Health Research Council of New Zealand 4th Quarter report

Transcription

1 Health Research Council of New Zealand 4th Quarter report Output 4 Performance Indicators All activities conducted by the HRC Ethics Committee under Section 25 of the HRC Act Function of Ethics Committee January 2012 to 30 June 2012 Activities Conducted by the Data Monitoring Core Committee 1 July 2011 to 30 June 2012 Financial Statements 12 Months to 3 June 2012 Report to the Minister of Science and Innovation DRAFT,

2 Report to the Ministry of Health on all activities conducted by the HRC Ethics Committee under Section 25 of the HRC Act Function of Ethics Committee for the period 1 January to 30 June 2012 The HRC Ethics Committee (HRCEC) is an HRC statutory committee established under the Health Research Council Act Section 25 of the HRC Act is attached as Appendix 1. The HRCEC had two teleconferences (March and May) and met twice (February and May) during this period. The activities are noted below: 1. HRC Ethics Committee Membership as at 30 June 2012: Associate Professor Tim Dare (Chair) Dr Lynley Anderson Professor Richard Beasley Associate Professor Huia Tomlins Jahnke* Professor Graham Mellsop Dr Barry Smith Associate Professor Susan Stott Ethicist/Philosopher/Lawyer Ethicist Science/Member of HRC Board Tikanga Māori Science Community Clinician/Member of HRC Board *Māori representative Ms Lana Lon was Secretary to the committee during this reporting period. 2. Complaints and Second Opinions 2.1 Complaints No complaints were received during this period. 2.2 Second Opinion Request Dr Simon Carson requested a second opinion on the decision by the Multi Region Ethics Committee (MREC) to decline his asthma study for ethics approval. The issue was discussed by the members via teleconference in March, followed by seeking expert opinion through the Asthma Foundation. A second opinion that did not agree with the first decision was communicated to the MREC. Subsequently, the MREC reconsidered the study and have given approval with a number of provisos to be met by the study team. 3. Ethics Framework 3.1 National Ethics Advisory Committee (NEAC) The HRCEC was kept up to date with NEAC s work programme through copies of their minutes and a verbal update at each HRCEC meeting from Dr Robin Olds, the HRC representative on NEAC. 3.2 Review of HRC ethics guidelines An expert in human genetic research was approached to advise whether the HRC Guidelines on Human Genetic Research are still relevant and whether they need updating. Committee members agreed to review the ethics, accreditation and referral guidelines so that they align with the new Standard Operating 1

3 Procedures for health and disability ethics committees. 3.3 Paper on peer review The HRC in conjunction with the National Ethics Advisory Committee (NEAC) have prepared a guideline on peer review of scientific quality of health and disability research proposals. The guideline will be appended to the guideline documents of NEAC and used to inform applicants and health and disability ethics committees. 3.4 Changes to the Health and Disability Ethics Committees (HDECs) The HRCEC made a submission with regards to the changes to HDECs in February. 4. Initiatives The HRCEC had written to all Institutional Ethics Committees (IECs) on the benefits of approval by the HRCEC, from a risk management view after the discussion at the February meeting. Replies from the IECs highlighted a number of issues such as an increased workload, the speed of change, a lack of consistent ethical framework and the fact the research for educational qualifications (with some exceptions) will be exempt from HDEC review. There are concerns that there are gaps in the new system. Committee members agreed to include the identification of gaps to its work plan. At a meeting with the Minister of Health to discuss the changes of the HDECs earlier this year, the HRC and NEAC requested that an evaluation of the effects of change be conducted within a certain period after implementation of the new system. The HRCEC will work with the Manager of Ethics Committees to agree a timeline for review and organise the evaluation. 4.1 Ethics Notes The HRCEC has established a regular ethics publication called Ethics Notes. The aim is to create a forum for highlighting topical ethical issues currently facing Ethics Committees and the research community. One publication was produced during this reporting period in the month of March. The next two issues are scheduled to be published in July and November. The publications are made available on the HRC website as well as distributed widely through HRC networks. 4.2 Training for Institutional Ethics Committee (IEC) Members Training for IEC members was carried out in Christchurch in March. 5. Ethics Summer Studentships 5.1 Committee members agreed the process for awarding studentships for 2012/2013 followed the same format as 2011, asking each institution to nominate one studentship. Suggested topics for the studentship include: assessment of recent changes to the ethics review system and any other significant topic in health ethics. 2

