Research Partnerships for New Zealand Health Delivery (RPNZHD) 2016

Expression of Interest (EOI) Guidelines July 2016 Expression of Interest Application Guidelines for Research Partnerships for New Zealand Health Delivery (RPNZHD) 2016

Contents Part A: Introduction... 1 Part B: Rules for Submitting an Expression of Interest... 3 1. Use of EOI216-RPNZHD Form... 3 2. Format... 3 3. RPNZHD 2016 Closing Dates... 4 4. Copies of Applications Required... 4 5. Privacy Provisions... 5 6. Mailing Address... 6 7. Enquiries... 6 Part C: Completion of the EOI Section 1 Registration... 7 1. Section 1: General Information... 7 Part D: Completion of the EOI Sections 2 and 3... 11 1. Section 2A: Summary of Proposed Research... 11 2. Section 2B: Alignment with Request for Proposals... 12 3. Section 2C: References... 13 4. Section 3: First Named Investigator & First Named Decision Maker NZ Standard CV... 13 Part E: RPNZHD EOI Assessing and Scoring... 14 EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page ii

Part A: Introduction Please note that these guidelines have been specifically tailored for the Request for Proposals (RFP) entitled Research Partnerships for New Zealand Health Delivery (RPNZHD) 2016. This Request for Proposals is a component of the HRC Partnership Programme, through which the HRC forms strategic partnerships with funders and stakeholders to target resources towards developing the evidence-base in key areas of need and to strengthen the links between policy and practice. The Expression of Interest (EOI) phase is the first stage of the application process. The EOI is a short application expressing interest in the RFP and provides a succinct overview of the intended research. EOIs will be assessed and top-ranked applicants will be invited to submit a Full Application for the next stage of the process. The information provided in your EOI form must be consistent with any future Full Application. There are three sections to an EOI application; Section 1 is a web-based registration form, Section 2 is a word application form, and Section 3 involves the upload of a CV for the first named investigator and the first named decision maker (see Part C and Part D of these Guidelines for a description of the different sections). Figure 1 outlines the process for submitting an EOI. Figure 1: Diagram for submitting an EOI* 1 Request for Proposals (RFP) released 18 July 2016 2 Submit EOI Section 1: 3 Submit EOI Sections 2 & 3 Online Registration forms (upload as pdfs) (submitted via HRC Gateway) 18 August 2016 (submitted via HRC Gateway) 1 September 2016 4 Submit paper copies of 5 Review by EOI Assessing complete EOI Committee 8 September 2016 6 Notification of EOI assessment results Late October/Early November 2016 Next Steps Submission of full application by invited applicants Full app deadline 13 December 2016 * The above dates are the HRC closing dates applicants will need to confirm their institution s due dates. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 1

It is acknowledged that the EOI form provides limited space for the description of the proposed research. Therefore, proposals must be written in a clear, concise manner with sufficient detail to enable the assessing committee to fully appraise the scope and implications of the proposal. EOIs are strictly evaluated according to the requirements specified in the RFP and the scoring criteria outlined in these guidelines (refer to Part E); with recognition for proposals considered most likely to advance understanding within the theme area. The RFP process does not promote investigator-initiated research; however, innovation is always encouraged in the approach employed to address the full scope of the RFP. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 2

