Guidelines

Policy Snapshots

01 SEA DREAM: Bullying, Harassment, Abuse & Harm Policy

SEA DREAM is committed to fostering an environment of respect and dignity in all funded research. This policy outlines expectations for individuals and organizations to prevent and address harmful behaviors. This policy is part of grant conditions.

Treat all individuals with dignity and respect.
Organisations must have policies and reporting processes to prevent and address bullying, harassment, abuse and harm.
Ensure consortium members have equivalent policies.
Conduct risk assessments before research starts.
Investigate allegations impartially, fairly, and promptly, and complete them within one year of receiving the allegations
Notify and keep SEA DREAM's Head of Programme informed about formal investigations.

Do not tolerate physical, sexual, emotional, or organisational harm.
Do not misuse power or control (exploitation).
Do not engage in bullying or harassment.
Do not fail to act if someone reports a concern.
Do not withhold information from SEA DREAM regarding investigations by applying NDA inappropriately.
Do not include sensitive personal data in reports to SEA DREAM.

Applies to all individuals involved in SEA DREAM funding
Organisations are responsible for investigations, not SEA DREAM.
SEA DREAM may apply independent sanctions against individuals or organizations for non-compliance.
Information shared with SEA DREAM is handled confidentially and securely.
Lead applicants with upheld allegations or active sanctions must contact SEA DREAM before applying. Informing SEA DREAM about an investigation will not affect application processing but may delay award issuance.

02 SEA DREAM: Clinical Trials Policy

SEA DREAM is committed to safeguarding participants, ensuring ethical and scientific rigor, enhancing transparency, and maximizing public benefit through rigorous clinical trials governance. This policy is part of grant conditions.

Consider sex and gender in trial design
Recruit diverse participants representing the population needing intervention
Engage meaningfully with participants and communities before, during, and after trials
Ensure relevant regulatory and ethical approvals are in place before trial begins
Register trials prospectively on ClinicalTrials.gov, ISRCTN, or WHO ICTRP before first participant intervention
Publish trial protocol using SPIRIT framework and statistical analysis plan (SAP) before recruitment completion
Report results within 12 months of primary study completion
Make data accessible to researchers at time of publication
Include trial registry ID and Wellcome/ SEA DREAM as funder in all publications

Do not make material changes to trial protocol without Trial Steering Committee (TSC) approval
Do not conduct trials without a designated sponsor accepting overall responsibility
Do not omit data sharing plans from trial registration
Do not withhold null or negative results from publication
Do not provide control groups with care below the best local, currently available standard

SEA DREAM does not act as clinical trials sponsor
Trial Steering Committee (TSC) Chair and at least half members must be independent
Trial risk assessment should determine if Data and Safety Monitoring Board is needed; if not necessary, explain how data and safety will be monitored
Outputs Management Plan (OMP) required at full application stage
Post-research health monitoring costs can be requested where integral to the proposal
Serious adverse events must be reported to SEA DREAM as early as possible
Under-served groups require enhanced recruitment and retention strategies
Environmental sustainability considerations should reduce trial emissions and resource use

03 SEA DREAM: Conflicts of Interest Policy

SEA DREAM is committed to maintaining research integrity while encouraging impactful engagement, ensuring public benefit takes precedence over private interests. This policy is part of grant conditions.

Organisations must have internal Conflicts of Interest policies
Regularly assess, identify and effectively manage any forms of conflicts of interest
Disclose conflicts immediately to your organization
Ensure SEA DREAM work is delivered on time without being affected by other commitments
Use formal written agreements for external relationships and activities of researchers that might create potential conflicts
Prioritize public benefit over private gain
Inform SEA DREAM of a breach or potential breach of this policy ASAP

Do not accept consultancies without informing your organization
Do not let external commitments delay research delivery
Do not influence decisions where you have financial interests
Do not transfer IP without complying with SEA DREAM’s Grant Conditions and IP Policy
Do not engage in activities that compromise research ethics

SEA DREAM doesn’t prohibit researchers to engage in other activities outside of funded research (e.g., consultancies, advisory roles, board memberships)
Relationships and transactions should promote public benefit (with only incidental private benefits)
Conflicts of interest can be real, perceived or potential
Breaches may result in award suspension/termination based on the impact
Organisations are expected to establish internal audit system and staff training program

04 SEA DREAM: Consent, Revenue and Equity Sharing Policy

SEA DREAM is committed to ensuring IP generated by SEA DREAM funded research benefits public health. This policy sets out the reporting requirements and consent procedures that the grantees need to align with. This policy is part of grant conditions.

