Guidelines May 2013 Application Guidelines (JV213-HIP RNA) for The Health Innovation Partnership: Novel Interventions for Resistant Hypertension
JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page ii
Contents Section 1: Introduction... 1 1. Outline of the application process... 1 2. Creating an EASY user account... 1 3. Privacy provisions... 1 4. Enquiries... 2 5. Mailing Address... 2 6. Application process and closing dates... 3 Section 2: Submitting an Expression of Interest (EOI)... 4 Part A Introduction... 4 Part B Rules for submitting an Expression of Interest... 4 Part C Completing the Expression of Interest (EOI) form... 7 Section 1 EOI Section 1 Registration... 7 Section 2 EOI Section 2 Research proposal... 8 Section 3 Submitting a full application... 10 Part D Rules for submitting a full application... 10 1. Use of JV213-HIP RNA form... 11 2. Use of JV213-Budget form... 11 3. Format... 11 4. Finalisation of your application... 12 5. Electronic submission... 13 6. Hard copy submission... 13 Part E Guidelines for completing a full application... 14 1. MODULE 1: GENERAL INFORMATION... 14 2. MODULE 2: PROPOSED RESEARCH... 16 3. MODULE 3: REFERENCES... 17 4. MODULE 4. CONTRACT INFORMATION AND BUDGET... 17 5. MODULE 5: STANDARD MSI CV... 24 6. MODULE 6: ADMINISTRATION... 24 7. MODULE 7: CLASSIFICATION OF RESEARCH... 25 Checklist for full application submission... 26 Appendix 1: General Information for Research Applications... 27 Appendix 2: Key steps in submitting applications via EASY... 29 Appendix 3: Assessment Criteria... 35 JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page iii
Section 1: Introduction Please note that these guidelines have been specifically tailored for the Request for Proposals entitled Health Innovation Partnership: Novel Interventions for Resistant Hypertension. 1. Outline of the application process Applicants are required to submit an Expression of interest (EOI). The EOI is assessed by an Assessing Committee and the top applicants are then invited to submit a full application. The Expression of Interest is submitted in two parts via the HRC s Online Applications and Assessment System (EASY). Refer to Section 2 for more information. The full application is due subsequently and should be uploaded via EASY and hard copies sent to the HRC. Refer to Section 3 for more information. EOI Refer Section 2 for further information Assessment and notification Figure 1 Overview of application process for this RFP. The light blue colour signifies an action required of the applicant, with the light grey referring to an HRC process/action. 2. Creating an EASY user account Assessment and notification Full application Refer Section 3 for further information If they do not already have one, applicants should create a new account on the EASY system. Refer to Key steps in Submitting applications via EASY (Appendix 2) for assistance. The EASY portal can be accessed via the following URL: https://secure.hrc.govt.nz/ 3. Privacy provisions 3.1. 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. 3.2. Personal information contained in the application may be made available to external referees and members of the HRC Committees relevant to the review of JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 1
the application. This includes electronic and paper copies of the application. The HRC may seek reports from referees, where appropriate, to assess the scientific merit, health importance and cultural appropriateness of the application. 3.3. 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, fax 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. 3.4. 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. 4. Enquiries All enquiries related to HRC research applications should be directed in the first instance to the Research Office of the applicants host institution. Where the research office cannot assist, or if you do not have a research office, contact the Research Partnerships team at the HRC: Jessica Smith Project Manager Research Partnerships team DDI 09 303 5227 Email jsmith@hrc.govt.nz 5. Mailing Address The application should be sent to the Council s office as shown below: Mailing Address: Physical/ Courier Address: Health Research Council of New Zealand Health Research Council of New Zealand P O Box 5541, Wellesley Street, 3 rd Floor, 110 Stanley Street, Grafton AUCKLAND 1141 AUCKLAND 1010 Attn: Jessica Smith Attn: Jessica Smith JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 2
6. Application process and closing dates Below is an overview of the application process. All closing dates are noted. Refer to the following sections for more information on what is required at each step. All forms are available on the HRC website () Applicants must meet each of the deadlines below in order to continue in the process. EOI Section 1 Step 1. EOI Section 1 - Registration - use webform in EASY - submit electronically via EASY portal Due 12pm, Wednesday 29 May 2013 EOI Section 2 Step 2. EOI Section 2 Research proposal - use EOI213-HIP RNA form - submit electronically via EASY portal Due 12pm, Wednesday 5 June 2013 - submit hard copies (Section 1 and Section 2) 2 x copies Due 5pm, Wednesday 12 June 2013 HRC Assessment Full application HRC Peer review Step 3. Assessment - Independent assessing committee undertakes assessment (see Appendix 3 for EOI assessment criteria) - Successful applicants invited to submit full application Step 4. Full application - use JV213-HIP RNA form - submit electronically via EASY portal Due 12pm, Friday 26 July 2013 - submit hard copies to HRC 1x original app. & 2 x copies Step 5. Peer review - HRC undertakes peer review of all full applications Due 5pm, Friday 2 August 2013 Applicant rebuttal HRC Assessment Step 6. Applicant Rebuttal - submit electronically via EASY portal Opens 9am, Monday 5 August 2013 - Applicant has 48 hours days to respond to peer review comments Step 7. Assessment - Independent assessing committee undertakes assessment (see Appendix 3 for full application assessment criteria) Due 9am, 7 Wednesday August 2013 Final outcome Step 8. Outcome - Applicants will be notified of the outcome in August. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 3
Section 2: Submitting an Expression of Interest (EOI) Part A Introduction Outline Applicants are required to submit an Expression of Interest (EOI). An EOI is submitted in two sections; EOI Section 1 Registration applicants are required to complete a web-based form that is submitted electronically via EASY (due 12pm, Wednesday 29 May 2013). The registration forms Section 1 of your EOI application. EOI Section 2 Research Proposal; applicants are required to complete an application form that is then uploaded via EASY (due 12pm, Wednesday 5 June 2013). The EASY system will merge Sections 1 and 2 and create a PDF document labelled EOI Proposal. Hard copies of the complete EOI application (Sections 1 and 2) are then submitted to the HRC (due 5pm, Wednesday 12 June 2013). Applicants are advised to refer to the Key steps in submitting applications via EASY (Appendix 2) for assistance in using the EASY system. This guide provides brief stepwise instructions to assist new users in the submission process. Part B Rules for submitting an Expression of Interest 1. Submission of an EOI Before submitting a research application, applicants should read the following documents: HRC s Investment Strategy 2012 Guidelines on Ethics in Health Research Guidelines for Researchers on Health Research involving Māori Guidelines for Pacific Health Research Applicants should also familiarise themselves with the Research Application Review Process, and the Criteria for Assessment and Scoring of Partnership Programme Research Applications, as detailed in Appendix 3 of these guidelines. All documents are available on the HRC web site. 1.1. Section 1 of the Expression of Interest - Registration Section 1 is a web-based form that is accessed via the HRC s Online Application and Assessment System (EASY). Applicants are advised to familiarise themselves with the EASY submission process. Refer to the Key steps in submitting Partnership Programme applications via EASY (Appendix 2) for further information. Part C of these guidelines provides guidance as to what is required in each of the fields in this form. This form must be submitted to the HRC by 12pm, Wednesday 29 May 2013. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 4
