Get documents about "Haz Infra Rf P
W
Document Sample
2012 Investment Round
Request for Proposals
Hazards and Infrastructure
14 December 2011
Sector Investment Plan Hazards and Infastructure
Contents
Introduction 1
1. Investment priorities and research questions 1
1.1. Funding available 1
1.2. Hazards and Infrastructure Research Fund 2
1.2.1. Objectives and scope of the Hazards and Infrastructure Research Fund 2
1.2.2. Intended outcomes 2
1.2.3. Priorities for investment 2
1.2.4. Research questions 3
2. Proposal and assessment 6
2.1. Who may apply 6
2.2. Submitting your proposal 6
2.3. Key characteristics of your proposal 7
2.3.1. Relationship-building and partnerships 7
2.3.2. Connectivity and focus 7
2.3.3. Best team and research stretch 7
2.3.4. Demonstrating international benefit to New Zealand 7
2.3.5. Vision Mātauranga 7
2.3.6. Co-funding 8
2.4. Investment mechanisms 8
2.5. Who makes decisions 9
2.6. Peer review and assessment 9
2.7. Enquiries and further information 10
Appendix A – Further terms which apply to this RfP 11
Ministry of Science and Innovation i
Sector Investment Plan Hazards and Infastructure
Introduction
This Request for Proposals (RfP) sets out the research questions that align with the
investment priorities detailed in the Hazards and Infrastructure Sector Investment Plan. This
RfP should be read in conjunction with the Sector Investment Plan that is available on the
MSI website.
The Hazards and Infrastructure Research Fund has a total of $14.3 million per annum
invested in research. Of this, approximately $6.15 million per annum will be available for
investment in new programmes in accordance with this RfP, commencing in October 2012.
The scope of the fund encompasses resilience to hazards, urban development, and
infrastructure improvement.
Part 1 of this paper sets out the investment priorities and research questions for the Hazards
and Infrastructure Research Fund.
Part 2 provides information on how to submit a proposal and the assessment process.
Key milestones to note in the investment timeline are:
February 2012: online portal opens and Notes for Applicants are released
5 April 2012: proposals will be due to be received
October 2012: contracts will commence.
Further terms that apply to this RfP are set out in Appendix A.
1. Investment priorities and research questions
This section provides information on the context and priorities for investment in hazards and
infrastructure research for the 2012 investment round. It details:
the outcomes being sought from investment
priority areas for investment and associated research questions
the investment mechanisms to be applied in this investment round
1.1. Funding available
MSI will invest up to $6.15 million per year excluding GST in this investment round in
hazards and infrastructure research.
Note:
New end-user ‘link’ tools specific to hazards, urban and infrastructure issues are
under development. Funds of approximately $0.45 million per year may be retained
for the purpose of providing on-demand input to user activities and decision-making,
and increasing user engagement with research, science and technology.
Research focused on understanding natural hazards or health hazards is not sought
via the Targeted Research investment mechanism but may be accepted under the
Smart Ideas investment mechanism. Natural hazards research is to be covered by a
Ministry of Science and Innovation 1
Sector Investment Plan Hazards and Infastructure
separate RfP issued by the Natural Hazards Research Platform. Hazards primarily
related to health (e.g. pandemics) are covered by the Health Research Council.
The funds available are indicative only and final allocations will depend on the quality of
proposals.
1.2. Hazards and Infrastructure Research Fund
1.2.1. Objectives and scope of the Hazards and Infrastructure Research Fund
The objectives of the Hazards and Infrastructure Research Fund are to increase New
Zealand’s resilience to hazards; support sustainable urban development, building and
infrastructure; and help communities to manage growth and change, mitigate risks and
maximise infrastructure efficiency.
Research into hazards and infrastructure is important to avoid or minimise losses due to
disaster, and to create infrastructure, cities and towns that support economic, environmental,
cultural and social wellbeing.
Click here1 to view the Gazette notice that describes the funds within Vote Science and
Innovation.
1.2.2. Intended outcomes
The funding that will be delivered under this plan will target research that will result in:
quality urban and infrastructure development
increasing resilience to hazards
assistance to help communities grow, change, mitigate risks and maximise
infrastructure efficiency.
Investment from this fund will also support the Vision Mātauranga policy of unlocking the
science and innovation potential of Māori knowledge, resources and people (see section
2.3.5 below).
