchallenges.ca or by telephone at +1 (416) 673-
6558.
On behalf of Grand Challenges Canada, may we extend every good wish for the success of your
work.

Sincerely
GRAND CHALLENGES CANADA


By:______________________

By:___ ___________________
Karlee Silver
Director of Targeted Challenges
Grand Challenges Canada
Claude Briand
Director of Finance and
Administration
Grand Challenges Canada

Accepted and agreed to by:

Socios en Salud Sucursal del Per



______________________

Date:_________________
Leonid Lecca
Director
Socios en Salud Sucursal del Per


Acknowledged by:



__________________________ Date:__________________
Leonid Lecca
Principal Investigator




__________________________ Date:__________________
Llubitza Maribel Muoz Valle
Co-Principal Investigator




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Attachment A: Project Framework

Objectives Activities Critical milestones Estimated dates Estimated Cost
(CAD)
Objective 1: Development of a community-based
group intervention to coach caregivers of children
at risk for NDD and provide caregivers with
meaningful social support, encouragement and
social connectedness
Activity 1.1: Review group interventions aimed at child
development for the target age range.
Brief report on key features of evidence-based group interventions aimed at child
development compiled and presented to the Peru team.
Month 1-2 $1,779
Activity 1.2: Develop group community based early
intervention (GROUP-CBEI) model and supporting
implementation materials
Intervention model designed for (i) delivery by a CHW and peer facilitator as 12 weekly
sessions over 3 months to groups of 4-10 dyads, across a diverse spectrum in terms of
age and developmental status and (ii) retain core elements and sequential steps of the
SPARK approach to early intervention (eg, coaching parents on stimulation of their childs
development, and providing parents with social support and encouragement.)

Finished "tool kit" for community-based group early intervention, including training
manual, fidelity and monitoring protocol, CHW manual, & supplies for each
session. (Month 8)
Month 1-8 $11,520
Objective 2: Implement & evaluate proposed
interventions to three study arms.
Activity 2.1: Seek ethics approval from the National
Institute of Health in Peru
Proof of ethics approval from the National Institute of Health in Peru submitted to
Grand Challenges Canada (Month 4).
Month 4
Activity 2.2. Train field supervisor, study coordinator,
and data collector to deliver the EEDP, and EASQ as
well as HOME and GROUP CBEIs.
Field supervisor, study coordinator, and data collector competent to deliver the EEDP,
EASQ, HOME and GROUP CBEIs as measured by written exams, inter-rater agreement
between trainee and trainer, video review of intervention delivery simulations.
Month 1-3 & Month 9 $12,532
Activity 2.3. Train community health workers (CHWs) in
CBEI and EEDP through workshop-style training
sessions (2 days on EEDP, 4 days on HOME CBEI, 4
days on GROUP CBEI).
2 CHWs trained in HOME-CBEI (Month 4). Sufficient training indicated by fidelity
assessment protocol (trainers review a video-recorded mock CBEI session delivered to a
volunteer family using the fidelity assessment form)

2 CHWs trained in GROUP-CBEI (Month 9). Competency will be assessed as a team
with field supervisor following fidelity assessment protocol. Trainers will review a video-
recorded mock CBEI group session delivered to a volunteer group of families and
evaluate using the fidelity assessment form.

4 CHWs trained in EEDP and EASQ. Competency indicated by 100% agreement between
written assessments of the trainer and trainee.

Trainees who do not demonstrate competency receive additional coaching and feedback
and mock role-play until competency is established.
Month 4 & Month 9 $17,402
Activity 2.4: Enroll 60 children from health six health
centers/community botiquins/home visits in Carabayllo,
Peru for HOME-CBEI

60 children 6-24 months of age screened using the EEDP and enrolled into the study
according to eligibility criteria:
1) Age between 6 24 months of age; 2) EEDP assessment; 3) Known primary caregiver
(parent or legal guardian) living with child; 4) Living within the catchment area of the 6
Health Centers that comprise the study zone.

30 of the at-risk children and their primary caregivers are enrolled into HOME-CBEI
intervention arm based on health centre catchment area and according to
additional eligibility criteria (Month 6):
5) No known medical condition that would make the child unresponsive to early
intervention; 6) Family does not anticipate moving within the next three months.

Month 5-6 $31,505


Grant Number: #0351-03

14

Activity 2.5: Enroll 60 children from health six health
centers/community botiquins/home visits in Carabayllo,
Peru for GROUP-CBEI
60 children 6.24 months screened using the EEDP and enrolled into the study according
to eligibility criteria listed for Activity 2.4.

30 of the at-risk children and their primary caregivers are enrolled into GROUP-
CBEI intervention arm based on health centre catchment area and according to
additional eligibility criteria listed for Activity 2.4 (Month 11).
Month 10-11 $36,395
Activity 2.6: Deliver CBI and monthly nutritional support
to participants.
20 dyads received nutritional assistance (monthly food packet) alone for 3 months

20 dyads received HOME-CBEI

20 dyads received HOME-GROUP + nutritional assistance for 3 months
Month 5 - 14 $47,417
Activity 2.7: Collect and analyze data. Complete baseline data (demographics, anthropomorphic & health data, HOME, ASQ)
entered into database within 3 weeks of participant enrollment.

Tables and brief report produced.

Complete 3-month follow-up data (anthropomorphic & health data, HOME, ASQ) entered
into database within 3 weeks of last participant completing the study
Month 5- Month 14 $69,997
Objective 3: Obtain multi-sector support for
programmatic implementation of pilot strategy.
Activity 3.1: Meet with local stakeholders to introduce
pilot and obtain support for scale up.
Four meetings held to present the study plan and invite input from
1) Peruvian Ministry of Health leaders Jose Luis Sebastian Mesones, National
Coordinator Prevention and Control of STIs, HIV and AIDS Strategy, and Estela Roeder
Carbo, Director- Department of Communications, Ministry of Health, Peru;
2) leaders at the level of lima,
3) municipality leaders in Carabayllo Rafael Alvarez Espinoza, Mayor of Carabayllo;
4) Flix Rodriguez Crdenas, General Coordinator, Carabayllo Health Coordinator
(COSACA) and
5) CHWs.

Leaders at the level of Lima and/or Carabayllo support programmatic dissemination
(Month 12)
Month 1- 12 $9,501
Activity 3.2: Prepare for scale-up Revise and submit Theory of Change document to Grand Challenges Canada
(Month 6)
Month 6
Activity 3.3: Disseminate findings to international
colleagues.
Web-conference to discuss findings with Haitian and Rwandan health care providers,
leaders, and CHWs held.
Priorities and common strategies between international sites identified.

Four academic articles written: 1) performance of evaluation instruments in this cohort,
including EASQ and EEDP; 2) process evaluation of delivery of CBEI by CHWs; 3)
factors associated with NDD in Carabayllo (baseline); 4) final outcome results and
descriptions of populations that benefit most from which intervention.
Month 22-23 $6,953
Activitiy 3.4: Develop an implementation plan in Lima or
Carabayllo.
Draft implementation plan clearly defining resources, roles, and monitoring activities for
scale-up developed jointly by Socios En Salud and leaders of the city of Lima and/or
Carabayllo
Month 24 $4,999
Total Cost: 250,000
*Please note that the total cost does not include the amount ($20,000 CAD, including indirect costs) provided by Grand Challenges Canada for participation in our community meetings.


Grant Number: #0351-03

15
Attachment B: Results-based Management Accountability Framework (RMAF)


Description of
Outcome/ Output
Description of Indicator
PROJECT RESULTS - EXPECTED
Data Source
# / % Indicator
U
l
t
i
m
a
t
e

O
u
t
c
o
m
e
s

A. Lives saved
and improved in
low- and middle-
income countries
(LMICs)
Changes in percentage (x% to y%) of
people with improved health outcomes
32 Children with any developmental improvement in
intervention arm after 3 month intervention. (assuming
80% or 32 of the 40 children in the intervention arm
meet indicator).
To assess the impact of CBEI on NDD risk among 60 at-risk children, we will compare change in age-adjusted EASQ Z-score (i.e.
change from month 0 to month 3) among CBEI versus control groups (from Peru findings in Fernald et al). Areas of development to
be measured include the Core Metrics Areas of: general cognition, reception and expressive language, fine and gross motor skills,
and general socio-emotional development. Methodology: EASQ will be administered by CHWs during patient home visits. Source:
We will apply EASQ to 120 kids enrolled prospectively through 10 Carabayllo health centers and botiquines. Of those, 60 with delay in
at least one area will be enrolled in the observational study. Remaining 60 children will be tested using the EASQ and EEDP at
baseline and 3 months to understand correlation between instruments among non-delayed children. Measuring endpoints at 3 months
will assess for on-intervention effects. We will use "intention-to-treat" analyses. Sample size: Calculations for recruitment size were
based on 71% delayed as reported by Socios En Salud child development project in Carabayllo.) Note that Home and GROUP CBEIs
will be compared as a single group with the control group for these analyses.
# people with improved health outcomes
I
n
t
e
r
m
e
d
i
a
t
e

O
u
t
c
o
m
e
s

A. Changes in
access for
BENEFICIARIES to
products or
services
Change in percentage (x% to y%) of
BENEFICIARIES who have access to
products and / or services
36


