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Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
NIHR Programme Development Grants
Guidance Information for Applications
Introduction ................................................................................................................. 2
Background ................................................................................................................. 2
Eligible Uses Of Programme Development Grant Funding ......................................... 3
Characteristics Of A Strong Programme Grant For Applied Research Proposal......... 4
Research Priorities ...................................................................................................... 4
Eligibility ...................................................................................................................... 4
Unsuccessful Applications Submitted In Previous Programme Grants For Applied
Research Application Rounds ..................................................................................... 5
Selection Process........................................................................................................ 5
Selection Criteria For Programme Development Grants ............................................. 6
Subsequent Applications For Programme Grants For Applied Research .................... 6
Submitting A Programme Development Grant Application .......................................... 6
Guidance On Completing The Programme Development Grant Application Form ..... 7
Application Finances ................................................................................................. 11
Other Information to be submitted with the application form ..................................... 12
Submission Deadline................................................................................................. 13
Confidentiality ............................................................................................................ 13
NIHR Faculty ............................................................................................................. 13
Further Information .................................................................................................... 13
Appendices ............................................................................................................... 13
th
Competition 4: (v4 – dated: 21/05/2010) 1 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Introduction
Best Research for Best Health1 set out a 5-year Research and Development Strategy for the
NHS in England. This document describes the detailed process for the award of
Programme Development Grants and invites appropriate NHS organisations, together with
their academic partners, to submit a Programme Development Grant Application.
Background
Programme Grants for Applied Research are prestigious awards of up to £2m over a period
of three to five years, the aim of which is to:
Provide evidence to improve health outcomes in England through promotion of health,
prevention of ill health, and optimal disease management (including safety and quality),
with particular emphasis on conditions causing significant disease burden, where other
research funders may not be focused, or there is insufficient funding available
Enable NHS trusts to tackle areas of high priority or need for health
Provide some stability of funding to support the long-term development of top quality
applied research groups working in the NHS
Replace, in part, programmes of research previously supported by the Priorities and
Needs (PNF) component of NHS R&D Support Funding for NHS Providers
Although a large number of Programme Grant awards have been made to applications of
high quality, a large proportion of the proposals reviewed by the NIHR Programme Grants
for Applied Research Selection Panel are significantly flawed. One of the areas of weakness
identified by the Selection Panel has been the tendency for applications to be submitted at
too early a stage in the development of the research programme. For example, although the
proposal may address an important topic, the applicants fail to provide convincing data on
the need for the research, or are unable to demonstrate its practicability by presenting the
results of pilot or feasibility studies, or have not assembled a team with the necessary track
record. Under these circumstances, the Selection Panel is unable to recommend a
Programme Grant award, despite the obvious potential for a high quality research
programme in the relevant area.
The sole purpose of NIHR Programme Development Grants is to address this problem by
providing funding of £20,000 to £100,000 (over a period of 6 – 18 months), to enable a
research team to develop and refine its research ideas, obtain empirical justification for
research plans, or acquire or further develop appropriate collaborative expertise. Successful
completion of the preparatory work funded via the Programme Development Grant should
enable a research team to position itself for a successful Programme Grant application in a
subsequent funding competition.
Applicants for NIHR Programme Development Grants will need to: (1) describe the research
to be undertaken should a Programme Grant be awarded, and (2) detail the preparatory
work to be undertaken, indicating how this would enable the research team to develop a
credible application to the NIHR Programme Grants for Applied Research funding scheme in
due course.
1
Best Research for Best Health: A New National Health Research Strategy. The NHS contribution to
health research in England. Department of Health. 2006.
th
Competition 4: (v4 – dated: 21/05/2010) 2 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Eligible Uses Of Programme Development Grant Funding
A Programme Development Grant will support activities such as:
Evidence synthesis that might include modelling.
Selection or development of interventions or measures of outcome.
Pilot/feasibility studies to determine recruitment and participant retention rates, inform
sample sizes calculations, optimise delivery of the intervention, etc.
Strengthening of existing collaborations with methodological experts necessary to
deliver the proposed research programme.
A Programme Development Grant will not support:
Basic science work underpinning a future programme of exploratory research. The
expectation is that the development work will be undertaken to enhance a future
programme of applied research that will have benefit to patients and the NHS within
3 – 5 years of the end of the future programmes funding period.
Stand alone projects of any type. All constituent projects should be designed solely
to inform and strengthen a future Programme Grant for Applied Research application.
Work to enhance future programmes at highly formative stages of development.
Efforts to formulate teams from initial conception.
Applicants are strongly advised to read the generic feedback on the first round of
applications to the NIHR Programme Development Grants funding scheme (available here)
before submitting a development grant application. This document identifies the following
key issues for consideration when developing a development grant proposal:
A proposal that makes a compelling case for the value of the proposed work,
including the potential benefits for patients and the NHS within 3–5 years of the end
of the (future) Programme Grant funding period.
A proposal which describes a future programme of applied health research that is
sufficiently well developed and detailed to allow assessment of the proposed
research methods.
A proposal from a (potentially) strong team with the appropriate breadth and depth to
deliver a future programme of applied health research.