1.2.3. Priorities for investment
The investment priorities were selected through consideration of key factors, challenges and
opportunities identified through targeted consultation with MSI’s independent Sector
Advisory Group, key research organisations, government agencies and users of research,
such as industry. Further information on the priorities and how they were identified is
contained in the Hazards and Infrastructure Sector Investment Plan for the 2012 Investment
Round available on the MSI website.
The table below summarises the priorities, and details the research questions, for
investment in 2012. Proposals should address one or more questions and should specify
the applicable investment mechanism. Detailed information on the investment mechanisms
is contained in Section 2.4. Applicants should familiarise themselves with the objectives and
characteristics of each investment mechanism before submitting a proposal.
1
http://www.dia.govt.New Zealand/MSOS118/On-Line/NEW
ZEALANDGazette.nsf/658bf950ed55760ccc256ce40072801f/c1c93ece2966bae1cc25782900556fc6!OpenDocument
Ministry of Science and Innovation 2
Sector Investment Plan Hazards and Infastructure
Note that due to the specificity of the objectives of each mechanism, each proposal must use
only one investment mechanism.
1.2.4. Research questions
Smart Ideas
Investment Indicative funds
priorities Research questions available
(ex GST)
Understanding Smart Ideas are invited across this investment priority. Approx. $0.5
hazards Proposals addressing the following are particularly million per year
encouraged:
1. What is the hazard risk to New Zealand, and what
new or improved methods can be developed to
mitigate and respond to:
fires in buildings,
transport of hazardous substances, or
another non-natural hazard.
Points to note:
Either two projects up to $350K or one project up to
500K will be funded for an initial investment period
of two years.
Ministry of Science and Innovation 3
Sector Investment Plan Hazards and Infastructure
Targeted Research
Investment Indicative funds
priorities Research questions available
(ex GST)
For targeted research in this sector co-funding by in-kind contributions is required; other co-
funding is encouraged.
Urban futures 2. What are the likely scenarios of technological, Approx. $3
demographic, social, economic, environmental and million per year in
policy change that will impact on New Zealand total for four
cities, towns and buildings? How can we develop years
and manage all aspects of our urban environments
to create places that are vibrant, resilient, liveable
and internationally competitive, drawing from the
best global and indigenous knowledge, to meet
future needs?
Points to note:
Proposals should illustrate integrated,
multidisciplinary, ‘best team’ research
programmes.
If multiple proposals are selected, there will be an
expectation that these teams will work together to
deliver maximum benefit for this sector.
Ministry of Science and Innovation 4
Sector Investment Plan Hazards and Infastructure
Targeted Research
Investment Indicative funds
priorities Research questions available
(ex GST)
Resilient 3. What models or tools will strengthen the systems Approx. $1.4
infrastructure knowledge underpinning New Zealand’s million per year in
infrastructure networks and services to deliver: total for two to
four years
timely and efficient development, management
and use of ‘future proofed’ infrastructure,
considering network interdependencies and
potential for synergies,
understanding and articulation of the full range
of economic, social, cultural and environmental
benefits and costs of infrastructure, and return
on investment over the life of the assets, and
improved resilience of infrastructure lifelines,
including buried services, to natural hazards
and other causes of failure. This may include,
but is not limited to, lessons learned from
Christchurch.
Points to note:
Projects may address all or part of this research
question.
Projects may either span multiple forms of
infrastructure or focus on one sector, such as
wastewater, digital or transport. Energy
infrastructure may be a component but not be the
primary focus of any project, as the Energy and
Minerals Fund addresses energy infrastructure.
Understanding 4. What can we learn from case studies of regulatory Approx. $0.3
the cost of failure or market failure across the sector (for example, million per year in
development in inappropriate locations), by total for two to
determining the costs, who these are borne by and four years
over what period, to develop alternative incentives
or risk management options?
Understanding 5. Building on past research, what are the risks to New Approx. $0.5
hazards Zealand from rural fire hazard, and what million per year in
management options, policies and processes will total for four
reduce negative consequences from rural fires, and years
improve the response to wildfire events?
Points to note:
It is unlikely that more than one project on this topic
will be funded.
Ministry of Science and Innovation 5
Sector Investment Plan Hazards and Infastructure
2. Proposal and assessment
This section details:
who may apply
how to submit a proposal
characteristics of your proposal
investment mechanisms
who makes decisions on funding
peer review and assessment
investment timeline.
2.1. Who may apply
Researchers from public research organisations and other providers of research that will
benefit New Zealand are eligible to apply. Proposals from researchers from private sector
organisations are not eligible if the scientific research, development or associated
technology transfer activities are solely for the benefit of that organisation. It is expected that
a significant proportion of the research will be undertaken in New Zealand.
