Research Committee
2015
University of Otago Research Grants
Guidelines
Closing Date: 12pm 26th May 2014
One Electronic Copy (NB: must be Word or PDF from LaTEX file only) and One Hard
Copy of the Application should be sent
to:
Research & Enterprise Office, Dunedin
or
Health Research South, Dunedin School of Medicine
or
Research Office, University of Otago, Christchurch
or
Research Office, University of Otago, Wellington
TIMETABLE
Date
Mid-March 2014
Mid-April – 19
May 2014
12 pm, 26 May
2014
Process
Release of Forms and Guidelines.
Draft applications and Costing and Consents Worksheets to be
submitted to Research Advisors for comment.
Final Application, both electronic (Word File or PDF from
LaTEX only) and hard copy and CCW must reach the
appropriate Research Advisor at Research & Enterprise
Dunedin (Centre for Innovation), DSM, UOC or UOW.
Applications and CCWs must be signed by the Applicant and
the HOD.
Aug 2014
Discipline Panels and Strategic Panel meet and make
provisional recommendations.
17 Sept 2014
Research Committee makes final assessment and
recommendations for funding for each application. (Revised
budgets & objectives may be requested where applicable)
Oct 2014
Notification of results for successful awards.
1 Jan 2015
Accounts opened after all ethics and other approvals received
by Research and Enterprise Office.
31 Mar 2016
No expenditure can be processed after this date for one-year
projects.
Accounts closed.
30 June 2016
Annual Project Report received by Research & Enterprise
Office.
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CONTACTS
Enquiries concerning application procedures and guidelines
Research Advisors
Division of Commerce
Diana Rothstein
(03) 479 4043 or 021 279 4043
diana.rothstein@otago.ac.nz
Division of Health Sciences
Anatomy, Dentistry, Physiology
Eric Lord
(03) 479 4592 or 021 279 4592
eric.lord@otago.ac.nz
Microbiology & Immunology,
Pharmacology & Toxicology
Natalie Harfoot
(03) 479 4591 or 021 279 4591
natalie.harfoot@otago.ac.nz
Biochemistry, Medicine (DSM),
Pathology (DSM), Surgical Sciences
(DSM)
Edwin Meijerink
(03) 479 4190 or 021 279 5085
edwin.meijerink@otago.ac.nz
Ali Cameron
(03) 474 7708 or 33 9030
ali.cameron@otago.ac.nz
Preventive & Social Medicine Research
Units, Physiotherapy, Pharmacy
Diana Rothstein
(03) 479 4043 or 021 279 4043
diana.rothstein@otago.ac.nz
Division of Humanities
Gabrielle Hine
(03) 479 4173 or 021279 4173
gabrielle.hine@otago.ac.nz,
Bioethics Centre, General Practice &
Rural Health, Psych.Medicine,Women’s
& Children’s Health, Prev. & Social
Medicine
Division of Sciences
Applied Sciences, Chemistry, Computer Kate Berard
Science, Food Science, Human
Nutrition, Mathematics & Statistics,
Physical Education, Physics, Psychology
(03) 479 8484
kate.berard@otago.ac.nz
Botany, Geology, Marine Science,
Zoology, School of Surveying, CSAFE,
Geography
Amanda-Jane
(AJ) Woodhouse
(03) 479 7717 or 021 279 7717
aj.woodhouse@otago.ac.nz
University of Otago, Christchurch
Karen Chaney
(03) 364 1593
karen.chaney@otago.ac.nz
University of Otago, Wellington
Christine Groves
(04) 918 6855 or 021 279 5541
christine.groves@otago.ac.nz
Research Administrator
Fiona Seaton
(03) 479 5967
fiona.seaton@otago.ac.nz
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CONTENTS
Timetable
Contacts
Primary purpose
Number of Applications, Length of grants
Eligibility
Staff eligibility
Early Career Staff eligibility
Research and Study Leave, Retirement, Leave Without Pay, Resignation
Research eligibility
Financial limitations
Assessment
Assessment Panels
Assessment Criteria
The Application Form
General information
Electronic Application Forms, Costing Worksheets, Māori Consultation, Ethics
Section Guidelines
Section 1 – Research Question, Background and Objectives
Section 2 – Research Design and Methods
Section 3 – Strategic Outcomes, Impact and Outputs
Section 4 – Research Team Track Record
Section 5 –Budget: Details and Justification
Section 6 – Signatory Page
Budget Notes
Staffing and Salaries (including postgraduate students & postdocs)
Consumables and minor equipment
Specialised Equipment
Travel
Koha
Items not normally funded
Antarctic Research and Out-of-Season UORG Applications
Antarctic Research
Out-of-Season UORG Applications
Award Conditions
Length of grants
Notification of Success
Statutory and Regulatory Consents and Approvals
Annual reporting requirements
Publication Acknowledgment
UORG Account Close-offs
Appendix 1 – Summary of Changes to 2015 Guidelines
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PRIMARY PURPOSE
The primary purpose of the University of Otago Research Grant (UORG) scheme is to support
excellence in research and scholarship at the University of Otago in line with the objectives of
the University’s 2020 Strategic Research Imperative (http://www.otago.ac.nz/otago053226.pdf) .