34
Children who experience improved quality of
interaction with their parent. (assuming 90% or 36 of
40 children in intervention group meet indicator)

Increase in children exposed to cognitive stimulation
(assuming 85%, or 34 of 40 of children in intervention
group meet indicator)
Quality of parent-child interactions will be evaluated by videotaped home visits and reviewed using pre-selected criteria standardized
to Peru. A selection of total visits (20%) will be videotaped to measure quality of parent-child interactions. A member of the field team
will join the CHW to manage the video camera and ensure informed consent.
B. Changes
in knowledge,
attitudes or
behaviours of
BENEFICIARIES
Change in percentage (x% to y%) of
BENEFICIARIES with improved
knowledge, attitudes or behaviours



# of BENEFICIARIES with improved
knowledge, attitudes or behaviours

C. Changes
in knowledge,
attitudes or
behaviours of
INTERMEDIARIES/
PROVIDERS
Change in percentage (x% to y%) of
INTERMEDIARIES/PROVIDERS with
improved knowledge, attitudes or
behaviours
34 Parents with increase in HOME score, parent
responsivity and parent involvement (assuming 85%,
or 34 of 40 intervention recipients meet indicator).
HOME: The HOME global score will assess quality of parent-child interactions and home environment for early stimulation by
comparing 3 month mean scores to baseline scores in intervention vs. CBEI. This instrument is designed to measure the quality &
quantity of stimulation & support available to a child in home environment. Parent responsivity, parent involvement, and cognitive
stimulation are subscales in the HOME questionnaire at 3 months intake compared to baseline. Used in Latin-American cohorts,
including urban Peru. Takes 45-90 minutes to administer. HOME: Methodology: CHWs will administer HOME during home visits.
Power calculations: Power depends on standard deviation, but detecting statistically significant impact is not our primary objective.
Note that HOME and GROUP CBEIs will be compared as a single group with the control group for these analyses.


32 Caregivers with improved knowledge on child
development, parenting behaviour change, self-
efficacy and perceived social support (i.e., ranked at 4
questions as either very effective or effective)
(assuming 80%, or 32 of 40 intervention recipients
meet indicator)

Four Likert-response questions and two open-ended questions administered by CHW after each CBEI session to assess caregiver
knowledge on child development, parenting behavior change, self-efficacy and perceived social support. Surveys questions will be
entered into excel database and analyzed using variables - "very effective", "effective", "moderately effective", and "not effective".
D. Changes in
skills/training of
INTERMEDIARIES/
PROVIDERS

# of INTERMEDIARIES/PROVIDERS with
increased training or skills











E. Changes
in awareness of
INTERMEDIARIES/
PROVIDERS and
BENEFICIARIES
Change in percentage (x% to y%) of
people reached through awareness-
building outputs

# of people reached through awareness-
building outputs
F. Changes
in policy, legislation
and/or regulation
# of policies developed through the project
# of policies adopted as a result of the
project



Grant Number: #0351-03

16
O
u
t
p
u
t
s

A. Building
Tools and Capacity
to Execute
1. # of innovative prototypes and/or
service delivery models developed
1 Group CBE intervention model
2. # of curriculum changes recommended
3. # of policy recommendations developed 2
policy recommendations in the form of implementation
plans (if political leaders show interest): 1) Political
leaders in Lima; 2) municipality leaders in Carabayllo

4. # of patents filed (expected) / granted
(achieved)

5. # of public awareness outputs (videos,
news releases, radio shows, etc.)
2
1 interview on television news channel

1 web-conference will be held to present and discuss
findings with Haitian and Rwandan health care
providers, leaders,

6. # of analytical models developed
7. # of papers (expected ) / published
(achieved)
4
Papers drafted for publication on 1) performance of
evaluation instruments in this cohort, including EASQ
and EEDP; 2) process evaluation of delivery of CBEI
by CHWs; 3) factors associated with NDD in
Carabayllo (baseline); 4) final outcome results and
descriptions of populations that benefit most from
which intervention.

8. $ Funds leveraged $8,000



9. # of total members of project team 18
10. # of total members of project team in
LMIC
12


Grant Number: #0351-03

17
Attachment C: Budget
2





2
Please note that more detailed project budget information is contained in a separate Excel file, with a
document title of (20130904_Detailed_Budget_0351-03), sent in the same email with this final Grant
Agreement.
Budget category Year 1 Year 2 Total
Total Personnel (Direct FTE Costs) 126,711 126,711 253,422
Total Travel (Direct Travel Costs) 24,303 24,303 48,606
Total Consultants (Direct Consulting Costs) 41,685 41,685 83,370
Total Direct Supplies and Services (Direct Supplies) 17,085 18,630 35,715
Total Equipment (Direct Equipment) 0 0 0
Total Other Research (Direct Research) 66,855 20,161 87,016
Total Sub-grants and Subcontracts 74,114 75,249 149,364
Total Indirect project costs 44,813 39,149 83,962
Total Project in Local Currency 395,565 345,889 741,454
Total Project in CAD 144,045 125,955 270,000
Indirect Costs % (must be 13% or less) 12.8% 12.8% 12.8%


Grant Number: #0351-03

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Attachment D: Reporting Progress Guidelines

The overall purpose of progress reporting is to ensure that your project stays on track and that
Grand Challenges Canada can effectively assist you in identifying and resolving any
issues/barriers/gaps as they emerge.

Progress against Project milestones (Attachment A) and results achieved (Attachment B) will be
reported regularly to Grand Challenges Canada through video/teleconferences/in-person
meetings with your Program Officer(s), the submission of semi-annual progress reports, and a
final report. Grant expenditures against the Project budget (Attachment C) will be reported
regularly as per the Schedule of Reports and Payments (Attachment E). Payment of grant
installments is conditional upon satisfactory progress and reporting.

Below we summarize the elements of these reports; templates will be provided to assist you with
the submission of formal reports. Please note that Grantees are encouraged to reach out to their
Program Officer(s) proactively and as needed outside of defined reporting structures to discuss
any developing issues or opportunities.

PROGRESS AGAINST PROJECT MILESTONES

Quarterly Updates
When requested by either the Grantee or their Program Officer(s), Grantees will meet with their
Program Officer(s) on a quarterly basis via video/teleconference/in-person meetings to discuss
progress, challenges and gaps in project execution. No formal report or presentation is required,
although you may, at your discretion, submit a summary document in advance of the discussion.
Topics to be covered during the meeting shall include:
a. Progress against anticipated results, critical milestones and associated budget as
outlined in the Results-based Management Accountability Framework (RMAF) and
Project Framework, including explanation of any variances;
b. Major achievements/outcomes in this quarter (e.g. conference posters/presentations;
invited talks; publications; citations; participation in media/public events; patents; etc) and
anticipated achievements/outcomes for the upcoming quarter;
c. Key learnings over the past quarter;
d. Current thinking on Path to Scale/Theory of Change and any progress against initial plan.
Have partners/consultants (business, technical, social, as appropriate) been engaged to
promote advancement along Path to Scale/Theory of Change?
e. Re-examination and ranking of risks associated with the Project Framework and Path to
Scale/Theory of Change, and potential mitigation strategies, including action steps;
f. Any proposed changes/amendments to any aspect of the project;
g. Areas where Grand Challenges Canada can help.





Grant Number: #0351-03

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Semi-Annual Reporting
The Grantee is expected to submit a written progress report to Grand Challenges Canada every
six months. A report template will be provided for this purpose. The content of these reports will
be used by Grand Challenges Canada to assess progress, extract lessons and tailor community
meetings to effectively support the success of your project and that of the portfolio of projects.
The reporting template, which will be provided by Grand Challenges Canada, shall include the
following elements:
a. Progress and key accomplishments against:
Anticipated results
Critical milestones and associated budget;
Path to Scale / Theory of Change;
b. Description of project plan for the next 6 months and anticipated outcomes;
c. Re-examination and ranking of risks associated with the project, and potential mitigation
strategies, including action steps;
d. Areas where Grand Challenges Canada can help;
e. Input and considerations relevant to the community of innovators (key research findings,
input from solution end-users, lessons learned, developments in the field, etc.);
f. Questions/issues relevant to the community of innovators that should be addressed /
discussed.

Go/No-go Milestones
The Grantee is expected to submit sufficient evidence of successful completion of all Go/No-go
Milestones to Grand Challenges Canada. Payments linked to Go/No-go Milestones will not be
released until sufficient evidence to support their successful completion has been submitted.
Go/No-go Milestones are highlighted in bold in the Critical Milestones column within the Project
Framework (Attachment A). They are also referenced in the Schedule of Reports and Payments
(Attachment E), which outlines the deadlines for submission of evidence and the payment they
are associated with.


FINANCIAL REPORTING

Periodic Reporting
The Grantee will be provided with a financial reporting template to be completed and submitted
on a periodic basis as defined in the Schedule of Reports and Payments (Attachment E). The
reporting template, which will be sent to the Grantee, will include the following elements:
a. Budget for the reporting period, by category and line item;
b. Actual expenses for the reporting period, by category and line item;
c. Variance between budget expenses and actual expenses, and by category and line item;


Grant Number: #0351-03

20
d. Explanations for major variances (+/- 10%) by line item;
e. Forecasts for the subsequent reporting period;
f. Confirmation of payment(s) received, by date and amount

The analysis of the financial report will allow Grand Challenges Canada to assess how the
project funds have been used in relation to the progress reports against project milestones. The
analysis will also allow Grand Challenges Canada to estimate the subsequent payment to be
made to the Grantee.