4 6. Advice 6.1 No request for advice was received during this period. 7. Review of Approved Ethics Committees Annual Reports 7.1 A satisfactory annual review is a requirement for on going approval. During the period, the HRCEC reviewed the Annual Reports from the following approved Institutional Ethics Committees (IECs) and Health and Disability Ethics Committees (HDECs). The reports were accepted as satisfactory. The IECs continue to be approved. The seven HDECs were dissolved in June and will be replaced by a new HDEC system. Institutional Ethics Committees: Lincoln University Human Ethics Committee Massey University Human Ethics Committee: Northern Massey University Human Ethics Committee: Southern A Massey University Human Ethics Committee: Southern B UNITEC Research Ethics Committee University of Auckland Human Participants Ethics Committee University of Otago Human Ethics Committee Waikato Institute of Technology Human Ethics in Research Committee Health and Disability Ethics Committees: Central Regional Ethics Committee Lower South Regional Ethics Committee Multi region Ethics Committee Northern X Regional Ethics Committee Northern Y Regional Ethics Committee Upper South A Regional Ethics Committee Upper South B Regional Ethics Committee 8. Approval of new ethics committees 8.1 The HRCEC approved the following four new health and disability ethics committees via teleconference in May: Central Health and Disability Ethics Committee Northern A Health and Disability Ethics Committee Northern B Health and Disability Ethics Committee Southern Health and Disability Ethics Committee 3

5 Appendix 1 Section 25 of the HRC Act (1) The functions of the Ethics Committee shall be (a) To consider and make recommendations to the Council on ethical issues in relation to health research, especially those emerging through the development of new areas of health research: (b) To provide and review ethical guidelines for the Council: (c) Subject to paragraph (d) of this subsection, to ensure that, in respect of each application submitted to the Council for a grant for the purposes of health research, an independent ethical assessment of the proposed health research is made either by the Ethics Committee itself or by a committee approved by the Ethics Committee: (d) Where an application for a grant for the purposes of health research is submitted to the Council in respect of health research that is of national importance or great complexity, to itself make an independent ethical assessment of the proposed health research: (e) To review, at the request of any person who has made an application for a grant for the purposes of health research, the independent ethical assessment made, in respect of the proposed health research, by a committee approved under paragraph (c) of this subsection: (f) To give, in relation to ethics committees established by other bodies, advice on (i) the membership of those committees; and (ii) the procedures to be adopted, and the standards to be observed, by those committees: (g) To provide independent comment on ethical problems that may arise in any aspect of health research. (h) To perform any other functions (whether or not related to health research) it is for the time being (i) given by or under any enactment; or (ii) authorised to perform by the Minister, by written notice to the Health Research Council after consultation with it. (1A)The Minister must, as soon as practicable after giving a notice to the Health Research Council under subsection (1)(h)(ii), publish a copy in the Gazette and present a copy to the House of Representatives. (2) The Ethics Committee or any ethics committee approved under subsection (1)(c) of this section may, in carrying out an independent ethical assessment under paragraph (c) or paragraph (d) of subsection (1) of this section, consult, as it thinks fit, with other persons or bodies. 4

6 Report to the Ministry of Health on all activities conducted by the Data Monitoring Core Committee for the period of 1 January to 30 June 2012 The Data Monitoring Core Committee (DMCC), formerly known as the Data and Safety Monitoring Board (DSMB), was established by the Health Research Council in Its purpose is to provide objective, independent monitoring of clinical trials in New Zealand. The primary involvement of the DMCC will be in large scale clinical trials initiated by New Zealand researchers in the setting of life threatening diseases, or diseases which cause irreversible morbidity. The DMCC may also be asked to participate in monitoring studies in other settings; for example, where there are special concerns regarding patient safety, where the study investigators are inexperienced, or where study integrity could be enhanced by the independence of the DMCC. It is not anticipated that the DMCC monitors observational studies or small trials where the total timeframe for the trial is short. HRC Data Monitoring Core Committee Members of the DMCC (from 1 January to 30 June 2012) are shown below: Associate Professor Katrina Sharples (Chair) Department of Preventive and Social Medicine, University of Otago, Dunedin Associate Professor Tim Dare Department of Philosophy, University of Auckland, Auckland Dr Mark Jeffery Department of Oncology, Christchurch Hospital, Canterbury Professor Ngaire Kerse General Practice and Primary Health Care, University of Auckland Professor John McCall Department of Surgery, New Zealand Liver Transplant Unit, Auckland Hospital, Auckland Associate Professor Andrew Moore Department of Philosophy, University of Otago, Dunedin Professor Ralph Stewart Cardiology Department, Auckland District Health Board, Auckland Professor Tom Fleming (Consultant) School of Public Health and Community Medicine, University of Washington, Seattle Ms Lana Lon was Secretary to the committee during this reporting period. 5

