2018 BIENNIAL GRANTS PROGRAMME

PROPOSAL GUIDELINES FOR APPLICANTS

The Earthquake Commission (EQC) actively promotes and encourages research and education as a part of one of its functions under the Earthquake Commission Act 1993:

“To facilitate research and education about matters relevant to natural disaster damage, methods of reducing or preventing natural disaster damage, and the insurance provided under this Act”.

CONTENTSQuick reference guide 2

Introduction 3

Aims of the Biennial Grants Programme 3

Changes to the application process for 2018 funding grants 3

Timetable 4

Eligibility requirements 5

Amount of grant 5

Evaluation criteria and weighting 5

Assessment process 6

Feedback 6

Assessment panel 6

Deliverables 6

Guidelines for completing and submitting a Preliminary Proposal 7

Guidelines for completing and submitting a Detailed Proposal 8

Appendices

Appendix 1 – EQC research strategy 11

Appendix 2 – Biennial Grants Programme research themes 12

Appendix 3 – Vision Mātauranga 13

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INTRODUCTION

Every two years, EQC’s Biennial Grants programme invites experienced and emerging researchers to submit proposals for public good research (available for public use).

We invite research applications that are relevant to the scope of EQC’s role as defined by the Earthquake Commission Act 1993 and the objectives of EQC’s research programme (Appendices 1 and 2).

Applying to the Biennial Grants programme for a grant is a two-step process. Applicants are first required to submit a two-page Preliminary Proposal by Friday 2 June 2017. Short-listed applicants will then be invited to submit a Detailed Proposal with supporting documentation by Friday 18 August 2017. Successful applicants will be notified in late November 2017 and funding will be available to start in January 2018.

AIMS OF THE BIENNIAL GRANTS PROGRAMME

The Biennial Grants Programme aims to:

• support the advancement of natural disaster and risk reduction knowledge in New Zealand

• enhance the quality of research and science innovation in New Zealand by creating increased opportunities for excellent investigator-initiated research

• contribute to the development of advanced research skills in New Zealand by providing a support mechanism for early career researchers.

CHANGES TO THE APPLICATION PROCESS FOR 2018 FUNDING GRANTS

Following a review of the application process, we have made the following changes for the 2018 grants:

• both the Preliminary Proposal and Detailed Proposal need to be signed by the primary institution as well as the Principal Investigator

• proposals must be submitted electronically to EQC through research offices (if applicable)

• inclusion of Vision Mātauranga policy (Appendix 3) to encourage researchers to address (where relevant) the integration of the science and innovation potential of Māori knowledge, resources and people for the benefit of all New Zealanders

• applicants who are invited to submit a Detailed Proposal, have the opportunity to respond in writing (within 10 working days) to comments made by reviewers before Detailed Proposals are evaluated. Responses will be appended to, and form part of, the Detailed Proposal

• evaluation criteria will be weighted (Page 5)• if a published paper documenting the project’s

methodology, results and conclusions is accepted in lieu of a final report, it needs to be an open access publication that can be downloaded from www.eqc.govt.nz and be copyright free.

QUICK REFERENCE GUIDE

Total funding avaliable

Up to $1,000,000 (excl GST) over two years

Project value Projects in the range $40,000-$60,000 are preferred, up to a maximum value of $70,000

Project length Maximum 24 months

Contract commencement date

On or after 1 January 2018

Contract completion date

Before 31 December 2019

Eligibility Research must:• be within the scope of EQC’s role as defined by the Earthquake Commission

Act• align with objectives of EQC’s research strategy (Appendix 1), and contribute to

one or more of the programme’s research themes (Appendix 2)• contribute to EQC’s reputation for facilitating and funding high quality research• add significantly to existing knowledge (may include the development of new

applications or extension of existing techniques)• deliver outcomes that are expected to significantly benefit New Zealand, locally

or nationally• be primarily undertaken in New Zealand by New Zealand-based researchers• not be primarily a student project• be available for public use.

Application Anyone may apply, subject to the eligibility requirements above.

Involvement in more than one proposal

An applicant can be named as Principal Investigator on up to two proposals in the same Biennial Grants round.Any one Associate Researcher can be named on up to four proposals.