A proposal that describes current limitations of the plans for the proposed
programme and describes in detail how these will be successfully addressed directly
by development work, such that the team will then be well positioned to bid for a full
programme grant.
th
Competition 4: (v4 – dated: 21/05/2010) 3 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Characteristics Of A Strong Programme Grant For Applied Research
Proposal
Applicants are also advised to read the generic feedback on the first, second and third
rounds of applications to the Programme Grants for Applied Research funding scheme
(available here) before submitting a Programme Development Grant. These documents
identify key issues that should be considered when describing your proposed programme of
research in conjunction with the preparatory/development work that you wish to undertake
with funding from the Programme Development Grants funding scheme, including:
A research team with an excellent track record in applied health research containing
the necessary breadth and depth in all the methodological expertise required to
deliver the proposed programme of work and with appropriate input from those
methodological experts in the development of the programme of research.
A proposal addressing a very important research area for the NHS, which will
produce generalisable results with a likelihood of significant (and quantifiable) benefit
for the NHS and patients within 3-5 years of the end of the funding period.
A proposal with an appropriate balance between breadth and depth, which is
ambitious (but not over-ambitious), has a sufficient number of related research
strands to constitute a broad and coherent programme of work, but is realistic in
scope and scale and deliverable within a five year timescale and a £2m funding
envelope.
A proposal with clearly articulated, relevant and engaging aims and objectives, each
addressed by research strands whose methods are described in sufficient detail to
enable the Selection Panel to judge their quality and feasibility.
A proposal that clearly involves the public and patients in the development and
delivery of the proposal by not only specifying people dedicated to the role, but also
allocating sufficient resource from within the budget to allow for this.
A well written proposal presented in a logical and coherent way, using appropriate
sub-headings and keeping the use of jargon, abbreviations and acronyms to a
minimum.
A proposal providing excellent value for money, in which the requested resources are
clearly justified and are commensurate with the type and scale of the work proposed.
Research Priorities
We will accept Programme Development Grant applications in all areas of applied health
research.
Eligibility
All NHS organisations and other providers of NHS services in England may propose
Programme Development Grants, in collaboration with an appropriate academic partner or
partners. Bids may be submitted by consortia including more than one NHS organisation.
Bids may include support for patient/consumer groups wanting to lead or participate in
programmes of research.
th
Competition 4: (v4 – dated: 21/05/2010) 4 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
It is possible that the academic partner could be a university outside England, if an
appropriate case is made in the application. We would expect the application to make a
strong case that the chosen academic partner was the organisation best placed to provide
academic input to the planned research.
Unsuccessful Applications Submitted In Previous Programme Grants
For Applied Research Application Rounds
Applicants unsuccessful in previous Programme Grants for Applied Research competitions
may, if they wish to do so, apply for a Programme Development Grant, if they believe that
they can fully address the concerns raised by the Programme Grants for Applied Research
Selection Panel and that the preparatory work to be funded via any Programme
Development Grant award would enable them to prepare a credible Programme Grant
application in due course.
Selection Process
Programme Development Grants will be awarded by open competition.
Potential applicants are required to complete an application form that includes a summary of
their proposed research programme and details the preparatory work to be undertaken. The
selection process involves the following stages:
All Programme Development Grant proposals will be subjected to an initial check, to
ensure that basic eligibility criteria for the scheme have been met, for example: all
sections of the form have been completed; the duration of the proposed preparatory work
falls between 6 and 18 months; an appropriate NHS manager has been included as a co-
applicant; and the amount of funding requested does not exceed the specified limit, or is
too small to require Programme Development Grant support (i.e. less than £20,000).
Programme Development Grant applications which pass this initial check will be
assessed by the Programme Grants for Applied Research Programme Selection Panel,
and its expert sub-panels, using the defined selection criteria detailed below.
The timetable for the fourth round of applications will be:
14th June 2010 publish call for Programme Development Grant applications on the
NIHR website.
25th October 2010 at 5:00pm: deadline for receipt of Programme Development Grant
applications.
February 2011: review of Programme Development Grant applications by NIHR
Programme Grants for Applied Research Selection Panel.
March 2011: notification of awards recommended for funding.
June 2011: awards commence.
The fifth call for Programme Development Grant proposals will be in December 2010, with a
submission date of March 2011.
th
Competition 4: (v4 – dated: 21/05/2010) 5 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Selection Criteria For Programme Development Grants
The specific selection criteria for a Programme Development Grant will be:
The relevance and importance of the research to be funded via any future
Programme Grant award to the priorities and needs of the NHS
The quality of the proposed future Programme, including the likelihood of its
potential to deliver significant benefit to the NHS and patients within 3 – 5 years
of the end of the funding period
The strength of the research team (either now, or as augmented through
Programme Development Grant funding), including the relevant expertise and track-
record of the team in conducting high quality applied research
The strength of the work plan for the development phase, particularly the extent
to which the proposed preparatory work will enable the applicants to reach the point
where they will be able to submit a competitive application to the Programme Grants
for Applied Research funding scheme
The value for money provided by the proposal
In order to address the above selection criteria, the Programme Grants for Applied Research
Selection Panel and its Sub-Panels will use prompts when assessing Programme
Development Grant applications. These are listed in Appendix D.
Subsequent Applications For Programme Grants For Applied Research
Successful applicants for NIHR Programme Development Grant funding will be able to
submit a full application for a Programme Grant for Applied Research, without previously
submitting an outline application.