Please note that EASY requires a Research Office (or similar authority) to make the final submission to the HRC. This must be completed by the due date. 1.2. Section 2 of the Expression of Interest Research Proposal Applicants are then required to complete Section 2 using the EOI213-HIP RNA form. Once completed, this word document is uploaded via EASY. Part C of these guidelines provides guidance as to what is required in each of the fields in this form. This form must be submitted to the HRC by 12pm, Wednesday 5 June 2013. Please note that EASY requires a Research Office (or similar authority) to make the final submission to the HRC. This must be completed by the due date. 1.3. Submission of hard copies of the complete Expression of Interest application (Sections 1 and 2) Once the two sections have been uploaded and the Section 2 submission has closed, the EASY system creates a single PDF document of the complete application. Applicants are required to download this PDF, print 2 copies and send them to the HRC. The hard copies must be submitted to the HRC by 5pm, Wednesday 12 June 2013. Mailing Address: Physical/ Courier Address: Health Research Council of New Zealand Health Research Council of New Zealand P O Box 5541, Wellesley Street, 3 rd Floor, 110 Stanley Street, Grafton AUCKLAND 1141 AUCKLAND 1010 Attn: Jessica Smith Attn: Jessica Smith 1.4. Incomplete or late applications will not be accepted. 2.0 Format 2.1 Proposals 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. Applications must be prepared in English or te reo Māori (if in te reo Māori a translation in English must also be provided) using the Microsoft Word document and Microsoft Excel spreadsheets. 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 it is possible to change heading fonts for clarity. Single line spacing should be used at all times. Use the original EOI213-HIP RNA form as it may contain special features. To ensure your application is processed: a) Do not copy and paste the Module or Section headings b) Do not merge tables c) Do not alter table headings (shaded blue), or remove table columns. d) Use only Arial 10 point or 11 point type. These are the default formats in the form. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 5
e) Adhere to page limits. 2.2 The HRC will not process any application that does not comply with stated page limits or font size restrictions. 2.3 Applications must be fully self-supporting. Documentation such as letters of commitment must be collated with the application, and must show the HRC application reference number issued after submission of EOI Section 1. Cofunding commitments from other sources that are confirmed after the closing date should be provided as they become known as they may be useful to the committee. 2.4 Applications must be correctly collated. No collation of inserts can take place after receipt of the application. All copies should be double-sided and stapled, not clipped. Please do not staple the original application. 2.5 The HRC will not accept faxed or emailed research applications. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 6
Part C Completing the Expression of Interest (EOI) form This section provides guidance as to what is required in each field of the application form. Section 1 EOI Section 1 Registration Section 1 is the web-based form accessed via EASY. It must be submitted electronically to the HRC by 12pm, Wednesday 29 May 2013. 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. Host organisation The host organisation (or institution) will be responsible for administering any awarded contract. For example, for those applicants at Wellington School of Medicine, Dunedin School of Medicine or Christchurch School of Medicine, the host institution is The University of Otago. Research Location This is the specific department(s) and organisation where the majority of research or data analysis will be undertaken. For example, Department of Community Health, Christchurch School of Medicine is an example of a research location. Another way of looking at this is, which group should be credited in any HRC publication of successful applications? This is usually where the First Named Investigator is based. Commencement Date and Term Enter the proposed commencement date and the term (months). Funding will be available for an immediate start for the research project, although the start-date for the research is negotiable. First Named Investigator The title (e.g. Associate Professor, Dr), first name(s), and surname of the first named investigator should be entered in this table. The first named investigator will be considered the first point of contact during the application and assessment process, and 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. (The ethnic identity column is optional.) List of other named investigators (NI) The title (e.g. Associate Professor, Dr), first name(s), and surname should be entered for all other named investigators. 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. Please see the Annex, on what constitutes a named investigator (excerpt from the Vancouver Convention). Role covers position or skills in the project, e.g., data manager, synthetic chemist, statistician. (The ethnic identity column is optional.) Host institution office contact Complete the contact details for the person who will be the primary contact for the application process. In many cases, this will be the Research Office of the host organisation. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 7
Nominated impartial referee Nominated referees are not references to support your application. External referees 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 a close professional, collegial or personal relationship with an applicant. Applicants may nominate up to two. Referees unacceptable to applicant Name an individual or research group that would be unacceptable as a referee. An individual or research group may be unacceptable as referees because: 1) they are competitors, 2) there is a conflict of interest, 3) there are commercially sensitivity issues. Section 2 EOI Section 2 Research proposal Section 2 uses the EOI213-HIP RNA form. It must be submitted electronically to the HRC by 12pm, Wednesday 5 June 2013. Applicants must then submit hard copies of the application by 5pm, Wednesday 12 June 2013. 2a. Proposed research 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 reviewers, but also a more broadly experienced Assessing Committee that is comparing your application s merits against 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. Likely cost of research Enter the likely cost of the research. 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, and how does this address the RFP? 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, 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. 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? JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 8
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. Justification for staff roles should be provided. 2b. Alignment with Request for Proposals The following section headings should be used to structure the discussion of how your proposed research aligns with the Request for Proposals. Contribution to Purpose and Goals outlined in the RFP This covers what the research will deliver with respect to the purpose and goals identified in the RFP. Fit with Scope and Themes outlined in the RFP This covers the type of research proposed and the research question. 2c. References 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 2A 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. Applicants wishing to upload their references from EndNote should first paste the references into a blank document, and then copy and paste these into the form. 2d. First Named Investigator NZ MSI Standard CV Copy and paste the standard MSI CV of the First Named Investigator into this section of the form (refer to for CV template). Take care to use the CV formatting. The HRC will not accept any other form of CV. 2e. Lay Summary Provide a summary of the research (150-word limit). Include research objectives, principal methodologies and potential health outcomes or impact. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 9
Section 3 Submitting a full application This section provides information on completing a full application. Applicants should ensure that they have fulfilled all other required steps as outlined in these guidelines and the RFP document. Please note that only applicants successful at the EOI stage will be asked to submit a full application. Part D Rules for submitting a full application The full application process requires applicants to submit two components to the HRC: A written proposal using the JV213-HIP RNA (MS Word) form A budget spreadsheet using JV213-Budget (MS Excel) form The written proposal is completed using an MS Word template (Modules 1-7). Once the form has been completed, the MS Word JV213-HIP RNA form and the JV213-Budget form are uploaded via EASY. Hard copies are also submitted to the HRC. Previous Steps Submission of Registration of Intent 3 Submit hard copies of full application 4 HRC undertakes peer review of all applications DUE 5pm, Friday 2 August 2013 1 Complete full application Use: 2 Submit electronic copy of full application (upload) JV213-HIP RNA DUE 12pm, Friday 26 JV213-Budget July 2013 5 Applicant rebuttal Submitted by 9am, 7 August 2013 6 Review by HRC Assessing Committee 7 HRC notifies applicants of assessment results August 2013 8 HRC contracts with successful providers Figure 2 Diagram outlining the full application process JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 10