The University of Otago Research Grant application process has the following purposes:
1. To support fundamental/ ‘blue-skies’ research projects that have limited sources of
external funding;
2. To provide funding for the initial or additional scoping or pilot stages of novel and
innovative research prior to approaching, or on the advice of, external funding sources;
3. To encourage the pursuit of research that will translate into benefit for society.
NEW There is now only one type of research grant and application form.
NUMBER OF APPLICATIONS
Only one application will be accepted from any eligible staff member as the principal
investigator and no more than two other applications as an associate investigator.
The principal investigator is required to make a time commitment on the application of at least
0.10 FTE.
LENGTH OF GRANTS
Applications may be submitted for one, two, or three year projects. The proposal must outline
the work that will be completed in each year as the Research Committee may decide to fund the
grant in part or only for the first year of work.
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ELIGIBILITY
STAFF ELIGIBILITY
Eligible staff members who have held UORG grants as Primary Investigators in both of the
immediate two prior rounds to this application, may not apply as a PI in this grant round.
Such staff members may apply as Associate Investigators this round for grants that will
commence in 2015 and will be eligible to apply as Primary Investigators in 2015, for grants that
will commence in 2016.
The definition of an Eligible Staff member is:
either
 University staff holding academic positions which are considered PBRF eligible
(typically Senior Teaching Fellows, Lecturers and above) and are funded fully or partly
(at least 0.2 FTE) from the University block grant, and whose appointment at the
University of Otago (previous and future) is at least 4 consecutive years.
or
 Research-only staff members who are, at the time of application, at least 0.5FTE (e.g.
Research Fellows, Senior Research Fellows, Research Professors/Associate Professors)
and are considered PBRF eligible and whose previous funding and confirmed future
funding as a 0.5FTE researcher at the University of Otago is at least 4 consecutive
years.
Any queries regarding eligibility should be directed to your Research Advisor before
submission. Also see the flow-chart on the following page.
EARLY CAREER STAFF ELIGIBILITY
Special consideration is given to Early Career Staff members. The definition of an Early Career
Staff member is an eligible staff member whose first appointment to the equivalent of a PBRF
eligible position at any university or research institute was within the six years preceding July
1, 2014. (Time spent on parental leave or in non-research related activity is excluded from the
yearly count of research experience).
Applicants may apply as Early Career Principal Investigators, even if they have been previously
awarded a UORG grant and provided that they still meet the early career definition.
NEW: Early Career Principal Investigators are encouraged to work with a mentor or a wider
group to provide feedback and advice on their proposal.
RESEARCH AND STUDY LEAVE, RETIREMENT, LEAVE WITHOUT PAY,
RESIGNATION
The staff member should not plan to retire or resign during the year for which the funding is
sought. If RSL is planned, the applicant must explain how the funding for the proposed research
is distinct from any Departmental, Divisional or external funds that have been received or will be
applied for RSL. If leave without pay is planned, the applicant must indicate how the research
will be managed.
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Diagram 1: Am I Eligible to Apply as PI on a 2015 UORG?
University Staff member holding academic
position – PBRF Eligible?