Upon successful completion of the preparatory work, the NIHR CCF must be contacted so
that applicants may be entered in to the full stage of the Programme Grants for Applied
Research competition open at that time. A report of the outcome of the preparatory work
funded via the Programme Development Grant award must be submitted as an annex to the
full Programme Grant application.
There is however, no formal expectation or guarantee that the recipients if NIHR
Programme Development Grants will be successful in obtaining a Programme Grant for
Applied Research award in the future; all applications for NIHR Programme Grants for
Applied Research will be judged on their own merits against the published criteria.
Submitting A Programme Development Grant Application
In order to submit a Programme Development Grant application, applicants must first
register with the NIHR Central Commissioning Facility (CCF) website. Once registered and
logged in, applicants should follow the Programme Development Grants link which will allow
them to access and download an application form.
th
Competition 4: (v4 – dated: 21/05/2010) 6 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Further information on how to register on the CCF website, download a Programme
Development Grant application form and submit a completed application is provided at
Appendix C.
Guidance On Completing The Programme Development Grant
Application Form
Applications should be submitted on the Programme Development Grant Application
Form (in Microsoft Word format) which is available from the NIHR CCF website. These
notes should be read in conjunction with the application form and are designed to help you
to provide the information required.
In order for your application to be accepted you must submit the minimum information
required. This includes all the mandatory fields in the application form: failure to complete all
mandatory sections of the form will result in your application being rejected on the grounds
that it is incomplete.
The application form should be completed using a font size no smaller than 10 (Arial). Keep
the use of acronyms to a minimum. Only use acronyms where a term is mentioned
frequently throughout the proposal. If you do choose to use an acronym, do not assume that
the reader knows what it means, and be sure to define it, bearing in mind that individual
sections of the application may be read separately during the selection process.
Guidance on the individual sections of the application form is provided below:
Reference number
This is the reference number your application is allocated when you download a Programme
Development Grant application form and should be used for any subsequent queries.
1. Application
Title
Provide the title of the proposed Programme Development Grant. This should be concise
and descriptive and contain relevant keywords.
Proposed Duration
Indicate the expected length of the preparatory work to be funded via the Programme
Development Grant award in months. Programme Development Grants can be up to 18
months in length, and should be for a minimum of six months.
Estimated Total Cost
Indicate the estimated total cost of the Programme Development Grant award. This should
not exceed £100,000. This excludes any Service Support and Excess Treatment Costs,
which will not be met via any Programme Development Grant award.
A breakdown of research costs associated with undertaking the preparatory work should be
provided on the Programme Development Grant Application Finance Form (see the
“Application Finances” section below for further information).
NHS Organisation Submitting Application
Please provide the name of the NHS organisation submitting the application, which would
administer any award.
th
Competition 4: (v4 – dated: 21/05/2010) 7 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Estimated Date of Submission of Programme Grant Application
Please indicate the anticipated date of submission of a Programme Grants for Applied
Research full application, once the preparatory work funded via any Programme
Development Grant award has been completed (future Programme Grants for Applied
Research competition dates are available here).
2. Lead Applicant’s Details
Please submit the name, post held, and department for the Lead Applicant, and describe the
role he or she will fulfil in the Programme Development Grant phase and in the (later) full
programme.
The lead applicant may be an NHS or university employee; in the latter case, the individual
would need to have an appropriate relationship with the NHS organisation to ensure proper
governance and accountability; as a minimum, the Lead Applicant must have an honorary
contract with the NHS organisation submitting the application.
3. Lead Applicant’s Contact Details
Provide contact details for the Lead Applicant, to whom all correspondence relating to the
application will be addressed.
4. Co-applicant Details
Please submit the names, posts held and institutions for all co-applicants (a maximum of 15
is allowed). Briefly indicate the contribution each co-applicant will make to the research
programme that will be informed by the preparatory work, e.g. the methodological expertise
he or she will provide; and describe the role of each co-applicant in the programme
development stage.
5. NHS Manager Details
One of the applicants should be an NHS service manager to ensure that there is a clear
customer for the outputs of the research. Please identify which of the applicants is an NHS
service manager, providing job title and a brief description of the individual’s role in
managing clinical service provision. This should be a full-time manager, with responsibility
for the provision of clinical service, rather than a part-time clinical director or an R&D
manager.
6. Background
Briefly describe the context of your proposal based on the following subheadings:
I. The overarching aims of the proposed research programme, outlining the research
questions which the work will ultimately address
II. Background to the proposed research programme, including NHS context and
relevant literature
III. Importance of the proposed research programme and its relevance to the priorities
and needs of the NHS (including a statement of the significance of the research area,
e.g. burden of disease, quantifying this where possible)
IV. The need for research in this area, and the rationale for the particular lines of
research you ultimately plan to pursue
V. Past and current research that justifies the proposed research and shows that it will
add distinct value to what is already known, or in progress
th
Competition 4: (v4 – dated: 21/05/2010) 8 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
VI. Preparatory work already undertaken towards developing the proposed research
programme
VII. Current barriers to undertaking the proposed research programme that will be
addressed through the proposed Programme Development Grant
References should be provided in an annex to the application.