7 Monitored Trials The trials being monitored by the DMCC in the reporting period were: Name of Trial Principal Investigator DMC members Stable Primary Care Depression: maintenance vs. Gradual withdrawal of fluoxetine (ACT) Associate Professor Dee Mangin Associate Professor Tim Dare Dr Mark Jeffery Professor Ngaire Kerse Professor Robert Kydd Professor John McCall Associate Professor Andrew Moore Associate Professor Katrina Sharples Improving adherence using combination therapy (IMPACT) Brain Injury Rehabilitation (McPherson) Does Cabergoline prevent weight regain in people with obesity? (POWER) A randomised trial of tiotropium treatment for bronchiectasis (ROBUST) Sodium lowering in dialysae study (SOLID) Associate Professor Chris Bullen Professor Kathryn McPherson Associate Professor Patrick Manning Dr Conroy Wong Dr Mark Marshall Professor Ralph Stewart Dr Mark Jeffery Dr Andrew Kerr Professor Ngaire Kerse Professor John McCall Associate Professor Andrew Moore Associate Professor Katrina Sharples Professor Ralph Stewart Dr Mark Jeffery Professor Ngaire Kerse Professor Robert Kydd Professor John McCall Associate Professor Andrew Moore Associate Professor Katrina Sharples Professor Ralph Stewart Dr Mark Jeffery Professor Ngaire Kerse Professor John McCall Associate Professor Andrew Moore Associate Professor Katrina Sharples Professor Ralph Stewart Dr Mark Jeffery Professor Ngaire Kerse Professor John McCall Associate Professor Andrew Moore Associate Professor Katrina Sharples Professor Ralph Stewart Dr Mark Jeffery Professor Ngaire Kerse Professor John McCall Associate Professor Andrew Moore Associate Professor Katrina Sharples Professor Ralph Stewart 6

8 Name of Trial Principal Investigator DMC members Safety and efficacy of high dose allopurinol in the management of gout: a randomised interventional study (Stamp) Associate Professor Lisa Stamp Associate Professor Peter Gow Dr Mark Jeffery Dr Andrew Kerr Professor Ngaire Kerse Professor Thomas Lumley Professor John McCall Associate Professor Andrew Moore Effect of vitamin D on cardiovascular and respiratory disease event rates (ViDA) Professor Robert Scragg Professor Ralph Stewart Associate Professor Katrina Sharples Dr Mark Jeffery Professor Ngaire Kerse Associate Professor Patrick Manning Professor John McCall Associate Professor Andrew Moore Professor Ralph Stewart Two meetings via teleconference were held in January. An in person meeting was held over two days in May. 7

9 HEALTH RESEARCH COUNCIL OF NEW ZEALAND Notes to Financial Statements 12 months to 30 June 2012 Operating Statement 1 Revenue Total Revenue is $2.238M ahead of budget for the period. The variance is accounted by: Capital charge adjustment 1.278M Interest 0.218M Bequests not controllable M Other Income including fees from Partnerships 0.250M SCOTT fee from MoH not controllable (0.024M) $2.238M Other Income including fees from Partnerships. These activities are now contributing significant revenue. Revenue line is made up as follows: Partnership and other management fees 0.493M DHB Investment Fund (net of disbursements) 0.157M 2 Cost of Producing Outputs Total Cost of producing outputs is $1.43M ahead of budget for the year (10/11 $0.53M over budget). See schedules for each output. Research Contract Management $0.32M over budget. (10/11 $0.46M under budget) See schedules. Committee Costs: Favourable variance.. Assessing costs: Favourable variance. Secretariat: Over budget. But for the unexpected capital charge (reimbursed see income variation) Secretariat would have been under budget by $0.271M and below prior year actual. Other Activities: Over budget. $0.062M $0.058M $0.335M $0.004M Output 1: Health Research Contracts Contestable Funding Round: over budget by $2.46M (10/11 $2.68M over). A quicker take up of contracts and less slippage than in prior years contributes to the faster spend. The faster take up does not put HRC activity at risk. Māori Health Research: this line represents the Vision Matauranga Capability funding received from MSI. Additional Māori Health Research is funded from the Contestable Funding Round. 8

10 Output 2: Career Development Awards under spent by $0.69M (10/11 $0.57M under). Significant funds are committed but the carry forward effect of under allocation for the disabilities placement awards will take time to work through. Output 3: Co-Funding Relationships Partnership Programme: under spent by $.096M (10/11 $1.19M under). Partnership spending is lumpy. National Health Committee contract should flatten the annual spend. International Investment Opportunities Fund: over spent by $0.41M (10/11 $0.47M under). Timing. Running down old contracts. 3 Overall the period finished with the a deficit of $5.64M less than budget by $0.81M (10/11 deficit $4.88M higher than budget by $0.53M). Statement of Financial Position 4 Funds held for MoH & JV Partners Summary movements 2011/ /11 Opening funds at 1 July M M Funder contributions this year to date 4.008M 2.716M Interest credited 0.762M 0.902M M M Less Charged to contract activity 7.504M 6.368M Management fees and charges 0.698M 0.519M 8.202M 6.887M Funds Held (liability-owing to partners) $16.859M $20.291M Represented by Funds held for MoH & JV partners M M Contributions and interest accruals MoH 0.043M 0.288M & JV partners Funds Held at reporting date (asset invested for partners or due to be paid by partners) $16.859M $20.291M 5 Accounts receivable Accounts receivable are amounts due and payable to HRC. All JV partners are billed in accordance with contract schedules. Account Receivable is made up as follows: 2011/ /11 Funds due MSI -M 6.452M Owing by JV partners 0.043M 0.288M Other sundry 0.199M 0.111M $0.242M $6.851M 6 Accounts payable and receipts in advance Accounts payable and receipts in advance are amounts due to be payed, amounts recognised as payable or amounts held on behalf of Joint Venture research investment initiatives. The make-up is as follows: 2011/ /11 Funds held for JVs M M Contract retentions 4.226M 2.919M General supplies, GST, Accruals 0.715M 0.625M $21.800M $23.835M 9