FINAL REPORT
The Grantee will be provided with a reporting template detailing project achievements and
expenditure, to be completed and submitted within 30 days of project completion (details to
follow). Please note that 5% of project funding will be withheld pending submission of a
satisfactory Final Report.




Grant Number: #0351-03

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Attachment E: Schedule of Reports and Payments

This table outlines when financial reports, progress reports and a milestones proof of completion must be submitted. It also outlines when payments
will be issued and any associated specific conditions for payment. Note that all payments are conditional upon satisfactory financial report
and progress against project milestones.


Payment
No.
Report Period
End
Report/
payment
Due Date
Payment
Amount
Financial
Report
Progress
Report
Specific conditions for payment Go / no go
milestone?

1


5,613 CAD
(1)


2

September
30, 2013
113,000 CAD
3 March 31, 2014 April 30, 2014 57,000 CAD Yes Proof of ethics approval from
the National Institute of Health
in Peru submitted to Grand
Challenges Canada (Month 4)
2 CHWs trained in HOME-
CBEI (Month 4)
30 of the at-risk children and
their primary caregivers are
enrolled into HOME-CBEI
intervention arm based on
health centre catchment area
and according to additional
eligibility criteria (Month 6)
Revise and submit Theory of
Change document to Grand
Challenges Canada (Month 6)
Yes



Yes

Yes

Yes






Yes
4 September 30,
2014
October 31,
2014
Based on
analysis of
financial
Yes Yes Finished ""tool kit"" for
community-based group early
intervention, including training
Yes




Grant Number: #0351-03

22
report
(2)
manual, fidelity and monitoring
protocol, CHW manual, &
supplies for each session.
(Month 8)
2 CHWs trained in GROUP-
CBEI (Month 9)
30 of the at-risk children and their
primary caregivers are enrolled
into GROUP-CBEI intervention
arm based on health centre
catchment area and according to
additional eligibility criteria listed
for Activity 2.4 (Month 11).
Leaders at the level of Lima
and/or Carabayllo support
programmatic dissemination
(Month 12)




Yes
March 31, 2015 April 30, 2015 Yes
5 September 30,
2015
October 31,
2015
Up to 13,500
CAD Based on
analysis of final
financial
report
(3)

Yes Yes .

* Notwithstanding the proposed payment schedule set forth above, payments may be accelerated, delayed or withheld, and the amount of any payment may be changed, in each
case at the sole discretion of Grand Challenges Canada
** Financial report must be submitted within 30 days after the end of each reporting period

(1) Calgary meeting expenses (June 2013) paid by Grand Challenges Canada. The amount should be recorded as a payment received from Grand Challenges Canada and as
actual expenses under Travel category (GCC Community meetings)
(2) Payment amount will be determined based on analysis of the funds available at the end of the previous reporting period and the funds needed for the subsequent period
(3)Final payment amount will be determined based on analysis of the actual expenses incurred versus the approved budget


Grant Number: #0351-03

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Attachment F: Extract of Travel Policy
3


The following policy is based on the principles and guidelines of the respective travel policies of
the Treasury Board of Canada Secretariat, the International Development Research Centre and
Genome Canada.

The specific rates associated with the provisions in this policy will be outlined in the Grand
Challenges Canada Travel Expenses Claim Form and will be based on the rates provided by the
Treasury Board of Canada Secretariat.

1. INTRODUCTION
All individuals who travel on approved Grand Challenges Canada business are entitled to the
reimbursement of travel expenses as outlined in the travel policy. This travel policy reflects
Grand Challenges Canadas responsibility to have in place provisions and guidelines which are
reflective of accepted travel expenses reimbursement practices.

2. PURPOSE
The purpose of this travel policy is to facilitate travel in support of Grand Challenges Canadas
mission while maintaining effective controls and promoting accountability.

This is achieved by:
a) Ensuring employees, consultants and participants travel securely, comfortably in a cost-
effective manner;
b) Facilitating the travel process so that travellers can focus their efforts on core
responsibilities; and
c) Providing senior management and travellers with the proper guidelines and tools to
manage and control their business travel-related expenses.

3. APPLICATION, AUTHORIZATION AND APPROVAL OF TRAVEL
This travel policy applies to all individuals travelling on Grand Challenges Canada business,
including non-employees of Grand Challenges Canada and recipients of Grand Challenges
Canada funding.

All travel must be authorized prior to the travel being undertaken. Travel approval (verbal
approval is deemed acceptable) implies that consideration has been given as to the necessity of
the travel, and that travel arrangements accommodate both the travellers needs and Grand
Challenges Canadas operational requirements. Prior approval by the Chief Finance Officer
must be provided for deviations from the provisions stated in this policy.

Exceptions to the policies below maybe approved in special cases and with appropriate
documentation from the Chief Executive Officer (and in the case of the Chief Executive Officer,
the Chair of the Board).





3
Grand Challenges Canada also refers to this Travel Policy as the Expense Policy


Grant Number: #0351-03

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4. USE OF A DESIGNATED TRAVEL AGENCY
Travellers are permitted to make their own travel arrangements or use the services of Grand
Challenges Canadas designated travel agency which is authorized to handle travel reservations
under specific directives and guidelines.

5. MODE OF TRANSPORTATION
General allowances for private, non-commercial accommodation, meals and incidentals provided
for in this policy will be reviewed and confirmed April 1 of each year.

Travellers have the option of selecting a preferred mode of transportation as long as the choice
is based on cost, duration, safety, convenience, practicality, and represents good value to Grand
Challenges Canada. Travellers are encouraged to book as far in advance as is reasonable to
take advantage of travel discounts.

a. Air
The standard fare class for air travel is economy.

Personal Upgrades
Personal miles or coupons can be used to upgrade to business class, or a traveller may opt to
pay personally for the price difference between economy and business class.

Documentation of the fare differentials must be clear, specific, maintained by the employee, and
included with the receipts.

Air Mileage Programs
Frequent flyer upgrades are facilitated by the traveller. Any associated costs are at the travellers
expense. Managing the travellers air miles accounts is the responsibility of the traveller. Airline
miles earned while travelling on Grand Challenges Canada business are retained by the
traveller. Frequent flyer miles or benefits are not reimbursable by Grand Challenges Canada,
even if they are used on Grand Challenges Canada business.

Grand Challenges Canada travellers are ultimately accountable for the class of ticket issued.
They must be prepared to justify the purchase of non-refundable or otherwise restrictive low-fare
tickets when such tickets are later cancelled or changed, resulting in additional expenses.
Accordingly, due diligence is required so as to promote proper planning.

Exceptions to this policy and purchase of business class fares must be approved by the Chief
Finance Officer of Grand Challenges Canada.

b. Rail
First class rail travel is permitted with roomette or equivalent accommodation being provided for
overnight travel. For rail travel outside of Canada, the standard for rail travel would be the
equivalent to first class rail travel in Canada.

c. Ground
Travellers may rent cars to their destination. Travellers have the option of renting a car at their
destination when it is more cost-effective and convenient than other local ground transportation
modes such as taxis, limousine services and airport shuttles.


Grant Number: #0351-03

25

For travel outside of Canada, the kilometric rates and other general allowances including per
diems for meals and incidentals will be applied.

Private Car
Travellers may use their personal car for Grand Challenges Canada approved travel. It is the
travellers responsibility, as the owner of the vehicle being used for business, to carry adequate
insurance coverage for their protection and for the protection of any passengers.

Travellers will be reimbursed the kilometric rate posted on the Grand Challenges Canada Travel
Expense Reimbursement Form. This rate is reviewed and confirmed April 1 of each year.

Rental Car
The recommended standard for rental cars is up to a mid-size vehicle. Rental cars beyond the
recommended standard shall be authorized based upon factors such as, but not limited to,
safety, the needs of the traveller and the bulk or weight of goods transported. It is the travellers
responsibility to have adequate insurance coverage for their protection and for the protection of
any passengers. Collision and damage insurance for the car rental must be purchased at the
time of the rental if this coverage is not provided through a credit card. Reimbursement shall
include the cost of the car rental including gas charges and the insurance purchase.

Taxis
For local ground transportation, taxis, airport shuttles and limousine services are acceptable
modes of transportation. Reimbursement will be for actual expenses including gratuity. All
original receipts are required.

Parking
Parking charges shall be reimbursed where it is practical and economical to leave a private
vehicle at the public carrier's terminal during the period of absence.

6. RECEIPTS
In order to facilitate the processing of expense claims, Grand Challenges Canada travellers must
submit original receipts with their expense claim to justify allowable expenses in excess of $20
CDN. Where the traveller certifies that the receipt was lost, accidentally destroyed or
unobtainable, a personal declaration may replace the receipt.

7. TRAVEL ADVANCES
If requested, Grand Challenges Canada employees can be provided with a travel advance to
cover travel expenses where Grand Challenges Canada approved services and products are not
prepaid.