Part B: Rules for Submitting an Expression of Interest 1. Use of EOI216-RPNZHD Form 1.1 When to use EOI216-RPNZHD Form The EOI216-RPNZHD form must be used for all EOIs submitted under the RFP for Research Partnerships for New Zealand Health Delivery (RPNZHD) 2016. The New Zealand Standard CV template must be used for submission of the first named investigator and first named decision maker CVs. 1.2 Prior to submission Before submitting a research application, applicants should read: The RFP for Research Partnerships for New Zealand Health Delivery (RPNZHD) 2016; Guidelines on Ethics in Health Research; Guidelines for Researchers on Health Research Involving Māori; and the Guidelines for Pacific Health Research. Applicants should also familiarise themselves with the EOI Assessment and Scoring criteria, as detailed in Part E of these guidelines. All documents are available on the HRC website (). 1.3 New Host Organisation New host organisations (e.g., Independent Hosts), who have not previously been funded by the HRC, will be required to answer due diligence questions. Please contact the HRC for further information. 2. Format 2.1 General Formatting Applications must be written in a clear and concise manner with sufficient detail to enable knowledgeable, not necessarily specialised, reviewers to fully assess the scope and implications of the proposal. Assessing committees find well-constructed and properly presented applications more user-friendly. Applications must be prepared in English or te reo Māori; if in te reo Māori a translation in English must also be provided (any translation will not be included in the page limit). Please note that the HRC cannot guarantee that Māori macrons will be translated correctly when forms are converted to pdf. The form must be filled in using default fonts and other settings (margins), although applicants may add subheadings and boldface/underlining for clarity. Note that 8-point fonts in illustrations are difficult to read and sometimes do not convert to pdf clearly. Line spacing less than 1 in Word should not be used and additional spacing between paragraphs is easier to read. Use the original EOI216-RPNZHD form as it may contain special features. To ensure your application is processed: Use default margins Use single line spacing EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 3

Do not exceed page limits. Use only Arial 10 point or larger. CVs must be Arial 12-point font (the CV is not an HRC document and has different formatting requirements). 2.2 Compliance The HRC will not process any application that does not comply with stated page limits or font sizes. 2.3 Additional Documents Proposals must be fully self-supporting (no other documents are to be included). 3. RPNZHD 2016 Closing Dates 3.1 Registration (EOI Section 1) Applicants will need to complete and submit an online registration form (Section 1 of the EOI) by 1pm, Thursday 18 August 2016. Registrations are released to the HRC only after approval by the applicant s host research office or equivalent. Please allow sufficient time near this closing date for these steps. For organisations without research offices, the application will be forwarded directly (via HRC Gateway) to the HRC. 3.2 Submission of EOI Sections 2 and 3 The closing date for Sections 2 and 3 of the EOI to be submitted online to the HRC is 1pm, Thursday 1 September 2016. The EOI is released to the HRC only after approval by the applicant s host research office or equivalent. Please allow sufficient time near this closing date for these steps. For organisations without research offices, the application will be forwarded directly (via HRC Gateway) to the HRC. 3.3 Submission of Paper Copies (EOI Sections 1, 2 and 3) HRC Gateway creates a single pdf document of the complete application after the EOI has been submitted electronically to the HRC. The closing date for receipt of the two paper copies of the system-generated application form (Sections 1, 2 & 3) is 5pm, Thursday 8 September 2016. 3.4 Incomplete Applications Incomplete applications will not be accepted and will be deleted from HRC Gateway after the application closing date. 4. Copies of Applications Required 4.1 Electronic copy Once the Registration deadline has passed, upload the completed EOI216-RPNZHD via HRC Gateway as a pdf file created by using the pdf function in MSWord or another pdf generator. The conversion to pdf format prior to uploading allows applicants quicker access to the final compiled application, containing all sections, so that inspection of graphics can be completed. A CV for the first named investigator and the first named decision maker is also required to be uploaded and submitted via Gateway. The New Zealand Standard CV template is available on the HRC website. HRC Gateway will allocate file names for the system-generated EOI application. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 4