1. Use of JV213-HIP RNA form 1.1. The JV213-HIP RNA form (word document) is completed and the application is submitted via EASY. Only applicants invited to submit a full application should complete this form. 1.2. Ensure that the correct form (JV213-HIP RNA) is being used (for Modules 1-7). No other form should be used. This form is available via the HRC website () and is a MS Word file. Applicants should also familiarise themselves with the Research Application Review Process, and the Criteria for Assessment and Scoring of Partnership Programme Research Applications (for EOI applications and full applications), as detailed in Appendix 3 of these Guidelines. 1.3. New enterprises (e.g. Independent Hosts) who have not previously been funded by the HRC will be required to answer due diligence questions before their application is processed. Please contact Jessica Smith, Project Manager (email jsmith@hrc.govt.nz or phone 09 303 5227) for further information. 2. Use of JV213-Budget form 2.1. Ensure that the correct form (JV213-Budget.xls) is being used. No other form should be used. 2.2. Sections 4A-4D of Module 4 should be entered in the budget spreadsheet using the JV213-Budget form. 3. Format 3.1. Applications must be written in a clear, concise manner with sufficient detail to enable the reviewers to fully assess the scope and implications of the application. Applications must be prepared in English or Te Reo Māori (if in Te Reo Māori a translation in English must also be provided) using MSWord document and MSExcel spreadsheets. Please note that the HRC cannot guarantee that Māori macrons will be translated correctly when forms are converted to PDF. The application must be filled in using default fonts and other settings (e.g. margins, line spacing). The spreadsheets may be expanded by copying sheets, or by expanding row heights, but not column widths. Single line spacing should be used at all times. Documents must be printed on white A4 paper, singled-sided for the original, double sided for copies. Paper copies must be reproduced at the original size. The use of colour is not recommended. Please use the original JV213-HIP RNA form as it may contain special features. To ensure your application is processed: a. Do not copy and paste the Module or Section headings. b. Do not merge tables. c. Do not alter table headings (shaded blue), or remove table columns. d. Use only Arial 10 point or 11 point type. These are the default formats within the default font. e. Adhere to page limits. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 11
3.2. Assessing Committees find well-constructed and properly presented applications more user-friendly. The HRC reserves the right to not process any application that does not strictly comply with stated page limits, line spacing or font size restrictions. 3.3. Applications must be fully self-supporting. Documentation such as letters of commitment must be collated with the application, and must show the HRC application reference number issued after submission of EOI Section 1. Co-funding commitments from other sources that are confirmed after the closing date should be provided as they become known as they may be useful to the committee. 3.4. Applications must be correctly collated. No collation of inserts can take place after receipt of the application. All copies should be double-sided and stapled, not clipped. Please do not staple the original application. 3.5. Applications must be received in hard copy format AND in electronic format (see below for details). The HRC will not accept faxed or emailed research applications. 4. Finalisation of your application 4.1. Applicants are advised to take note of all closing dates and submission requirements. 4.2. Finalising your Word and Excel document Please ensure Word and Excel documents are not password protected and do not have macros embedded. When saving the Word document for the final time please ensure that the track changes function is off and all corrections have been accepted and comments removed. Save the JV213-HIP RNA form as a Word (*.doc) file. Rich Text format (*.rtf) can be used in preparation but must be converted/saved to the Microsoft Word format. Use the original JV213-HIP RNA form this contains special features used for HRC processes. Save the JV213-Budget file as an.xls spreadsheet. Use the HRC spreadsheet this contains special features used for HRC processes. Do not input anything in the coloured cells. 4.3. Naming the files These two files must be named as follows: 13-xxx<separator>NamedInvestigatorSurname<separator>JV213-HIP RNA.doc 13-xxx<separator>NamedInvestigatorSurname<separator>JV213-budget.xls Where: 13-xxx is the HRC Reference number issued after the registration <separator> can be a SPACE, Underscore (_) or dash (-) character JV213-HIP RNA is the form type.doc is a mandatory extension for the application Word form,.xls is a mandatory extension for the Excel spreadsheet JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 12
For example: 13-123-Smith-JV213-HIP RNA.doc - for the JV213 form (Word) 13-123-Smith-JV213-budget.xls - for the budget spreadsheet (Excel) Where: 13-123 is the HRC reference number Smith is the First named investigator s surname JV213-HIP RNA is the form type It is very important to have the space, underscore (_) or dash (-) in between these. 5. Electronic submission 5.1. Once finalised, the electronic files of your application (both Word and Excel files) should be uploaded to the HRC via the EASY portal (https://secure.hrc.govt.nz/). Once uploaded, the application should be submitted to your Research Office (using the Forward to RO function in EASY), who then release the application to the HRC. The application must be released to the HRC by 12pm, Friday 26 July 2013. (Please note that your Research Office may require submission at an earlier date.) 5.2. If you do not have a research office, please contact Jessica Smith, Project Manager (email jsmith@hrc.govt.nz or phone 09 303 5227) for further information. 6. Hard copy submission 6.1. Hard copies of your application should be submitted to the HRC by 5pm, Friday 2 August 2013. 6.2. The EASY system creates a PDF document of the complete full application. Two PDF versions will be created, the Referee and full proposal version. Print and submit the full proposal version as this will include Module 6 and 7. 6.3. Ensure that the hard copies include Sections 4A-4D of Module 4 from the Excel spreadsheet. 6.4. The HRC requires 1 signed, unbound original application and 2 bound, doublesided copies. The 2 copies should exclude the Administration sections (i.e. these pages should be part of the original application only). The following sections are not required in the copies; Module 6A: Ethical and Regulatory Agreement Module 6B: Administrative Agreement Module 7: Classification of Research 6.5. No part of an application will be returned to the applicant. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 13
Part E Guidelines for completing a full application This section outlines what is expected in each field of the JV213-HIP RNA form and the JV213-Budget form. Outline The full application process requires applicants to submit two components to the HRC: A written proposal using the JV213-HIP RNA (MS Word) form A budget spreadsheet using JV213-Budget form Sections 4A-4D of Module 4 should be entered in the budget spreadsheet using the JV213-Budget form. 1. MODULE 1: GENERAL INFORMATION 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. Host organisation The host organisation (or institution) will be responsible for administering any awarded contract. For example, for those applicants at Wellington School of Medicine, Dunedin School of Medicine or Christchurch School of Medicine, the host institution is The University of Otago. Research Location This is the specific department(s) and organisation where the majority of research or data analysis will be undertaken. For example, Department of Community Health, Christchurch School of Medicine is an example of a research location. Another way of looking at this is, which group should be credited in any HRC publication of successful applications? This is usually where the First Named Investigator is based. Total Research Staff Costs, Overhead, Total Research Working Expenses and Total Cost of Research Enter in this box the total project cost from the budget spreadsheet. Proposed Commencement Date and Proposed Term Enter the proposed commencement date (day/month/year) and the proposed term (months). 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. First Named Investigator The title (e.g. Associate Professor, Dr), first name(s), and surname of the first named investigator should be entered in this table. The first named investigator will be considered the first point of contact during the application and assessment process, and 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. The ethnic identity column is optional. Host institution office contact Complete the contact details for the person who will be the primary contact for the application process. In many cases, this will be the Research Office of the host organisation. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 14
