MBIE Contestable Research Fund. Guidelines for Completing Proposals

Transcription

1 MBIE Contestable Research Fund Smart Ideas and Research Programmes Guidelines for Completing Proposals 2016 Science Investment Round December 2015

2 The table below provides at a glance information on updates to this document. The purpose of the updates is to align the content of this document with the final application form now that it has been built in the portal. Date of Change change 4/12/15 Research Plan for Smart Ideas concepts. You are asked to provide details of your Research Plan when submitting a Smart Ideas concept. For a Smart Ideas concept your Research Plan need only be brief, perhaps a few bullet points, keeping it simple. If you are invited to submit a full proposal, you will have the opportunity to expand on your Research Plan in greater detail 4/12/15 Eligibility Criteria when registering The requirement to provide additional information for the Eligibility Criteria in the Registration section has changed from NO to YES 4/12/15 CVs in Additional Information The requirement to provide CVs in the Additional Information section has been removed. CVs are uploaded in the Team FTE table 4/12/15 FTE table and Indicative Team The note section has been changed to advise the information you provide in the Indicative Team at Registration stage will be pulled through to your FTE table. You will be able to update this at proposal stage. 4/12/15 Structural/order of information changes: - The Abstract box in the Registration section has been moved to a different position but remains in the Registration section - The Indicative Team and Conflict of Interest boxes of the Registration section have been separated from the rest of the boxes to mirror the on-line application portal - The Team FTE table and Team story box have been swapped around to mirror the on-line application portal Page various The Ministry of Business, Innovation and Employment reserves the right to withdraw or amend, at any time, this Guidelines for Completing Proposals document or any part of it. All financial information in this document is indicative only, and does not include GST.

3 Contents Introduction... 1 What sections need completing and when... 7 Section by Section Guidance... 8 Registration/Summary... 8 Fund Information... 8 Key Information... 9 Indicative Project Team Conflict of Interest Proposal Glossary Statements Executive Summary Public Statement Impact Criteria Benefit/s to New Zealand Implementation Pathway/s Impact Plan Excellence Science Team Resources Methods Research Plan (Methodology) Contracting Information Work Programme Requested Funding and Budget Sub-Contracting Key Relationships End Users International Collaborations/Partnerships Additional Information References Special Ethical & Regulatory Requirements Conflicts of Interest Intellectual Property Management Classifications Industry Sector Profiling Data ANZSRC Codes Declaration... 28

4 Introduction The Minister for Science and Innovation recently announced a new science investment fund the MBIE Contestable Research Fund (the Fund). The Fund brings together six sector-based funds to a single fund which will be managed as an investment portfolio across social, environmental and economic objectives. In 2016 the Ministry of Business, Innovation and Employment s science investment round will invest through the Fund. MBIE now invites proposals to be considered for investment from the Fund. This Guidelines for Completing Proposals presents guidance and specifics that may assist you to develop and submit your proposal for the 2016 science investment round. It is one of a suite of documents that together, provide information about the Fund, and the application and assessment process. You should read the Call for Proposals in conjunction with other relevant documents, particularly those listed as essential reading, before you begin to develop your proposal. Essential reading The documents listed below describe the Fund and the context in which science the 2016 science investment round will operate. Proposals seeking funding from the Fund should respond to the investment signals in the Investment Plan and other information contained in these documents. Document Purpose National Statement of Science Investment (NSSI) MBIE Contestable Research Fund Investment Plan (the Investment Plan) New Zealand Gazette Notice, Number 2015-go6582, November 2015 (the Gazette Notice) Vision Mātauranga policy Guidelines for Completing Proposals (hereafter referred to as Proposal Guidelines) Outlines the Government s 10-year vision for New Zealand s science system. Outlines the Government strategy for its science investment for the next three years. Sets the criteria the Minister for Science and innovation requires the Science Board to use in making funding decisions for the Fund. If there are any inconsistencies between the Gazette Notice and any other document, the Gazette Notice takes precedence. Outlines the government s policy framework that aims to unlock the innovation potential of Māori knowledge, resources and people to assist New Zealanders to create a better future. Explain the purpose of each section of the application form and suggests information you may wish to include in your proposal. 1