For non-profit organisations to stay eligible for consent waiver,
- Adhere to SEA DREAM’s Intellectual Property Policy
- Keep reporting IP activities annually via ‘Consolidated IP and Commercialisation Report’ (including NULL report)
- Align commercialisation with equitable access principles
Return a standard 25% revenue/equity share generated from commercialising IP to SEA DREAM
Submit the ‘Retained Revenue Spend Report’ in the next annual report (if SEA DREAM approves revenue retention)

Do not fail to declare aggregate amounts payable to SEA DREAM via the annual report
Do not exercise SEA DREAM-funded IP rights in ways that hinder equitable access to health services and products in LMICs
Do not commercialise without obtaining written consent from SEA DREAM (commercial entities only)

Not-for-profit universities, research institutes and organisations get automatic consent waiver for commercialising IP
The grantees can apply to retain up to USD 1M revenue generated in the previous calendar year (payable to SEA DREAM) for translational work
- Retained funds must advance translational activity to improve equitable access in LMICs

05 SEA DREAM: Continuing Professional Development (CPD) Policy

SEA DREAM is committed to supporting researchers' professional growth through comprehensive training and career development opportunities. This policy is part of grant conditions.

Individuals:

Complete induction and regular refresher training
Take responsibility for CPD at all career stages
Fulfill annual career-based CPD time required by local regulations/ defined by the employing organisation

Organisations:

Provide and fund CPD opportunities for researchers and support staff
Plan for project-specific skills training required by their staff in grant applications
Provide leadership training for managers
Assess professional development needs of staff via annual performance review

Do not use SEA DREAM funds for:
- Professional body memberships
- CPD targeted towards the entire organisation (outside of SEA DREAM grant)
- Statutory skills-retention training costs, except for time spent in training
Don’t fail to provide training on handling bullying and harassment or research misconduct investigations for panel members

Organisations can request
- Project-specific skills training
- Career-based CPD training, up to 2,000 USD per person/year
- Capacity development for research support staff

(Eligibility: 12+ month contracts, 25%+

FTE on grant)

Organisations can request up to 12,500 USD per group development event (Eligibility: the event must include at least 50% of participants fully or partially funded by SEA DREAM)
Refer to SEA DREAM’s Cost Eligibility Guide for more details

06 SEA DREAM: Data, Software and Materials Management and Sharing Policy

SEA DREAM is committed to maximizing research output availability with minimal restrictions to advance health knowledge and ensure reproducibility. This policy is part of grant conditions.

Share data, software and materials at the time of publication
Share quality-assured interim and final data related to public health emergency rapidly, before publication
Deposit outputs in community repositories with persistent identifiers or accession numbers
Users: Cite sources and follow access terms and conditions when using outputs
Include outputs management plan (OMP) that covers sharing options at full application stage

Don't restrict access unnecessarily
Don't delay sharing beyond publication
Don't ignore participant privacy or confidentiality

Managed access is allowed for identifiable participant data
IP protection is permitted when necessary for commercialisation
Choose sharing vs. commercial route based on maximum health benefit
SEA DREAM will review OMPs at funding decision and end-of-grant reporting
SEA DREAM will support justified management cost of research outputs

07 SEA DREAM: Environmental Sustainability Funding Policy

SEA DREAM is committed to funding only environmentally responsible health research, requiring sustainable practices, carbon offsetting and net-zero plans from high-income organisations. This policy is part of grant conditions.

Design research using sustainable approaches
Provide training to researchers and access to expert advice on sustainable research practices
Achieve LEAF, My Green Lab or equivalent accreditation for laboratories

Implement good practices:

Practice ‘Reduce, Reuse, Recycle’ in research
Minimise travel; use video conferencing alternatives; leverage local skills for fieldwork
Publish results and share data openly to reduce resource waste from duplicated work

Don't purchase new items when existing ones can be maintained
Don’t use flight when alternatives (e.g., train) exist
Don't travel by business class if flight cannot be avoided
Don’t purchase new equipment at the end of grant to use up funds

SEA DREAM may fund sustainable purchases even at higher upfront costs (if well justified)
SEA DREAM will not fund sustainability initiatives that benefit only to the organisation itself
CPD funding: up to $2,000/person/year for sustainability training

Organisations based in high-income countries:

Must have organisation-wide sustainability policy with net-zero plans for Scope 1 & 2 emissions during the lifetime of the grant
Should follow the principles of ‘Concordat for the Environmental Sustainability of Research and Innovation Practice’

08 SEA DREAM: Equity, Diversity and Inclusion Policy

SEA DREAM is committed to fostering equity, diversity and inclusion across all funded activities, ensuring safe, open and equitable research environments free from discrimination. This policy is part of grant conditions.