11 HEALTH RESEARCH COUNCIL OF NEW ZEALAND $(000) Operating statement 12 Months to 30 June 2012 Actual ($000) Notes 12 Months to 30 June 2012 Actual ($000) Budget Year to Date ($000) Variance $ ($000) Variance % 12 Months to 30 June 2011 Actual ($000) Revenue Government funding Vote S and I 83,298 82,020 1,278 2% $ 83,538 Vote Health % ,583 82,305 1,278 2% 83,823 Interest % 447 Bequests & other % 0 Other income % 714 SCOTT Gross % 263 Total revenue 1 85,513 83, % 85,247 Cost of producing outputs Research Contract Management Output class 1 Health Research 4,690 4, % 3, Contestable Funding Round 75,016 72,560-2,456-3% 73, Maori Knowledge & Development 1,980 1, ,980 Output class 2 Career Development Awards 5,845 6, % 5,240 Output class 3 Co Funding Relationships -- Partnership Programme 2,492 3, % 2, International Investment Opportunities Fund % 2,104 Output class 5 Research Support Activities % 400 Total cost of producing outputs 2 91,152 89,720-1,432-2% 90,130 Surplus(deficit) for year to date 3 (5,639) (6,445) 806 (4,883) 10

12 Cash flows to report date 12 Months to 30 June 2012 Actual ($000) 12 Months to 30 June 2012 Actual ($000) 12 Months to 30 June 2011 Actual ($000) Cash flows from operating activities Cash from Vote S&I and other support 85,045 84,800 Cash disbursed to supply of outputs 83,359 84,908 Net cash flows from operating activities 1, Cash flows from investing activities Cash provided from Interest Investment maturities(net) Cash applied to Purchase of fixed assets Net cash flows from investing activities Net increase (decrease) in cash held 1, Opening cash brought forward Ending cash 1,

13 Statement of financial position at report date as at 30 June 2012 ($000) as at 30 June 2012 ($000) as at 30 June 2011 Actual ($000) Current assets Bank and Short Term Deposits 1, Term Deposits ,232 Funds held for MoH & JRP Partners 4 16,816 20,003 Accounts receivable ,851 Advances 0 29,607 37,282 Current liabilities Accounts payable & Receipts in Advance 6 21,800 23,835 7,807 13,447 Fixed assets Bequests Funds 1,635 2,168 Investments (1,635) -2, Net assets 7,870 13,509 Public equity Opening Balance 13,509 18,392 Add Transfer from liabilities Less transfer from operating statement -5,639-4,883 7,870 13,509 12

14 June 2012 Report to the Minister of Science and Innovation For the Period: 1 January June

15 Table of Contents TABLE OF CONTENTS INTRODUCTION SIGNIFICANT ACTIVITIES AND RISKS IN REPORTING PERIOD SIGNIFICANT ACTIVITIES RISKS AND MITIGATIONS HRC SPECIAL REQUIREMENTS: PROGRESS & ISSUES PROGRESS AGAINST PERFORMANCE MEASURES RESEARCH CONTRACT MANAGEMENT SERVICES HEALTH AND SOCIETY RESEARCH VISION MĀTAURANGA CAPABILITY FUND INTERNATIONAL RELATIONSHIPS FUND FUNDING ROUND STATISTICS AND FUNDS DISPERSED FUNDING ROUND STATISTICS SUMMARY OF NEW AND ACTIVE CONTRACTS BY CROWN FUND OUTPUT ONE: HEALTH AND SOCIETY RESEARCH OUTPUT TWO: VISION MĀTAURANGA CAPABILITY FUND OUTPUT THREE: INTERNATIONAL RELATIONSHIPS FUND HRC COMMITTED AND UNCOMMITTED FUNDS EXCEPTIONS BASED REPORTING EXCEPTIONS AGAINST STATEMENT OF INTENT AND OUTPUT AGREEMENT OTHER MATTERS ARISING

16 1 Introduction The following report provides information for the Science and Innovation Group within the Ministry of Business, Innovation and Employment (MBIE), on the HRC s investment in health research that is compliant with the reporting requirements outlined in Section E of the HRC s Output Agreement (2011). It contains the following Sections: Report Section 1 Introduction n/a Output Agreement Ref 2 Significant Activities and Risks in Reporting Period E1.1.3a and d 3 HRC Special Requirements: Progress & Issues E1.1.3b 4 Progress Against Performance Measures E1.1.3c 5 Funding Round Statistics and Funds Dispersed E1.1.3e and f 6 Committed and Uncommitted Funds E1.1.3g 7 Exceptions Based Reporting E1.1.3h-j 15 HRC Report to the Minister of Science and Innovation: January June 2012