7. Programme Research Plans
Describe the proposed research programme to be funded via any future Programme
Grant for Applied Research award, providing brief descriptions of individual projects /
workstreams / workpackages in turn and indicate how they integrate together to form a
coherent programme of research. In particular, specify, as far as you are able at this
stage, the methodological approaches proposed with sufficient detail to allow them to be
assessed, e.g., justification for sample sizes, inclusion and exclusion criteria, nature of follow
up, techniques of data collection, choice of analysis and why etc.
8. Programme Grant Research Team
Describe the track record of the research team in applied health research, outlining skills and
expertise, publication outputs, grant income, and impact on health service practice and
policy.
Where the Programme Development Grant funding will be used to strengthen the expertise
of the research team, describe the areas that will be strengthened and explain how this will
be achieved.
9. Programme Development Grant Work Plan
Give details of the preparatory work to be undertaken with support from any Programme
Development Grant award. In particular, explain how the Programme Development Grant
funding will be used to enable the applicants to reach the point where they will be able to
submit a competitive application for funding under the Programme Grants for Applied
Research funding scheme.
List clear objectives and provide brief descriptions of individual feasibility or pilot studies or
other preparatory work to be funded via the Programme Development Grant award to
address these, including the methodological approaches proposed.
Specify the key deliverables to be generated by the preparatory work to be supported via the
Programme Development Grant award and how these outcomes will inform or lead to the
development of an application under the Programme Grants for Applied Research funding
scheme.
Describe the progression of the preparatory work, explaining whether elements will be
conducted in series or in parallel.
Again, references should be provided in an annex to the application.
10. Patient and Public Involvement
Summarise patient and public involvement in the design and conduct of the proposed
development work and future programme.
th
Competition 4: (v4 – dated: 21/05/2010) 9 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
The NIHR expects the active involvement of the public (for example patients, carers, service
users, and/or the wider public) in the research it supports. We acknowledge that the nature
and extent of active public involvement is likely to vary depending on the context of each
study but it is anticipated that for many programmes there will be a particularly significant
component of patient and public involvement. It is also recognised that one purpose of the
development grant application may be to develop and/or enhance plans for patient and
public involvement. For further information, please see Appendix A: Guidelines for
Programme Grant applicants about involving the public in research. These guidelines have
been written by Angela Barnard who is a member of INVOLVE and a regular PPI
representative of NIHR Programme Grants for Applied Research sub-panels.
11. Justification for Resources Requested
Please provide a breakdown of research costs associated with undertaking the preparatory
work on the Programme Development Grant Application Finance Form provided (see the
“Application Finances” section below for further information).
Justify the resources requested in the following order: staff costs; direct non-pay costs and
indirect costs. Please add any comment related to the breakdown and summary tables as
considered necessary.
12. Health Categories
Please choose the most appropriate UKCRC Health Category that your application falls
within from the list provided.
13. Declarations and Signatures form
Applicants are expected, before submitting applications, to have discussed their proposals
with their own and any other body whose co-operation will be required in the conduct of the
research. The Declarations and Signatures form, which is associated with the application
form, must be signed by the lead applicant and a finance officer and a senior representative
of the lead NHS organisation, to confirm that the content of the application and the financial
details provided are complete and correct, and that the host institution will agree to
administer the award if made.
The Declarations and Signatures form should be printed, signed by the lead applicant and
the relevant authorities and returned by post to the Central Commissioning Facility at the
address below:
NIHR CCF
PO Box 407
Teddington
TW11 0XX
Applications will not be accepted unless a signed copy of the Declarations and
Signatures form is received within one week of the submission deadline for the
Programme Development Grant application.
th
Competition 4: (v4 – dated: 21/05/2010) 10 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Application Finances
Individual awards will be for a maximum of £100,000 over a period of 6-18 months. The
amount of funding awarded will, however, be determined by the scale and nature of the
research activity to be conducted.
In all cases, funding will be awarded to an NHS organisation, which may then pass funds
on to an academic partner.
Funding must only be used to support the recurrent costs of patient- and population-
focused applied health research.
The funding awarded will be separate from any other NHS R&D funding received by the
NHS organisation. This means that funding cannot be provided for the same item by the
Programme Development Grants funding scheme and, for example, the NIHR Research
for Patient Benefit funding scheme.
Applications must be costed at current (2010/11) prices, based on current salary scales
and scale increments; these costings will be used to assess value for money.
Eligible costs include:
Staff costs: the salaries of research, research support or other staff (from all
professional groups), required to work full or part-time on the proposed
development work. The cost of these posts should include employers’
contributions and regional weighting and other allowances.
Direct non-pay costs: other recurrent direct research costs, including
infrastructure, essential to deliver the proposed development work. These costs
could include:
o consumables
o consultancy fees
o usage costs of major research facilities
o travel and subsistence (including collaborative working visits or meetings)
o local computing charges which can be directly assigned to the proposed
research
o software licences
o equipment costing less than £5,000; these can be rental or purchase
costs, and include the maintenance costs
o other non-pay costs directly attributable to the development work
Indirect costs: a reasonable overhead to cover indirect costs incurred in the NHS.