8. TRAVEL HEALTH REQUIREMENTS
Grand Challenges Canada bears the costs incurred in obtaining immunizations, prophylactic
medication, and medical consultations required for Grand Challenges Canada-related travel.






Grant Number: #0351-03

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9. MEDICAL TRAVEL INSURANCE AND PASSPORTS/VISAS
All Grand Challenges Canada approved travellers must be covered by medical travel insurance.
If not included in the Grand Challenges Canada employer group medical insurance, the cost of
medical travel insurance will be reimbursed by Grand Challenges Canada.

Grand Challenges Canada approved travellers will be reimbursed the costs incurred in obtaining
required passports, visas, and related photographs.

10. ACCOMMODATION
Grand Challenges Canada will reimburse expenses for accommodation. The standard for
accommodation is a single room, in a safe environment, conveniently located and comfortably
equipped. A variety of options for accommodation are available for travel. Generally these
include hotels, motels, corporate residences, apartments, private non-commercial
accommodation, and government and institutional accommodation.

Although travellers generally stay in commercial accommodation, private non-commercial
accommodation is encouraged. Cost effectiveness shall be determined by comparing the total
cost of accommodation and transportation in the private non-commercial accommodation with
available commercial or government and institutional accommodation and the associated
transportation costs. A traveller who chooses private non-commercial sleeping accommodation
will be reimbursed as per the rate posted on the Grand Challenges Canada Expense Claim form.
This rate is reviewed and confirmed April 1 of each year.

For periods of travel status of more than 30 consecutive calendar days at the same location,
accommodation at corporate residences, apartments, private non-commercial accommodation or
government and institutional accommodation is encouraged. Travellers who choose to stay in a
hotel after the 30
th
day when apartments or corporate residences are available in the area
surrounding the workplace shall be reimbursed up to the cost of the average apartment or
corporate residence available.

Grand Challenges Canada will often arrange accommodation for Grand Challenges Canada
approved activities in Toronto, with the basic room charge plus taxes being charged to a master
account. If an individual makes their own accommodation arrangements, hotel receipts
(originals) are required.

11. MEALS
For each calendar day, a traveller shall be reimbursed the applicable meal allowance for
breakfasts, lunches and dinners taken while on Grand Challenges Canada approved business.
Meal allowances shall be reimbursed as per the rates posted on the Grand Challenges Canada
Expense Claim form. These rates are reviewed and confirmed April 1 of each year

In the event that a meal is provided at no cost to the traveller, the corresponding per diem cannot
be claimed.

12. INCIDENTALS
An incidental expense allowance is an allowance to cover the costs of items that can be
attributed to a period in travel, but for which no other reimbursement or allowance is provided
under this directive, and which helps offset some of the expenses incurred as a result of having


Grant Number: #0351-03

27
to travel. The allowance is provided to cover the costs of items which can be attributed to a
period in travel, and includes but is not limited to such items as gratuities, business centre
expenses, bottled water, phone calls home, and shipping of some personal effects.

Business related calls, either local or long-distance, and internet connections are not included in
the incidental expense allowance and will be reimbursed with presentation of appropriate
invoices or receipts. Reasonable expenses for personal calls will be reimbursed with
presentation of appropriate invoices or receipts. An incidental expense allowance will be
reimbursed as per the rates posted on the Grand Challenges Canada Expense Claim form.
These rates are reviewed and confirmed April 1 of each year.

13. HOSPITALITY
Reasonable hospitality-type expenses may be incurred by Grand Challenges Canada employees
while conducting Grand Challenges Canada business. The actual amount plus gratuities may be
claimed. The submission of receipts should indicate the purpose of the expense, date, and
number/name of participants and will exclude alcohol.

14. PREPARATION AND SUBMISSION OF AN EXPENSE CLAIM
Grand Challenges Canadas travel expense claim form must be used for the submission of an
expense claim on Grand Challenges Canada approved travel. Travellers are encouraged to
submit their expenses claims as soon as possible after the end of the trip. All expenses must be
supported by original receipts if over $20 CDN, as applicable, except for meal expenses which
are reimbursed according to a per diem allowance.

Receipts should indicate the purpose of the expense, the date and the location. In instances
where there are a significant number of receipts, they should be affixed to a letter-sized page to
ensure that they are not lost. Where the nature or reason for the expense is not self-evident, a
description of the reason for the expense should be included on the receipt.

For Grand Challenges Canada personnel, all travel expense claims signed by their supervisor
denotes authorization for reimbursement of the expenses. The expense claims of the Chief
Executive Officer will be signed by the Chair of the Audit and Finance Committee or Chair of the
Board of Directors of Grand Challenges Canada. Non-employee travel expense claims will be
signed by a designated Grand Challenges Canada officer.





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Attachment G: Ethics Policy

It is the policy of Grand Challenges Canada that research involving human participants, research
with animals, and research subject to additional regulatory requirements must be conducted in
accordance with the highest internationally recognized ethical standards. The purpose of this
policy is to set out clear protocols for the ethical conduct of research funded by Grand
Challenges Canada. In order to receive funds from Grand Challenges Canada, initially and
throughout the course of a research project, researchers must affirm and document compliance
with the ethical principles and standards outlined below.

A. GUIDING PRINCIPLES

1. Research involving human participants must be conducted in a manner that demonstrates,
protects and preserves respect for persons, concern for the welfare of individuals, families
and communities, and justice.
4


2. Research involving animals must be conducted in a manner that ensures their humane care
and treatment.

3. Certain research endeavours, including but not limited to research with recombinant DNA,
biohazards, and genetically modified organisms, may be subject to enhanced regulation and
oversight.

B. RESEARCH INVOLVING HUMAN PARTICIPANTS

Research ethics guidelines and oversight mechanisms are intended to ensure that research
involving human participants is conducted in a manner that demonstrates, protects and
preserves respect for persons, concern for the welfare of individuals, families and communities,
and justice.

Ethical requirements for health research involving human participants in low and middle
income countries (LMIC)
5
:

1. If and when conducted or supported by researchers and/or sponsors based in
industrialized nations (e.g., Canada), research involving human participants in LMIC must
constitute a collaborative partnership between the researchers and/or sponsors in
industrialized nations and researchers and/or policy makers and communities in LMIC;

2. Prospective research participants must provide voluntary and informed consent to
participate;


4
Modified from the core principles articulated in the draft second edition of TCPS 2
(http://www.pre.ethics.gc.ca/eng/policy-politique/initiatives/tcps2-eptc2/chapter1-chapitre1/#toc01-1b)
5
Modified from Emanuel EJ, Wendler D, Grady C. (2000) What Makes Clinical Research Ethical? JAMA.
283(20): 2701-11; and, Emanuel EJ, Wendler D, Killen J, and Grady C. (2004) What Makes Clinical
Research in Developing Countries Ethical? The Benchmarks of Ethical Research. J Infect Dis. 189(5):
930-7.


Grant Number: #0351-03

29

3. The proposed research must be designed in a manner that demonstrates and preserves
respect for potential and enrolled participants;

4. Prospective research participants must be selected fairly, and no individual or group
should be disproportionately burdened by or excluded from participation without
justification;

5. Individuals involved in the conduct and/or support of research are obligated to avoid, if
possible, and disclose and appropriately address any financial or personal conflicts of
interest germane to the research project (please see Grand Challenges Canada Policy
on Conflict of Interest);

6. The proposed research must be scientifically valid, have potential social or scientific
value, and have a favourable ratio of potential benefits to risk of harm; and,

7. Research proposals must undergo independent review by an appropriately constituted
research ethics committee
6
.

Which Standards?
Grantees must follow local research ethics processes and conform to local research ethics
standards at the site where the research is being conducted. These local processes, where they
exist, must meet internationally recognized standards; however, all research should conform to
the Council for International Organizations of Medical Sciences (CIOMS) International Ethical
Guidelines for Biomedical Research Involving Human Subjects
7
(CIOMS Guidelines). To the
extent that research is not strictly biomedical in nature, but rather more broadly health related,
the principles of the CIOMS Guidelines should be adhered to, to the extent to which they can be
applied. In circumstances where GCC co-funds a grant with another funding organization, GCC
and the other funder will work together to align the research ethics requirements of both funders.

Research to be carried out at Canadian institutions, or outside of Canada by individuals under
the auspices of a Canadian institution
8
, must conform to Canadian Tri-Council Policy Statement:
Ethical Conduct for Research Involving Humans
9
(TCPS). GCC will conduct due diligence to
ensure the project is consistent with Canadian ethics guidelines.





6
Review should be performed by a committee at the site where the research is to be conducted and at the
investigators home institution(s) if different from the institution where the research will take place (see, for
example, TCPS 2 Chapter 1 Section C at http://www.pre.ethics.gc.ca/eng/policy-politique/initiatives/tcps2-
eptc2/chapter1-chapitre1/#toc01-1c); if no such committee is available at the research site, review may be
provided by an appropriately constituted external committee.
7
http://www.cioms.ch/publications/layout_guide2002.pdf) ; NOTE: a particular aim of the CIOMS
Guidelines is to reflect the conditions and the needs of low-resource countries, and the implications for
multinational or transnational research in which they may be partners.
8
http://www.pre.ethics.gc.ca/eng/policy-politique/initiatives/tcps2-eptc2/chapter1-chapitre1/
9
TCPS 2 (http://www.pre.ethics.gc.ca/pdf/eng/tcps2/TCPS_2_FINAL_Web.pdf)


Grant Number: #0351-03

30
Documentation
Grantees must provide Grand Challenges Canada with documentation of approval obtained from
an appropriately constituted research ethics review committee
10
before any human participants
are enrolled to participate and/or human materials requiring oversight are utilized in the research
project. Documentation of ongoing approval must be provided to Grand Challenges Canada in
semi-annual and/or annual project reports.