5 Document Guidelines for Assessing Proposals 1 Purpose Provide details of the scoring guides and an indication of the information assessors will be looking for in assessing your proposal(s). These are the guidelines MBIE provides to assessors. Portal Guidelines for Applicants 2 Explain how to submit a proposal through the MBIE portal. You must also be familiar with the terms and conditions related the Call for Proposals, and the Science Investment Contract. These documents outline the terms and conditions under which you are submitting your proposal and proposals will be funded. You will be asked to indicate when you submit your proposal that you agree to these terms and conditions. Wider government and other national policies, strategies and roadmaps help define the national context in which MBIE invests in research, science and technology and related activities through the Fund. The Investment Plan lists some examples. MBIE recommends that you are familiar with policies, strategies and roadmaps relevant to your proposed research. Science investment round changes in 2016 Changes in the nature or scope of the research the Fund will support in 2016 are detailed in the Investment Plan. Key changes that affect the science investment round are: the Fund is a single investment fund with economic, environmental and social objectives as defined in the Investment Plan; funding will be made through two new investment mechanisms, Smart Ideas and Research Programmes. The Smart Ideas mechanism is intended to catalyse and rapidly test promising, innovative research ideas with high potential for benefit for New Zealand, to enable refresh and diversity in the science portfolio. The Research Programmes mechanism is intended to support ambitious, excellent and well-defined research ideas which, collectively, have credible and high potential to positively transform New Zealand s future in areas of future value, growth or critical need. More information on each of the mechanism is given in the Gazette Notice and Investment Plan. Changes to the science investment round process you need to be aware of when you consider applying for funding are listed in the following table. 1 Alerts will be issued when these guidelines are available. If you have not yet signed up to receive Alerts you can do so here. 2

6 New in 2016 Open contest in a single fund, across science contributing to the economic, environmental or social objectives in the Investment Plan Proposals for funding in all areas covered by the Fund can be submitted every year Two new investment mechanisms replace the previous Smart Ideas (Phases 1 and 2), Targeted Research and Enabling Technologies funding mechanisms The new Smart Ideas mechanism is a single phase mechanism, with a two stage application process Unchanged from previous investment rounds An annual call for proposals in both investment mechanisms Excellence and Impact is sought in all proposals Assessment of proposals by external, independent science and impact experts from New Zealand and overseas Assessors funding recommendations inform Science Board decisions Funding decisions are made by the Science Board The indicative funding that a Smart Ideas concept may apply for is total funding over the term of the project (not funding per year) Separate assessment of Excellence and Impact in full proposals Only Research Programmes proposals that have been assessed as having sufficient quality against the Excellence criterion in the Gazette Notice will be assessed with additional regard to Impact Mandatory registration. The information you need to provide to register is explained in the Proposal Guidelines. 3

7 Purpose The purpose of this document is to provide guidance and guidelines to assist with the development and submission of a proposal under either the Smart Ideas or Research Programmes mechanism. It provides additional information to help you write your proposal. It also provides suggestions for content you may wish to include in each section The intention is that content of this document assists you by providing examples of content and what a good proposal might look like. The suggestions for content in the following sections are provided as guidance only. You may choose not to include suggested items or to include other material you consider relevant. The Science Board will make funding decisions on proposals in according with the Research, Science, and Technology Act. As much as possible the guidance provided in this document will complement the flow and order of the online portal; however, as the online portal continues to be developed for the 2016 investment round, there may be small differences between the document and the online portal. Some simple guidelines to follow Your proposal needs to contain information that is relevant to and can be used to assess proposals in accordance with the assessment criteria in the Gazette Notice. Before you plan your proposal, you should read the MBIE Contestable Research Fund Investment Plan , the Gazette Notice, the Call for Proposals and the Vision Mātauranga policy. You should also be familiar with the MBIE Contestable Research Fund Guidelines for Assessing Proposals. These indicate what assessors will be looking for in assessing the excellence and impact of your proposal and are therefore a useful signal as to what you might include. The MBIE Contestable Research Fund Guidelines for Assessing Proposals will be available late November An Alert will be issued when Guidelines for Assessing Proposals are available. If you have not yet signed up to receive Alerts you can do so here. Some basic guidance to help you complete your proposal Main text must be Arial 11 point; single spacing, page margins 2.5 cm. Adhere to character or word limits provided; these determine the page structure of your proposal when it is viewed in or printed from the portal. Figures and images can be used in selected free-text boxes but note this will contribute to your word or character count. Structure your narrative in a logical way so there is a natural and obvious flow between your ideas. Consider using subheadings to highlight and guide the reader to key messages you want to convey. Avoid large blocks of text. White space enhances the visual impact of your proposal, and makes reading easier. Cross reference, rather than duplicate information, where possible e.g., Key end users, including but not limited to those listed in Section X, will be invited to a workshop Note that where external reviews have been carried out on MBIE funded contracts relevant to your team or research, the reviews may be made available to the Science Board and assessors. 4