NHS organisations will calculate the amount of overhead, using their own cost
rates (although methods of calculation may be requested to support the
application at a later date), and can include the cost of:
o General office consumables
o Library services/learning resources
o Typing/secretarial
o Finance, personnel, public relations and departmental services
o Central and distributed computing if not directly allocated
o Cost of capital employed
The expectation is that the funding will be used to support posts employed by (or funded
by) the NHS, and that any newly established posts created with funding from this
scheme will be employed by the NHS organisation. However, where there is a local
agreement for staff to be employed by the university partner, and where this does not
attract additional costs over and above the normal costs of employment, this will be
allowed (ie the cost of employer's contributions will be met, but the posts will not attract
Full Economic Costs in the university).
th
Competition 4: (v4 – dated: 21/05/2010) 11 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Where justified, it is permissible to reimburse the university partner for the cost of the
time devoted to the development work by university employed and funded staff, again
provided that this does not attract additional costs over and above the normal costs of
employment.
Funding will not be provided for university facilities or infrastructure which is located in
the university, or to meet the costs of work which is not patient- or people-focused
research in the NHS. In some cases, university research facilities are located in the
NHS. Where an applicant can demonstrate beyond doubt that such facilities are
essential for the conduct of applied health research in the NHS, appropriate support for
them may be requested.
Service Support Costs and Treatment costs are not covered by this scheme and should
not be included.
Other Information to be submitted with the application form
The following documents should be submitted with the application form (those marked with a
* are mandatory):
The Programme Development Grant Application Finance Form*
Annex 1*: Curricula vitae
Applicants must provide a one-page Curriculum vitae for each of the applicants
(including the health services manager) using the template provided. The total file
size of this annex should not exceed 350kb otherwise it will not upload to the
website.
Annex 2*: References
Applicants should provide a list of references cited in the application form. The
Vancouver format (Author(s). Title. Year: Volume: Start page – End page) should be
used for references. Avoid referring to work that is not publicly accessible; where this
is unavoidable, such as key references to a paper in press, please provide a copy.
Annex 3: Supporting documentation
Applicants may provide additional supporting documentation, including diagrams,
pictures, charts, letters of support and papers in press. The total file size of these
documents should not exceed 2Mb.
Applications must be submitted via the NIHR CCF website and guidance on how to
upload your forms is detailed at Appendix C.
th
Competition 4: (v4 – dated: 21/05/2010) 12 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Submission Deadline
The deadline for receipt of Programme Development Grant applications is Monday
25th October 2010 at 5:00pm. A signed copy of the Declarations and Signatures form
should be returned to the NIHR CCF by Monday 1st November 2010. A hard copy of the
remainder of the application is not required.
Confidentiality
Research proposals are considered confidential by the NIHR CCF and all reasonable steps
are taken to ensure that this confidentiality is not breached. Further information and
guidance is available here.
NIHR Faculty
If your application is successful, the individuals named in the Finance Form (and who are
either NHS or university employees), will become members of NIHR Faculty for as long as
their salaries are supported by the Programme Development Grant award. This is in
recognition of their success in demonstrating that they are engaged in high quality research
relevant to NIHR and/or policy concerns.
NIHR Investigators, as members of NIHR Faculty, are expected, via the National
Coordinating Centre through which their research activities are funded, to advise the Director
of NIHR on research issues within their expertise. This may take the form of serving on
review panels or carrying out peer review. We would not normally expect to require more
than four peer reviews or serving on two panels a year.
Further information on the NIHR Faculty is available here.
Further Information
We wish to ensure that applicants fully understand what is needed in their applications
before they submit them. We are therefore very happy to respond to requests for
clarification from the lead for each application or from a person nominated by him/her. We
cannot, of course, provide advice on the content of an application. Any enquiries should be
directed to the NIHR Central Commissioning Facility: programme.grants@nihr-ccf.org.uk or
020 8943 8991.
General information on this funding scheme is available on the NIHR CCF website.
Appendices
A. Guidelines for programme grant applicants about involving the public in research
B. Guidance on the costs of R&D in the NHS
C. Guidance on using the NIHR CCF website
D. Prompts about selection criteria used by assessment panels when considering
development grant application
th
Competition 4: (v4 – dated: 21/05/2010) 13 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Appendix A
GUIDELINES FOR PROGRAMME GRANT APPLICANTS ABOUT INVOLVING
THE PUBLIC IN RESEARCH*
BACKGROUND
Since its inception in 2006 it has been NIHR policy2 that all research funded through its
various Programmes should involve members of the public. In this context, the word 'public'
includes patients, service users, carers and representatives of those who use services. This
involvement is not that of individuals or groups from whom data are collected (i.e. the
subjects of research); it is active participation, alongside the research team, in the research
activities. This involvement can encompass the full spectrum of activities, from the inception
of the research question through to dissemination.
RATIONALE
The case for public involvement in research can be made from a number of
perspectives.