Research-only staff - Research Fellows and
above- PBRF Eligible?
NO
NO
YES
YES
Fully funded or partly (at least 0.2 FTE)
from the University block grant?
Appointment at the University of Otago
(previous and confirmed future) is at least 0.5
FTE and is at least 4 consecutive years?
Yes
YES
Appointment at the University of Otago (previous
and future) is at least 4 consecutive years?
YES
NO
NO
Had UORG as PI over each of immediate two previous
grant rounds?
YES
NO
Planning to retire, resign, take leave without pay
during the year for which the funding is sought?
NO
YES
Eligible to apply
Not eligible to apply
Diagram 2: Am I Early Career?
First appointment to a PBRF eligible position at any institution was within the six
years preceding July 1, 2014
NO
Had previous UORG?
YES
NO
Not eligible as early career staff
Eligible as early career staff
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RESEARCH ELIGIBILITY
The project should be distinct from the applicant’s research projects funded by external
research agencies or internal sources (e.g. Departmental or Divisional). UORG funding does
NOT cover shortfalls in external funding. There may be instances when there is a strong
justification for supplementary UORG funding such as when early career or new staff are
establishing a research platform or research facility or if external industry co-funding is
available. In such cases, the applicant must provide a justification for why the supplementary
funding is required (including evidence of any industry support/leverage) and explain how the
requested UORG funding would be used to supplement other funding.
A UORG is intended to support the applicant’s own research project. Although graduate
students may be employed to contribute to the research project, the achievement of the project
should not depend on the efforts of graduate students whose own research is expected to be
supported through the teaching Divisions. An exception is that an eligible staff member who is
undertaking PhD study may apply for UORG funding in support of their PhD project.
FINANCIAL LIMITATIONS
The minimum limits for applications for University of Otago Research Grants which can be
submitted to the Research Committee are determined according to the type and the discipline of
research.






Humanities
Social Sciences & Business
Physical Sciences
Life Sciences
Human & Biomedical Sciences
Clinical and Public Health
minimum limit - $ 2,500
minimum limit - $ 5,000
lab/field based research, minimum limit - $10,000
non-lab/field based research, minimum limit - $5,000
For two or three-year applications, at least one of the years must meet the minimum requirement.
Requests below the minimum limits will not be considered by the Research Committee.
The average amount funded for the 2014 round was: CPH - $22,500; HBS - $38,000; HUM $7,500; LIF - $25,500; PHYS - $24,000; SSB - $16,000. It is very unlikely that applications
exceeding $80,000 per annum will be funded.
The proportion of funding for each panel will be determined by the proportion of funding
requested.
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ASSESSMENT
ASSESSMENT PANELS
Applications will be assessed by six discipline panels as listed previously. These panels will be
chaired by members of the Research Committee. If necessary, members may be co-opted to the
Research Committee to fulfil these roles. The discipline panels will provide the Research
Committee with a ranked list from which awards (allocated on a merit base) will be made.
Applicants should complete the application, and nominate a single discipline panel. If additional
expertise is required to assess the application, this will be sought by the Panel Chair during the
assessment process.
ASSESSMENT CRITERIA
The panel will consider:
 the quality and clarity of the research proposal
 the novelty and innovation of the research
 the national or international significance and relevance of the proposed research
NEW Applications will be assessed on the following criteria (with weightings as indicated):
1.
2.
3.
4.
Research Question, Background and Objectives
Research Design and Methods
Strategic Outcomes, Impact and Outputs
Research Team Track Record
%
30%
30%
20%
20%
When your application is assessed it will be “graded” on each criterion on a scale from A+ to Ctaking into account the merit or compelling nature of the justification and the clarity of the
information provided.
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THE APPLICATION FORM
GENERAL INFORMATION
1. The application template (Word or LaTEX), Costing and Consents Worksheet (CCW)
and other information are available electronically on the University website:
http://www.otago.ac.nz/research/forms/. Use a font no smaller than Arial 10 point. Page
limits must be adhered to.
NB: The Panel reserves the right not to assess applications that do not meet these criteria.
2.
Use language that a well-informed reader who is a non-specialist in the field will
comprehend. Applications modified from applications submitted to external granting
agencies (e.g. Marsden, HRC, MBIE) will normally need rewording for non-specialists.