4.2 Paper Copies HRC Gateway creates a pdf document of the complete EOI application (Sections 1, 2 & 3) once the application has been submitted to the HRC via HRC Gateway. Submit two double-sided stapled copies of the complete system-generated application (containing Sections 1, 2 & 3) to the HRC. Applications must be correctly collated. No collation of inserts can take place after receipt of the application. 4.3 No Faxed or Email Copies Applications must be received in paper copy format AND in electronic format via HRC Gateway (see above for details). 4.4 Incomplete Applications Incomplete applications will not be accepted. 4.5 Returned Applications No part or parts of an application can be returned to the applicant. 5. Privacy Provisions 5.1 Statistical Purposes The information requested in an application will be used for the purpose of assessing that application and, in a non-identifiable form; some information will be used for HRC statistical purposes. The HRC undertakes to store all applications in a secure place and to destroy declined applications after due process to preserve confidentiality, unless applications are required to be kept by the National Archives. 5.2 Peer Review Personal information contained in the application may be made available to external reviewers and members of the HRC Committees relevant to the review of the application. This includes electronic and paper copies of the application. The HRC will seek reports from reviewers, where appropriate, to assess the scientific merit, health importance and cultural appropriateness of the application. 5.3 Media Release In the event that an application is successful, the HRC reserves the right to release applicants' names, details of the host institution, contact details (work phone or email), contract title, lay summaries and funding awarded for public interest purposes and to meet the statutory requirements of the Health Research Council of New Zealand Act 1990. 5.4 Official Information Act Should the HRC receive requests for information in an application via the Official Information Act then we will consult with the host institution in handling the request. Where appropriate, or in certain circumstances the request may be transferred by the HRC to the host institution. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 5

6. Mailing Address The application should be sent to the HRC office as shown below: Mailing Address: Attention: Luke Garland Health Research Council of New Zealand P O Box 5541 Wellesley Street, AUCKLAND 1141 Physical/ Courier Address: Attention: Luke Garland Health Research Council of New Zealand 3 rd Floor 110 Stanley Street, AUCKLAND 1010 7. Enquiries All enquiries related to HRC applications should be directed in the first instance to the Research Office of the applicant s host institution. Where the Research Office cannot assist, or for technical enquires relating to applications, contact the HRC: Luke Garland Project Manager Research Partnerships team DDI: 09 303 5214 Email: lgarland@hrc.govt.nz EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 6

Part C: Completion of the EOI Section 1 Registration Applicants are first required to submit a Registration. The Registration involves completing a web-based form that is submitted electronically via HRC Gateway. Submitting a Registration signals the intention of the applicant to submit an Expression of Interest (EOI) application. Once submitted, the Registration is forwarded (via HRC Gateway) to the host Research Office. The Research Office will then need to approve the Registration and then forward to the HRC. Always allow sufficient time near the Registration closing date for these steps. For organisations without research offices, the application will be forwarded directly (via HRC Gateway) to the HRC. First named investigators and all other named investigators must have an HRC Gateway account, to be able to be included in an application. Named investigators will be able to be added after EOI Section 1 has been submitted and before EOI Section 2 is submitted. Registrations are due by 1pm, Thursday 18 August 2016. The majority of the fields that are required to be completed at the EOI Section 1 Registration stage will also be able to be edited up until the EOI Section 2 deadline (1pm, Thursday 1 September 2016). The only fields that won t be able to be changed post-registration are the first named investigator and the host organisation. Note: The information entered in Section 1 of the EOI application will also form part of a full application and will not be able to be significantly changed at that stage. 1. Section 1: General Information 1st Step The applicant will first be required to enter a research title and select a host organisation. Research Title The research title should be succinct and clearly describe the proposed project. The title must not exceed 80 characters, including spaces and punctuation. Do not use all caps. Host Organisation The host organisation (or institution) will be responsible for administering any awarded contract. The host institution can be different to the partner organisation. Select your Host organisation from the drop-down list (this shows host organisations currently recognised by the HRC). Note: If your host organisation does not appear and/or you are an independent researcher, select the Independent researcher (HRC to administer) option in the dropdown list. An additional free-text box labelled Host Organisation will become visible on the next page please enter your intended actual host organisation. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 7