These include the assertion that members of the public3:
offer different perspectives
enable people who are often marginalised to contribute to research
disseminate the results of research and help to ensure that changes are
implemented and that they help to ensure that issues which are important to them
(and thus health and social care services) are identified
money and resources aren't wasted on research that has little relevance
research doesn't just measure outcomes that are identified and considered important
by professionals
Although many find these assertions compelling in their own right, others seek the
reassurance of evidence. Such evidence is beginning to emerge and in November 2009 an
important report (Exploring Impact: Public involvement in NHS, public health and social care
research; Kristina Staley 2009) was published by INVOLVE4. The report explores the impact
of public involvement through an in-depth review of published literature and the benefits
consistently reported are:
public involvement is of value in qualitative research
public involvement helps increase recruitment to all types of research
in clinical research public involvement is of particular value in ensuring acceptability
of trials, and that participants felt them to be ethical, well-designed and have relevant
outcome measures
APPLICATIONS FOR NIHR FUNDING
All NIHR application forms include a section in which applicants are asked to provide details
of how they will involve members of the public. As well as being reviewed by academic and
clinical peers, applications are also reviewed by members of the public (who have been
given the necessary training) who assess and review the level of public involvement and the
likely public benefit of the proposed research. Members of the public are also included in
commissioning panels and take an active part in the assessment of, discussion about, and
2
Research Governance Framework (2001 & 2005) and Best Research for Best Health (2006)
3
Hanley et al. (2004) Involving the Public in NHS, Public Health and Social Care Research: Briefing
nd
notes for researchers (2 edition) INVOLVE
4
INVOLVE is a national advisory group, funded by the National Institute for Health Research. Its
role is to
support and promote active public involvement in NHS, public health and social care research.
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Competition 4: (v4 – dated: 21/05/2010) 14 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
short-listing of applications for final consideration by the Director General of Research and
Development.
PUBLIC INVOLVEMENT IN PROGRAMME GRANTS FOR APPLIED RESEARCH
There is no standard model for good public involvement in research. All research
applications are unique and have particular ways in which the involvement of the public will
add the greatest value. This is especially true of Programme Grants for Applied Research
which have a number of work-packages, use several methodologies and can take place in
centres that are many miles apart. It is therefore more useful to consider the general
principles of involvement, which form the basis upon which this aspect of an application is
assessed by the members of the public involved in the commissioning process. The
following table highlights these:
Stage in the
What are the indicators of good public How will this benefit the
research
involvement at this stage research
process
Inception Individuals who are affected by the condition This will help to ensure that the
and/or their carers and/or representatives have outcomes of the research address
helped identify the need for the research and the needs of those affected by the
have also helped frame the basic research condition and not just the needs of
questions. the organisations and professionals
involved.
Governance There are a number of ways in which patients This will ensure that the various
can be included in the management and research activities remain aligned to
oversight of the research, e.g. as co-applicants, the original concept of patient need
a patient advisory group, a partner and that there are adequate
organisation (e.g. a charity associated with the arrangements in place for the
condition). Where any lay people are included patients who are taking part in the
in mixed discipline committees or groups it is research both as its subjects (those
good practice to have a minimum of 2, so that from whom data are collected) and its
they can provide each other with support and partners (those working with the
have a strong presence. It is also good research team)
practice to have a senior member of the
research team responsible for the public
involvement and this would include ensuring
that individuals were fully supported in their
roles.
Design and Patients have helped determine how the Without the involvement of patients at
methodology research questions will be answered, especially this stage there is a high level of risk
in those areas where data will be collected from that the data collected will not reflect
people affected by the condition and all those the experience of patients, either in
connected to their care e.g. Are questionnaires terms of the care that they receive (or
the best tools to use? What is the best time don't receive) or in the impact the
and place to interview patients? What questions condition has on their lives.
reflect patients' values? What data are needed The completion of the application
from GPs in order to identify issues around form would also be included in this
Primary Care for this condition? stage and patients can help maintain
Patients have also helped identify the costs of clarity and focus and will be able to
involvement e.g. out of pocket expenses, write authentic lay summaries.
attendance fees, childcare costs, etc.
(Table continued on next page)
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Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
(Table continued from previous page)
Conduct of the It is often possible for patients or their carers The answers a patient will give to
research to take part in activities such as interviews and another patient can be more open
data analysis. than those they would give to a
researcher. This leads to richer and
more accurate data. When looked at
by patients, data can suggest
different conclusions from those seen
by researchers. Both of these
increase the value of the research
outcomes to patient care.
Dissemination Patients can add considerable value to the Patients and patient groups are very
range of dissemination vehicles used, including valuable allies when it comes to
the project report. encouraging the implementation of
results. Many national charities are
successful campaigning
organisations and have a wealth of
expertise in bringing about changes
in practice.
* With thanks to Angela Barnard. Angela is a member of INVOLVE and a regular PPI
representative of NIHR Programme Grants for Applied Research sub-panels.
Further information can be obtained by contacting INVOLVE:
INVOLVE
Wessex House
Upper Market Street
Eastleigh
Hampshire
SO50 9FD
Telephone: 02380 651088
Textphone: 02380 626239
Fax: 02380 652 885
Web: www.invo.org.uk
Email: admin@invo.org.uk
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Competition 4: (v4 – dated: 21/05/2010) 16 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Appendix B
GUIDANCE ON COSTS OF R&D IN THE NHS
The costs of R&D in the NHS are split into three categories5:
Research Costs are the costs of the R&D itself. They include the costs of data collection
and analysis and other activities needed to answer the questions that a piece of R&D is
addressing. They can include pay and indirect costs of staff employed to carry out the R&D
(but see below on NHS Support Costs), registration of trials, and costs associated with
making the results accessible. Research Costs are met by the research funder (i.e.
through this funding scheme).