3. A Costing and Consents Worksheet (CCW) is required for all applications.
4. An electronic draft of your application and CCW should be sent to your Research Advisor
before 19th May 2014 for checking prior to obtaining signatures.
5. Māori consultation should be undertaken as part of the standard University process. Please
refer to ‘Research Consultation with Māori’ on the University website
http://www.otago.ac.nz/research/maoriconsultation/index.html
6. A copy of any required ethics and/or regulatory approvals must be forwarded to Research
and Enterprise, before your account can be opened.
Please contact your Research Advisor if you have any problems or queries.
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SECTION GUIDELINES
The overall goal of the panel will be to assess whether the objectives address the research
question and can be achieved over the time period of the research project.
NEW: All applicants are now required to complete Section 3 – Strategic Outcomes, Impact and
Outputs.
SECTION 1: RESEARCH QUESTION, BACKGROUND, OBJECTIVES (30%)
NOTE: The combined page length of Section One and Section Two should not exceed three
pages. References should not exceed one page and should follow Section Three. Use the
standard full referencing method for your discipline area.
The goal of this section should be to write a concise but adequate explanation of WHY you are
undertaking this project, what you hope to achieve (in the short, medium and long term), the
aims of this particular proposal and what sort of output you are expecting.
1. State a research question, hypothesis or any appropriate alternative that captures the central
problem addressed by the research. This section should explain why the research question or
hypothesis is original, insightful, rigorous, has national or international significance.
2. Explain the relationship between the research question and the background research
literature. Clearly outline how the new directions and ideas in the proposal will extend or
advance current knowledge in this area.
3. Explain the short, medium or long-term scholarly, scientific, technological, commercial, or
policy-related objectives of the research. Explain how the research question or hypothesis is
a key link, process or direction in achieving the overall objectives of the research proposal.
SECTION 2: RESEARCH DESIGN, METHODS AND PLANNING (30%)
1. Describe your research design and methods giving details of how you intend to carry out the
proposal, including statistical analysis (if applicable).
2. Explain why your chosen research design and methodology is the most appropriate to the
proposal. You might discuss aspects such as alternate design theories, methodologies, value
for money, techniques, practices or processes and whether your approach is consistent with,
advances, or revises these approaches.
3. Provide a timeline of key activities, identifying who and what will be involved in each phase.
4. Provide evidence that the resources (such as time, specialised assistance, access to
equipment) are available.
5. Show evidence of forward planning by including a description of any key activities,
collaborations, processes, advice/consultation - including Māori consultation - that have
already occurred prior to the proposal.
NEW SECTION 3: STRATEGIC OUTCOMES, IMPACT AND OUTPUTS (Limit: 1
page) (20%)
1. Describe the short, medium and/or long-term strategic outcomes that will result from this
proposal and the local, national international impact and/or benefits of the research. This
might include, for example:
 Better meeting the needs of end-users/audiences (cultural, business, social,
educational, policy, health etc.), whether as a direct ‘user’ of your research or as
University of Otago Research Grant Guidelines revised March 2014
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



developers or intermediaries who might take your research further.
Changing your research trajectory to a strategically aligned new direction to take
advantage of the opportunities in this new area.
Working towards commercialisation of your research by developing intellectual
property and/or marketable products or processes.
Seeking funding from external organisations by piloting new methodologies;
gathering additional data; developing new or strengthening research relationships,
such as with government, business or community groups; validating a process or
approach; better meeting the expectations of an external funder after advice.
Developing or strengthening an inter/intra-disciplinary and/or trans-organisational
research profile in an area of national/ international significance by undertaking a
coherent set of aligned research investigations.
2. Describe the intended outputs of your research (e.g. publication, report, process, performance
etc.) and where you intend to publish or disseminate your findings.
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SECTION 4: RESEARCH TEAM TRACK RECORD (20%)
Each researcher's track record and CV will be evaluated relative to his/her career stage and it is
the combined quality of these records including research outputs that will be assessed.