8 Offline Template We will be providing an off-line portal template for you to use when drafting the content of your proposal. The template will mirror the content, layout and flow of the electronic portal as much as possible and should recreate the applicant experience of using the online portal. Not all functionality of the portal is replicated in the template coming out later but where able, it does include tables, drop down options and text boxes for you to start drafting your proposal content. An Alert will be issued when Off-line Portal Template is available. If you have not yet signed up to receive Alerts you can do so here Some guidance to help you strengthen your approach to Vision Mātauranga The Vision Mātauranga policy (Vision Mātauranga) aims to unlock the science and innovation potential within Māori knowledge, resources, and people to assist New Zealanders to create a better future. Giving effect to this policy is a priority across the fund s economic, environmental and societal objectives; therefore Vision Mātauranga must be addressed in your proposal. This guidance is to help you consider Vision Mātauranga in planning your proposal given this should shape how you develop the proposal, who should be involved, and therefore what content should be included in each of the application sections. Your proposal should show how you have considered, identified and responded to opportunities presented by relevant Māori knowledge, resources or people. This could include, for example, explaining and evidencing: the steps you have taken to identify research opportunities relevant to Māori interests (collectives, businesses and communities), which Māori interests will be involved, in what capacity, and the rationale for their selection what contributions or innovations you will draw from them and how those contributions are integrated in the proposal how you propose to respond to the distinctive issues, needs and requirements of those Māori interests which of the four Vision Mātauranga outcome benefits outlined in the Investment Plan you propose to address and how. Please consider if you have provided sufficient information to show: your analysis of Māori needs, opportunities or resources linked to government and other national strategies, or specific strategies developed by relevant Māori interests how your proposal responds to relevant values, histories, relationships, rights, aspirations and interests held by related Māori interests where your research is taking a generic approach, a Māori-centric approach, kaupapa Māori research approach, or a mix across the proposal, and the rationale for this appropriate Māori voices and expertise relevant to the design of the proposal including the methodology, methods, or applications especially if it includes kaupapa Māori research the agreed engagement methods or principles specific to the proposal, especially if you are proposing work at the interface between knowledge systems specific and agreed Māori roles and responsibilities that could include Māori as: researchers, funders, knowledge contributors, participants, end-users, partners, leaders, advisors, or governance members the specific commitments between your team and Māori e.g. decision-making, ownership of IP appropriate use of Māori characterisation 5

9 that your processes, solutions, tools, frameworks and metrics in the implementation pathway are relevant to Māori world views, knowledge and context the international contribution your research will make to the interface between knowledge systems how the above is being resourced and supported what risks are associated with the above and how they might be managed and mitigated. If you think Vision Mātauranga is not relevant to your research, you should test this assumption with independent advisors with relevant strategic Vision Mātauranga experience. You will need to provide evidence to explain why you consider Vision Mātauranga is not applicable. 6

10 What sections need completing and when This table identifies the sections of the proposal template that you need to complete to submit your application to each of the two investment mechanisms. Some of the information you provide at registration stage will carry over into relevant sections of the concept or full proposal. If your concept is successful and you are invited to submit a full proposal, your concept information will carry over into relevant sections also. Complete the sections identified by a Registration/Summary SMART IDEAS CONCEPT SMART IDEAS AND RESEARCH PROGRAMMES FULL Fund Information Key Information Proposal Glossary Optional Optional Statements Impact Criteria Excellence Contracting Executive Summary Public Statement Benefit/s to New Zealand Implementation Pathway/s Impact Plan Science Team Resources Methods Research Plan Work Programme Funding Requested and Budget Sub-contracting Key Relationships End users International Collaborations/Partnerships Additional Information Classification References Special Ethical & Regulatory Requirements Conflicts of Interest Intellectual Property Management Industry Sector Profiling Data ANZSRC Codes Declaration 7

11 Section by Section Guidance Registration/Summary You must register to apply for funding from the MBIE Contestable Research Fund under the relevant investment mechanism. The information you provide will enable MBIE to manage resources for the investment round and begin to select assessors. Registration is mandatory and sections marked * must be completed. You must complete this section for registration. When you develop your concept or full proposal some of this information will be pulled through into a summary section which you will be able to modify. MBIE will not accept a concept or full proposal if you have not completed registration by the deadline as set in the Call for Proposals. Fund Information Funding Requested * Short Title Descriptive Title * Investment Mechanism* Number of Years Funding* Fund Objective* How much total funding you are requesting (across all years)? Provide a short title of no more than six words. This is optional. Do not use acronyms or abbreviations. Your short title will be used for everyday use and reference. Provide a title that describes the nature of your research in no more than 12 words. Do not use acronyms or abbreviations. The title is one identifier of your research. Which mechanism are you applying to? How many years of funding are you applying for? For Smart Ideas you can apply for two or three years funding. For Research Programmes you can apply for three, four or five years funding. Which one of the three fund objectives, Economic, Environmental or Societal, best describes the primary focus of your proposed research? You will be able to provide more specificity, including secondary objectives, in the ANZSRC code section of your registration. Refer to the Investment Plan for more information. 8