NHS Support Costs are the additional patient-related costs associated with the research,
which would end once the R&D activity in question had stopped, even if the patient
care service involved continued to be provided. These costs might cover items such as
extra patient tests, extra in-patient days, and extra nursing attention. NHS Support Costs
might also cover informed consent obtained from participants where active treatment is
delivered as part of the research, or where consent is necessary in the context of the NHS
retaining its duty of care. NHS Support Costs were previously provided to individual
NHS Trusts through the Support for Science element of R&D Support Funding for
NHS Providers, but will in future be met through dedicated funding streams, primarily
the Comprehensive NHS Research Network and Topic Specific Networks.
Treatment Costs are the patient care costs incurred when conducting a research study in
the NHS which would continue to be incurred (by the NHS) if the patient care service
in question continued to be provided after the R&D study had stopped. (In determining
Treatment Costs, the assumption should be that the intervention / service being tested will
continue after the end of the study even if there are no plans in place for it to continue.)
Where patient care is provided that is either an experimental treatment or a service in a
different location from where it would normally be given and it differs from the normal,
standard treatment for that condition, the difference between the total Treatment Costs and
the costs of the standard treatment (if any) is called Excess Treatment Costs (ETCs). These
costs are nonetheless part of the Treatment Costs, not an NHS Support or Research Cost.
NHS Treatment Costs related to non-commercial research studies, including ETCs, are the
responsibility of the NHS and are funded through normal arrangements for commissioning
patient care. This is because funding to cover these costs is allocated to PCTs as part of
their overall revenue allocations. R&D related treatment costs usually make up only a small
part of the overall costs of individual providers and are included in the reference costs used
to calculate PbR tariffs (PbR tariffs are higher as a consequence).
In very exceptional circumstances, where the volume or concentration of Excess Treatment
Costs associated with a particular piece of externally funded R&D impacts unfairly on a very
small number of NHS organisations and would risk serious disruption to NHS services
locally, DH may make available a subvention to cover part of the Excess Treatment Costs.
Further guidance on funding Excess Treatment Costs related to non-commercial research
studies and applying for a subvention is available here.
5
Further information is provided in HSG(97)32: Responsibilities for meeting Patient Care Costs
associated with Research and Development in the NHS, and Attributing revenue costs of externally-
funded non-commercial research in the NHS (ARCO).
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Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
The lead NHS organisation is required to confirm that it is fully aware of the NHS resource
and cost implications associated with the proposed programme (including the NHS Support
and Treatment cost implications), and is prepared to host the research, should an award be
made, by signing the Declarations and Signatures form.
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Competition 4: (v4 – dated: 21/05/2010) 18 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Appendix C
GUIDANCE ON USING THE NIHR CCF WEBSITE
Downloading and Uploading Your Application
The application process for the NIHR Programme Development Grants is electronic and
managed through the NIHR Central Commissioning Facility website. You will be asked to
download the application form, finance form and Annex 1, complete them offline and then
upload your completed forms through the website. To access this documentation, you will
first need to be registered on the CCF website.
Registration
1. Go to the NIHR CCF website
2. Enter the postcode of your institution and click “Find Institution”.
3.
a. If your address is already on our system, select that address and click “Use
Selected Address”.
b. If your address is not on our system, click the “Continue” button.
4. Enter your details in all of the mandatory fields (indicated by a *), and create a
password
(please note: your password needs to be 8 characters or more and is case sensitive)
5. Click on the link to the “Privacy and Data Protection Statement” and, once read,
tick the confirmation box.
6. Click “Submit”.
Downloading Your Form
Please ensure that the form is downloaded and uploaded using the registration of the
lead applicant. If you are a co-applicant or PA of the lead applicant, please register in the
lead applicant’s name, otherwise you will be assigned as the lead applicant on this
application.
1. Login to the NIHR CCF website with your username and password
2. Click on the “Programme Grants” link in the left hand menu
3. Click on the “Programme Development Grants” link in the left hand menu
4. Click on the button “Download and Submit”
5. Click on the button “New Project” (You will be taken to a page depicting a green
tick, confirming that a new project has been created)
6. Click the button “Return”
7. Click the button “Begin Download”
8. Click the button “Download”
9. Click on the “Confirm download” button and save the application form to your local
drive
10. Click on the button “Return to previous page”. This will take you back to the page
listing all the files to download
11. Repeat the download process for the finance form and Annex 1 (mandatory one
page CV to be completed for all applicants – file size no greater than 350kb).
Please restrict CVs to one side of A4.
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Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
12. Annex 2 (mandatory list of references in Vancouver font) and Annex 3 (non-
mandatory supporting documentation – file size no greater than 2Mb) are
documents to be supplied by you and are not available for download. These
annexes must be appended with your reference number before being saved to your
local PC otherwise they will not upload to the website e.g. annexes 2 and 3 for
reference number RP-DG-XXXX-10001 must be named and then saved as
Annex2_RP-DG-XXXX-10001.doc, and Annex3_RP-DG-XXXX-10001.doc
respectively.