1. NEW List all current internal or external funding, including research grants that have been
applied for or received by all named investigators making a substantial contribution (ie
0.05% FTE or more) to the proposal. Note where these overlap with or are relevant to this
application. This includes University, Divisional, Departmental or related applications
submitted to the Equipment Committee as well as funding applied for or received from
external funders such as HRC, Marsden, Lotteries etc. (NOTE: It is expected that where
applicants are successful in being awarded alternative funding, UORG funding will be
returned).
2. Give numbers of postgraduate students supervised and completed by the PI where the
student commenced thesis research work after January 1, 2008.
3. CV: Please use the standard MBIE curriculum vitae template for each of the named
research personnel (other than technical assistants or students) who is making a
substantial contribution (i.e. 0.05FTE or more) to this application. If you wish, you may
name collaborators within the body of the proposal, however their CVs are not required.
(NOTE: Sections 2b-d should be completed if you intend the research to be used by endusers or are working towards commercialisation)
SECTION 5: BUDGET DETAILS AND JUSTIFICATION (See Budget Notes below)
The level of financial support will be influenced by your budget justification. Please provide
a detailed budget for the research and justify the items included. Specify, if appropriate, any
other funding sources that have been sought and provide details of additional funding already
secured. Provide a Costing and Consents Worksheet (CCW).
After completing the Costing and Consents Worksheet (CCW):

Copy the requested information into the budget section of the application form.

Transfer the figures from the summary table of the CCW to the front page of your
application.

List names and FTEs of all staff on the application form and CCW including any part-time
and/or casual assistants.

List Direct Salaries costed in the CCW, and entered in the application form. Show the
appointment title level and, where known, the job title of the intended research staff, such as
a Research Assistant Level 2.

Provide a full description of the tasks of the research staff and fully justify the amount of
work to be carried out by the research staff. Justify the proposed level of appointment and
FTE contribution of the research staff.

Justify general operating expenses, travel, and equipment directly related to the project.
(Refer to budget notes on pages 13-15 for items that are/not fundable).

List all amounts exclusive of GST.
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SECTION 6: SIGNATORY PAGE
RSL/LEAVE WITHOUT PAY
 Indicate if you will be on study leave or leave without pay for a period longer than six
weeks.
 If you are on RSL, briefly explain the difference between funding sought for this proposal
and any funding made available through Department, Division or external sources.
 If you are on leave without pay, indicate the dates and how the research will be managed.
Signatures
The signatory page must be signed by the Principal Investigator to acknowledge that all
information in the application is true and correct.
The application must also be signed by the Head of Department (or Head of Resource Centre) to
acknowledge that, should the application be approved, the basic resources will be made
available. The Head of Department must also confirm whether the applicant meets the criteria of
an Early Career Staff member.
NEW: Where the Head of Department is the applicant, the appropriate Dean/PVC should sign
the application.
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BUDGET NOTES
1. STAFFING AND SALARIES (INCLUDING POSTGRADUATE STUDENTS)
Research-Only staff Principal Investigator applicants funded at less than 1.0 FTE, but at least
0.5 FTE at the time of their UORG application and during the term of the UORG, may apply for
their own salary up to an additional 0.2 FTE.
The FTE total of research-only staff should not add up to more than one FTE across all
applications, including external research that is already contracted during the period of the
UORG.
In all cases, funding of applicants’ salaries must be fully justified and with a clear explanation.
For salary costs:
- use the estimated salary rates from the Research page on the University website
http://www.otago.ac.nz/research/forms/2_SALARY%20SCALE%20PROJECTIONS/. 2015
salary rates are to be used for year one and 2016/2017 projected salaries for years two and
three, if applicable. Factor in increases due to increments and promotions.
- Include salary and salary-related costs (i.e. ACC and superannuation) for each direct
salary in the application (now University policy for every application for research funding).
The CCW defaults to the University Superannuation scheme. Note that salaries for casual
staff must include an 8% annual leave entitlement as well as 0.52% for ACC and any
relevant superannuation.
Appointment of staff (both named and unnamed in the application) must be made within 2
months of the proposed appointment date or by 31 March 2015 if no appointment date is noted.
If the requested staff position has not been filled, notify the Research and Enterprise Office.
