Health Research Council of New Zealand

Ngā Kanohi Kitea Development Grant Guidelines

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Table of Contents INTRODUCTION ...................................................................................................................................1

DEVELOPMENT PHASE FUNDING ......................................................................................................1

FULL PROJECT GRANTS ......................................................................................................................1

Section 1: Application Preparation .....................................................................................................3

1. Outline of the application process ..........................................................................................3

2. Closing dates ...................................................................................................................................................... 3

3. Creating a HRC Gateway user account .................................................................................................... 3

Section 2: Rules for Submitting a Development Grant Application ........................................................... 4

1. Preparation ......................................................................................................................................................... 4

2. Format .................................................................................................................................................................. 4

3. Copies of Applications Required ................................................................................................................ 5

4. Privacy provisions ........................................................................................................................................... 5

5 Enquiries .............................................................................................................................................................. 6

6 Mailing Address ................................................................................................................................................ 6

Section 3: Submitting a Ngā Kanohi Kitea Development Grant ................................................................... 7

Outline ............................................................................................................................................................................ 7

PART A: Guidelines for completing the Registration form (web-based) ........................................... 7

MODULE 1: Applicant (web-based form) .................................................................................................. 7

SECTION 1A: GENERAL INFORMATION ..................................................................................................... 7

PART B: Guidelines for completing the Development Grant Form ....................................................... 8

Outline ............................................................................................................................................................................ 8

SECTION 1B: APPLICATION INFORMATION ............................................................................................ 8

MODULE 2: DESCRIPTION OF PROPOSED RESEARCH (3-page limit) ........................................... 8

MODULE 3 - RELEVANCE OF RESEARCH TO SPECIFIC POPULATION GROUPS ........................ 1

MODULE 4 - BIOGRAPHICAL SKETCHES.................................................................................................... 2

MODULE 5: ADMINISTRATION ..................................................................................................................... 2

Checklist for development grant application submission ............................................................................. 3

Appendix 1 ......................................................................................................................................................................... 4

The Assessment Process – An Overview ............................................................................................................... 4

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INTRODUCTION Developing Māori capability and knowledge is the prime focus of Ngā Kanohi Kitea community research grants. The grants provide opportunities for iwi, hapū and other community groups to address community identified health needs. This initiative is consistent with the Hauora/Oranga research theme of Vision Mātauranga - a Vote Research Science & Technology-wide policy framework designed to unlock the innovation potential of Māori knowledge, resources and people. It is also consistent with the Ministry of Health’s He Korowai Oranga, Māori Health Strategy and approaches to health and wellbeing which improve Māori health outcomes.

DEVELOPMENT PHASE FUNDING Not all applicants will have a history of funding successes with agencies such as the HRC. To assist in project development applicants will have the opportunity to apply for funds that will support them to develop a full project proposal. It is envisaged that the Ngā Kanohi Kitea Development Grant will be used to assist applicants in preparation for submission of a full proposal by obtaining independent and reputable expert advice. However the HRC also acknowledges that additional resources and support may be needed for community-based groups with limited research expertise and experience. Development phase funding may not exceed 5% of the total proposed budget (in the full project application). For example if your total research cost is $50,000 you can then apply for a development grant to the total amount of $2,500 likewise if your total research costs are $100,000 then $5,000 may be granted. For full project applications totaling $200,000 the maximum available for the development grant is $10,000. NOTE – Applicants may bypass the development phase and submit a full application. If you do not already have a HRC Gateway profile you will need to create a new account. The HRC Gateway can be accessed via the following URL: https://gateway.hrc.govt.nz/. The HRC Gateway website has a user guide available to assist you.