17 2 Significant Activities and Risks in Reporting Period The following section contains information on: significant HRC activities occurring during this reporting period, and risks to the HRC arising during the reporting period and any associated actions to mitigate risks. It covers reporting requirements listed in the HRC Output Agreement (2011) Sections E1.1.3 a and d. 2.1 Significant Activities HRC Annual Funding Round During this six-month period the HRC completed its 2012 Annual Funding Round. The majority of HRC s funding is offered through the Annual Funding Round to research projects that are investigator-initiated. Research is supported across four Research Investment Streams (RIS): Improving Outcomes for Acute and Chronic Conditions in New Zealand (IOACC); Health and Wellbeing in New Zealand (HWNZ); New Zealand Health Delivery (NZHD), and Rangahau Hauora Māori (RHM). Four types of grant are available: Programmes; Projects; Emerging Researcher First Grants, and Feasibility Studies. Applications are reviewed using an assessment process involving national and international expert referees, detailed discussion by Science Assessing Committees, and further review by the Grant Approval Committee before final approval by the HRC Board. During the 2012 Annual Funding Round the HRC processed 179 full applications submitted to the four different Research Investment Streams (RIS) and will offer 53 contracts to the successful applicants 1. These projects are due to commence from July 2012 and will be reported on in the July-December 2012 six-month report. The following table shows the balance of investment between Research Investment Streams for the 2012 Annual Funding Round (Projects and Programmes only). Table 1: Balance of Investment in 2012 Annual Funding Round RIS % of % of Contracts Budget IOACC HW NZHD RHM For more detailed information on the 2012 Annual Funding Round, see Section 5.1. HRC Report to the Minister of Science and Innovation: January June

18 2.1.2 Partnership Programme A total of five Requests for Proposals (RFPs) were released through the Partnership Programme during the current reporting period. Better, Sooner, More Convenient Healthcare Initiative (joint initiative with the Ministry of Health). Pacific Health Research Partnership (joint initiative with the Ministry of Health). Community Based Primary Healthcare (joint initiative with Canadian Institutes for Health Research). Queen Elizabeth II Jubilee Research Grant (joint initiative with the Ministry of Health) Provision of Advice to the Minister During this reporting period the HRC has provided the following advice to the Minister of Science and Innovation, Hon. Steven Joyce: 1. A briefing paper to inform the Minister of the results of the HRC s Annual Funding Round and to alert him to any potential media risks (30 May 2012). 2. Information on HRC funding received by the Malaghan Institute ahead of the Ministers visit to the institute (12 June 2012). 3. A briefing paper outlining the HRC s investment framework and timeframe to outcomes and impact (14 June 2012). 2.2 Risks and Mitigations There were no significant risks to the HRC identified during the reporting period. HRC Report to the Minister of Science and Innovation: January June

19 3 HRC Special Requirements: Progress & Issues Within this section progress against each of the Special Requirements outlined within Section B of the HRC s Output Agreement (2011) is described. It covers the reporting requirement listed in the HRC Output Agreement, Section E1.1.3 b. B1: Investment Impact Report Content B1.1. The Council will provide MSI with an Investment Impact Report in accordance with Schedule E [of the Output Agreement]. The purpose of the report is to demonstrate the effectiveness of investments made by the Council by way of Funding Contracts, and provide advice on the future effectiveness of these investments. Progress: The HRC delivered the Investment Impact Report to the Ministry of Science and Innovation and the Ministry of Health in Issues: None identified. B2: Access to Publications and Data B2.1. Participation. The Council will participate in the development of MSI s processes (including consultation) for the development of policy concerning access to publically funded publications and data relating to any research activities. Progress: Work not yet commenced. Issues: n/a. B2.2. Implementation. If any Government policy on access to publications and data is approved during the Term, both Parties will work together to agree an implementation plan covering implementation by the Council of any relevant aspects of the approved Government policy. Progress: Work not yet commenced. Issues: n/a. B3: Investing for Economic Gain B3.1. The Council will consult with MSI as it implements the Minister of Health s expectation that the HRC investments have the potential to improve value for money through improved health outcomes and health delivery, and produce economic gain. Progress: HRC implements the Minister of Health s expectations through our investment framework. The HRC s four Research Investment Streams (RIS) set out how our research projects will contribute to improved health and economic outcomes. The Investment Signals were developed between by 4 Expert Advisory Groups, each of which included representation from colleagues at MoRST/MSI in order to ensure alignment and address the potential for duplication in funding opportunities across the Issues: none identified HRC Report to the Minister of Science and Innovation: January June

20 science and innovation sector. No further consultation beyond the initial development of the Investment Signals has been required in this reporting period as the content of the Investment Signals has not changed. B4: Delivering Services in a Changing Environment B4.1. The Government is implementing changes in the Science and Innovation sector over the coming year which may have an impact on the Council s operations. The changes include the development and implementation of sector and cross sector strategies, and reviewing and improving operational settings. B4.2. The Board and management of the Council are to work with MSI collaboratively and positively to implement any changes as they arise. Progress: No changes arising during current reporting period. Issues: n/a B5: HRC Research Investment Streams B5.1. The Council has decided on four investment streams to be implemented in time for the annual funding round. Future reporting will be aligned to these streams. The Council will consult MSI before making changes to the new investment framework or any substantive changes to the Investment Signals developed for each stream. Progress: No substantive changes to Research Investment Streams have been made in this reporting period. Issues: n/a HRC Report to the Minister of Science and Innovation: January June