Section 1A Lay summary of research The lay summary should be a statement of not more than 150 words suitable for dissemination to, and understanding by, a lay audience, eg, in a media release. Include: a) Research objectives (not substantially different from the EoI) b) Principal methodologies c) Potential health outcomes or impact. Also ensure the content has been reviewed and is in a final form ready for publication if needed. Note that if project objectives are modified, the NI will be asked to submit a revised lay summary. Section 1B List of other named investigators (NI) The title (e.g. Associate Professor, Dr), first name(s), and surname should be entered for all other named investigators. 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. Please see the Annex, on what constitutes a named investigator (excerpt from the Vancouver Convention). Role covers position or skills in the project, e.g., data manager, synthetic chemist, statistician. The ethnic identity column is optional. Use the boxes provided to enter the requested details for each investigator. Copy the last table to add more investigators. This list will be used by the Research Partnerships team to identify the discipline mix of investigators and assist with assignment of proposals for peer review. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 15
2. MODULE 2: PROPOSED RESEARCH Section 2A Summary of Proposed Research The summary should clearly describe goals and objectives, research plan (including outline of methods) and significance and/or relevance of the research. The summary should be a maximum of one page for all research applications. The Summary should be structured under the following headings: Rationale for Research, Relevance to RFP, Aim, Research design and methods, Main outcome measures. Note: A clear and succinct summary including all the important points of the application can help Referees get a good grasp of the research, and is useful as a quick reference for Assessing Committee members. Section 2B Description of Proposed Research 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 referees, but also a more broadly experienced Assessing Committee. 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. Rationale for research - Include information that you feel is essential for the reader of the application to better appreciate or understand the rationale for your research application. Why is the issue being approached in the way outlined in this application? Where does this research fit relative to the world-wide perspective (e.g. Is it unique to New Zealand? Does it support or contribute to research being conducted elsewhere? Is it part of a worldwide collaborative research project?). Relevance to RFP - The relevance and contributions of this research application to the aims and objectives of the RFP must be clearly expressed. For example, what is the significance and contribution of the research to this research field; where relevant, how could the research impact upon health policy and/or the provision of health services? Rather than wasting valuable space with large amounts of background information on the general health problem, focus on how your research will contribute to address the problem and/or develop new knowledge. Research Design and Methods - Include your specific research hypothesis (if relevant), and a detailed design that describes 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). Consultation with specialists such as methodologists, statisticians and health economists before finalising your research design is recommended. Responsiveness to Māori - How might your research contribute to the health needs of Māori? What is the health significance and context of this research to Māori? Discuss the incidence or prevalence in Māori, or indicate if not known to be significantly different from the general population. Have you sought advice for the study from a Māori researcher/representative (if applicable)? Note: The declaration on Responsiveness to Māori, which forms part of the Administrative Agreement with the host institution, is in Section 6B. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 16
Dissemination strategy - Provide full details of your proposed dissemination strategy. As all partnership programme initiatives are designed to contribute to an evidence base for policy and practice this should include how the research results will be appropriately disseminated to the following end-users: Policy-makers, professional colleagues, health service funders and providers, the general public, study participants, iwi and other important groups. As well as peer reviewed publications; dissemination examples include leaflets, reports, workshops, participant newsletters, guidelines, hui and public meetings, conference presentations and mass media items as appropriate. Processes for ensuring that all information is tailored to the needs of the intended audience, so that research findings can be of maximum utility, should be fully detailed. Track record of the research team relevant to this proposal - Use this section to discuss your current or previous related research and outline the outputs and outcomes from that research, to demonstrate the ability to deliver proposed study outcomes. If the research in this application arises directly from research undertaken on previous research contracts, please provide a statement of the original aims and objectives of those contracts and the degree to which these were met. If the research did not progress as anticipated, provide explanations. Note: References for Section 2B should be listed in Module 3 There is a 10 page limit for Section 2B 3. MODULE 3: REFERENCES Ensure this section is on a new page, to avoid it being included in page limits: there is no 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. Applicants wishing to upload their references into Module 3 from EndNote should first paste the references into a blank document, and then copy and paste these into the form. 4. MODULE 4. CONTRACT INFORMATION AND BUDGET Sections 4A 4D are to be completed on the separate Excel file (JV213-budget.xls). Sections 4E 4H are part of the JV213-HIP RNA form. a) Enter the HRC REF ID number at the top of Section 4A. b) Attach printouts of the Excel spreadsheet sections, in the correct order, in the relevant part of the original application form and the copies. If your application DOES NOT request funds for Sub-contracts/Memoranda of Understanding OR funds requested for Sub-contract/MoUs are less than $50,000, do not include a printout of Section 4C. For all sheets of the Excel file, page orientation may be in Portrait (preferred) or Landscape. Try to have page breaks at logical points. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 17