FULL PROJECT GRANTS Full Project Grants are available and now range from $50,000 to $200,000. It is expected that applications for funding ranging from $50,000 to $100,000 will have for example; one to three specific objectives that are achievable within a 12 month period. In regards to full project grants of $100,000 and over they must investigate a well-defined research question over the maximum term of 18 months. The assessment committee welcomes projects of all sizes but reminds applicants that the size of the project and the potential for health gain should be comparable to the funding applied for. The research team may decide to staircase their research. Stair casing allows applicants to build up a research portfolio by firstly applying for smaller grants (e.g. $50,000 - $100, 0000 range) within the fund to gain research experience and develop a research team. This can be done by looking at a small project or one or two objectives of a larger project. Once experience is gained teams will benefit over time by then applying for the maximum total of up to $200,000 for a full project grant. This allows for relatively inexperienced teams to develop their expertise rather than competing for the maximum fund with teams that may have already done so in previous rounds. Please note that the funding available is not intended to fund costs associated with a PhD, nor fund an evaluation of one specific programme or service. Applications for Whānau Ora will be excluded as applicants will need to apply to the appropriate funding bodies.

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Letters of support and Memorandum of Understanding (MoUs) must be attached to the full application indicating the role of each party. This research funding is targeted at groups who have not had significant research funding but want to build their capability in this area. That said, the research team should comprise the necessary expertise to complete the project.

NOTE –If you do not already have a HRC Gateway profile you will need to create a new account. The HRC Gateway can be accessed via the following URL: https://gateway.hrc.govt.nz/. The HRC Gateway website has a user guide available to assist you.

Figure 1: Overview of process for Ngā Kanohi Kitea

RFP released

IBM

Assessment

Unsuccessful

Successful

3 month Application Development Phase

Full Applications

Assessment

Successful 12 - 18 month research grant awarded

Unsuccessful

Applicants may bypass the

development phase

Development Grant

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Section 1: Application Preparation

1. Outline of the application process Applicants are required to submit a Registration before the submission of a development grant. The registration is an online form that is completed via the HRC Gateway. Figure 1 Overview of application process for this RFP

2. Closing dates Below are the closing dates for the Ngā Kanohi Kitea Development Grant and Full Project. Refer to the following sections for more information on what is required at each step. All forms are available on the HRC website (www.hrc.govt.nz). Applicants must meet each of the deadlines below in order to continue in the process Development Grant

13th August 2014 Development Grant registration/applications open on HRC Gateway

1st October 2014 Development Grant registration/applications close 1pm 3rd October 2014 Hard copies of the Development Grant due to the HRC 3rd November 2014 (week of)

Development Grant assessing meeting

Full Project 17th December 2014 Full Project Grant registration/applications open on HRC Gateway 8th April 2015 Full Project Grant registration/applications close 1pm 10th April 2015 Hard copies due at the HRC 13th April – 11th May 2015 External review of applications 12th May – 26th May 2015 Applicant rebuttal period 15th June 2015 (week of)

Full applications assessment meeting

June/July 2015 (Board dependent)

Results made known to applicants

To apply for a Ngā Kanohi Kitea Full Project Grant refer to HRC Ngā Kanohi Kitea Full Project Application Guidelines.

3. Creating a HRC Gateway user account If you do not already have a HRC Gateway profile you will need to create a new account. The HRC Gateway can be accessed via the following URL: https://gateway.hrc.govt.nz/, a user guide is available to assist you.

Refer to Section 3 Part B Applicants can bypass this section if they intend to apply for a Full Project grant

Development Grant

Refer Section 3 Part A for further information

Registration

Refer to the Ngā Kanohi Kitea Full Application Guidelines

Full Application

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Section 2: Rules for Submitting a Development Grant Application This section provides information on completing a development grant application. Applicants should ensure that they have fulfilled all other required steps as outlined in these guidelines and the RFP document.