12 Key Information Eligibility Criteria* Abstract * Primary Contact Person Name & Contact Details * Secondary Contact Person Name & Contact Details * Key Words * ANZSRC * Does your proposal meet the required Eligibility Criteria as defined in the Gazette Notice? If you have answered YES to any of the criteria, use the space provided to explain why the criteria is not met but how you might be eligible. For example, if the majority of your research activities will be undertaken outside New Zealand, use this space to explain the reason why. Provide a brief summary of your proposed research. Write clearly and concisely. Your abstract cannot be more than 850 characters (approx. 140 words). The abstract helps us to select assessors for your concept or full proposal. It will also be used by MBIE and assessors to identify any potential conflicts of interest. Do not use acronyms, abbreviations, or images. Your abstract must not contain commercially sensitive information. Provide the primary contact person s name, address and a contact telephone number. The primary contact person is the individual MBIE will contact if we have any administrative questions about your proposal. Your contact person must have the mandate from your organisation to discuss the proposal with MBIE officials. In the event MBIE is not able to contact the primary contact person listed, we will contact the secondary contact person. Provide the contact person s name, address and a contact telephone number. Provide up to up to 15 key words that describe the nature of your research. Key words will help us to select assessors for your concept or full proposal. Do not use acronyms or abbreviations. An ANZSRC code is a standard classification that allows research and development activities to be categorised according to their intended purpose or outcome. Definitions are available online at the Australian Bureau of Statistics Socio-Economic Objective (SEO) Codes We will use these to help select assessors for your proposal. Please provide up to two SOE ANZSRC codes in order of relevant for this application with the most relevant code first. If your proposal is successful, we will ask you to confirm your codes for each impact statement for monitoring and evaluation purposes. Field of Research (FOR) Codes We will use these to help select assessors for your proposal. Please provide up to two FOR ANZSRC codes in order of relevant for this application with the most relevant code first. If your proposal is successful, we will ask you to confirm your codes for each impact statement for monitoring and evaluation purposes. 9

13 Indicative Project Team Indicative Project Team * Indicate as much of your project team as is known at this stage. Please provide each team member s title, first name, surname, organisation and SCOPUS ID (if available). SCOPUS IDs are available at MBIE will use these to help select assessors for your proposal. Assessors will use this information to identify any potential conflicts of interest they may have prior to seeing your proposal. You may update the details of your team when you submit your concept or full proposal. Conflict of Interest Conflict of Interest Provide details of any potential conflicts of interest you are aware of at this stage. MBIE will use this information to ensure any potential conflict is appropriately managed. You may update the details of any potential conflicts when you submit your concept or full proposal at which time any new conflicts need to be declared. 10

14 Proposal Glossary This section is provided so you can explain any acronyms, names, terms or use of te reo Māori that may be unfamiliar to readers of your proposal. This section is optional. Remember that international assessors may not be familiar with New Zealand-specific language or terminology. Your glossary should not exceed two sides of an A4 page. Do not include references, hyperlinks or images. Word/acronym/ abbreviation/te reo Māori Full description/translation 11

15 Statements This section allows you to introduce and highlight, the research you propose, through an Executive Summary and a Public Statement. The Executive Summary will be provided to science and impact assessors and the Science Board. It is required for all proposals. The Public Statement will be published on MBIE s website if your proposal is funded. It is not considered as part of the assessment process and will not be seen by assessors or the Science Board. The Public Statement is required only for full proposals. Executive Summary The Executive Summary is your opportunity to introduce to assessors and the Science Board the research you propose, its potential impact and how you plan to achieve it. Describe your research, why it is needed and how your proposed research addresses each of the assessment criteria including material that explains how you have responded to Vision Mātauranga. The Executive Summary should summarise the content of the other sections of your proposal and should not introduce new material. A good Executive Summary should be well structured, have a logical flow and outline how your proposed research addresses the questions in each assessment criterion in the Gazette Notice. Assessors find it helpful to first read a summary of the overall objective of your research and how you will achieve it, including: why your research is needed (the issue or problem you are addressing) what you propose to do (your hypothesis and scientific approach) the results, impacts or outcomes you expect, how they will be achieved, and who will use or benefit from them. Here is an example. This research aims to lower the costs and risks of providing industrial energy by improving the performance of peat gasification technologies. The current cost of providing industrial energy is high because of the limited applicability of existing gasification technologies, and the current cost and efficiency of gasifier performance. Our research addresses these two key issues. We will explore new ways to prepare peat for gasification so that previously developed gasification technologies can be used on a wider range of peats. We will then design and test an industrial prototype. Our research will deliver a new framework to optimise gasifier performance to reduce overall cost and improve efficiency, delivering cost savings with the potential to increase the competitive advantage of New Zealand industries. We recommend you use subheadings that align with the assessment criteria to structure your Executive Summary. 12