Promote inclusive research practices appropriate to location and aims
Build diverse research teams reflecting local communities
Provide equitable opportunities and training for all team members
Ensure reasonable adjustments for disabled staff across physical and digital environments
Have internal EDI or anti-discrimination policy in place and available to all staff
Conduct anti-discrimination investigations impartially and promptly and complete them within one year of receiving the allegations
Report formal discrimination investigations to SEA DREAM as soon as possible
Confirm lead applicant has not had allegation of discrimination at grant application

Don’t tolerate discrimination against protected characteristics
Don’t use non-disclosure agreements (NDA) that prevent sharing information with SEA DREAM
Don’t share sensitive personal information when reporting to SEA DREAM
Don’t exclude stakeholders from research benefits
Don’t ignore power dynamics in partnerships between higher and lower resource settings

Protected characteristics include age, sex, gender reassignment, sexual orientation, disability, race, religion, marriage, maternity
LMIC researchers should have substantive roles in design, leadership and authorship in inter-country collaborations
The organisation’s application submission sign-off process should include someone who would be aware of any warning or sanction for discrimination.
Report allegations to SEA DREAM within 5 years of incident occurrence
If reported, SEA DREAM will retain information for no more than 5 years (10 years if allegation is upheld)
SEA DREAM may apply sanctions to individuals or organisations for policy violations

09 SEA DREAM: Intellectual Property Policy

SEA DREAM is committed to maximising public health benefits from research outputs and assisting further research while enabling commercialisation if the latter has the potential to bring greater benefits. This policy is part of grant conditions.

Include significant outputs that may constitute patentable IP in the Outputs Management Plans (OMPs) from the funding-application stage
Review, and revise as needed, OMPs throughout research lifecycle, once IP is created and new opportunities for commercialisation arise
Commercialisation partners must have adequate resources and expertise
Make special provisions in OMPs and commercialisation agreements to ensure equitable access in LMICs
Submit annual IP and commercialisation report
Reserve research licenses for academic research and teaching

Don’t use IP solely to block further research by others
Don’t maintain registered IP without credible commercialisation plans
Don’t enter pipeline arrangements with commercialization partner(s) without appropriate limitations
Don’t delay publications beyond 3-6 months for IP filing
Don’t grant exclusivity to a commercial party without evaluating public health impact

SEA DREAM doesn’t seek to own IP— the employing organisation of researchers does
SEA DREAM funding can be used for initial patent protection costs, but grantees are responsible for all additional costs.
Prior consent for commercialisation is waived for grantees submitting full annual reports
SEA DREAM may withdraw this waiver if concerns arise about any reported transaction and will restore it only if the grantee meets all regulatory requirements
Commercialisation agreements should include diligence obligations and step-in rights to ensure further development and public benefit

10 SEA DREAM: Open Access Policy

SEA DREAM is committed to ensuring all funded research is freely accessible to everyone, maximising health benefits through open knowledge sharing. This policy is part of grant conditions.

Publish in fully open access journals indexed in Directory of Open Access Journals (DOAJ)
Make research available in Europe PMC upon publication in any of these versions – Version of Record, Author Accepted Manuscript, Preprint (least preferred)
Use CC BY license (or CC BY-ND by exception)
Include data availability statement in publication Ensure retaining sufficient rights over research outputs for policy compliance
Post preprints for public health emergencies
Acknowledge Wellcome/ SEA DREAM funding in research outputs using a standard format

Don't publish in subscription/hybrid journals on SEA DREAM budget
Don't embargo research for 6 months (except monographs/book chapters)
Don’t forget to apply for CC BY-ND exception from SEA DREAM (using a standard format) in advance of publication if needed

This policy applies to research funded in whole or in part through a SEA DREAM grant
Compliance to this policy is monitored by SEA DREAM using FAIR principles
Non-compliance may suspend grant payments or future funding
Monographs/book chapters: 6-month embargo allowed
Use Journal Checker Tool to verify publisher agreements
SEA DREAM will fund reasonable article processing charges (APCs) for articles published in fully open access journals

11 SEA DREAM: Overheads Policy

SEA DREAM supports fair and transparent research funding by allowing eligible organisations to request overheads that directly support grant-funded activities. This policy is part of grant conditions.

Request overheads only if your organisation is eligible (non-UK universities, research organisations without Wellcome’s core funding, charities/not-for-profits, SMEs).
Apply overheads only to costs that directly support the funded research (estates, utilities, standard IT charges, admin/ technical/ institutional support to research activities not covered within staff costs).
Ensure overheads do not exceed 20% of total direct project costs.
Provide a letter from your Finance Director explaining how overheads are calculated.
Use an externally validated overhead rate if you have one; otherwise provide a full breakdown.