c) For the purposes of preparing electronic files for submission, the Contract Information and Budget spreadsheet must be submitted as a separate Excel file when submitting the application Word file. Section 4A Contract Information Please note, that should the application be funded, these tables will form the basis of the contract objectives and may be amended prior to commencement. Objectives - Briefly describe the intended deliverables of this research application as numbered points within the table provided. Objectives should be clear and measurable, as your research performance will be evaluated against these objectives. Timeline for completion of milestones for Objectives - For each year of the proposed study, provide key milestones that you aim to achieve. Each milestone must relate to one or more of the Objectives listed (in 1), e.g., Year Milestone Objective(s) 1 Recruit patients for clinical study Objective 2 2 Complete data entry (lab study) Objective 1 2 Complete data entry (clinical study) Objective 2 3 Dissemination of findings at Hui All Objectives You may expand the table by adding a row for each milestone if required but remain within the single page limit. Section 4B Research Proposal Budget The guidelines below should be considered only a summary of the HRC funding rules. For more complete information refer to the Health Research Council of New Zealand Rules which are available on the HRC website. Budget calculations and spreadsheet All calculations should be GST exclusive and be in whole $ amounts i.e., no cents or decimals. Page orientation may be in Portrait (preferred) or Landscape. Try to have page breaks at logical points. The Salary, Working Expenses and Total Cost of This Research are components of Section 4B. The spreadsheet contains formulae to automatically sum each year of costs. To insert more rows into a table, select a cell where you require the extra row, go to Insert on the Menu bar and choose Insert row (or right click and insert). This will not affect the formulae. The Total Cost of Research shaded table automatically calculates all of the figures in this box. Do not enter any details into any shaded areas. column/row labels or formulae. Shaded areas contain either Note: If you are intending to ask the HRC s Data Monitoring Core Committee (DMCC) to monitor this study, there is no cost involved in using the HRC s DMCC. However, if the DMCC agrees to monitor the trial, costs for members of the study team (including the study statistician) to attend the meetings (and preparation of biannual statistical reports) will need to be included in the budget for the application. If you have any questions please contact the Secretary to the DMCC, ethics@hrc.govt.nz JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 18
Salary Only enter Contract Research Staff employed or to be employed by the Host Institution (this includes Academics) in this section. All positions should specify grade and level (if relevant). The monetary value ($) should be the actual salary amount that the named staff member is expected to receive for the research proposed during that period (i.e., the product of their Annual Salary X %FTE devoted to this research application). Salaries for years 2 and 3 can be increased by 3% per annum from year 1, or by more if specific details of expected promotion/increment are provided. NOTE: Overheads will be paid at a negotiated rate for each institution on all eligible contracts. Do not enter Salary associated costs (i.e. amounts requested for employer's contribution to approved superannuation schemes and accident compensation levies) for Research Staff in this Salary section instead enter them in the Working expenses section. Staff that must NOT be entered into the Salary section of the budget are Subcontracted Staff, Masters and PhD Students on stipends and Casual Staff. a) Subcontracted Staff are those who are NOT employees of the host institution. The salary and all other expenses for these staff should be broken down into appropriate categories on a detailed subcontract/memorandum of understanding between the host institution and non-host institution (see Working Expenses, for details). The total GST-exclusive dollar figure for the subcontract/memorandum of understanding should be all-inclusive, including overhead calculations. The subcontract/memorandum of understanding total should then be entered under Working expenses - Subcontracts b) If funding to provide a stipend for a PhD or Masters Student is requested, the student must be named. Please enter Masters and PhD stipends into Working expenses Materials and Research Expenses. c) Casual Staff (those persons without an ongoing role or commitment to the research, but providing one-off services to the research on a part-time, hourly or per diem basis, e.g., interviewers) should also be requested under Working expenses - Materials and Research Expenses. Working Expenses Working expenses include 'direct costs' only. The only exception is in the case of subcontracts, as described above. Estimates of costs should be expressed in current prices exclusive of GST. Materials and Research Expenses The direct costs of the research include all the disbursements that can be identified, justified and charged to a contract and may include the following: Research consumables (these should be itemised at current cost per unit and full cost for number required) Other costs directly related to the research telephone calls/communications, mail and freight Computer-related license fees for research-specific software JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 19
Minor research equipment (to a total of $5000) A proportionate part of new specialised equipment (equipment to be acquired) may be included and justified on research applications. (Insert all budgetary supportive documents at the end of Module 4.) Depreciation on specialised equipment: depreciation and capital costs on existing equipment are included in the overhead rate. If an institution s auditors have certified that specific items of equipment have been excluded from the Research Rate, then depreciation on the excluded equipment can be included in research applications and justified in the same manner as other direct costs Expenses of research participants Travel costs directly related to the conduct of the research. Contract funds may be used to provide assistance with overseas travel provided the HRC is satisfied that such travel is directly relevant to the conduct of the research and that alternative sources of funding are not available. This is not intended to relieve the applicant s host institution of its obligation to assist with the costs of overseas travel by its employees Stipends for Masters or PhD students. Stipends for named students can be claimed if a description of the student s research project is provided in Section 4E. Funds will be conditional upon the institution arranging a tax-free stipend that satisfies the Inland Revenue and host institution s rules. Ensure that PhD students requested are supported for three years of PhD study, either entirely or partly through this project. NOTE students fees and thesis costs cannot be claimed Dissemination of research results (fair and reasonable charges associated with the approved publication of the results of HRC sponsored research in journals, reports, monographs or books may be paid from contract funds. Also, costs incurred from other forms of dissemination, such as meeting with community groups, can be claimed) The following are considered to be expenses included in the overhead rate and may not be claimed as direct costs against contract funding; contributions to property costs or laboratory space, cost of staff appointments, utility charges such as lighting, heating and water, telephone installation and connection fees and line charges, laboratory "bench fees", capital costs, (with the exception of minor equipment), equipment charges (includes computer hardware and office based software), contributions to any central or group service or utility, and all library charges. Such institutional costs are included in the overhead costs paid on an HRC Contract. Subcontracts/Memorandum of Understanding (MoU) Subcontract staff are staff that are not employees of the host institution. The salaries for these staff (including FTEs) and all other expenses (e.g. working expenses) requested for the sub-contract should appear in a detailed subcontract/mou between the host institution and non-host institution. A MoU should also include overhead calculations for salaries. (A pro forma MoU is available upon request from the HRC). If a subcontract/mou is greater than $50,000, all expenses requested should be broken down into the appropriate categories in Section 4C (MoU Budget). Include a copy of the subcontract/mou after Section 4C. If the sub-contract/mou is less than $50,000 include the copy of the sub-contract/mou after Section 4B and exclude Section 4C from the application. Salary associated costs Amounts requested for employer's contribution to approved superannuation schemes and accident compensation levies for Research Staff these are not to be entered in Salary but in the Working expenses section. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 20