1. Preparation

1.1 Prior to Submission The development grant application process requires applicants to submit a written proposal using the HRC-DvNKK 215 (MS Word) form. This form is available via the HRC website (www.hrc.govt.nz) and is an MS Word file. Before submitting a research application, applicants should read the following documents:

HRC’s Investment Strategy Guidelines on Ethics in Health Research Te Ara Tika: Guidelines for Māori Research Ethics Guidelines for Researchers on Health Research involving Māori Guidelines for Pacific Health Research (where relevant)

All documents are available on the HRC website

Applicants should also familiarise themselves with the Research Assessment Overview and Scoring of Ngā Kanohi Kitea Research Applications (Appendix 1).

1.2 New organisations New organisations (e.g. Independent Hosts) who have not previously been funded by the HRC will be required to undertake “due diligence” if your application is successful. Please contact Jaylene Wehipeihana, Project Manager, (email jwehipeihana@hrc.govt.nz or phone (09) 303 5207 for further information.

2. Format 2.1 General Formatting 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.

The application must be filled in using default fonts and other settings (e.g. margins, line spacing). Single line spacing should be used at all times. Applicants must:

Use the HRC-DvNKK 215 form Do not copy and paste the Module or Section headings. Do not merge tables. Do not alter table headings (shaded blue), or remove table columns. Use only Arial 10 point or 11 point type. These are the default formats within the

default font.

Adhere to page limits.

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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. 2.2 Additional Documents Applications must be self-supporting. Any additional documentation (including letters of commitment/supporting documents) must accompany your hard copy application by the due date (for hard copies). Any additional document must show the HRC reference number (e.g. 15/xxx). Co-funding commitments from other sources that are confirmed after the closing date should be provided as they become known and may be useful to the committee.

3. Copies of Applications Required 3.1 Electronic Application You will need to submit the following your completed forms via the HRC Gateway:

HRC-DvNKK215 as a PDF file (.pdf)

A PDF file can be created by using the pdf function in MSWord or other pdf generator. The conversion to pdf format prior to uploading allows applicants quicker access to the final compiled application, containing all Sections, so that satisfactory inspection of graphics can be completed. Once uploaded, the application should be submitted to your Research Office (using the Forward to RO function in the HRC Gateway). The Research Office will then release the application to the HRC. If your institution/organisation has not previously held a contract with the HRC or does not have a Research Office your application will automatically be sent directly through to the HRC. HRC Gateway will allocate files names. 3.2 Hard copy application Applications must be submitted initially on the HRC Gateway and printed copies sent to the HRC with any supporting documentation. The HRC requires two copies of your final submitted HRC-DvNKK 215 Application Form. Applications must be correctly collated. No collation of inserts can take place after receipt of the application. The HRC will not accept faxed research applications. No part of an application can be returned to the applicant.

4. Privacy provisions 4.1 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 Health Research Council of New Zealand (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.

4.2 Personal information contained in the application may be made available to external

referees and members of the HRC Committees relevant to the review of 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.

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4.3 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.

4.4 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.

5 Enquiries All enquiries related to Ngā Kanohi Kitea research applications should be directed to the Māori Health Research team at the HRC:

Jaylene Wehipeihana

Project Manager

Māori Health Research

DDI 09 303 5207

Email jwehipeihana@hrc.govt.nz

6 Mailing Address The application should be sent to the HRC office as shown below:

Mailing Address: Physical/ Courier Address: Health Research Council of New Zealand Health Research Council of New Zealand PO Box 5541, Wellesley Street, 3rd Floor, 110 Stanley Street, Grafton AUCKLAND 1141 AUCKLAND 1010 Attn: Jaylene Wehipeihana Attn: Jaylene Wehipeihana

The first Named Investigator will be sent confirmation of receipt of their application within five working days from the closing date; a copy will be sent to the Host Institution also (if applicable). The address and email listed on the application will be used for all correspondence.

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Section 3: Submitting a Ngā Kanohi Kitea Development Grant

Outline Applicants are required to submit a Registration for the Ngā Kanohi Kitea Development Grant. The registration is a simple, web-based form that is submitted electronically via the HRC Gateway. Your registration will be added to your application to produce a final application. Applicants are advised to refer to the HRC Gateway User Guide available on the HRC Gateway website (https://gateway.hrc.govt.nz/). This guide provides detailed instructions to assist new users in the submission process.