21 4 Progress against Performance Measures The following section contains tables showing the HRC s progress against performance measures specified in the HRC s Output Agreement (2011, Sections A and C). Where there are any issues or risks associated with meeting a target, these are discussed in the Outcomes column. The section covers the reporting requirement listed in the HRC Output Agreement (2011) Section E1.1.3 c. 4.1 Research Contract Management Services Table 2: RCM Services Performance Measures (Output Agreement Ref A4.1) Type of Measure Measure Target Outcomes Cost Costs allocated to the management of each HRC Output as a % of the total Crown Fund Payments No more than 5% Achieved Timeliness for making investments The average time to complete the investment processes for the Crown Funds for all Funding Contracts, from the point at which applications are received to when approvals are made No more than 9 months Achieved 4.2 Health and Society Research Table 3: Health and Society Research Performance Measures (Output Agreement Ref C1.3) Type of Measure Measure Target Outcomes Quality for making investments Quality for monitoring investments Cost RFPs, contracts and other working documents are aligned with the objectives of the HRC Output in the SoI and scope of the appropriation for the Health and Society Output in the Estimates. Contracts are monitored to ensure that they remain aligned with the scope of the appropriation for the Health and Society Output in the Estimates, and as reported on in each six-monthly report and Annual Report by each HRC Output. Costs allocated to the management of each HRC Output as a % of the total Crown Fund Payments for the Health and Society Output. 100% Achieved 100% Achieved No more than 5% Achieved HRC Report to the Minister of Science and Innovation: January June

22 4.3 Vision Mātauranga Capability Fund Table 4: Vision Mātauranga Capability Fund Performance Measures (Output Agreement Ref C2.3) Type of Measure Measure Target Outcomes Quality for making investments Quality for monitoring investments Cost RFPs, contracts and other working documents are aligned with the objectives of the Vision Mātauranga Capability Fund in the SoI and scope of the appropriation for the HRC Output in the Estimates. Contracts are monitored to ensure that they remain aligned with the scope of the appropriation for the Vision Mātauranga Capability Fund in the Estimates, and as reported on in each six-monthly report, and Annual Report by each HRC Output. Costs allocated to the management of this Vision Mātauranga Capability Fund as a % of the total Crown Fund Payments for this HRC Output. 100% Achieved 100% Achieved No more than 5% Achieved 4.4 International Relationships Fund Table 5: International Relationships Fund Performance Measures (Output Agreement Ref C3.3) Type of Measure Measure Target Outcomes Quality for monitoring investments Cost Contracts are monitored to ensure that they remain aligned with the scope of the appropriation for the HRC Output in the Estimates, and as reported on in each six-monthly report, and Annual Report by each HRC Output. Costs allocated to the management of this HRC Output as a % of the total Crown Fund Payments for this HRC Output. 100% Achieved No more than 5% Achieved HRC Report to the Minister of Science and Innovation: January June

23 5 Funding Round Statistics and Funds Dispersed The following section contains information on: HRC 2012 Annual Funding Round Statistics, and New and Active HRC Contracts. It covers reporting requirements listed in the HRC Output Agreement, Sections E1.1.3 e and f. 5.1 Funding Round Statistics Application Processing Statistics For the 2012 Annual Funding Round, the HRC utilised its two-stage process for Project applications (Expressions of Interest and Full Applications) and one-stage process for Programme, Programme Extension, Emerging Researcher First Grant, and Feasibility Study applications. For each type of application the following table provides: the deadline for receipt of each application type; the date contracts were offered to researchers, and total processing time. Table 6: Application Processing Statistics Funding Type Exp. of Interest Full Application Contract Offered Processing Time Project 16 Sept Dec June months Programme n/a 4 Nov June months Programme Extension Emerging Researcher First Grant n/a 4 Nov June months n/a 4 Nov June months Feasibility Study n/a 4 Nov June months Note that the processing time for Project applications can be further broken down to 2 months for the first stage (date of Expressions of Interest/date of outcome letters) and 5.5 months for the second stage (date of Full Application receipt/date of contracting). Because the timeline for the HRC s 2012 Annual Funding Round was brought forward one month, processing times have increased by a similar amount of time. However, the change improves the current overlap with processes run by other funding agencies. This should better distribute workload for applicants who apply to multiple funding agencies, and improve the HRC s ability to find available peer reviewers and assessing committee members from New Zealand and in particular, Australia. HRC Report to the Minister of Science and Innovation: January June