2.2. Submitting your proposal
Your proposal must be submitted using MSI’s online Portal. The Portal and instructions to
applicants will be available in early February 2012. A preliminary guidelines document that
provides detail on the structure of the proposals for this investment round, is currently
available on the MSI website, and it is recommended that applicants review this document
as soon as is practical.
In preparing a proposal for submission, the following points should be noted (see also
section 2.3):
Your proposal must address one or more research questions and use the applicable
investment mechanism. Note: regardless of whether a single proposal answers one
or more questions, it can only use one investment mechanism.
A cap of 150 percent of a lead researcher's time applies to the total proposals
submitted.
Where a lead researcher has been successful in two or more applications, MSI
reserves the right to negotiate that the time allocated on all MSI funded projects does
not exceed 100 percent.
Any researcher named on a proposal must commit sufficient hours to equate to a
minimum of 15 percent of an FTE.
Ministry of Science and Innovation 6
Sector Investment Plan Hazards and Infastructure
MSI will implement its open data policy as appropriate, which means that funding
recipients may be expected to make publicly available any data developed or
collected using funding provided by MSI.
2.3. Key characteristics of your proposal
To achieve the intended outcomes of the 2012 investment round MSI expects that the
following issues and characteristics will be addressed in all research proposals.
2.3.1. Relationship-building and partnerships
Where appropriate, strong connections are encouraged between research organisations and
companies, public agencies, industry, iwi/Māori and/or communities in this investment round.
This is necessary to:
ensure that the research is relevant
reduce uncertainty and risk in regard to the definition and achievement of outcomes
increase the likelihood of the research being implemented.
Taking note of the objectives of the different investment mechanisms, proposals should
identify end-user interests and needs and the proposed path to the commercialisation or
uptake of the research outcomes as appropriate.
2.3.2. Connectivity and focus
In most cases the investment priorities can be the focus of single proposals. However, MSI
recognises research questions may inherently be related to each other and encourages
connectivity across questions and across sectors. Where multiple research questions are
being addressed, a proposal should clearly identify linkages and summarise how using an
integrated or combined approach will achieve the best outcomes.
2.3.3. Best team and research stretch
Applicants should demonstrate alignment and engagement with all relevant research
capability necessary to ensure the best outcomes. MSI recognises the best teams may
involve collaborations across research organisations.
2.3.4. Demonstrating international benefit to New Zealand
The research questions provide scope for New Zealand researchers to collaborate with
international research programmes addressing similar or related challenges. MSI
recognises that knowledge and efficiencies are to be gained from translating international
research into New Zealand.
2.3.5. Vision Mātauranga
The framework integrates four themes:
Indigenous Innovation: contributing to economic growth through distinctive research
and development
Taiao / Environment: achieving environmental sustainability through iwi and hapū
relationships with land and sea
Ministry of Science and Innovation 7
Sector Investment Plan Hazards and Infastructure
Hauora / Health: improving health and social well-being
Mātauranga: exploring indigenous knowledge and science and innovation.
Proposals should set out the way in which they will implement one or more of the themes. If
implementation of Vision Mātauranga is not appropriate, the proposal should clearly state
why.
2.3.6. Co-funding
Co-funding is the support your organisation receives from another organisation or source.
There are two types of co-funding:
Direct cash – this is funding you receive from other organisations or sources that
contributes directly to objectives within the proposal. It does not include funding after the
life of the contract. It must be essential to the achievement of the objective(s) and be
genuine cash funding of the proposed work. It is not funding from which an income is
derived or which is returnable to the funder.
Direct in-kind – this is non-cash contributions to your research. You need to apply it
directly to specific objectives (as above). Examples include equipment and staff time.
MSI's expectations regarding co-funding vary across different investment mechanisms and
output expenses. MSI may request proof of co-funding arrangements during or before
contracting for a successful proposal. Where co-funding is a mandatory requirement, it will
be included as a condition of the contract.
2.4. Investment mechanisms
For the 2012 research investment round, science-led contestable funding will be allocated
using three investment mechanisms: ‘Smart Ideas’, ‘Targeted Research’ and ‘Enabling
Technologies’.
Smart Ideas: Designed to drive innovation and an entrepreneurial culture in the national
research portfolio, Smart Ideas will:
support basic discovery and/or applied research into promising ideas in priority areas;
and
provide early guidance to researchers from key end-users, such as service providers,
entrepreneurs or commercialisation specialists on positioning research for successful
application and/or commercialisation; and
build and support entrepreneurial capability, by providing support to early career
researchers.