Total Cost of Research Enter the appropriate overhead rate (OHR) in the spreadsheet. Researchers should seek advice from their host institution Research Office on the costing of their research applications and the overhead rate negotiated with the HRC. Applicants should also note that overhead costs can only be claimed for the share of the total funding pool that is derived from government funds (i.e. no overhead costs can be claimed for the share of the funds provided by non-government organisations). The application budget form for this initiative has been configured to automatically provide the correct total research costs once the appropriate overhead rate for the host institution has been entered in the spreadsheet. The applicant should enter onto the front page of the research application that figure which results in Total Cost of Research. Section 4C MoU Budget When a substantial proportion of the total budget of a research proposal is contained in a sub-contract/mou, having the expenditure itemised in the same way as the overall research proposal budget (see above) will greatly assist the Assessing Committee in their evaluation of the proposal. Use the tables in Section 4C to provide budget details for all MoUs requesting more than $50,000. The overhead rate used should be that for the Host Institution of the subcontracted staff, not that of the main Host Institution of the applicant. The total dollar amount for each year of the subcontract/mous should then be entered under Working expenses - Subcontracts and a copy of the subcontract/mou should be included at the end of 4C with all copies of the application. For subcontract/mous to a value of less than $50,000, insert copies after 4B. A CV should be included in Module 5 for all named investigators on MoUs to enable the Assessing Committees to determine whether the investigator s expertise is appropriate and/or necessary. Without this information the Assessing Committees may decide not to support the budget for the MOU. CVs are not necessary for employees of commercial enterprises. If you require any further advice contact Jessica Smith, Project Manager (email jsmith@hrc.govt.nz or phone 09 303 5227). All sub-contract/mous should be listed in Section 4H (Supporting Documents Index). If there are no sub-contract/mous for this application, or none requesting more than $50,000 you may delete Section 4C. To do this, first save the file, then right mouse click on the tab for sheet Section 4C at the bottom of the screen, and select Delete. To copy the spreadsheet for more than one MoU Budget, right-click on the Section 4C tab at the bottom of the spreadsheet, choose the option Move or Copy, select Section 4C and tick Create a copy. Section 4D FTE Summary List the time involvement of ALL personnel (including those on sub-contract/mous) in terms of Full Time Equivalents (%FTE). Give all names (for un-named positions, indicate as Technician, Research Nurse, PhD Student, Post-doctoral Fellow etc). The HRC and Assessing Committees do not favour listing numerous Professors, each with a very low FTE, and encourage FTE salary requests only when there is a significant input and involvement in the project. State FTE as a percentage and not a decimal proportion, e.g. 10% instead of 0.1. Half percentages (e.g. 2.5%) are not allowed. Indicate when Named Investigators are Time Only (i.e. NOT receiving salary for their involvement in the project). All investigators on sub-contract/mous should be identified as Time Only. Identify all Post-graduate students by Masters or PhD as well as by their name. Ensure the FTE figures are the same as those in the budget and MoU budget sections (Sections 4B and 4C). Heads of Department will be required to agree in writing JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 21
to provide workload relief for research staff working on HRC contracts (Principles of Full Cost Funding). Provide Ethnicity for all personnel if this information is relevant to the proposed research. Section 4E Justification of Expenses Justification of Research Staff The research team must not be significantly different from that previously indicated in the EOI. Use this section to justify the role and %FTE of the Named Investigators and any other research staff for whom CVs have been provided. Also explain the role of ALL OTHER personnel (named or un-named) who will be actively associated with the research and for whom you are seeking funding. These may be research assistants, technicians, medical staff, interviewers and support staff or similar, whose names or position titles are listed in the budget under Research Staff and who have specific FTE involvements. Un-named post-doctoral fellows should be justified here, but it is recommended that named post-doctoral fellows provide a CV in Module 5. Assessing Committees may consider not awarding funds for roles that are not fully justified or are simply described as a training opportunity. It is the responsibility of the Applicants to ensure that no personnel justified in this section will exceed 100% FTE on their combined commitments during the term of the contract. The roles of students and casual staff should be justified in the following section (Justification of Working Expenses). Justification of Working Expenses and Casual Staff All items listed under Materials and Research Expenses in the budget should be justified, with costs broken down per item unit, and full costs per item for number of units requested. The application review process will consider the appropriateness of the budget and working expenses. If there are exceptional requests for working expenses, ensure that the Assessing Committee will clearly understand why the requested materials, travel, or research tools are necessary for the successful completion of the research. Ensure any significant one-line items are justified adequately enough for the Assessing Committee to understand the appropriateness. Clearly justify the roles of students (must be named) and casual staff so that the Assessing Committee can appreciate how these persons are important and necessary for the proposed research to be completed. It is the responsibility of the Applicants to ensure that no students justified in this section will exceed 100% FTE on their combined commitments with the Host Institution during the term of the contract. Insert all supporting budget documents at the end of Module 4, and list these documents in 4H, Letters of Collaboration/Supporting Documents Index. Section 4F Listing of Previous / Current Contracts Outline of current and previous support from all agencies Using the tables provided, outline current and previous support from any agency that has been received by the research team. This section is intended to provide the HRC referees and committee reviewers with an overall summary of the applicants abilities to secure research funding for this type of research. Final Reports for recently completed HRC contracts may be made available to the Assessing Committees. For Nature of Support, indicate whether the funding supports salaries only, working expenses only, both salary and working expenses, equipment, a junior research fellow, etc. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 22
Section 4G Other Support Other Research Applications Awaiting Decision List the research applications the team has pending with other funding agencies. If applicable, indicate in the spaces provided any overlap of resources and personnel that the listed research application might have with this application submitted to the HRC. This information is especially important where there may be overlaps between projects and programmes. Applicants must advise the HRC through their Research Office of the outcome of these applications. If the first NI, or any NI believes that disclosure of a significant relationship to companies would be valuable (e.g. contribution to project costs, staff joint appointments or equipment), provide details. A clear description of how the current application relates to those relationships is desirable but assessment of commercial links is NOT part of the HRC peer review process. This statement has been presented to HRC referees and members of Assessing Committees. Co-funding Please indicate and provide details if the research group has approached other agencies for joint funding of this research. If applicable, detail the support and joint funding arrangements. Note: Please copy and paste the tables as required. Section 4H Supporting Documents Index Use this section to list any sub-contract/mous, letters of collaboration, appendices and any other supporting documents. These documents are not required to be submitted electronically with the online application. The documents themselves should be attached to the original hard copy of the application as per the instructions below. Memoranda of Understanding/Subcontracts Any subcontract/mou should be included with the original application after Section 4B (<$50K) or 4C (>$50K), and include the HRC Reference ID#. Letters of Collaboration A letter of collaboration should outline how the interested party intends to implement the findings of the research upon its completion, or provide material or actual support for the research, not simply to state that the research is necessary. Please ensure that any organisation providing a letter of collaboration recognises their intended commitment to the conduct of the proposed. Letters of collaboration should be paper-clipped separately after Section 4H with the original application and include the HRC Reference ID#. Other supporting documents, for example documents supporting budget items, should be paper-clipped separately after Section 4H with the original application and include the HRC Reference ID#. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 23