16 If you are submitting a Smart Ideas concept, your Executive Summary cannot be more than 1700 characters (approx. 280 words). If copying/pasting from a MS Word draft, it must not exceed more than half an A4 page with 2.5cm margins, using size 11 Arial font. Do not include references, hyperlinks or images. If you are invited to submit a full proposal, you will be given the opportunity to provide additional information in your Executive Summary. If you are submitting a full proposal for Smart Ideas or Research Programmes, your Executive Summary cannot be more than 3400 characters (approx. 560 words). If copying/pasting from a MS Word draft, it must not exceed more than one side of an A4 page with 2.5cm margins, using size 11 Arial font. Do not include references, hyperlinks or images. Public Statement A Public Statement is not required for a Smart Ideas concept. Complete this section only if you are submitting a full proposal under either the Smart Ideas or the Research Programmes investment mechanisms. If your proposal is funded, a Public Statement will be published on MBIE s web site and may be otherwise used in the public arena by MBIE. Assessors and the Science Board will not see or receive your Public Statement. A Public Statement should tell the story of your research for consumption by the public. An effective Public Statement will briefly explain, in plain English, why your research is needed, how you will achieve your objectives, the benefits you expect your research to deliver and the key beneficiaries of the research. It will also be in language that is understandable to the public. Do not use technical jargon, acronyms, references, images or abbreviations. Do not include commercially sensitive information. You may wish to provide the name and contact details of the person in your organisation that members of the public may contact if they want to know more about your research. Please note, if you provide contact details here they will be published on the MBIE web site. Here is an example of a Public Statement: Many pests and diseases with potential to severely disrupt New Zealand s primary productionbased export markets are intercepted before they enter New Zealand. However, despite strong biosecurity measures that examine goods entering NZ, pests occasionally enter the country, requiring urgent, costly and widespread eradication measures before these pests become widely established. Our research aims to increase the likelihood of eradicating pests that evade border biosecurity measure, by developing new methods to attract them. This will make it more likely that pests entering the country will be contained in relatively small areas, which will make eradication easier, cheaper and more effective. We will build on our previous research that identified naturally-occurring compounds known to attract several pests of concern to NZ. We will chemically modify these compounds to make them more attractive to each pest, then test the modified compounds in the laboratory to see how effective they are. Our tests will be done in conditions typical of the climates surrounding all the main ports of New Zealand. 13

17 Our results will identify the best compounds to attract a range of pests, and show if or how their use might be affected by climate. We will work with the chemical industry to make the compounds commercially available for use by agencies such as the Ministry for Primary Industries, and regional councils, who are responsible for pest eradication. Our research will significantly advance NZ s ability to eradicate pests that threaten its primary productivity, and will provide a new approach to protecting government aspirations of export growth from primary production. Your Public Statement cannot be more than 1700 characters (approx. 280 words). If copying/pasting from a MS Word draft, it must not exceed more than half an A4 page with 2.5cm margins and using a size 11 Arial font. Do not include references, hyperlinks or images. Impact Criteria This section is your opportunity to show clearly and convincingly how your proposed research addresses the impact assessment criteria in the Gazette Notice, and the relevance of your proposal to the investment signals in the Investment Plan. The information that impact assessors will be looking for to determine how well your proposal meets the impact criteria is outlined in the Guidelines for Assessing Proposals. This section will be available to both science and impact assessors, but will be assessed only by impact assessors. You may refer to the NSSI (pages 11 and 12) for further information and guidance on general domains for impact. Benefit/s to New Zealand Your proposal should directly address the impact assessment criteria as set out in the Gazette Notice, with reference to investment signals in the Investment Plan. Note that expectations and weightings of the criteria differ between Smart Ideas and Research Programmes. A good proposal should clearly explain: the need for, scale and extent of potential benefits (including spill over benefits) assumption used to estimate benefits the strength of their relevance to New Zealand and internationally the additional value they may deliver to wider science investments, whether public or private, domestic or overseas how it addresses the future investment signals in the Investment Plan how the research gives effect to Vision Mātauranga, including benefits to NZ and Māori (iwi, communities/groups, and/ or businesses). If Vision Mātauranga is not relevant, provide the rationale for this position. any assumptions that underpin your assessment of potential benefits. Please consider whether you have: provided sufficient information to substantiate the need for the potential benefits, and how you identified them provided sufficient information to substantiate your estimates of the scale of benefits, which may be qualitative or quantitative 14