2nd Step First Named Investigator Some of the information required for this the first named investigator will be automatically populated from the first name investigator s person profile. Click on the Update button to enter: Department Ethnicity (optional) Gender Clinician Practising FTE The first named investigator will be understood to be acting for, and in concurrence with, the other named investigators. All correspondence for the application will be addressed to this person. Only the first named investigator will be cited by the HRC in its press release on successful applications. Note: If the first named investigator is also acting as the first named decision maker, include this information under Section 2B, Role of first named decision maker. 3rd Step Click on the Update button to enter details. The information required for Application details differs from round to round. Note: if a field does not need to be completed until the full application stage, there will be a blank space next to that particular field at the Registration stage this information will only be able to be entered at the full application stage. Research Office This field will not be applicable for most host organisations. However, if the organisation has more than one research office it will need to be selected from the drop-down box. Research Location(s) This is the specific department(s) and organisation where the majority of research or data analysis will be undertaken. Another way of looking at this is, which group should be credited in any HRC publication of successful applications? This is likely to be where the first named decision maker or first named investigator is based. Discipline Select from the drop-down box. Duration Enter the proposed term of the research (months). Please ensure the duration of the research meets the timeframe requirements as outlined in the RFP. Commencement Date Enter the proposed commencement date (day/month/year). The start date of research projects must be within 4 months from notification of the funding outcome. Note: please carefully consider the start date, as applicants will be held to their proposed start date and it can only be changed in extraordinary circumstances. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 8

Lay Summary The lay summary should be a statement of not more than 150 words suitable for dissemination to, and understanding by, a lay audience, e.g., in a media release. Include research objectives, principal methodologies and potential health outcomes or impact. HRC Funding Request ($) Only required at the full application stage. Partnership Organisation Contribution ($) Only required at the full application stage. Other Named Investigators Click on the Update button to enter details. All named investigators must have an account profile on HRC Gateway before they can be added to an application. There are three ways that you can find a person s profile: HRC ID this is an internally generated number that displays on a person s profile Email search by email address First name, Surname If no match is found, contact the named investigator and ask them to sign up for HRC Gateway. If the named investigator s organisation is not available from the drop down list, they will need to select the Independent researcher (HRC to administer) option for their organisation when signing up for HRC Gateway. After selecting the named investigator, ensure the following fields are completed: Department Organisation Role in Project Ethnicity (optional) Gender Clinician Practising FTE Share application access Any named investigator can be removed or updated by clicking on the Remove/Update button. Named Investigators are defined as those researchers duly responsible for the conduct of the proposed research (this may include subcontractors who are named investigators). Typically, these persons would constitute those doing the research. Role in project covers position or skills in the project, e.g., project manager with overall responsibility for the coordination of the study; statistician working across study groups to provide advice and final analysis, etc. The role of First Named Decision Maker (as described in the RFP) must be allocated to one of the named investigators for an application to be eligible. Information on ethnicity, gender and whether the researcher is a clinician (and practising) is used for HRC evaluation purposes only. A clinician is defined as a health professional involved in the clinical practice of EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 9

medicine, psychology, dentistry, physiotherapy/occupational therapy or pharmacy. This includes all qualified doctors, nurses, midwives, dentists, pharmacists, physiotherapists, occupational therapists, dieticians and psychologists. Dieticians and psychologists are only considered clinicians if they have been involved in clinical practice. Dental nurses and physiotherapy assistants are not considered to be clinicians. A practising clinician is an individual who is contractually obligated to treat patients or clients, and does not engage with patients only for the purposes of research. Include the FTE involvement of each investigator on the research project, as the assessing committee needs to know the level of commitment or responsibility of each team member. It is particularly important to identify more junior investigators who may undertake key components for the proposed research. Host Institution Office Contact Complete the contact details for the person who will be the contact for the application process. In most cases, this will be someone at the Research Office of the host institution. Nominated impartial peer reviewers Nominated peer reviewers are not references to support your application. External peer reviewers will be utilised by the HRC to carry out peer review of full applications. They should not be people that may be compromised in their assessment of applications due to a conflict of interest such as having a close professional, collegial or personal relationship with an applicant. Ideally, nominated impartial peer reviewers should not be from the same institution as the named investigators. Applicants may nominate up to two. Peer reviewers unacceptable to applicant Name an individual or research group that would be unacceptable as a peer reviewer. An individual or research group may be unacceptable as peer reviewers because: 1) they are competitors, 2) there is a conflict of interest, 3) there are commercially sensitive issues. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 10