5. MODULE 5: STANDARD MSI CV The Standard MSI CV must be used. Copy and Paste the CV of all applicants and other significant contributors here. Guidelines for completing the Standard MSI CV are available with the template. The Standard MSI CV template is available on the HRC website. 6. MODULE 6: ADMINISTRATION Sections are not copied for external referees. Secretariat only. These sections are for use by the Section 6A Ethical and Regulatory Agreement All areas must be fully and accurately completed for this section to be accepted. Indicate if the application requires human ethical approval. If ethical approval is not required, reasons must be given. List any regulatory consents required from other bodies that must be gained before the research can commence. Note: 1) The ethical agreement page is a contract stating that you will obtain appropriate ethical approval and regulatory consents, if required, before research commences. 2) The importance of adherence to the Council's Guidelines on Ethics in Health Research is emphasised. Especially where research involves human or animal subjects, human or animal materials, or personal information, you must signify that the research application has been submitted to, and given ethical approval by a properly constituted ethics committee approved for this purpose by the HRC. 3) Once applications have been received by the HRC, major procedural changes to your research protocol resulting from decisions of an Ethics Committee will require withdrawal of the application and resubmission to a later funding round. It is therefore suggested that you apply for ethical approval before submitting your application to the HRC to avoid unnecessary delays in contract commencement. 4) No contract funds will be released by the HRC until all ethical and administrative agreements, as detailed in this form, are fully met. 5) If appropriate, more than one Ethics Committee approval may be necessary, for example, if the research geographically covers an area serviced by more than one committee or if human and animal studies will be undertaken. Details are available from the HRC or the Ministry of Health. 6) Ethics Committees accredited to review research applications to the HRC are listed in the Guidelines on Ethics in Health Research, contained on the HRC web site. Section 6B Administrative Agreement The administrative agreement should be signed by authorised officers of the New Zealand host institution that will administer the contract. The host institution must be clearly and unambiguously identified. After signing the originals, forward these with your application, via your supervisor and Head of Department, to the University Registry or other institutional head office with sufficient time for them to be completed and delivered to the HRC by the closing date. A fully completed administrative agreement must be received with the original application. Those received without a signed agreement will not be processed. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 24
7. MODULE 7: CLASSIFICATION OF RESEARCH This Module is for evaluation purposes only and is mandatory; incomplete applications will not be processed. Section 7A Australian and New Zealand Standard Research Classification (ANZSRC) You are required to categorise your research using ANZSRC codes for the Fields of Research (FOR) and Socioeconomic Objective (SEO) classifications found on the HRC web link (http://classifications.hrc.govt.nz). Find the appropriate code(s) (6-digits) and description and insert in the table. The entries must include the 6-digit code and description. Add a percentage (nearest 10%) for each category with a total of 100%. Only use 3 codes for each of FOR and SEO. Section 7B Mapping Categories Select the research mapping category from the table that best describes the area of your research. Use the starting point for your research, rather than what your research may lead on to. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 25
Checklist for full application submission Please read this carefully to ensure you have not missed anything. Make sure you have used the correct font size and have not exceeded page limits. Failure to comply may result in your application not being considered in this funding round. Check that the HRC Reference number (assigned to your application by the HRC via EASY) and the First Named Investigator s surname have been correctly entered in the header. Be sure that the electronic copies required are correctly named and in the correct format (Word *.doc and Excel *.xls only), and when saving Word documents for the final time please ensure that the track changes function is off and that the index has been updated. Ensure that the finalised application form (both.doc and.xls files) have been submitted electronically via EASY by 12pm, Friday 26 July 2013. Check that the ethics section has all the necessary signatures. Check that all other relevant signatures have been obtained (e.g. Administrative Agreement). Check that you have included the administration pages in your original application ONLY, and NOT in the copies submitted with the original. Be sure that your ORIGINAL copy is PAPER-CLIPPED together, and that all of your PHOTOCOPIES are double-sided and individually STAPLED, not clipped. Be sure that the original plus 2 copies are enclosed. Ensure that Sections 4A 4D (from JV213-budget.xls) are printed out and inserted/attached in the paper copies. Ensure that 1 original and 2 hard copies of the finalised application are submitted to the HRC by 5pm, Friday 2 August 2013. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 26
Appendix 1: General Information for Research Applications Introduction This annex of general information contains definitions and terms in the forms, guidelines and other publications, that may be used to develop research proposals and applications. Health Research Council of New Zealand (HRC) The HRC is a Crown Entity established in 1990 to administer part of the Government s investment in public good health research. The Council will invest in a portfolio of research that advances human health and is relevant to the needs of the health sector in New Zealand and to the Government s goals for the Research and Innovation Sector. These objectives are outlined in the HRC Investment Strategy 2012. As a Crown Entity, bound by the State Services Standards of Integrity and Conduct, the HRC must maintain political neutrality. According to the Health Research Council Act 1990, the HRC may initiate and support health research, and may promote and disseminate the results of health research in ways that will be most effective in encouraging their contribution to health science, health policy, and health care delivery. What research does the HRC fund? Research purchased by the HRC must reflect the council s mission of benefiting New Zealand through health research, with a vision of improved health and quality of life for all. Goals within that mission are to invest in research that meets New Zealand health needs and research that has international impact, maximise the benefits of health research, champion the integrity of the health research environment, and enhance the value of the organisation. The HRC is a strategic funding agency, which supports a range of fundamental, strategic and applied research within the general categories of biomedical, clinical, Māori health, public health, health services and Pacific Health research. HRC investments contribute primarily to the social goal for the government investment in Science and Innovation but may also contribute to the government s economic and knowledge goals. Consultation with Stakeholders The HRC has a strong expectation that research involving human participants will be conducted in partnership with appropriate stakeholders. In some cases it may not be either reasonable or feasible to consult with the population group involved in the study. However, consideration should be given to consultation with other key stakeholders and representative bodies, such as relevant non-government organisations (e.g. Alzheimer s Association), support groups, parents or care givers. The study design, the methodology and the dissemination of research findings must be appropriate for the participants involved. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 27