Submission All proposals must be completed using the templates downloaded from www.eqc.govt.nz/grants. One file in PDF or Word format should be emailed to BiennialResearch@eqc.govt.nz. See timetable on Page 4 for deadlines. Late, incomplete or ineligible applications will not be accepted. Proposals should be submitted via the host institution’s research office, where applicable.

Assessment Assessment of proposals will be undertaken by an independent Assessment Panel, and funding decisions will be confirmed by EQC before results are announced at the end of November 2017.

Confidentiality All proposals received will be treated as confidential, subject to any legal requirements under the Official Information Act 1982 or any other relevant law.

Conflicts of interest EQC will publish the list of Assessment Panel members on www.eqc.govt.nz once they are appointed. Applicants should note any potential conflicts they have with any person involved in the assessment of the proposal, by email to BiennialResearch@eqc.govt.nz.

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ELIGIBILITY REQUIREMENTS

Funding for research proposals is open to all applicants who meet the programme’s eligibility requirements:

• research must be within the scope of EQC’s role as defined by the Earthquake Commission Act 1993

• research must align with the aims of EQC’s research strategy (Appendix 1) and contribute to one or more of the Programme’s research themes (Appendix 2)

• research must contribute to EQC’s reputation for facilitating and funding high quality research

• research must add significantly to existing knowledge. This may include the development of new applications or extension of existing techniques

• the majority of research must be undertaken in New Zealand by New Zealand-based researchers

• while student involvement is encouraged, the research cannot be primarily a student research project. Alternative funding is available for post-graduate research

• research must be publicly available and provided in a form that can be used by other researchers, practitioners and the general public (i.e. copyright free).

AMOUNT OF GRANT

The budget for the Biennial Grants programme is $1 million.

Proposals in the range $40,000-$60,000 are preferred, up to a maximum value of $70,000.

Larger projects may be considered if it is demonstrated that they are of exceptional significance. In some cases, EQC may request that several smaller proposals on similar topics become integrated.

EVALUATION CRITERIA AND WEIGHTING

The specific evaluation criteria and their weighting are:

Impact and relevance (50%)

• alignment with the objectives of EQC’s research strategy (Appendix 1) and the prioritised themes (Appendix 2) of the Biennial Grants programme

• value of the research relative to its costs (ability to leverage EQC funding through in-kind and other funding sources)

• the contribution the research and its findings will provide to understanding natural disaster risk

• benefit to EQC and New Zealand• relevance and potential value for the results

of the proposed research to be transferred, understood and applied by research peers, practitioners and other end-users

• strength of relationships with relevant users and beneficiaries.

Research excellence (50%)

• quality of proposed research (originality, novelty, insight and rigour)

• potential of the research to contribute to the advancement of knowledge

• proposal is well positioned in the domestic and international research context

• credible and well managed research plan• track record of the researchers and ability to

deliver proposed objectives• level of collaboration across agency and/or

discipline boundaries• scope for ‘early career’ researchers to be

involved and mentored.

TIMETABLE

April 2017 Application forms and guidelines available

2 June (by 5pm) Preliminary Proposals due to EQC (receipt of all proposals will be acknowledged by email)

Early June Assessment Panel selected and published on EQC website

Mid June Eligible Preliminary Proposals sent to Assessment Panel for evaluation

Mid July Assessment Panel meeting held

Late July Applicants notified of results

18 August (by 5pm) Detailed Proposals due to EQC

Late August Detailed Proposals sent to reviewers for comments and technical expertise

Early/Mid September

Reviews sent to applicants for their response

29 September Closing date for applicant responses to reviews

Early October Detailed Proposals, reviews, responses and CVs sent to Assessment Panel for evaluation

Early/Mid November

Assessment Panel meets to select and recommend proposals for funding

Late November Results announced

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Format

Preliminary Proposals should be submitted using the Preliminary Proposal form. The completed form should be two pages or less and use the font Calibri 10 point.

Preliminary Proposals should be submitted through the applicant’s institution’s research office (if applicable) and can be submitted to EQC electronically (original documents are not required).