Part D: Completion of the EOI Sections 2 and 3 Once the deadline for submission of the EOI Section 1 Registration has passed, the EOI Section 2 form can be submitted. The EOI216-RPNZHD form contains a coversheet and Sections 2A-2C of the EOI application. The EOI Section 3 involves the completion and uploading of the CVs for the first named investigator and the first named decision maker. The New Zealand Standard CV template must be used for submission of these CVs. Both forms can be downloaded from the HRC website and completed before being uploaded to the HRC Gateway as pdf files. 1. Section 2A: Summary of Proposed Research (3-page limit) The following section headings should be used to structure the discussion of your proposed research. Throughout your discussion, remember that your audience includes not only your discipline-specific readers, but also a more broadly experienced assessing committee that is comparing your application s merits against many others. It is in your best interest to structure your discussion in a clear and logical fashion. Ideally, seek feedback from a colleague outside your immediate research area. Note that the research plan in the Full Application should not differ from what is described in the EOI; significant changes can disqualify the full application. Rationale for research Include information that you feel is essential for the reader to better appreciate or understand the rationale for your research application. Why is the issue being approached in the way outlined in this application? Why is this research of importance to the decision maker and partner organisation? Aims and/or hypothesis List study aims and/or hypothesis in respect to what is envisaged to be achieved from this research. Research design and methods Include sufficient detail of study design and method such that an assessment can be made of its appropriateness, robustness and/or innovativeness. This might include a description of sample recruitment and characteristics (including number, gender and ethnicity where relevant), study methodology, and proposed methods of data analysis. Where appropriate, provide an estimate of the likely effect size and the sample size required to detect this (power analysis). Indication of timelines for the research should be included. Consultation with specialists such as methodologists, statisticians, health economists and Māori (if appropriate) before finalising your research design is recommended. It is important that you consider how the research design and methods will meet the requirements of the RFP and ensure the delivery of any outputs as stated in the RFP. Track record of the research team relevant to this proposal Include a brief description of the team s track record related to the proposal area, to demonstrate the ability to deliver proposed study outcomes and to support research uptake. The Assessing Committee will consider the skills and/or expertise in the team that would support both delivery of the proposed research outcomes and support the EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 11

uptake of research outcomes (should the results be positive). Justification for staff roles should be provided. Responsiveness to Māori It is expected that research providers at the earliest planning stage indicate the quality and extent of their relationship with Māori specific to their research proposals. For example, what would be the Māori involvement, if any, should the EOI application proceed to the next stage (full application) and beyond? It is recommended that you obtain advice or collaboration at an early stage, to ensure that Māori involvement is appropriate. 2. Section 2B: Alignment with Request for Proposals (1-page limit) Fill in this part of the form using the headings provided. Applicants should be familiar with the RFP before writing for an assessing committee that represents researcher and end-user perspectives. Research Budget, Partner Organisation and Decision Maker The total budget stated should be an estimate of the total cost of undertaking the research project as proposed. This should be broken down by dollar amount and percentage to the funding requested from the HRC and a description of the contribution that is to be made by the partner organisation(s). At the EOI stage it is understood that the budget (dollar amounts and percentages) will be approximate but must be within 25% of any final budget submitted as part of a Full Proposal; a greater change can disqualify the full application. Also briefly describe the contribution of the partner organisation, and the involvement of first named decision maker, including how they will be involved in the research and at what stages (i.e., developing the research questions, monitoring progress, implementing the research results) and why they have been selected in this capacity. Note: The funding requested from the HRC may be up to 75% of the research costs and to a maximum of $200,000 (exclusive of GST, exclusive of partner organisation contribution). Applications that exceed these parameters may not be considered eligible. The name of the partner organisation(s), a description of the nature of their contribution, and the role of the decision maker must be stated. Contribution to the Objectives outlined in the RFP This covers what the research will deliver with respect to the objectives identified in the RFP. Fit with Scope and Themes outlined in the RFP This covers the type of research proposed and the research question. Potential for and nature of Impact This covers the key information on the research benefit/impact and projected timeframe. Provide key information on the potential for knowledge transfer and the processes or steps in place that will support uptake of the research findings. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 12