C. RESEARCH WITH ANIMALS

Grantees using animals
11
in their research must follow local processes and conform to local
standards for the humane care and treatment of animals at the site where the research is being
conducted. These processes must meet internationally recognized standards. In the absence of
a relevant national standard, research should, at minimum, conform to the CIOMS International
Guiding Principles for Biomedical Research Involving Animals
12
.

Grantees at Canadian institutions including Canadian researchers conducting research outside
of Canada must, at a minimum, conform to the policies
13
and guidelines
14
of the Canadian
Council on Animal Care (CCAC). Multi-institutional animal research involving Canadian
researchers must conform to the CCAC guidelines for Animal-Based Projects Involving Two or
More Institutions
15
.

Documentation
Grantees must provide Grand Challenges Canada with documentation of approval from the
relevant institutional animal care committee
16
at the time of grant award or before animal
research can be initiated. Documentation of ongoing review and approval must be provided to
Grand Challenges Canada in semi-annual and/or annual project reports.







10
i.e., a Research Ethics Board (REB) in Canada or an Institutional Review Board (IRB), Research Ethics
Committee (REC) or independent ethics committee (IEC) outside of Canada, that meets the
aforementioned minimum standard.
11
Defined as any live, vertebrate animal used or intended for use in research, research training,
experimentation, biological testing or for related purposes.
12
http://www.cioms.ch/publications/guidelines/1985_texts_of_guidelines.htm; NOTE: International
guidelines for the use of animals in research developed by the World Organization for Animal Health are
expected to come into effect in 2010; once in force, these will supersede the CIOMS Guidelines as the
minimum acceptable standard.
13
http://www.ccac.ca/en/CCAC_Programs/Guidelines_Policies/POLICIES/policy.htm
14
http://www.ccac.ca/en/CCAC_Programs/Guidelines_Policies/GDLINES/Guidelis.htm and, in particular,
http://www.ccac.ca/en_/standards/policies/policy-ethics_animal_investigation.
15
http://www.ccac.ca/en/CCAC_Programs/Guidelines_Policies/GDLINES/ProjectsInvolvingTwoorMoreInstit
utions.htm
16
Institutional Animal Care Committee (ACC) in Canada or Institutional Animal Care and Use Committee
(IACUC) or equivalent abroad


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D. RESEARCH SUBJECT TO ADDITIONAL REGULATORY REQUIREMENTS

Certain research endeavours may be subject to enhanced regulation and oversight. Examples
include, but are not limited to, research involving recombinant DNA, biohazards
17
, human
pluripotent stem cells, or the release of genetically modified insect vectors, genetically altered
plants, or other genetically modified organisms into the environment. All such research must be
conducted in accordance with relevant national and/or international guidelines and may be
subject to enhanced oversight by relevant institutional, regional or national regulatory bodies.

Research conducted by grantees at or affiliated with Canadian institutions must be in compliance
with the Human Pathogens and Toxins Act
18
and/or the Canadian Institutes of Health Research
(CIHR) Guidelines for Human Pluripotent Stem Cell Research
19
. Grantees at non-Canadian
institutions must be in compliance with recognized international standards for research identified
as posing biosafety and/or biosecurity risks
20
in addition to institutional and/or jurisdictional laws,
regulations and/or guidelines applicable at the site where the research is being conducted.

Research involving the import or export of genetically modified organisms must be conducted
pursuant to the Cartagena Protocol to the United Nations Convention on Biological Diversity
21
, in
addition to any local standards at the site of the research.

Documentation
Grantees must inform Grand Challenges Canada of the relevant standard(s) with which they will
comply and their justification for choosing those standards. Furthermore, grantees must provide
Grand Challenges Canada with documentation of approval from any and all relevant oversight
bodies
22
before research can be initiated; documentation of any required ongoing review and
approval must be provided to Grand Challenges Canada in semi-annual and/or annual project
reports.


17
i.e., biological agents and toxins that have the potential to pose a severe threat to public, animal or plant
health, or to animal or plant products (e.g., select agents as designated by the US government:
http://www.selectagents.gov/)
18
An Act To Promote Safety And Security With Respect To Human Pathogens And Toxins, the purpose of
which is to establish a safety and security regime to protect the health and safety of the public against the
risks posed by human pathogens and toxins; available at:
http://www2.parl.gc.ca/HousePublications/Publication.aspx?Docid=3865169&file=4
19
http://www.cihr-irsc.gc.ca/e/34460.html; Note: these guidelines will be incorporated by reference into the
second edition of TCPS; once that edition is in force, the specific reference herein to these guidelines will
become redundant, as Canadian grantees already will be required under this policy to follow TCPS.
20
For example: the Human Pathogens and Toxins Act (Canada), the National Institutes of Health (NIH)
Guidelines for Research Involving Recombinant DNA Molecules (US;
http://oba.od.nih.gov/rdna/nih_guidelines_oba.html), World Health Organization (WHO) biosafety
guidelines (http://whqlibdoc.who.int/publications/2004/9241546506_partI.pdf).
21
http://www.cbd.int/biosafety/articles.shtml?a=cpb-01
22
Research involving biohazards must be reviewed and approved by an Institutional Biosafety Officer
(BSO) or Institutional Biosafety Committee (IBC), or relevant local equivalent, operating in accordance with
relevant national or international standards (e.g., in Canada, BSOs and IBCs must function in accordance
with the Public Health Agency of Canadas Laboratory Biosafety Guidelines (http://www.phac-
aspc.gc.ca/ols-bsl/lbg-ldmbl/index-eng.php))


Grant Number: #0351-03

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Attachment H: Global Access Policy

In the 2008 Federal Budget, the Government of Canada announced the creation of the
Development Innovation Fund (DIF) to support the best minds in the world as they search for
breakthroughs in global health and other areas that have the potential to bring about enduring
changes in the lives of the millions of people in poor countries. The DIF provides a total
investment of $225 million over five years, subject to appropriation by Parliament.

The initial activities of the DIF, to be supported by the Government of Canada through the
International Development Research Centre, would be in global health. The DIF would be
delivered by Grand Challenges Canada working within a consortium that includes the
International Development Research Centre and the Canadian Institutes of Health Research.

Grand Challenges Canadas mission is to identify global grand challenges, fund a global
community of researchers and related institutions on a competitive basis to address them, and
support the implementation / commercialization of the solutions that emerge.

GUIDING PRINCIPLES OF GLOBAL ACCESS

Grand Challenges Canadas Global Access Policy in relation to the DIF is grounded in the
following three principles:

1. Breakthrough solutions to global challenges are made accessible to those in need,
particularly in the developing world. Accessibility relates to both price and availability.

2. Knowledge gained through discovery is broadly, and as promptly as possible, distributed
between related projects and to the global scientific community.

3. Commercialization of resulting outputs is encouraged, as long as the first two principles
are achieved.

REQUIREMENT TO ENTER INTO AGREEMENT(S) TO FULFILL GLOBAL ACCESS

Grantees will be required to enter into some form of global access agreement with Grand
Challenges Canada at a specified milestone date, or as part of the grant agreement. Such an
agreement may be in the form of: a) a non-exclusive license agreement for the use of intellectual
property and other outputs related to the grant; b) a general commitment to global access;
and/or, c) a separate global access agreement that will detail how knowledge will be
disseminated broadly, how intellectual property and other know-how will be protected in
furtherance of global access, and how commercialization will be achieved in accordance with
global access, among other things.

Global access agreements with Grand Challenges Canada, in line with the Guiding Principles
above and the guidelines below will be a condition of receiving funding.






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33
OBJECTIVES OF THE AGREEMENT(S) TO FULFILL GLOBAL ACCESS

The following list of elements outlines important aspects of the agreement(s) with Grand
Challenges Canada to fulfill global access. The goal is that a mutually acceptable document (or
documents) will be developed jointly to take into account the needs and objectives of all
organizations involved.

1. Broad dissemination of knowledge. All research-related outputs, results, publications
and reports should be disseminated as broadly as possible to the scientific community.
23

Grand Challenges Canada requires open access publication. Mechanisms to facilitate
this objective could include digital libraries, including, where appropriate, via the
International Development Research Centres open access Digital Library platform. In the
case of software, dissemination should be on the basis of open source software
principles. However, disclosure, both written and oral, may be withheld for a period of
time sufficient to permit patent applications to be filed.

2. A collaborative process is required. Grantees will work with Grand Challenges
Canada on an ongoing and continuous basis to ensure that the grantees are able to
achieve their objectives in line with the Guiding Principles and these guidelines
throughout the life of the funding process, and in perpetuity in relation to any products or
outputs from the funding. Grand Challenges Canada may require sharing of intellectual
property among a collection of related projects.