Your Reference Number
This is the reference number of your application and you should note this number as you will
need it for all subsequent enquiries. If your application is successful, this reference number
will stay with the project for its lifetime.
The reference number is not filled in by the applicant; it should already be present when the
form is downloaded. Please contact the Central Commissioning Facility if your application
does not have a reference number.
Uploading Your Application Form
Microsoft Word and Excel 2007 file formats are currently not supported and cannot be
uploaded to this website. If using Microsoft Word or Excel 2007, please use the "save
as" command and save the application form and Annexes as Word 97-2003
documents and the finance form as an Excel 97-2003 workbook before submitting
them to the website.
Also, please note that your application form is numbered with your reference number. The
document you upload must have the same file name as that downloaded from the
website. Failure to submit a file with the same name will result in the upload being rejected.
The file must also be closed before you submit it otherwise, again, it will not upload to the
website.
After completing your application:
1. Login to the NIHR CCF website
2. Click on the “Programme Grants” link in the left hand menu
3. Click on the “Programme Development Grants” link in the left hand menu
4. Click on the button “Download and submit”
5. Click the “Begin submit” button
6. You must click the “submit”’ buttons and use the browse button to locate the file on
your local network/drive
7. Having located the file, click the button “Begin submit”
8. Click on the button “Confirm submit”
9. A page depicting a green tick will appear confirming that the file has been
successfully uploaded. Then click on the “Return” button which will take you back
to the page listing the remaining files to be submitted
10. Repeat this process for the full application finance form, mandatory Annexes 1 – 2
and Annex 3 if you have documentation to support your application
11. Once you have uploaded all the necessary files, click on the “Back” button. A
green tick will now have appeared by ‘Application Status’ indicating that all files
comprising the application have successfully been submitted.
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Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
On completion, you will receive an email thanking you for your submission. Please keep this
email as proof of submission. If you do not receive this email within 24 hours of completing
the submission, please contact the CCF.
Please note that during busy periods such as close to a competition deadline it will take
slightly longer to upload your application. During this time our helpline will be receiving a
very high volume of calls. We therefore advise that you do not leave your submission until
the last 24 hours.
Common Issues When Uploading
Please ensure that the file you are trying to upload is closed otherwise you will get an error
message.
If you have uploaded the wrong version of the document, you can overwrite it by uploading
the correct document again. You will be permitted to overwrite the documents up until the
submission deadline.
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Competition 4: (v4 – dated: 21/05/2010) 21 Closing date: 25 October 2010
Competition Number: 4
Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
Appendix D
PROMPTS ABOUT SELECTION CRITERIA USED BY ASSESSMENT PANELS
WHEN CONSIDERING DEVELOPMENT GRANT APPLICATIONS
The relevance and importance of the research to be funded via any future
Programme Grant award to the priorities and needs of the NHS
What is the importance of the proposed future programme, e.g. in terms of burden of
disease?
How relevant is the proposed future programme to the priorities and needs of the
NHS?
Is there a clear need for research in this area, and a clear rationale for the proposed
line of research?
To what extent does the proposed future programme build on past and current
research by the research team, or by others?
To what extent would the proposed future programme add distinct value to what is
already known, or to research in progress?
The quality of the proposed future programme, including the likelihood of its
potential to deliver significant benefit to the NHS and patients within 3–5 years
of the end of the funding period
Do the research plansfor the future programme satisfactorily address the objectives?
Are the proposed study designs and methods for the developed elements of the
future programme appropriate, valid, robust and feasible?
How convincing and coherent is the overall approach proposed?
Is there a likelihood of significant benefit to the NHS and patients within 3-5 years of
the end of the Programme Grant funding period, should a Programme Grant award
be made in due course?
Are potential benefits from the research to be funded via any future Programme
Grant award applicable to the NHS and patients generally (or just limited to the
environment of the proposed programme)?
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Date of issue: June 2010 Guidance for Applicants
File reference: RP-DG-0610-1****
The strength of the research team (either now, or as augmented through
Programme Development Grant funding), including the relevant expertise and
track-record of the team in conducting high quality applied research
Are the applicants well qualified to undertake the preparatory work and proposed
programme, on the basis of their track record in applied health research (as judged
by publication output, previous research funding, and impact on health service
practice and policy)?
Does the proposed research team have the necessary breadth and depth of
expertise to undertake the planned preparatory work and deliver the proposed
programme of research?
The strength of the work plan for the development phase, particularly the
extent to which the proposed preparatory work will enable the applicants to
reach the point where they will be able to submit a competitive application to
the Programme Grants for Applied Research funding scheme
Are the aims and objectives of the proposed preparatory work realistic within the
timeframe and within the resources proposed?
Do the research plans for the proposed preparatory/development work satisfactorily
address the objectives and would they enable the applicants to reach the point where
they will be able to submit a competitive application to the Programme Grants for
Applied Research funding scheme?
Are the proposed study designs and methods for all elements of the preparatory work
appropriate, valid, robust and feasible?
The value for money provided by the proposal
Are the requested resources, including staffing, clearly justified? Are they essential
for the preparatory work proposed?
Taking into account the likelihood of a later successful Programme Grant application
and the level of resources required for development work, does the proposal promise
good value for money?
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Competition 4: (v4 – dated: 21/05/2010) 23 Closing date: 25 October 2010