Incomplete or late applications will not be accepted.

PART A: Guidelines for completing the Registration form (web-based)

MODULE 1: Applicant (web-based form) This module is completed via the HRC Gateway and will be added to the uploaded form.

SECTION 1A: GENERAL INFORMATION Research Title - The research title should be succinct and clearly describe the proposed project. For administrative purposes, the title must not exceed 80 characters (letters), including spaces and punctuation (e.g. ‘growth factors’ contains 14 characters). Please ensure your title relates to health. Host Institution - The host institution is the institution or organisation that will be responsible for administering any contract awarded. It can be a provider, Trust etc. This is the institution that will administer the award on a successful application. Research Location(s) - This is the specific area/region/rohe where the majority of research and or data collection will be undertaken. For example, Whakatane, Bay of Plenty is an example of a research location. Start/Completion Dates and Term Enter the proposed dates and the term (months) as accurately as possible. It is understood that the dates may be contingent on examination or thesis results. An award may not commence until 1 January in the following year. Applicants may apply for a shorter than maximum full-time term at a pro rata value. Part-time award values will not exceed the full-time maximum. Named Investigators (NIs) All NI’s must be registered users on the HRC Gateway portal. Named Investigators are defined as those researchers duly responsible for the conduct of the proposed research. Typically these persons would constitute those doing the research. Although not all names will be confirmed at this stage the committee would like to see potential names considered. It is recognised that these may change when applying for a Full Project Grant. Research Committee Applications for the Ngā Kanohi Kitea Grants will be assessed by the Māori Health Research Committee and or its co-opted members. Lay Summary (150 words max) - Summary of research to be undertaken. Include research objectives, principal methodologies and potential health outcomes or impact.

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PART B: Guidelines for completing the Development Grant Form

Outline This section outlines what is expected in each field of the HRC-DvNKK 215 form. The development grant application process requires applicants to submit to the HRC:

A written proposal using the HRC-DvNKK 215 (MS Word) form

SECTION 1B: APPLICATION INFORMATION Tribal Affiliation This information is required for committee administration and HRC evaluation purposes. Potential Advisors/Independent Expert and Subcontractors - These include those that are advising the team on relevant parts of the project and/or proposal and include any subcontractors. Details of relevant experience FOR INDEPENDENT EXPERT– include details of previous research undertaken by independent expert, experience and expertise provided relevant to this proposal including methodology etc. Cost of Development Phase - Please list the cost of the development phase which must not exceed 5% of the total cost of research. (e.g. application for a full project grant up to $50,000 may not exceed $2,500 in the development phase).

Full Project Grant Funding – Please indicate whether you intend to make an application for a Full Project Grant and to what level of funding you may require. Also you need to include the approximate term of the project. It is expected that applications for funding ranging from $50,000 to $100,000 will have for example; one – three specific objectives that are achievable within a 12 month period. Full project grants of $100, 000 and over are designed to investigate a well-defined research question over the maximum term of 18 months.

MODULE 2: DESCRIPTION OF PROPOSED RESEARCH (3-page limit) The following section headings should be used to structure the discussion of your proposed research. Throughout your discussion, remember that your audience includes not only your discipline-specific referees, but also a more broadly experienced committee that is comparing your application’s merits against many others. It is in your best interest to structure your discussion in a clear and logical fashion. Ideally, seek feedback from a colleague outside your immediate research area.

Introduction 1 - Health or disability issue being addressed - Please outline the issue you intend to address in the full study (e.g. water quality, asthma in children) and the Rationale for undertaking the research - Ensure to outline why this piece of research is important to iwi/hapū or community and in what ways this is a community (whānau, hapū, iwi or other groupings) identified health need.