3. The development and protection of intellectual property is encouraged when
appropriate. Grantees should consider including costs in their Global Access Agreement
associated with seeking and maintaining patents in relevant countries in the project
budget. Procuring and maintaining the intellectual property should be done in accordance
with the Guiding Principles, and should be generally outlined in the Global Access
Agreement.

4. Commercialization that promotes affordable and widespread access. Grantees will
be encouraged to commercialize any products or services resulting from the generation
of intellectual property in a manner that ensures widespread and affordable access.
Grantees may achieve such goals by way of partnerships, license agreements, or other
arrangements with for-profit or not-for-profit entities, so long as the underlying objective of
access is achieved for those in need in developing countries, and where possible, for
vulnerable communities in Canada.

5. Control over intellectual property shall rest with the grantee, or the grantees
chosen collaborators. Generally, ownership and control of the intellectual property shall
remain with the grantee, or other collaborating organizations or institutions as agreed with
the grantee, subject to any applicable local policies and the collaborative process
described above, including arrangements between the grantee and other individuals or
institutions. The general approach is that the grantee will be able to retain ownership and
control over intellectual property and Grand Challenges Canada will not own such rights,
so long as global access is being achieved. However, Grand Challenges Canada will

23
This objective should be read in conjunction with Grand Challenges Canadas Research Ethics Policy.


Grant Number: #0351-03

34
often require access to intellectual property and other outputs and know how arising from
the grant to ensure that the Guiding Principles will be achieved. This may be achieved by
way of a non-exclusive license agreement.

6. Revenues remain with the grantee, or the grantees chosen collaborators.
Generally, revenues generated from the sale of products and services resulting from
inventions or other outputs may remain with the grantee, subject to any applicable local
policies and the collaborative process described above, including arrangements between
the grantee and other individuals or institutions.

7. Grand Challenges Canada will conduct appropriate due diligence. Grand
Challenges Canada will conduct due diligence to determine the viability of the project and
to ensure that the project conforms to the Guiding Principles and these guidelines. This
will often be conducted with reliance on and in conjunction with the grantee. Due
diligence will include inquiries into important background technologies and how they will
be accessed, the management structure of the project, including how intellectual property
will be managed and protected, what collaborations may be involved, and how these
collaborations will be managed.






Grant Number: #0351-03

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Attachment I: Data Access Policy

Grand Challenges Canada is committed to optimizing the use of data to translate knowledge into
life-saving solutions. To fulfill this objective, data must be made widely and rapidly available to
the Grand Challenges Canada research community and the broader global health community
through ethical and efficient data access practices.
24


GOAL OF DATA ACCESS

The goal of data access is to promote:

Innovation, by encouraging diversity of analysis and opinion; facilitating evaluation of
alternative hypotheses, meta-analysis, and synthesis of results from individual projects
into a larger whole; and permitting the coordinated application of scientific, social, and
business knowledge to generate solutions to complex challenges.

Collaboration, between related projects and Grand Challenges programs, researchers
and institutions, and among diverse disciplines to foster greater productivity and
creativity.

Efficiency, by preventing unnecessary duplication of effort, and enabling secondary
analyses and enhancement of existing data, permitting the redirection of resources to the
most promising endeavours to maximize the impact of investments.

Accountability, by encouraging independent verification and analysis, thereby improving
data quality and outputs.

Capacity Strengthening, by facilitating the education of new researchers, and enabling
broader access to data for secondary analysis and stimulation of bold and innovative
ideas, which is of particular importance to researchers in developing countries.

GUIDING PRINCIPLES OF DATA ACCESS

Data access will be facilitated in accordance with the following principles:

Promotion of the Common Good
Data will be shared as broadly and as promptly as possible to foster innovation and optimize
prospects for the translation of knowledge into life-saving solutions. Data access should
enhance the value of research and advance the objectives of Grand Challenges programs.



24
Data access represents an elaboration of the second guiding principle of the Global Access Policy which
states that knowledge gained through discovery is broadly, and as promptly as possible, distributed
between related projects and to the global scientific community. Grand Challenges Canada Global Access
Policy: http://www.grandchallenges.ca/wp-content/uploads/globalaccesspolicy_2012Apr04_EN.pdf



Grant Number: #0351-03

36

Respect
Respect for cultural diversity, scientific integrity, and the privacy of individuals and communities
that contribute data will be ensured in all data access activities. Respect must also be given to
matters of attribution as they pertain to researchers and institutions that share data.

Stewardship
Those who collect, produce, share and use data are responsible for ensuring data quality,
security, and modes of access and use that are consistent with applicable laws, regulations, and
standards of ethical research conduct as outlined in Grand Challenges Canada Ethics Policy.
25


Proportionality
A proportional approach will be adopted when balancing the needs of investigators against those
of communities and sponsors that expect health benefits to arise from the activities to which they
contribute data or resources. The risks and benefits of data access will be considered and
accounted for when sharing data.

Reciprocity
The aim of benefitting the individuals and communities who enable and support inquiry, be they
research participants or investigators, should be furthered to the extent possible and is of
particular importance when involving individuals and communities from developing countries.
The sharing of data that can be used to foster breakthrough solutions to global challenges is one
way to ensure benefits are returned.

REQUIREMENTS
The requirement of data access applies to data collected and generated from research
sponsored in whole or in part by Grand Challenges Canada. Data refers at minimum to final,
annotated quantitative and qualitative datasets and accompanying information such as
metadata, codebooks, data dictionaries, questionnaires and protocols.
26


All grantees are subject to the terms of this policy; however, those in receipt of $500,000 or more
will be required, as a condition of the award, and in fulfillment of the Global Access agreement,
to develop and submit a Data Access Plan (DAP) that specifies how data access will be
implemented and the timeframe for data release. Where deemed appropriate, grantees in receipt
of awards less than $500,000 may also be required to develop a DAP
27
. At its sole discretion,
Grand Challenges Canada may require that grantees enter into a specific Data Access
Agreement that is consistent with this policy and the principles and objectives of Global Access.
In developing the DAP, grantees should ensure that relevant aspects of their grant proposal are
conducive to data access, i.e. permissions to share data are included in informed consent
documents, and in collaboration and consortia agreements. The financial costs related to

25
http://www.grandchallenges.ca/wp-content/uploads/ethicspolicy_2012Jul18_EN.pdf
26
Exclusions: laboratory notebooks, partial datasets, preliminary analyses, communication with
colleagues, drafts of scientific papers, unpublished research protocols, future research plans, and physical
objects such as laboratory specimens. Note, in certain cases some of these items may be applicable
under the Global Access Policy.
27
As directed by the Program Officer.


Grant Number: #0351-03

37
making data accessible may be included in the proposed budget and will be subject to review
and approval.

Data should be deposited into public access repositories whenever possible. When relevant
public access repositories are not available for a given dataset, grantees should propose
alternatives for access, with consideration given to ease of discovery of the dataset and
sustainability of long-term access. Grantees are encouraged to consult Databib
(http://databib.org) and similar catalogues to identify suitable repositories for the placement of
data.

Grand Challenges Canada recognizes the value of intellectual property and commercialization
and the benefits of first and continuing use of data, but not prolonged or exclusive use. In some
cases, intellectual property protection, laws, or regulations may delay or preclude access to data.
In such cases, the grantee will provide justification to warrant a partial or complete waiver of the
data access requirement.
28
For additional guidance on fulfilling the requirements of data access,
grantees should refer to the program specific FAQ and consult with their Program Officer.


28
For example, trade secrets developed in the course of grant-funded activities would qualify for
exemption from early disclosure requirements.


Grant Number: #0351-03

38
Attachment J: Non-Exclusive License Granted in Furtherance of
Global Access

Whereas Socios en Salud Sucursal del Per [Grantee] is the recipient of a Saving Brains
Scaling Impact grant (the Grand Challenges Canada Grant Agreement) from Grand Challenges
Canada, the purpose of which is to contribute to global health and ensure that breakthrough
solutions to global challenges are made accessible to those in need, particularly in the
developing world. Accessibility relates to both price and availability;

Whereas Socios en Salud Sucursal del Per [Grantee] has agreed to grant and hereby grants
a non-exclusive license to Grand Challenges Canada to any outputs, including intellectual
property, information and data that may be developed in the course of research funded by Grand
Challenges Canada, or is required for the research funded by Grand Challenges Canada in this
Grand Challenges Canada Grant Agreement, as set out below;

Whereas the purpose of this non-exclusive license agreement is to ensure global access to the
outputs should the Grantee, or the Grantees licensees, collaborators or partners, fail to make
them widely available at a reasonable price for the benefit of people in Developing Markets
(defined below).

Essential terms of this license grant are:

1. License Grant: Grantee hereby grants to Grand Challenges Canada (GCC) a non-
exclusive, perpetual, irrevocable, royalty-free, fully-paid, sub-licensable, and
assignable license in respect of all Outputs, defined below, arising from the work
carried out by Grantee, or at the Grantees direction, in connection with this Grand
Challenges Canada Grant Agreement, to permit Grand Challenges Canada (and its
sub-licensees) to use, educate, conduct research, develop, make, have made,
import, export, sell, offer for sale, or distribute products, processes or solutions in
Developing Markets.

a. Outputs: Outputs means all intellectual property (including but not limited to
patents, trademarks, copyrights, design rights, inventions, know-how and
source code), as well as information and data (including but not limited to raw
data and all information required for regulatory approval) developed as a
result of or in connection with this Grand Challenges Canada Grant
Agreement, and includes any data that was previously developed by Grantee
and is required for the research funded by Grand Challenges Canada in this
Grant Agreement.

b. Developing Markets: Developing Markets is defined in the chart below.