Contact person

The Preliminary Proposal needs to nominate one contact person for all correspondence with EQC and an administration contact from the applicant’s research office. Private applicants can be listed as both contacts.

Title

The title of the Preliminary Proposal must be descriptive, in plain English, and no more than 25 words in length.

Abstract

The abstract provides a short introduction to the proposed research. It explains, in plain English:

• the state of the field• what the project proposes to do• how it will be done• a general expectation of the outcome.

Research themes

EQC will fund research that contributes to one or more of the following research themes and associated topic areas (Appendix 2).

• improved detection and understanding of geological hazards

• enhanced assessment and modelling of New Zealand’s geohazard risk

• advances in low-damage design and engineering solutions for the built environment

• social and behavioural aspects of disaster risk reduction and improved resilience

• applications of economics, finance and public policy to hazard risk management.

Relevance of research

Explain the relevance of the proposed research to:

• the advancement of knowledge in New Zealand

• EQC’s research strategy and research themes• end users.

ASSESSMENT PROCESS

Researchers must complete and submit a Preliminary Proposal that fits within the guidelines and format outlined (Page 7) by 5pm, Friday 2 June 2017.

The Assessment Panel will assess the proposals and a number of applicants will be invited to submit a Detailed Proposal by 5pm, Friday 18 August 2017.

The Detailed Proposals will be sent to reviewers (nominated by applicants or appointed by EQC) to provide comments and technical expertise. Applicants can respond to the reviewers’ comments within 10 days.

Detailed Proposals, reviewers’ comments and applicants’ responses will be individually assessed by the Assessment Panel. They will then reconvene to confirm their recommendation for selection.

The Assessment Panel will not pre-select any applications before November.

Questions relating to completing or submitting a Preliminary Proposal or Detailed Proposal, should be referred to the applicant’s research office or BiennialResearch@eqc.govt.nz.

FEEDBACK

Because of the large number of Preliminary Proposals received, specific feedback about individual proposals cannot be given to applicants except where the proposal is considered unsuitable for EQC funding.

All applicants will receive a short commentary on the number of proposals received; the numbers selected to submit a Detailed Proposal, and any relevant generic feedback that is appropriate.

ASSESSMENT PANEL

The Assessment Panel is appointed by EQC management. EQC will publish the list of Assessment Panel members on www.eqc.govt.nz once they are appointed.

Conflicts of interest

Applicants should note any potential conflicts they have with any person involved in the assessment of the proposal, by email to BiennialResearch@eqc.govt.nz.

A conflict of interest arises when:

• a Panel member is a signatory to the proposal or application under consideration

• a member of the Panel member’s family or household would benefit from the success of the proposal

• a Panel member has a commercial interest in the proposal.

If a Panel member is from the same institution as the applicant, guidelines will be followed to identify if there is a conflict of interest that requires the member to be excluded from assessing the proposal.

DELIVERABLES

At the completion of the project, applicants must provide a final report (one bound copy, one loose-leaf copy and one electronic), a technical abstract and an abstract in plain English. These will be published on the EQC website.

The final report must document the project’s methodology, results and conclusions. It must meet standards of peer review and public dissemination. If a reviewed conference presentation or paper has been published in a reviewed journal and meets these criteria, it will be accepted in lieu of a final report (provided it is an open access publication). If it is unable to be downloaded from www.eqc.govt.nz because of copyright, a separate final report must be provided.

GUIDELINES FOR COMPLETING AND SUBMITTING A PRELIMINARY PROPOSAL

Useful documents

• Preliminary Proposal Form

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Applicants whose Preliminary Proposals are shortlisted will be invited to submit a Detailed Proposal using the Detailed Proposal form with supporting documentation by 5pm, Friday 18 August 2017.

Statement of objectives

The statement of objectives needs to explain:

• how the proposed research applies, adapts or complements any earlier research

• the relevance to New Zealand conditions• the need or opportunity to apply the results to

the New Zealand context• how the research will address a gap in present

knowledge and practices.

Methodology

Describe the science and research methodology, quoting references if applicable.