3. Section 2C: References (1-page limit) Ensure this section is on a new page, to avoid it being included in page limits for proposed research: there is a one-page limit to the number of reference pages. Citations for key references in the text in Section 2B should be supplied. Details must include author(s), title of article, journal, year, volume and page numbers. Asterisks are to be placed beside applicant's publications. 4. Section 3: First Named Investigator & First Named Decision Maker NZ Standard CV Upload the CV of the first named investigator and the first named decision maker only. The CV template will need to be converted to a PDF and uploaded via HRC Gateway. The CV template can be accessed on the HRC website. Any evidence of the experience, ability and authority of the first named decision maker to implement change and uptake research findings can be included in the CV for the decision maker in Part 2 under the heading Other forms of dissemination. Take care to use the original CV formatting including the default font and page limits. The HRC will not accept any other form of CV. EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 13

Part E: RPNZHD EOI Assessing and Scoring EOI Assessing Committee An assessing committee is responsible for assessing the EOIs. Nomination and selection of the assessing committee membership is undertaken by the HRC. The assessing committee will be multidisciplinary (including end-user representation) and members will represent a wide range of departments or institutions in New Zealand. EOIs are assessed and ranked so that a restricted number of Stage two full proposals are invited for submission to the HRC. Prior to the meeting, committee members will provide preliminary scores. At the meeting these pre-scores can be used to rank the applications and to decide which applications will continue to full discussion. Also, prior to the meeting, each committee member is assigned a number of EOIs that they will be expected to provide initial input on at the meeting (committee reviewer). Each EOI is introduced by the appropriate committee reviewer, discussed by the whole assessing committee and the EOI is scored to produce a ranked list. The assessing committee then considers the ranked EOI list and recommends those that should submit a full proposal and those that should not. Only highly ranked EOIs will be invited to submit a full proposal. EOI applications for the RPNZHD initiative are scored on a 5-point scale using the below criteria. Criteria for Assessing and Scoring EOI Proposals in RPNZHD 2016 Scientific Merit (including rationale for research and aims/hypothesis) 1, None; 2, unclear; 3, acceptable; 4, good; 5, outstanding Research Design and Methods Track record of the research team relevant to this proposal Fit with Objectives, Scope and Themes outlined in RFP 1, Seriously flawed; 2, limiting; 3, acceptable; 4, good; 5, very good 1, Unqualified; 2, qualified but inexperienced; 3, capable; 4, good; 5, outstanding 1, None; 2, little; 3, moderate; 4, high; 5, outstanding Potential for and nature of Impact Global score: should submit Full Application 1, None; 2, little; 3, moderate; 4, high; 5, outstanding 1, Strongly disagree; 2, disagree; 3, undecided: 4, agree; 5, strongly agree When awarding the global score the Committee members consider overall impression and also: The appropriateness of the request for support in relation to the RFP; and The Responsiveness to Māori (for the stage of development and type of research proposed). EOI216-RPNZHD Application Guidelines 2016 Health Research Council of New Zealand. All rights reserved. Page 14