Don’t request overheads if you are a UK university (either a consortium member or subcontractor).
Don’t charge the same cost twice — costs covered under overheads cannot be direct costs.
Do not apply unsupported overhead rates; all requests must be explainable.

Sub-contracted work can include overheads only if the sub-contracted organisation meets four eligibility criteria.
For shared costs (e.g., utilities, IT charges), an estimate proportionate to the activities funded under the grant can be charged.
The Finance Director letter must confirm:
- the validated rate and how/when it was reviewed (if you have externally audited methodology) or
- a true and accurate breakdown if no validated rate exists.
Refer to SEA DREAM’s Cost Eligibility Guide for more details.

12 SEA DREAM: Research Involving Human Participants Policy

SEA DREAM is committed to protecting participants' rights, interests and safety while supporting research that generates sustainable health benefits and new knowledge globally. This policy is part of grant conditions.

Have internal policy to protect participants' rights, interests and safety
Conduct risk assessments and prevent harm, exploitation, abuse and harassment happening to research participants
Obtain ethical approval before research begins
Get informed consent from participants or legal guardians
Comply with data protection and confidentiality laws
Share research results with participants and communities
Ensure compensation arrangements are in place for injuries or harm experienced by participants

Don’t use payments or any form of incentives to induce participation in research
Don’t proceed research with unresolved disagreements between ethics committees from different countries/ jurisdictions
Don’t export biological samples without source country permission
Don’t charge SEA DREAM on the costs of insurance or indemnity cover (except it is a clinical trial and direct cost)

Follow Declaration of Helsinki, Nuremberg Code, and CIOMS guidelines
Research must have sustainable health benefits, global public benefit or generate new knowledge
SEA DREAM will not be liable for any compensation required by the research
Contact SEA DREAM immediately if doubts arise about compliance

Research Ethics:

Researchers from HICs must justify location choice for research in LMICs
Researchers must have appropriate ethics training
Long-running studies require ongoing ethical oversight
Reasonable participant expenses are allowed (travel, time compensation)

13 SEA DREAM: Research Misconduct Policy

SEA DREAM is committed to maintaining high standards of research integrity by preventing misconduct, ensuring fair investigations, and protecting public trust in research. This policy is part of grant conditions.

Follow the principles of the UK Concordat to Support Research Integrity or an alternative with similar standard
Grantees (consortium lead and members) must have internal policy stipulating standards of behaviour expected from staff and clear procedure for handling allegations
Report allegations to employing organisation of the alleged person
Conduct investigations impartially and promptly, and complete them within one year of receiving the allegations
Inform SEA DREAM when formal investigations open
Maintain confidentiality throughout process
Implement appropriate disciplinary procedures for upheld allegations

Don’t tolerate fabrication, falsification, plagiarism or deception in performing or reviewing research and in reporting research outputs under any circumstances (Note: omitting relevant data or manipulating images are also part of research misconduct)
Don't use inappropriate non-disclosure agreements (NDA) for sharing information
Don't share sensitive personal information with SEA DREAM
Don't apply SEA DREAM funding if you have active sanctions without discussing first with SEA DREAM

Application and Awarding

Organizations must confirm no upheld allegations at application
SEA DREAM may delay awards until the investigation is completed
The organisation’s application submission sign-off process should include someone who would be aware of any warning or sanction for research misconduct.

Investigating Allegations and Actions

Contact SEA DREAM Head of Programme for questions or to report investigations
SEA DREAM will not directly investigate – employing organisation is responsible for it
If reported, SEA DREAM will retain information for no more than 5 years (10 years if allegation is upheld)
SEA DREAM may apply sanctions to individuals or organisations for misconduct

14 SEA DREAM: Researchers Funded by the Tobacco Industry Policy

SEA DREAM is committed to ensuring its funding supports research independent of tobacco-industry influence, protecting the integrity and credibility of all supported work. This policy is part of grant conditions.

Confirm that no team member is employed on or supported by tobacco-industry–funded research at the time of application.
Maintain compliance with SEA DREAM’s funding conditions throughout the grant period.

Don’t apply for SEA DREAM funding if the organisation currently has a grant or has applied funding from the tobacco industry.
Don’t apply or receive new tobacco-industry research funding after receiving SEA DREAM funding.

“Tobacco industry” includes any entity whose business (≥10%) involves tobacco development, production, promotion, marketing or sales anywhere in the world.
The definition also covers subsidiaries, holding companies, affiliates, e-cigarette companies, and non-tobacco related companies partially or fully owned by tobacco-industry entities.
SEA DREAM reserves the right to verify compliance through audits.