Failure to secure the services of suitably-qualified personnel may render the grant inoperable.
Undertakings to staff should not be made until a grant is awarded. Contact the Human
Resources Division (phone: (03) 479-8269) before advertising for and appointing staff to
confirm employment and other details.
Postdoctoral researchers funded at less than 1.0 FTE may apply for up to 0.5 FTE funding in
the application provided that the UORG contract does not conflict with any other contracted
requirements. Note the total commitments of a postdoctoral researcher must not be more than
1.0 FTE.
2. CONSUMABLES AND MINOR EQUIPMENT
- Consumables and equipment under $2000 should be listed individually under operating
expenses and fully justified. A listing in itself does not constitute a justification.
- User-charges for equipment must be carefully justified and detailed, and accompanied by a
written quotation from the Administrator of the Department in which the equipment is
housed.
- Equipment and library materials purchased from University of Otago Research Grants
become the property of the University. Books, microfilm and CD-ROMs should be made
through the University Library and should normally be deposited in the Library once the
research is completed. Any exceptions to this arrangement should be discussed with the
Librarian.
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3. SPECIALISED EQUIPMENT
Requests for funding of specialised equipment (including computers and software) may be put
forward only if the item:
- could not normally be expected to be available in a department; and
- is essential to the project because of its specialised research nature and fundable by the
Research Committee rather than from other sources.
Orders for capital equipment (other than computers) should be placed only after consultation
with staff of the Procurement Office, Financial Services Division.
4. TRAVEL
- Travel, accommodation and sustenance expenses will be funded only where the research
cannot be completed without the requested travel. All travel requests must be fully
justified. Applicants should provide detailed explanation for travel over 14 consecutive days.
Travel requests to museums, libraries and archival sites should include a detailed estimate of
the volume of information needed and the time required to do this. Requests for
accommodation and sustenance should be based on actual and reasonable rates but may not
exceed the University guidelines:
http://www.otago.ac.nz/financialservices/Policymanual/21Travel.html.
-
-
-
-
Research-related travel between the Dunedin, Christchurch and Wellington campuses
should be funded through the “Inter-campus Collaborative Research Fund” which is
administered by the Faculty of Medicine (contact Bruce Smith at (03) 479 5057). Applicants
should consider the use of the University's ACCESS-Grid for meetings, instead of travel, in
order
to
reduce
costs.
Information
may
be
found
at
http://www.otago.ac.nz/its/services/teaching/otago027367.html.
If use is to be made of University pool vehicles, then calculations should be as set by the
Department or Division. For use of personal vehicles, claims should be made on the basis of
85 cents per kilometer
http://www.otago.ac.nz/financialservices/procedures/otago003266.html.
Unusual travel expenses (such as the use of helicopters, boats, etc.) must be clearly detailed
and justified.
University of Otago travel insurance at the current rate per person of $4.20 per day should
be included in the budget.
Only employees on the grant are eligible to receive travel, accommodation or sustenance
payments. NEW: This excludes visiting academics or collaborators at other Universities or
organisations. The only exception to this is where non-employee travel is required to provide
access to a particular site, object or area. In such cases, the research cannot be undertaken
unless the non-employee is present during the research period. Such personnel would not
normally be research colleagues (who would be expected to contribute their own costs).
Fully explain the access requirements of the research and whether other avenues have been
explored.
NEW: In exceptional circumstances, applicants may apply for funding as a contribution
towards the airfares of an international collaborator to be brought to New Zealand for a
specific UORG project. Justify the exceptional/unforseen nature of the request and why other
funding sources, such as William Evans Fellowships, external international travel funding
e.g. MBIE or conference travel to meet colleagues has not been sought. Lack of knowledge
about other funding sources or missing application deadlines will not be accepted as a
rationale for seeking UORG funding. UORGs will not contribute towards any other costs,
beyond airfares.
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5. KOHA
The definition of the term koha includes present, gift, parting or final instruction.1 For the
purposes of these guidelines, the University of Otago defines gift as an unconditional,
spontaneous gift (cash, goods or kind) given or received for unsolicited services, as within
tikanga Māori.