18 identified the potential markets/uses or types of end users or beneficiaries, and provided sufficient information to substantiate these demonstrated that the benefits are for the public good and not for a single end user or beneficiary identified outcomes that are beyond business as usual, i.e. would not be expected as part of end users normal business operations demonstrated the Vision Mātauranga-related benefits in the above areas, or explained why this is not relevant substantiated any comments or views in your proposal attributed to other individuals or organisations identified and described the nature of any benefits that extend beyond NZ. If you are submitting a Smart Ideas concept, your response cannot be more than 1700 characters (approx. 280 words). If copying/pasting from a MS Word draft, it must not exceed more than half an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. If you are invited to submit a full proposal, you will be given the opportunity to provide additional information in your response. If you are submitting a full proposal for Smart Ideas or Research Programmes, your response cannot be more than 3400 characters (approx. 560 words). If copying/pasting from a MS Word draft, it must not exceed more than one side of an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. Implementation Pathway/s You should directly address the impact assessment criteria as set out in the Gazette Notice, with reference to future investment signals in the Investment Plan. Note that expectations and weightings of the criteria differ between Smart Ideas and Research Programmes investment mechanisms. A good proposal should clearly explain: how your research will flow through to impacts or outputs to outcomes, including plans for delivery of impact and to manage risk the steps you will take to engage with end users and research partners and how the research data and results may be taken up (this can include early engagement also) the strength of your current relationships with potential end users and partners, or how you plan to develop these content in the above activities that will constructively contribute to Vision Mātauranga outcomes, or if none are relevant then provide the rationale for this position any assumptions in describing the implementation pathway. 15

19 Please consider whether you have: described relationships and interdependencies in respect of research to outcomes identified and provided sufficient information to substantiate the potential markets or types of end users or beneficiaries that might be involved, including supporting analysis identified risks or barriers to implementation and how you plan to manage them provided sufficient evidence of the team s track record in delivering impact or relationships with end users or beneficiaries considered, identified and responded to the needs, opportunities or contribution from Māori knowledge, resources and/or people to support the delivery of impact, or if none are relevant then provide the rationale for this position provided sufficient evidence of any partnerships with end users or beneficiaries which might include informal or formal arrangements and contributions such as in-kind or cash cofunding discussed and co-developed the proposed research with relevant potential end users or beneficiaries an appropriate partnering arrangement and if significant private benefit may accrue to an individual end user, arrangements are in place to ensure broad benefit to New Zealand. If you are submitting a Smart Ideas concept, your response cannot be more than 1700 characters (approx. 280 words). If copying/pasting from a MS Word draft, it must not exceed more than half an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. If you are invited to submit a full proposal, you will be given the opportunity to provide additional information in your response. If you are submitting a full proposal for Smart Ideas or Research Programmes, your response cannot be more than 3400 characters (approx. 560 words). If copying/pasting from a MS Word draft, it must not exceed more than one side of an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. Impact Plan This section is not required for a Smart Ideas concept. Complete this section only if you are submitting a full proposal under either the Smart Ideas or the Research Programmes investment mechanisms. You should explain here how you plan to deliver impact from your proposed research, both during and after the contract period. A good proposal should clearly explain: the plan or steps to deliver within contract and post contract impacts and outcomes the contribution your research will make to the impacts and outcomes you ve identified how your key initiatives and timing of these facilitate achievement of impacts post-contract outcomes, if your research is successful and implemented as you propose, over a 2, 5 and 10 year period how the project will be managed to test assumptions, mitigate risk and deliver impact 16