Ethics approval

For research proposals that involve the public, applicants must specify the ethics assessment process they will use and verify that approval has been/will be obtained.

Vision Mātauranga

Identify which, if any, of the Vision Mātauranga themes can be associated with the proposed research (Appendix 3).

Budget

The budget may vary from that submitted in the Preliminary Proposal.

Proposals in the range of $40,000-$60,000 are preferred, up to a maximum value of $70,000.

To inform EQC’s financial planning, indicative costs must be stated on the budget template. Projects of more than 12 months’ duration must show expenditure split (can be an estimate only) for each financial year (1 July to 30 June).

While capital equipment is the responsibility of the applicant’s institution, exceptional requests for EQC funding for capital equipment should be explained and justified in the budget.

This budget must not include conference travel and/or attendance costs. EQC has a small fund for this purpose and discretionary consideration will be given to supporting conference attendance if the applicant is presenting a paper or leading a workshop on the project matter being funded by EQC.

All costs are to be quoted exclusive of GST and in New Zealand dollars.

EQC will not take responsibility for any budget overruns unless prior approval has been granted.Overheads

Overhead costs can be included in the budget. However, applicants are encouraged where possible to secure co-funding through a discount or waiver of overhead costs.Co-funding

Applicants are encouraged to secure additional co-funding where possible. As mentioned above this can be achieved by negotiating a waiver or discount of overheads, especially when the host institution considers the research to be of strategic value and/or where the EQC funding provides useful leverage to secure other sources of funding.

Where co-funding is available, the columns provided in the budget template should indicate how it is integrated into the project.

Funding agreement

If the Detailed Proposal is approved, the applicant and their institution will be asked to sign a funding agreement with EQC. Acceptance of the terms and conditions of the funding agreement is required to obtain funding.

GUIDELINES FOR COMPLETING AND SUBMITTING A DETAILED PROPOSAL

Reviewers

Applicants should name three reviewers (from which EQC will approach two) who can provide technical expertise to the assessment panel in its evaluation. Reviewers must have seen, or be aware, of the Detailed Proposal and be available to provide brief comments within two to three weeks of being approached.

Reviewers will be asked about:

• the applicant’s capacity to complete the project satisfactorily

• the value of the intended outcome• the quality of the research methodology.

Reviewers cannot be:

• members of the applicants’ organisation(s), or• members of the Assessment Panel

EQC reserves the right to obtain additional or alternative independent reviews of proposals.

Research duration

Funding is from 1 January 2018 to 31 December 2019. Applicants need to be realistic when specifying the duration of the project. If the project is not completed within the agreed time, EQC may terminate funding.

Research team

The research team must be listed and a curriculum vitae (CV), relevant to the proposed work (limited to two pages), provided for each team member.

Please identify the Principal Investigator, Associate Researcher(s) and the extent to which students, post-doctoral fellows, subcontractors or consultants may be involved.

A Principal Investigator can be named on up to two proposals in the same Biennial Grants round.

Any one Associate Researcher can be named on up to four proposals.

Definition of Principal Investigator

Principal Investigators are researchers who lead the research, contribute the main ideas and are responsible, with their institution, for the achievements of the objectives and the management of the contract.

Useful documents

• Detailed Proposal Form• Budget Template• Funding Agreement• Curriculum Vitae Template

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APPENDICES APPENDIX 1

EQC RESEARCH STRATEGY

It is a statutory function of EQC to facilitate research and education about matters relevant to natural disaster damage, methods of reducing or preventing natural disaster damage, and the insurance provided under the EQC Act 1993.

Our research and education function serves to inform hazard risk management decisions taken by EQC and others such as homeowners, local authorities, planners and engineers.