15 SEA DREAM: Responsible Conduct of Research Policy

SEA DREAM is committed to ensuring all funded research is conducted responsibly, ethically, and in line with established principles of research integrity. This policy is part of grant conditions.

Use appropriate research methods, manage biases, analyse evidence critically, and report results transparently by following standard reporting guidelines.
Protect researchers and participants from harm, exploitation and harassment.
Maintain training and ethical practice for work with animals.
Keep accurate, verifiable research records and follow clear archiving procedures.
Assign authorship based on meaningful contribution and accountability.
Secure data, follow retention timelines, and protect sensitive research outputs.
Follow biosafety, biosecurity and dual-use risk guidance. Foster positive research culture.
Use traditional and non-traditional ways to maximise the impact of research on policies and health interventions.

Don’t overlook proper study design or bias control.
Don’t give authorship without real contribution or responsibility.
Don’t ignore biosecurity risks or dual-use concerns.
Don’t forget to cover potential risks of research misuse and mitigation plans in the Outputs Management Plan (OMP) and reassess them over the course of the research project.

Organisations must have systems, policies and training to support responsible research.
SEA DREAM may audit grantees for compliance with funding policies, and non-compliance may result in sanctions.
Organisations should also follow the principles of the UK Concordat to Support Research Integrity and the Singapore Statement.
Organisations should also adhere to the provisions of the joint BBSRC, MRC and Wellcome Trust policy statement for managing risks of research misuse.
Research data must be stored securely for 10–20 years depending on research type.

16 SEA DREAM: Use of Animals in Research Policy

SEA DREAM is committed to funding animal research only when it is legal, ethical, scientifically justified, and conducted to the highest welfare standards, applying the 3Rs (Replacement, Reduction, Refinement) throughout design, implementation and oversight. This policy is part of grant conditions.

Follow NC3Rs good practice guidelines and meet 3Rs (Replacement, Reduction, Refinement) standards from the earliest research design stage.
Ensure full compliance with local legislation, ethical review processes and regulatory approvals before starting the project.
Provide scientific justification for animal use, including numbers and lowest possible severity levels.
Ensure consortium members, collaborators and contract research organisations (CROs) follow this policy and have expert assessment processes for animal work.
Source macaques only from legally permitted breeding facilities if the research intends to use. Inform SEA DREAM promptly of regulatory concerns, significant changes in animal use or issues related to non-human primates.
Use ARRIVE guidelines to report animal-based research

Do not begin any animal work without necessary ethical, regulatory and welfare approvals.
Do not sub-award or outsource animal research to partners lacking processes that ensure policy compliance.
Do not exceed approved animal numbers or modify approved animal-use plans without prior notification to SEA DREAM.

Protected animals include non-human vertebrates, live cephalopods, independently feeding larval forms, and late-gestation mammalian foetuses.
Work conducted outside the UK must meet welfare standards equivalent to those required in the UK.
NC3Rs independent review is required for studies involving cats, dogs, equidae, non-human primates or large numbers of animals; funding may be conditional on addressing concerns raised by NC3Rs.
Use NC3Rs tools (e.g., Experimental Design Assistant) to strengthen study design where applicable.
Ensure that all personnel involved in animal research receive appropriate ethics and animal care training.

17 SEA DREAM: Use of Generative AI Policy

SEA DREAM supports responsible, transparent and secure use of generative AI in funding applications and research, ensuring accuracy, equity and protection of confidential information. This policy is part of grant conditions.

Disclose any use of generative AI in grant applications (except for translation or improving English).
Ensure all AI-generated contents are accurate and free from false, misleading or hallucinated information.
Protect confidentiality and personal data — keep such information out of AI tools.
Consider IP rights when using AI outputs and obtain necessary permissions.
Explain clearly how AI will be used in proposed research and ensure datasets represent diverse populations.
Provide internal organisational guidance to their staff on responsible AI use.

Expert reviewers and evaluation panel:
Don’t input confidential, personal or application-related content into AI tools
- If the use of Generative AI is identified, these reviews and comments will be excluded in making funding decision.
Don’t overlook risks of bias, harm or inequity when designing AI-enabled research.
- Applicants must provide mitigation plans for risks in AI-based research.

Disclosure of AI use in grant applications is for transparency and monitoring only; it does not influence funding decisions.
Applicants are fully responsible for all content, including any AI-generated text.
SEA DREAM, including expert reviewers and panelists, does not use AI tools to assess or decide on grant applications.

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