Responsiveness to Māori The HRC is committed to demonstrating that its investment policies and assessment processes are responsive to the needs and diversity of Māori 1. While this may be reflected in the alignment of individual research proposals to Māori Development and/or Māori Advancement, it is also an expectation that research provider institutions demonstrate the quality and extent of their partnership and relationship with Māori in the portfolio of research applications submitted to the HRC. Researchers should discuss with their host institution their policies and procedures with respect to consultation with Māori. To ensure that host institutions have met this requirement, the HRC requires a declaration on the Administrative Agreement, which forms part of each application, that appropriate consultation with Māori has taken place. What constitutes a Named Investigator? The HRC expects the designation of investigators to named status should conform to International best practice, as detailed in the Vancouver Convention [The Uniform Requirements for Manuscripts Submitted to Biomedical Journals, October 2001 (http://www.icmje.org/ )]. All persons designated as authors/named investigators should qualify for authorship/named investigator status, and all those who qualify should be listed. Each author/named investigator should have participated sufficiently in the work to take public responsibility for appropriate portions of the content. One or more authors/named investigators should take responsibility for the integrity of the work as a whole, from inception to published article. Authorship/named investigator credit should be based only on 1) substantial contributions to conception and design, or acquisition of data, or analysis and interpretation of data; 2) drafting the article or revising it critically for important intellectual content; and 3) final approval of the version to be published. Conditions 1, 2, and 3 must all be met. Acquisition of funding, the collection of data, or general supervision of the research group, by themselves, do not justify authorship. 1 Ngā Pou Rangahau - The Strategic Plan for Māori Health Research 2010-2015 (HRC, 2010) JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 28
Appendix 2: Key steps in submitting applications via EASY The following guide is designed to cover the major steps involved in submitting your application via EASY. Please note that this is not a complete guide and should be read in conjunction with rest of these guidelines. If you have further questions, please contact Jessica Smith, Project Manager (email jsmith@hrc.govt.nz or phone 09 303 5227). A. New users Applicants who have not previously used EASY (or HEARD) need to create a user account before they are able to submit an application. This is done by the following steps. Users who have previously accessed Heard are able to create a User Account by selecting that option under the Create a NEW User Account section. 1. Go the following webpage https://secure.hrc.govt.nz/ 2. Under Create a NEW User Account (situated under the yellow login box) click on the link, If you wish to create user account for access, please click here 3. There are three Steps to complete. Once you have entered the appropriate information into the required fields, proceed to the next step by clicking the Next>> button. Step 1: Enter your email address and password. Your email address will be used by default as your User/Login name. Click Next>> Step 2: Enter information as appropriate. Select a Host from the drop-down list. The Host is the organisation that the HRC will contract with should your application be successful. If your Host is not an option in the drop-down list, use the Independent Researcher option and contact Jessica Smith, Project Manager (email jsmith@hrc.govt.nz or phone 09 303 5227) for more information. Click Next>> Step 3: Add comments if appropriate. Click Finish. 4. You will now be able to see a Registration Completed screen which summarises some of your details (name, user/login name, email address etc). 5. You will be sent a confirmation email from the HRC. Please follow the instructions in the email and click on the hyperlink. This will return you to the EASY website and complete the registration process. 6. You will now be able to login to the EASY system to submit applications for research funding. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 29
B. Key steps to submitting a EOI Section 1 - Registration via EASY 1. Go the following webpage https://secure.hrc.govt.nz/ 2. Log in using your username (probably your email address) and password. 3. Ensure that the appropriate Round is selected (highlighted in yellow) in the Round sidebar on the left. 4. Click on Add Proposal 5. Now click on Create to register a new application 6. Fill in your details as required. This registration web form will constitute Section 1 of your EOI application. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 30
7. Click Save and close. 8. Click on the proposals tab. And then click on the Drafts box. You ll be able to see the registration you have just created. Click Forward to RO on the right hand side. 9. Once you have forwarded your application registration to the Research Office (RO) or similar authority, the Research Office must ensure that the final submission to the HRC is undertaken prior to the closing date of 12pm, Wednesday 29 May 2013. If you don t have a research office, please contact Jessica Smith, Project Manager (email jsmith@hrc.govt.nz or phone 09 303 5227). 10. Once you have submitted your EOI Section 1 Registration, the next step is completion of your EOI Section 2 Research proposal. Section 2 is completed as a word document and then uploaded. This should be submitted via EASY by 12pm, Wednesday 5 June 2013. See below for more information on this step. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 31
C. Key steps to submitting a EOI Section 2 Research proposal via EASY Before you start, please make sure that you have completed Section 2 of your application correctly including the correct file name, HRC Ref in the header and copied in the Standardised CVs of the appropriate investigators. Refer to Section 2 of these guidelines for more information. 1. Log in to the EASY system. 2. Ensure that the appropriate Round is selected (highlighted in yellow) in the Round sidebar on the left. 3. Click on PROPOSALS (in the bar near the top of your screen). 4. Select the EOI Applications tab and then click on the Drafts box Ensure that this is selected Then click drafts 5. This will bring up a list of your current applications in this round (similar to below). IMPORTANT: take note of the HRC Ref number e.g. 13/xyz; this should be added to the header of your Section 2 Word document. Click on EDIT Click on EDIT 6. This brings up the webform that contains the information that you provided at the registration stage. Add investigators as required by clicking on the Add Another Investigator button which can be found under the list of investigators. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 32
7. Now click on the Upload button Click on Upload 8. Now click on Browse to find Section 2 of your application (the Word document) which is saved on your computer. Click open once you have found the file on your computer. You should now see the file name of your Section 2 in the box next to the browse button. Now click Upload>> Click on Browse Then Click Upload>> 9. Once the upload is complete you will be able to see your file listed under Original Documents. You can view these documents by clicking Read/Download 10. Review and if you are happy with your application click Save and Close JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 33
11. Navigate back to the Proposal Applications page (as shown in Step 4) and click on Forward to RO to submit your application to your Research Office. Click Forward to RO 12. Once you have forwarded your application registration to the Research Office (RO) or similar authority, the Research Office must ensure that the final submission to the HRC is undertaken prior to the closing date of 12pm, Wednesday 5 June 2013. If you don t have a research office, please contact Jessica Smith, Project Manager (email jsmith@hrc.govt.nz or phone 09 303 5227). 13. After the closing date the EASY system creates a PDF of your complete EOI application (i.e. Sections 1 and 2 combined). This must then be printed (see below) and 2 copies submitted to the HRC by 5pm, Wednesday 12 June 2013. D. Downloading and printing your complete EOI application 1. Navigate to the Proposals tab and click on View to view your application. Click Next>> to view the second screen. Download by clicking here 2. You will see that the EASY system has created a single PDF of both Sections of the EOI application. You are required to download this file, print off 2 copies and send them to the HRC by 5pm, Wednesday 12 June 2013. JV213F Application Guidelines 2013 Health Research Council of New Zealand. All rights reserved. Page 34