2. License Grant to Outputs by Involved Parties: Grantee will have the Principal
Investigator, and all Grantees employees, collaborators, contractors, sub-contractors,
sub-grantees, consultants, partners, investors, affiliates that are directly involved in
the work of the Grand Challenges Canada Grant Agreement (Involved Parties)
agree to grant to Grantee a non-exclusive license to Outputs by Involved Parties,


Grant Number: #0351-03

39
under the same terms as provided in this Attachment J. This shall be done by having
all Involved Parties sign a copy of the Undertaking at the end of this Attachment J.
Grantee hereby grants to Grand Challenges Canada a non-exclusive license to the
Outputs by Involved Parties under the same terms as provided in this Attachment J.
For greater clarity, anyone not directly involved in the work of the Grand Challenges
Canada Grant Agreement and who has no rights to the Outputs, shall not be required
to sign the Undertaking.

3. Agreement Not to Assert Background IP: Grantee agrees not to assert any
Background IP against Grand Challenges Canada, or Grand Challenges Canadas
sub-licensees that is necessary to allow Grand Challenges Canada, or Grand
Challenges Canadas sub-licensees, to use the Outputs in Developing Markets.

a. Background IP: Background Intellectual Property shall mean intellectual
property owned or controlled by, or licensed to, the Grantee or Involved
Parties that are necessary to use the Outputs.

4. Agreement by Involved Parties Not to Assert Background IP: Grantee will have
the Involved Parties agree to not to assert any of their Background IP against Grand
Challenges Canada, or Grand Challenges Canadas sub-licensees, that is necessary
to allow Grand Challenges Canada, or Grand Challenges Canadas sub-licensees, to
use the Outputs in Developing Markets. This shall be done by having all Involved
Parties sign a copy of the undertaking at the end of this Attachment J.

5. Ownership: Nothing in this license agreement shall change any right, title or interest
that the Grantee or Involved Parties have, or shall establish, in or to, the Outputs or
Background IP.

6. Notice to Grantee & Grantees Option to Respond: Grand Challenges Canada
must provide written notice to Grantee prior to any sub-license or assignment of this
license grant to a third party in a Developing Market. At this point, Grantee will have
the right to demonstrate to Grand Challenges Canada (by way of a proposal) that it
has or will make the Outputs accessible in that Developing Market, whether by way of
an agreement with the third party or otherwise. If Grand Challenges Canada agrees
that global access is or will be attained in a reasonable time by way of the Grantees
proposal, Grand Challenges Canada will not provide the sub-license or assignment.
It is in Grand Challenges Canadas discretion whether global access is being or will
be achieved by the Grantees proposal.

7. Assignment or Succession of License or Outputs: If Grantee elects to assign its
rights to the Outputs to a third party, or the Outputs pass to a successor, Grantee
must notify this third party assignee or successor of the existence of this license, and
obtain in writing this third party assignees or successors agreement to be bound by
the license.

8. Disclaimer of Warranty: Grantee makes no representations, conditions or
warranties, either express or implied, regarding the Outputs aside from what is set out
in Attachment K of the Grant Agreement with Grand Challenges Canada. Grantee


Grant Number: #0351-03

40
specifically disclaims any implied warranty, condition or representation that the
Outputs:
a. correspond with a particular description;
b. are of merchantable quality;
c. are fit for a particular purpose;
d. are durable for a reasonable period.

9. Indemnification:
a. If License is Used by Grand Challenges Canada: Should Grand Challenges
Canada itself use the license set out in Term 1 above (i.e. use other than by
way of a sub-license), Grand Challenges Canada shall indemnify and hold
harmless the Grantee against all claims related to the use of the license by
Grand Challenges Canada, except to the extent that harm was caused as a
result of gross negligence or willful misconduct by the Grantee. Should Grand
Challenges Canada itself use the license set out in Term 1 above, it will
acquire and maintain reasonable insurance coverage, as would be acquired
by a reasonable and prudent business carrying on a similar line of business.

b. Mandatory Sublicense Provision: Should Grand Challenges Canada sub-
license to third parties pursuant to this license agreement, that sub-license
agreement shall include a requirement that the sub-licensee indemnify and
hold harmless the Grantee and Grand Challenges Canada against any or all
claims arising out of the exercise of any rights under the sub-license, except to
the extent that harm was caused as a result of negligence or fault by the
Grantee. Grand Challenges Canada will also require the sub-licensee to
acquire and maintain reasonable insurance coverage for such indemnification,
as would be acquired by a reasonable and prudent business carrying on a
similar line of business.

10. Governing law: This license agreement shall be governed and interpreted in
accordance with the laws of the province of Ontario, in the country of Canada.

11. Dispute Resolution: In the event of a controversy or dispute between the parties
arising out of or in connection with this license agreement, or regarding its
interpretation or operation, the parties shall take all necessary steps to resolve the
dispute themselves. Where such efforts are unsuccessful, the parties may refer the
dispute to a third party mediator mutually agreeable to the parties for resolution.
Should mediation be unsuccessful, the parties agree to submit the dispute to
arbitration administered by the International Chamber of Commerce International
Court of Arbitration in accordance with its rules and judgment upon the award
rendered by the arbitrator may be entered in any relevant court.



Grant Number: #0351-03

41
DEVELOPING MARKETS

Low-income economies ($1,035 or less)
Afghanistan Gambia, The Myanmar
Bangladesh Guinea Nepal
Benin Guinea-Bissau Niger
Burkina Faso Haiti Rwanda
Burundi Kenya Sierra Leone
Cambodia Korea, Dem Rep. Somalia
Central African Republic Kyrgyz Republic South Sudan
Chad Liberia Tajikistan
Comoros Madagascar Tanzania
Congo, Dem. Rep Malawi Togo
Eritrea Mali Uganda
Ethiopia Mozambique Zimbabwe
48
Lower-middle-income economies ($1,036 to $4,085)
Armenia India Samoa
Bhutan Kiribati So Tom and Principe
Bolivia Kosovo Senegal
Cameroon Lao PDR Solomon Islands
Cape Verde Lesotho Sri Lanka
Congo, Rep. Mauritania Sudan
Cte d'Ivoire Micronesia, Fed. Sts. Swaziland
Djibouti Moldova Syrian Arab Republic
Egypt, Arab Rep. Mongolia Timor-Leste
El Salvador Morocco Ukraine
Georgia Nicaragua Uzbekistan
Ghana Nigeria Vanuatu


Grant Number: #0351-03

42
Guatemala Pakistan Vietnam
Guyana Papua New Guinea West Bank and Gaza
Honduras Paraguay Yemen, Rep.
Indonesia Philippines Zambia
55
Upper-middle-income economies ($4,086 to $12,615)
Angola Fiji Palau
Albania Gabon Panama
Algeria Grenada Peru
American Samoa Hungary Romania
Argentina Iran, Islamic Rep. Serbia
Azerbaijan Iraq Seychelles
Belarus Jamaica South Africa
Belize Jordan St. Lucia
Bosnia and Herzegovina Kazakhstan St. Vincent and the Grenadines
Botswana Lebanon Suriname
Brazil Libya Thailand
Bulgaria Macedonia, FYR Tonga
China Malaysia Tunisia
Colombia Maldives Turkey
Costa Rica Marshall Islands Turkmenistan
Cuba Mauritius Tuvalu
Dominica Mexico Venezuela, RB
Dominican Republic Montenegro
Ecuador Namibia

Source: World Bank country classification as of July 1, 2013





Grant Number: #0351-03

43
Undertaking for Non-exclusive License


I, _______________________ [Name, Printed] hereby acknowledge that I am about to
participate in activities funded by Grand Challenges Canada related to funding from Grand
Challenges Canada to ____________________ (Grantee).

I hereby acknowledge that I have read and understand the terms of the non-exclusive license
agreement between Grand Challenges Canada and Grantee as set in Attachment J: Non-
exclusive License Granted in Furtherance of Global Access, as enclosed to this Undertaking
(Non-exclusive License Agreement).

I hereby agree to be bound by the terms and conditions of the Non-exclusive License
Agreement, including but not limited to: i) the grant of a license to Grantee, and ii) the agreement
not to assert background intellectual property.

I acknowledge that the purpose of the Non-exclusive License Agreement and my participation in
activities funded by Grand Challenges Canada is to contribute to global health and ensure that
breakthrough solutions to global challenges are made accessible to those in need, particularly in
the developing world. Accessibility relates to both price and availability.



___________________________________ __________________________________
[Name, Printed] [Witness, Printed]



___________________________________ __________________________________
[Organization & Position] [Witness, Organization & Position]



___________________________________ ___________________________________
[Name, Signed] [Witness, Signed]



____________________________________
[Date]






Grant Number: #0351-03

44
Attachment K: Representations and Warranties

1. Please confirm that Socios En Salud Surcursal Peru is committed to fulfilling the
Principles of Global Access, as set out in Grand Challenges Canadas Global Access
Policy and Data Access Policy.