1 For more information visit www.rangahau.co.nz and www.kaupapaMāori .com

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Proposed methodology/approach to the research - Research design and methods - Outline how you will address the topic and include the aims and research question(s), who are the participants? How will they be recruited? What data is needed and how will it be collected? How will the data be analysed and interpreted? How will quality of data collection and analysis be managed? Are there any key ethical issues that need to be considered? Please note your Independent Expert may need to help you with this.

Involvement of community /partnerships - List the involvement and support of any other community partners (letters of support need to be attached) and demonstrate in what ways this is research is community (whānau, hapū, iwi or other groupings) driven. Proposed Team and host institution List the names of the proposed team their roles and areas of expertise and state the nature of your expert advice, cultural competency of team members (e.g. who your expert advisors are, how will they be associated with the application and beyond, what will they be doing). Include the background story on how the research idea was generated, how and why the host institution became involved/how the partnership came about. Please note in the full application it is expected that funded positions will have names associated. Unjustified and unnamed positions may affect the assessment and or the full budget amount.

Budget for the development grant - Clearly outline what your budget is and how it will be spent.

If you are unsure about any of the information written in this section it is best to seek independent advice.

MODULE 3 - RELEVANCE OF RESEARCH TO SPECIFIC POPULATION GROUPS Your answers to the questions in this section will be used to assess whether your research would contribute to Māori health outcomes, and assist in ensuring that appropriate peer review processes are used in assessment of the research application. Depending on the specific involvement of Māori in your application you may answer “No” or “not applicable” to some questions. Note that if the proposed research is not designed specifically to involve Māori you can still answer any question where you feel that the information you provide will assist the reader to understand or appreciate the scope of your application (e.g. groups consulted, plans for dissemination) in terms of responsiveness to Māori. Note that if the proposed research does not involve any of the HRC’s priority population groups (all parts of Question 1 are answered “No”), applicants do not need to complete this section. Populations groups can be defined in terms of demographic factors (e.g. ethnicity, gender and age), culture, by special needs (e.g. people with disability) or behavioural factors (e.g. tobacco, drug or alcohol consumption). The HRC has five priority population groups, Māori, Pacific peoples, children and youth, older adults, and people with disability. Please refer to the relevance criteria developed for the HRC’s five priority population groups. The HRC is committed to ensuring that all research involving human participants meets ethical standards and complies with international best practice. Best practice in this instance includes the expectation that researchers consult with the participants of research. Applicants should refer to the HRC’s guidelines for Research with Māori, the Pacific Health Research guidelines, and the Ethics guidelines, located on the HRC’s website (www.hrc.govt.nz).

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In some cases it may not be either reasonable or feasible to consult with population groups involved in the study. However, consideration should be given to consultation with other key stakeholders and representative bodies (e.g. relevant non-government organisations (e.g. Alzheimer’s Association), support groups, parents or care givers).

MODULE 4 - BIOGRAPHICAL SKETCHES This section is to be completed for each investigator named on the front page of the application and named investigators. They must be signed and be up to date. Signatures may be faxed, but electronic signatures are not acceptable. Named investigators who are overseas are not exempt. Do not attach Curriculum Vitae. Please list information in chronological order. (Copy section and repeat as needed for the number of named investigators on the application). Pacific ethnicity - Building the capacity of the Pacific Workforce is an HRC priority, therefore, if relevant please indicate if the researcher is of Pacific ethnicity. Any relevant experience relevant to this research application. List any experience you have had that may contribute towards the research and the research application. Include any community, voluntary or other relevant experience. Number of publications State the total number of publications in refereed journals in the box provided (do not include abstracts, proceedings or letters published or presented). List of Publications from previous five years Applicants should list all of their peer-reviewed publications from the previous five years, starting from current year first. Identify the investigator's publications most relevant to the research proposed by bolding the Author(s) name. You may include citations, impact factors, and/or journal rankings. Other forms of research dissemination (Maximum one page-equivalent) Use this section to describe other forms of research dissemination relevant to the proposed research, (e.g., media broadcasts, conference papers, editorials, newspaper articles, monographs, reports to groups, government publications and so forth).