EQC’s research and sector education objectives

EQC’s research and sector education objectives are to fund and facilitate high quality research that:

• improves the effectiveness of natural hazard insurance and reinsurance in New Zealand

• can enhance EQC’s effectiveness, and that of its partners, in helping New Zealanders to recover from natural hazards

• contributes directly to improved understanding of geohazard risk in New Zealand

• can improve local and national hazard risk management policy and practices

Achieving these objectives

EQC achieves these by:

• investing in and facilitating access to relevant geohazard and vulnerability data to underpin EQC insurance and risk financing operations, and information for risk reduction research, policy and practice

• accessing and investing in research capability to support relevant New Zealand innovation capacity (in economics, behavioural social sciences, risk communication, earth sciences and engineering)

• supporting Investigator-led research to encourage emerging talent and new ideas,

• commissioning basic and applied research to underpin the knowledge base and fill information gaps about natural hazard risk reduction, risk financing, claims management and disaster recovery

• facilitating the dissemination and application of research into strategic policy and practice sectors relevant to national disaster resilience such as building design and construction, land-use planning and local government

• collaboration with industry and government partners to ensure strong leverage and efficient application of levy-funded research and education.

The Biennial Grants Programme is the main mechanism of support for Investigator-led research.

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BIENNIAL GRANTS PROGRAMME RESEARCH THEMES

EQC will fund research that contributes to one or more of the following research themes and associated topic areas.

The themes and topics have been derived from a review of EQC’s historical research investments, consideration of global trends in natural hazard risk research and catastrophe risk financing, and feedback from researchers and end users attending forums and planning workshops that have been sponsored by EQC and other funding agencies.

1. Improved detection and understanding of geological hazards

This theme contributes to a more accurate understanding of the likelihood, magnitude and physical impacts of geological hazards, providing the evidence basis for risk-informed decision making. We encourage research proposals that use GeoNet data and information.

2. Enhanced assessment and modelling of New Zealand’s geohazard risk

This theme is about improved understanding of exposure and vulnerabilities to geological risk, and develops the scientific basis for impact and loss forecasting and pricing of geological risk in New Zealand.

3. Advances in low-damage design and engineering solutions for the built environment

This theme is about the development of new solutions for existing and new buildings and infrastructure to reduce physical damage from geohazards.

4. Social and behavioural aspects of disaster risk reduction and improved resilience

This theme is about understanding social and human behaviour to encourage and enable disaster mitigation behaviours by homeowners.

5. Application of economics, finance and public policy to hazard risk management

This theme is about advancing understanding of the economics, finance and public policy aspects of geohazard risk to inform the optimum approach to risk treatment across the options of avoidance, control, transfer and acceptance.

APPENDIX 2

VISION MĀTAURANGA

Vision Mātauranga is a New Zealand government science policy framework. Its mission is to unlock the innovation potential of Māori knowledge, people and resources to assist New Zealanders to create a better future.

Themes relevant to disaster reduction and resilience research

• Indigenous innovation: Contributing to disaster resilience and risk reduction through distinctive research and development

• Taiao/Environment: Achieving disaster resilience through iwi and hapu relationships with land and sea

• Hauora/Health: improving health and social wellbeing aspects linked to disaster resilience

• Mātauranga: exploring indigenous knowledge and science and innovation, regarding hazard risk management.

Purpose

• To use the science and innovation system to help unlock the potential of Māori knowledge, people and resources for the benefit of New Zealand

• To recognise Māori as important partners in science and innovation; both as intergenerational guardians of significant natural resources and indigenous knowledge, and owners and managers of commercial assets

• To build the capability of Māori individuals, businesses, incorporations, runanga, trusts, iwi, hapu and marae to engage with science and innovation

• To maximise the quality of the relationship between Māori and the Crown through science and innovation under the Treaty of Waitangi.

APPENDIX 3

Useful documents

• Vision Mātauranga booklet [PDF 360KB]

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Contact detailsPostal address

The Earthquake Commission

Attention: Biennial Research Team PO Box 311

Wellington 6140

Courier address

The Earthquake Commission

Attention: Biennial Research Team Level 11, Majestic Centre

100 Willis Street Wellington

Email

BiennialResearch@eqc.govt.nz

Telephone

+64 4 978 6432

For general information on EQC’s Biennial Grants Programme, please visit our website: eqc.govt.nz/grants

Cover photo courtesy of Nick Peters, Tonkin + Taylor Page 1 photo courtesy of Victoria University of Wellington

Date published : 26 April 2017