20 You might like to use this space to summarise in a diagram the key feature/s of your implementation pathway. Your response cannot be more than 3400 characters (approx. 560 words). If copying/pasting from a MS Word draft, it must not exceed more than one side of an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. Excellence This section is your opportunity to show clearly and convincingly how your proposed research addresses the excellence assessment criteria in the Gazette Notice. This section will be available to both science and impact assessors, but will be assessed only by science assessors. The Guidelines for Assessing Proposals indicate the information that science assessors will be looking for to determine how well your proposal meets the excellence criteria. Science Your proposal should directly address the excellence assessment criteria as set out in the Gazette Notice. This section, and the more detailed information you provide in your method, research plan and work programme, allow you to demonstrate the excellence of your science. You may reference, but should not duplicate information provided elsewhere in your proposal. A good proposal should clearly explain: the science issue or problem you are aiming to address your overarching science question or hypothesis the relevance of this hypothesis to the issue/problem identified how your method and high level approach will enable the delivery of your research aims (do not describe your method in detail; use the Methods and Research Plan (Methodology) sections the new knowledge, approaches and/or scientific or technological advances that will be enabled by your proposed research how your approaches or ideas are innovative or novel the significant scientific and technical risk contained in the proposed research and the additional benefits those risks will make possible, and how those risks will be managed the specific needs, opportunities or contributions of Māori knowledge, resources and/or people in the above areas Please consider whether you have provided sufficient information to substantiate that: your research is well positioned in the domestic and international research context you are leveraging state of the art knowledge there is additional value in your proposed research, in relation to wider science investments in the same area, whether public or private, domestic or overseas your approach is appropriate to address your hypothesis and achieve your aims the commitment to, support for, or views of individuals or organisations relating to the science proposed you have reflected the specific needs, opportunities or contributions from Māori knowledge, resources and or people in describing the science or if this is not appropriate describing why. 17

21 If you are submitting a Smart Ideas concept, your response cannot be more than 1700 characters (approx. 280 words). If copying/pasting from a MS Word draft, it must not exceed more than half an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. If you are invited to submit a full proposal, you will be given the opportunity to provide additional information in your response. If you are submitting a full proposal for Smart Ideas or Research Programmes, your response cannot be more than 3400 characters (approx. 560 words). If copying/pasting from a MS Word draft, it must not exceed more than one side of an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. Team This section allows you to demonstrate the excellence of your team. You should directly address the excellence assessment criteria as set out in the Gazette Notice and the Investment Plan. Use the FTE tabled to provide details of your research/project team: Contact person: the person MBIE should contact for administrative information about your proposal Contract manager: the person MBIE should contact on contractual matters about your proposal Science leader: the researcher with overall responsibility for the science/research in the entire proposal Impact leader: (use the role Leader in the application portal) - the researcher responsible for the science/research within an individual impact statement. The Science Leader may also be the Leader of an impact statement Key researchers: team members involved in the research, whose expertise is critical to the success of the project. Researchers should be listed if their average annual contribution throughout the project exceeds 0.15 FTE per year. They may be from a contracted organisation, a sub contracted agency, or a stakeholder who is providing cash or in-kind cofunding of the research Key individuals: team members who are not researchers but whose contribution is critical to the success of the project (e.g. implementation). Individuals should be listed if their average annual contribution throughout the project exceeds 0.15 FTE per year Post-doctoral /early-career researcher: an individual who has seven or fewer years active research experience after receiving a doctoral degree Student: a student whose involvement in the research will contribute to their gaining an educational qualification Others: all remaining FTE not listed elsewhere Note: The information provided in your indicative team when registering will be pulled through into this table MBIE will not fund key individuals who are employed by local or central government but may fund costs associated with their involvement other than salary CVs are not required for Smart Ideas concepts. You will be able to upload your team members CVs when submitting a full proposal in this section FTE indication is not needed for a Smart Ideas concept. Provide this only for a full proposal List each individual only once unless they are both the science leader and an impact leader 18

22 Briefly explain, using keywords or a short phrase, the contribution of each team member to the proposed activities. Examples are: spatial modelling, sample collection and analysis, engineering design and structural testing, cultural information/analysis. Use the text box to provide brief narrative that demonstrates these attributes. A good proposal should clearly show: that the team has the skill, knowledge and resources needed to deliver the proposed activities how the team has used, to the advantage or the research, partnerships with domestic or international researchers with relevant expertise, end users and beneficiaries the roles, responsibilities and notable track record and strengths of members of your team how the team will manage the risks associated with the team itself including its complementary skills, knowledge and resources. If you are submitting a Smart Ideas concept, your response cannot be more than 1700 characters (approx. 280 words). If copying/pasting from a MS Word draft, it must not exceed more than half an A4 page with 2.5cm margins, using size 11 Arial font. Do not include references, hyperlinks or images. If you are invited to submit a full proposal, you will be given the opportunity to provide additional information in your response. If you are submitting a full proposal for Smart Ideas or Research Programmes, your response cannot be more than 3400 characters (approx. 560 words). If copying/pasting from a MS Word draft, it must not exceed more than one side of an A4 page with 2.5cm margins, using size 11 Arial font. Do not include references, hyperlinks or images. Resources In this section, identify any extraordinary facilities, plant and/or equipment that are critical to delivery of your research. Examples of such resources are: high performance super computing facilities pilot plant facilities controlled climate laboratories research ships physical containment (PC) facilities at PC3 or PC4 levels (not PC1 or PC2) logistic support for Antarctic research data not in the public domain that is critical for your research essential analytical services not available within the team. Do not list laboratory facilities, plant or equipment that is readily available and would be considered standard in an organisation with internal research capability. A good proposal should clearly explain: the resources you will need to access or purchase to support the proposed research measures you have taken or will take to secure those resources any risks to obtaining the resources, and how those risks will be managed 19