MODULE 5: ADMINISTRATION This Module will only be required from successful applicants offered a contract. It is provided here for reference only. No signatures are required. The full administration agreement can be downloaded from the HRC website.

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Checklist for development grant 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 via the HRC Gateway) and the First Named Investigator’s surname has been correctly entered in the header.

Check all signatures have been obtained for the biographical sketches.

Ensure you have converted your application document (MS Word) to a PDF

Ensure you have submitted your PDF application electronically via the HRC Gateway by 1pm on the 1st October 2014.

Ensure that your original application hard copies (two copies) are submitted to the HRC by 3rd October 2014.

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Appendix 1 The Assessment Process – An Overview Through the Annual Funding Round the HRC purchases research through an impartial, transparent, peer reviewed assessment process. This process, replicated in Ngā Kanohi Kitea, Māori Knowledge and Development Research Grants, provides the maximum likelihood that the HRC is investing in the best research available at any given time, and the research most likely to make a difference. In this way the HRC is provided with an assurance of quality in the assessment process.

The following sets out the steps in the process in the assessment of development and project grants: Applications for Development Grant submitted in response to Request for Proposals; Assessment and scoring of Development Grant applications by Assessing Committee; Successful applicants receive Development Grant funding; Full applications submitted; Assignment of proposals to external peer reviewers; Written assessments and grading of the proposals by external peer reviewers; Applicant rebuttal of external referee comments; Meeting of Assessing Committee to discuss proposals and External Peer Review comments; Successful research providers identified.

ASSESSMENT OF APPLICATIONS FOR DEVELOPMENT GRANTS The Assessment Committee will meet to assess the applications for development grants received. The applications will not be peer reviewed at this stage. Each application is given a score out of 21. A score of 1-7 is allocated for each of the criteria. Overall, 1 (poor/unsuccessful application) is the lowest score, 4 (average/changes required) the midpoint score, and 7 (outstanding/successful application) the highest score possible. The following criteria will be used:

Research Project Details

7 The project has the potential to significantly advance knowledge in the relevant Māori health field. The initial description of the methodology and approach to be taken is sound.

4 The project has the potential to create some new knowledge in the relevant Māori health field. There is some scope for improvement in the methodology and approach taken.

1 The project will not create any new knowledge and is unacceptable as proposed.

Expertise and Track Record of the Research Team

7 The research team have a high level of knowledge, expertise and networks in the area of research. The members of the research team and the nominated expert (if included) have the potential to complete a competitive funding application and to successfully complete the project. The project will build the research capability of a Māori community.

4 The research team has some knowledge, expertise and networks in the area of research however there are some areas where their skills have not been adequately described or have not been fully demonstrated. The members of the research team and the nominated expert (if included) have the potential to complete a funding application and to complete a research project. The project has some potential to build the research capability of a Māori community.

1 The research team are unlikely to complete a competitive funding application or successfully complete a research project. They have inadequate knowledge, expertise and networks in the area of research. The project is unlikely to build the research capability of a Māori community.

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Fit with the Request for Proposals (RFP)

7 The application meets the objectives and intent of the RFP. The project originated and is clearly driven by the aspirations of the community. The application is hosted by a suitable organisation and the ongoing community involvement is appropriate. The use of development grant funding is appropriate and will assist the applicants in submitting a highly competitive full proposal.

4 The application in part meets the objectives and the intent of the RFP. There is some community involvement in the project. The use of the development funding is appropriate and will assist in putting together a full proposal.

1 The application does not address the key objectives identified and fails to meet other set requirements for this RFP.

The scoring system will be used to identify the top ranking applications who will be granted development phase funding to assist them with submitting a full application. To apply for a full project grant please refer to Ngā Kanohi Kitea Full Application Guidelines.