Smart Ideas funding is available in two phases; focused on research (Phase 1) and
application (Phase 2).
Targeted Research: Targeted Research supports purpose-driven research, science and
technology aligned with national priorities that generate economic, environmental or social
benefits for New Zealand. To increase the impact of the national science portfolio,
knowledge transfer outputs and activities are an important part of the research programme.
Ministry of Science and Innovation 8
Sector Investment Plan Hazards and Infastructure
Targeted Research addresses the strategic needs, challenges and opportunities identified in
Sector Investment Plans and the corresponding research questions identified in Requests
for Proposals.
Enabling Technologies: Enabling Technologies supports purpose-driven research, science
and technology and related activities aligned with national priorities that generate economic,
environmental or social benefits for New Zealand.
Enabling Technologies supports generic technologies that potentially have multiple
applications and connections across science and business. It also funds knowledge transfer
and co-ordination activities linked to the research.
Please note that Enabling Technologies is not a mechanism available for the Hazards and
Infrastructure RfP.
2.5. Who makes decisions
The Science Board makes the decisions on science-led contestable funding.
All such decisions must be consistent with:
the Public Finance Act 1989 and the Description of Funds within Vote Science and
Innovation as detailed in the Supplement to the New Zealand Gazette on 31 January
2011.
the criteria specific to each investment mechanism, which are:
- objective of the mechanism
- eligibility criteria
- judgement criteria
- weightings for judgement criteria
- parameters specific to the mechanism.
In addition to the criteria listed above, the Science Board must take into account the overall
mix of relevant investments being funded through Vote Science and Innovation.
2.6. Peer review and assessment
After the closing date, MSI staff will check your proposal is eligible and sufficiently complete
for assessment purposes. All ineligible or incomplete applications will be returned.
All proposals submitted in this assessment round will be assessed through a process
involving expert review. Details of the assessment process will be available on MSI’s website
in February 2012.
Ministry of Science and Innovation 9
Sector Investment Plan Hazards and Infastructure
Investment timeline
The timeline is shown in the following table:
Phase Key dates
Portal and Notes for Applicants available February 2012
5 April 2012
Proposals due
12pm (noon)
Independent peer review of proposals April-June 2012
Moderation of assessment of proposals May/June 2012
Science Board consider investment recommendations July/August 2012
Investment decisions announced Late August 2012
Contracts start 1 October 2012
2.7. Enquiries and further information
If you need more information or have any questions related to this investment process,
please email us at investments@msi.govt.nz.
Ministry of Science and Innovation 10
Sector Investment Plan Hazards and Infastructure
Appendix A – Further terms which apply to this RfP
Investigations and reliance on information
Applicants must examine this RfP and carry out all necessary investigations before
submitting a proposal. If you are in doubt as to the meaning of any part of this RfP, you
must set out in your proposal the interpretation and any assumptions you used.
MSI will not be liable (in contract or tort, including negligence, or otherwise) to anyone
who relies on any information provided by or on behalf of the MSI in or in connection
with this RfP.
Costs and expenses
MSI is not responsible for any costs or expenses incurred by you in the preparation of
a proposal.
Confidentiality
MSI will treat your proposal as confidential, but you should be aware that MSI is
subject to the Official Information Act 1982 and may be required to release information
supplied in your proposal in accordance with that Act, or as otherwise required by law.
Inducements
You must not directly or indirectly provide any form of inducement or reward to any Board
member, officer, employee, advisor or other representative of MSI in connection with this
RFP process.
The proposal process
You should be aware:
your proposal may not be accepted
MSI may suspend or cancel this RfP, or replace it with a new RfP, at any time
if you provide any information to MSI with your RFP, please be aware that MSI
may not be able to return that information to you. MSI also reserves the right to
retain or destroy any information provided with an RFP
MSI may seek clarification from any proposer(s) in relation to any matter in
connection with this RfP process
any statement or representation contained in your proposal may be relied on in
determining your proposal.
No contract
No contract or other legal obligations arise between MSI and any proposer out of, or in
relation to, this RfP or RfP process, until a formal written contract (if any) is signed.
Ministry of Science and Innovation 11
Sector Investment Plan Hazards and Infastructure
Exclusion of liability
Neither MSI, nor any Board members, officers, employees, advisers or other representatives
will be liable (in contract or tort, including negligence, or otherwise) for any direct or indirect
damage, loss or cost (including legal costs) incurred or suffered by any proposer or other
person in connection with this RfP process.
Ministry of Science and Innovation 12