Socios En Salud is committed to fulfilling the Principles of Global Access, as set
out in Grand Challenges Canadas Global Access Policy and Data Access Policy.

2. Please confirm that you own (or have the ability to legally access) all necessary
background intellectual property with respect to any technologies and any raw data that
you will rely upon to fulfill this project.

Socios En Salud owns all necessary background intellectual property with respect
to technology and raw data we will rely on to fulfill this project.

3. Please outline the expected outputs including intellectual property from this funding
Agreement that may result in patents, trade secrets or other forms of intellectual property.

The property titles, author rights and all other rights brought on by the realization
of the projects are those of the participating parties, whose names will
be specifically indicated, acknowledging their collaboration with Grand Challenges
for its intellectual donation.

4. Who will own the expected output(s) (i.e. intellectual property, raw data, etc.) of your
grant?

Socios En Salud, the non-governmental organization, and ultimately, the two
Principal Investigators on the grant will collectively own the rights to all expected
output. Sonya Shin also will have equal rights to the intellectual property as
Maribel Munoz and Leonid Lecca.

Output Type of Output Ownership
All raw data, including
qualitative transcripts,
photographs, video,
observational notes,
raw data on forms or
stored in a database
Data Socios En Salud (Maribel Munoz
and Leonid Lecca) and Sonya
Shin
Adapted individual and
group interventions and
all supplemented
materials and
instructions
Educational materials Socios En Salud (Maribel Munoz
and Leonid Lecca) and Sonya
Shin
Adapted ASQ
instrument
Diagnostic materials Socios En Salud (Maribel Munoz
and Leonid Lecca) and Sonya
Shin
All academic articles Copyright Authors



Grant Number: #0351-03

45
5. Please confirm that all individuals and organizations listed in your answer to question 4
above are committed to fulfilling the Principles of Global Access. Please also confirm that
all potential collaborators or partners will be made aware of Grand Challenges Canadas
Global Access Policy.

All individuals are committed to fulfilling the Principles of Global Access and all
potential collaborators or partners will be made aware of Grand Challenges
Canadas Global Access Policy.

6. Is there anything preventing you from making all resulting outputs of your grant available
to Grand Challenges Canada for the purpose of Global Access (e.g. local laws,
regulations, policies or any previous contracts, stipulations by project collaborators or
partners)? Outputs include but are not limited to your raw data, technologies, intellectual
property and any business models developed.

There is nothing preventing us from making all resulting outputs of the grant
available to GCC for the purpose of Global Access.


7. Are there any computer programs, software, systems or other such technologies on which
you will be relying to complete your project? Please describe what these are and detail
the legal permission you have to use such resources (i.e. licenses, open access
permission, etc.).

Respective licenses will be obtained for computer programs, software, systems or
other technologies, in order that they be used without any type of restriction.


8. Please detail your plan for widely disseminating the knowledge generated during the
course of your project, such as data, methods, results, research papers, guidelines and/or
written products.

The data will be managed confidentially and will be entered in a protected
database with a secure Internet connection before being analyzed. This will allow
us to write four publishable articles in peer-reviewed journals: 1) adapting and
validating the ASQ instrument; 2) process evaluation of delivery of CBEI by
CHWs; 3) factors associated with NDD in Carabayllo; 4) final outcome results and
descriptions of populations that benefit most from which intervention. Study
experience and results will be filmed and we will work with the Communications
team at Socios En Salud to create several short videos, with the consent of the
participants, to be aired on local television. We will submit to Open Access
journals, in the case that prestigious journals of this nature are available, and
otherwise will deposit a proofed copy into PubMed Central upon the end of the
journals stated. embargo period. This will allow us to increase policy makers'
awareness of the issues at hand and to disseminate our intervention and findings
to other interested parties. Additionally, we will present our results in four
meetings with the Peruvian Ministry of Health clinicians, municipality leaders in
Carabayllo, COSACA, our local ally, and the community health workers. We will


Grant Number: #0351-03

46
hold a web-conference to present and discuss findings with Haitian and Rwandan
health care providers, leaders and CHWs to explore multi-site collaboration.

9. With respect to your answer to question 4, please clarify what is meant by the application
field of the National Institute of Defense of Competence and Intelectual Property
(INDECOPI). Please outline any relevant implications for your ability to fulfill the
Principles of Global Access.

We have taken out the mention of INDECOPI from question 4. We will have no
problems fulfilling the Principles of Global Access.


10. With respect to your answer to question 8, please identify any potential authors, owners or
rights-holders of the short videos you intend to air on local television. Please confirm that
these individuals are committed to fulfilling the Principles of Global Access.

As an institution, Socios En Salud as an institution will be the author and own the
rights to these videos. We are committed to fulfilling the Principles of Global
Access.

11. Grand Challenges Canada expects all of its grantees to recognize and respect intellectual
property (i.e. copyright) ownership and seek permission from any copyright owners for the
precise nature of any intended use of any copyrighted work. This includes the use and
potential adaptation of assessment tools and tests. Accordingly, please complete the
chart below:



Owner of
Assessment
Test/Tool
(i.e. company
name)
Name of
Assessment
Test/Tool
Current or
Expected Use
of Tool and/or
Related Tests
Adaptation
to be Made
(if any)
Permission
Sought
from Owner
for Precise
Use?

Yes / No
Nature of
Permission
Required
Permission
Granted?




Yes/No
1 Lia Fernald,
University of
California,
Berkeley,
USA.
EASQ Child
development
assessment
tool, to track
improvement
over 3 month
period
NONE Yes Use only Yes
2 Ministry of
Health of
Peru
EEDP Child
development
screening tool
to screen for
children with
delays and
compare with
EASQ at
NONE Available to
public free
of charge.
NONE N/A


Grant Number: #0351-03

47
baseline and 3
months
3 Ministry of
Health of
Peru
TEPSI Child
development
screening tool
to screen for
children with
delays and
compare with
EASQ at
baseline and 3
months
NONE Available to
public free
of charge.
NONE N/A
4 HOME
INVENTORY
LLC,
Distribution
Center, 2627
Winsor Drive,
Eau Claire, WI
54703
HOME To test the
quality of
parenting and
home
environment
and its effect
on child
development
We have
previously
translated
into
Spanish
and used
in
previous
projects
Yes Use only,
we
received
prior
permission
for
translation
Yes
5 Food and
Nutrition
Technical
Assistance
(FANTA)
Household
Food
Insecurity
Access Scale
(HFIAS)

The scale
consists of 18
items (9 items
to measure
increasing
level of food
insecurity and
9 items to
measure the
frequency of
those
occurrences).
We have
previously
translated
into
Spanish
and used
and
published
in
projects.
Available to
public free
of charge.
NONE N/A
6 Duke and
University of
North
Carolina
Duke UNC
Social
Support
Questionnair
e
Perceived
functional
social support:
10 item- scale
(confidant
support and
affective
support). In
addition, we
retained
several original
items related to
instrumental
support (i.e.
help with
transportation,
money in an
emergency)
No.
Utilized in
Spanish
population
s with HIV.
Have used
in
previous
projects.
Available to
public free
of charge in
Spanish
online.
NONE N/A
7 Dr. Sheldon Perceived 14-item No. Available to NONE N/A


Grant Number: #0351-03

48
Cohen,
Carnegie
Mellon
University
stress scale instrument to
measure a
global level of
perceived
stress. Recall
over past
month
explores
degree to
which
respondent
finds life to be
unpredictable,
uncontrollable
and
overloading.
Validated
in Spanish
population
s,
including
among
HIV-
positive
individuals
. Used in
previous
projects.
public free
of charge
on owners
website in
Spanish.
8 Western
Psychologica
l Services
625 Alaska
Ave.
Torrance, CA
90503-5124
Conflicts
Tactics Scale
(CTS2-S)
The CTS2-S is
a 20-item scale
to measure
conflict within
couples by
asking
individuals
who have had
a relationship
within the last
12 months
about the
frequency of
minor and
extreme
physical/emoti
onal assault,
injury, sexual
coercion.
Translated
to
Spanish,
used in
previous
projects.
Yes Use and
translation
Yes
9 Belen Zorilla
at: Servicio
de
Epidemiolog
a, Instituto de
Salud
Pblica,
Consejera de
Sanidad de la
Comunidad
de Madrid,
Spain;
Juanjo
Medina-Ariza,
University of
Manchester.
Controlling
Behaviors
For additional
psychological
violence
questions (9
items)
associated
specifically
with
controlling
behavior, we
chose 8 items
utilized by
Zorilla et al
(some first
used in
national survey
of violence
against women
Yes.
Controllin
g behavior
items were
validated
in Spanish
by Zorilla
et al and
Medina et
al. Used in
previous
projects.
Yes Use of
selected
questions
in both
cases.
Yes


Grant Number: #0351-03

49
in France) and
1 item from
Medina et al.
10 Grameen
Foundation
Progress out
of Poverty
Index
Measuring
poverty level.
No. This
scale is
specific to
Peru and
has been
validated
there.
Available to
public free
of charge.
NONE N/A