23 If you are submitting a Smart Ideas concept, your response cannot be more than 1700 characters (approx. 280 words). If copying/pasting from a MS Word draft, it must not exceed more than half an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. If you are invited to submit a full proposal, you will be given the opportunity to provide additional information in your response. If you are submitting a full proposal for Smart Ideas or Research Programmes, your response cannot be more than 3400 characters (approx. 560 words). If copying/pasting from a MS Word draft, it must not exceed more than one side of an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. Methods This section is not required for a Smart Ideas concept. Complete this section only if you are submitting a full proposal under either the Smart Ideas or the Research Programmes investment mechanisms. This section allows you to explain the research method(s) you will use in your proposed research. Your research plan and work programme sections outline your hypothesis and the aims and key steps of your project. This section allows the assessor to assess how well your research components address your scientific hypothesis and the likelihood of your research achieving its objectives. You should provide a clear and precise description of how you propose to perform your research, your rationale for your choice of methods and other science or research characteristics of the project. This can include, for example, qualitative, quantitative, empirical, conceptual and descriptive methods. A good proposal should clearly explain: your choice of study material(s), sites and/or subject(s). This may also include reasons for not choosing various options how you plan to collect and manage data such as variables, measurement methods, sampling methods and sample size how you have considered potential errors (random or systematic) and the methods and strategies you will use to control them any experimental design approach where this has a significant impact or is out of the ordinary e.g. the type of participants or types of controls etc. any analytical advantages enabled by your choice of instrumentation/equipment how you propose to analyse data, including your use of statistical methods Your methods should be understandable to assessors, regardless of their specific field of expertise. Your response cannot be more than 10,200 characters (approx. 1,680 words). If copying/pasting from a MS Word draft, it must not exceed more than three sides of an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. 20

24 Research Plan (Methodology) This section allows you to provide the detailed context for your methodology. A good proposal should clearly explain: why you have taken your chosen approach how the key components of your research impact statement (s), collectively, will enable you to achieve your research objective(s) the science and technological risks you have identified, and the steps you have taken or will take to mitigate or manage them Across the sections of your research and this work programme table, consider whether you have: shown how your research aims and impact statements are linked to form a cohesive and seamless package of research that will achieve your overall objective shown what will be achieved, and by when, from the key components of your research commented on inter-dependencies of your research aims and impact statements Your methods should be understandable to assessors, regardless of their specific field of expertise. If you are submitting a Smart Ideas concept, your response cannot be more than 1700 characters (approx. 280 words). If copying/pasting from a MS Word draft, it must not exceed more than half an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. If you are invited to submit a full proposal, you will be given the opportunity to provide additional information in your response. If you are submitting a full proposal for Smart Ideas or Research Programmes, your response cannot be more than 3400 characters (approx. 560 words). If copying/pasting from a MS Word draft, it must not exceed more than one side of an A4 page with 2.5cm margins, using size 11 Arial font. You can upload pictures, images, or tables to support your narrative if you wish. Contracting Information This section is your opportunity to show clearly and convincingly that the nature, timing, resourcing and quality of your proposed activities are appropriate to deliver your research objectives. The information you provide will be available to both science and impact assessors and will inform their assessment of both excellence and impact, against the criteria set out in the Gazette Notice. Information that science assessors will be looking for to determine how well your proposal meets these criteria is outlined in the Guidelines for Assessing Proposals. If your proposal is funded, the work programme will become part of your contract. Work Programme This section is not required for a Smart Ideas concept. Complete this section only if you are submitting a full proposal under either the Smart Ideas or the Research Programmes investment mechanisms. Your Work Programme comprises impact statements, research aims and critical steps. Together, these provide a hierarchical description at increasing levels of detail, of the contribution of key 21