24 5.1.2 Application Success Statistics In the 2012 Annual Funding Round, 179 full applications were received across all funding types and the HRC will offer 53 contracts to the successful applicants. Project proposals were processed through a two-stage process beginning with 378 Expressions of Interest leading to 96 full applications assessed in the second stage. There was a significant over-subscription for all fund types in the 2012 Annual Funding Round. The following table provides information about number of applications received at each stage of the process: Table 7: Application Success Statistics Funding Type Exp. of Interest Full Application Contracts Offered Project Programme Programme Extension Emerging Researcher First Grant Feasibility Study * From Full Application stage % Successful* 5.2 Summary of New and Active Contracts by Crown Fund Table 8 (below) provides an overview of New and Active contracts by Crown Fund for the current reporting period. Definitions of New and Active contracts are listed below. New contracts that began (had a start date) during the current reporting period. Active contracts that have a termination date within or beyond the current Financial Year 2. Note that the Active contracts category includes all contracts classified as New and all on-going contracts within a particular fund. Further details related to each Crown Fund are provided in Sections Does not include contracts that have not yet commenced (such as contracts allocated in the 2012 Annual Funding Round). HRC Report to the Minister of Science and Innovation: January June

25 Table 8. Summary of New and Active HRC Contracts for the Reporting Period 1 January June Crown Fund HRC Output HRC Investment Tool(s) No of New Contracts Health & Society Vision Mātauranga (VM) Capability Fund International Relationships Fund Health Research Contracts Career Development Contracts Co-Funding Relationships Health Research Contracts Co-Funding Relationships Value of New Contracts ($) No of Active Contracts 4 Active Contracts; Disbursement ($) 5 Annual Funding Round 1 7 7,214, ,996,000 ICIHRP Career Development Awards ,804, ,845,000 Partnership Programme 9 2,162, ,492,000 Contributes to investment in Māori health research , ,980,000 IIOF , Annual Funding Round grants include Programmes, Projects, Emerging Researcher First Grants, and Feasibility Studies. 2 Career Development Awards include Clinical Research Training Fellowships, Disability Research Placement Awards, Māori and Pacific Health Research Career Awards, and Sir Charles Hercus Fellowships. 3 VM Capability Fund Awards includes Ngā Kanohi Kitea Development and Project Grants, Māori Seeding Grants and Grants in Aid, HRC/FRST Māori Health Grants and the salary component of the three projects awarded under the Rangahau Hauora Māori Research Investment Stream in the 2011 Annual Funding Round. 4 Number of active contracts in financial year to 30 June Disbursement in financial year to 30 June This figure includes spend on membership to the International Human Frontier Science Programme. Abbreviations: ICIHRP = International Collaborative Indigenous Health Research Partnerships; IIOF = International Investment Opportunities Fund 24 HRC Report to the Minister of Science and Innovation: January June 2012

26 5.3 Output One: Health and Society Research The Vote Science and Innovation Output Expense: Health and Society Research maps to three HRC Output classes: Health Research Contracts, Career Development Awards, and Co-Funding Relationships (see Table 8 for a summary). As Table 8 shows, the Health Research Contracts Output class includes research funded through the HRC s Annual Funding Round and the International Collaborative Indigenous Health Research Partnership Grant (ICIHRP) Health Research Contracts New Contracts: Number and Total Dollar Value Table 9 provides the number and total dollar value of new Health Research Contracts commencing during this reporting period, by type of award. Table 9. New contracts: Health Research Contracts Output Award Value ($) Number Project 7,214,478 7 Programme - - Programme Extension - - Emerging Researcher First Grant - - Feasibility Study - - ICIHRP Grant - - Grand Total 7,241,478 7 Active Contracts: Number and Disbursements The HRC supported 240 active Health Research Output contracts during the financial year to 30 June Spend on these contracts was $76,996, Career Development Contracts New Contracts: Number and Total Dollar Value Table 10 provides the number and total dollar value of new Career Development Contracts commencing during this reporting period, by type of award. Table 10. New Contracts: Career Development Output Award Value ($) Number Clinical Research Training Fellowship 1,450,001 7 Māori Health Research Career Awards 3 983,804 8 Pacific Health Research Career Awards 4 491,736 4 Sir Charles Hercus Fellowships 1,500,000 3 Māori and Pacific Development Grants 40,000 4 Erihapeti Rehu-Murchie Fellowship 339,407 1 Grand Total 4,804, Includes Māori research Masters Awards (1), PhDs (3), Post-Doctoral Awards (2), and Rangahau Hauora Awards (2). 4 Includes Pacific Health Research Masters (2), PhDs (1), and Post Doctoral Awards (1). HRC Report to the Minister of Science and Innovation: January June

27 Active Contracts: Number and Disbursements The HRC supported 133 active Career Development Award contracts during the financial year to 30 June Spend on these contracts was $5,845, Co Funding Relationships New Contracts: Number and Total Dollar Value Table 11 provides the number and total dollar value of new Partnership Programme contracts commencing during this reporting period. Table 11. New Contracts: Co Funding Relationships Output Partnership Partner Project Title Budget ($) Cancer Research Partnership Research Partnerships for NZ Health Delivery Maori Health Joint Venture HIV Behavioural Study of African Communities in New Zealand Pacific Health Research Ministry of Health n/a Ministry of Health Ministry of Health Ministry of Health (no HRC funding) Ministry of Health An Internal Examination of Colorectal Cancer Management in New Zealand Identifying & overcoming barriers to smoking cessation in rheumatoid arthritis 1,000, ,779 Haua Mana Maori 151,790 Oranga niho me nga tangata whaiora 303,540 HIV Risks and Concerns among African Communities in New Zealand 2012 Pacific Research Networking Grant Dr A Tanuvasa 2012 Pacific Research Networking Grant Dr M Ofanoa 2012 Pacific Research Networking Grant Dr O Dewes 2012 Pacific Research Networking Grant Dr R Firestone 584,036 5,000 5,000 5,000 5,000 Grand Total 2,162,145 Active Contracts: Number and Disbursements The HRC supported 63 active Partnership Programme contracts during the financial year to 30 June Spend on these contracts year was $2,492,000. HRC Report to the Minister of Science and Innovation: January June

28 5.4 Output Two: Vision Mātauranga Capability Fund The purpose of the Vision Mātauranga Capability Fund is to develop research capability for Māori health research. The Vision Mātauranga Capability Fund forms part of HRC s larger investment in Māori health research. This investment takes place through a range of funding mechanisms. The largest is Māori health research contracts funded through the Annual Funding Round. In the 2012 Annual Funding Round, four projects were funded under the Rangahau Hauora Māori Research Investment Stream, with a total value of $3,715,270. Across all Research Investment Streams, 26% of contracts awarded in 2012 (8/31) were evaluated as having relevance to Māori. In addition to the Annual Funding Round, the HRC also funds Māori health research through funding mechanisms such as ICIHRP and Māori Career Development Awards. The contract types retrospectively mapped to and supported by the Vision Mātauranga Capability Fund are listed below. Ngā Kanohi Kitea Development Grants. Ngā Kanohi Kitea Project Grants. Māori Seeding Grants. Māori Grants in Aid. HRC/FRST Māori Health Research Projects. Salary component of projects funded in 2011 under the Rangahau Hauora Māori Research Investment Stream. New Contracts: Number and Total Dollar Value Table 12 provides the number and total dollar value of new Vision Matāuranga Capability Fund contracts commencing during this reporting period, by type of award. Table 12. New Contracts: Vision Matāuranga Capability Fund Output Award Value ($) Number Ngā Kanohi Kitea Project Grants 358,860 2 Grand Total 358,860 2 Active Contracts: Number and Disbursements The HRC supported 33 active Vision Mātauranga Capability Fund contracts during the financial year to 30 June Spend on these contracts was $1,980,000. HRC Report to the Minister of Science and Innovation: January June

29 5.5 Output Three: International Relationships Fund International Investment Opportunities Fund (IIOF) There were no funding rounds for IIOF Objectives One or Two during the reporting period, and no new contracts. Active Contracts: Number and Disbursement (Objectives One and Two) The HRC supported 11 active IIOF contracts during the financial year to 30 June Spend on these contracts was $839, The HRC s membership of the International Human Frontier Science Programme is also funded through this Output. The Human Frontier Science Program (HFSP) is a program of funding for frontier research in the life sciences. The HFSP supports novel, innovative and interdisciplinary basic research focused on the complex mechanisms of living organisms; topics range from molecular and cellular approaches to systems and cognitive neuroscience and the interactions between organisms. The current members of the International Human Frontier Science Program Organization are the G7 nations, Australia, India, Republic of Korea, Norway, Switzerland, New Zealand and the non-g7 members of the European Union, who are represented by the European Commission. Membership and subscription costs in the financial year to 31 June 2012 were $149, This figure includes spend on membership to the International Human Frontier Science Programme. HRC Report to the Minister of Science and Innovation: January June

30 6 HRC Committed and Uncommitted Funds Information on HRC Committed and Uncommitted funds is provided in a supplementary document to this report entitled Financial Statements 12 Months to 30 June The supplementary document covers reporting requirements listed in the HRC Output Agreement (2011) Sections E1.1.3g. HRC Report to the Minister of Science and Innovation: January June

31 7 Exceptions Based Reporting The following section covers the exceptions based reporting requirements listed in the HRC Output Agreement Sections E1.1.3 h-j. Where required, information on the following issues will be provided: 1. exceptions against the HRC Statement of Intent and Output Agreement; 2. other matters as specified in this [Output] Agreement for this Report, and 3. any other matters the Minister, or Council, considers appropriate. 7.1 Exceptions against Statement of Intent and Output Agreement There have been no exceptions against the HRC Statement of Intent and Output Agreement during this reporting period. 7.2 Other Matters Arising There have been no other matters arising in the areas listed above during this reporting period. HRC Report to the Minister of Science and Innovation: January June

32 Signed by Mr Robert Stewart, ONZM Chair, HRC Board Signature: Date: HRC Report to the Minister of Science and Innovation: January June