Koha as referred to in the above definitions, may be paid to external non-profit community
groups and individuals (who are non-University employees) in certain circumstances. This may
include:
- acknowledging an individual or non-profit community group who support a research project;
- where an individual or non-profit community group attend to support/lead a mihi whakatau
(welcome) or poroporoaki (farewell or closing of a hui) as part of the research project;
- where prominent guests are welcomed by mana whenua (people of the local area) at the
request of the research project.
Koha should not be used to describe a general reimbursement of subjects who participate in the
research. Further support with determination of koha can be obtained from Mark Brunton,
Research Manager Māori: mark.brunton@otago.ac.nz.
6.
-
ITEMS NOT NORMALLY FUNDED
travel to conferences
miscellaneous items of stationery, printer paper, postage and courier(1)
general photocopying(1)
general reusable laboratory consumables e.g. glassware, safety glasses etc.
general computer discs, storage, software and license fees
general communication costs
computers, including laptops, for routine data analysis and word processing(2)
digital cameras and audio recorders(2)
and any other expenses normally paid for by Departmental funds
travel and other expenses to fund overseas researchers visiting NZ or a researcher located
outside NZ except in exceptional circumstances (see 4. above)
salaries for non-University staff
(1)
Where large surveys form part of the research proposal, for example, the cost of printing and
postage may be requested in the UORG application. This needs to be fully-justified and items
costed in detail.
(2)
1
These are considered to be standard departmental items.
Williams H.W., Dictionary of Māori Language, GP Publications, Wellington, 1992
University of Otago Research Grant Guidelines revised March 2014
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ANTARCTIC AND OUT-OF SEASON UORGS
ANTARCTIC RESEARCH
Special consideration will be given to Antarctic Research. Where a project requires Antarctica
New Zealand logistics support and University of Otago Research Grant (UORG) funding, an
application may be made 18 months in advance to the UORG scheme (e.g. in the current 2015
round, to be considered for funding for the period 1 January 2016 – 31 March 2017). The
Physical Sciences Panel (or any other appropriate assessment panel) has the authority to commit
funds forward under this scheme. Release of these funds will be contingent on the research group
gaining the relevant associated logistics support from Antarctica New Zealand. The start and end
dates of the research programme should be clearly identified in the application. All other UORG
guidelines and conditions will apply. For research done in later years, the projected salary scales
for the appropriate years should be used.
OUT-OF-SEASON UORG APPLICATIONS
From time to time exceptional requests for research funding at times other than during the
normal annual round of applications may be considered. Out-of-Season UORG applications must
meet all the criteria of the standard UORG scheme and be of sufficient quality to have been
funded in the previous round. Unless there are exceptional and/or unforeseen reasons, an
application will not be accepted.
In addition to the standard criteria, an Out-of-Season UORG application must present a very
strong and compelling justification which:
 identifies the “one-off” research opportunity which will be lost if the funding is not
available before the beginning of the next calendar year;
 emphasises the extraordinary reason, with respect to timing, for the request; and
 explains why the request could not have been submitted in the previous round and the
urgency that prevents it being developed and submitted in the subsequent round.
Applicants should contact the Research and Enterprise Office or the Secretary to the Research
Committee to confirm whether a proposal meets Out-of-Season eligibility before applying.
Out-of-Season applications should be sent to the Research and Enterprise Office on the special
“Out-of-Season University of Otago Research Grant” application form endorsed by the Head of
Department or Resource Centre. Applications must reach the Office 10 days prior to the
Research
Committee
meetings
(see
the
University
website
for
dates:
http://www.otago.ac.nz/administration/committees/ResearchCommittee.html)
University of Otago Research Grant Guidelines revised March 2014
17
AWARD CONDITIONS
LENGTH OF GRANTS
Applications may be submitted for one, two, or three year projects. The proposal must outline
the work that will be completed in each year as the Research Committee may decide to fund the
grant in part or only for the first year of work. The rigour of scrutiny increases proportionately
to the proposed size of the grant, so the longer the proposed term and greater the cost, the
greater the depth of assessment by the Panel.
Only one UORG can be held at any one time by an individual as principal investigator. For
example, in most circumstances, if a researcher is principal investigator on a two-year funded
project running from 2015 through to the end of 2016, he/she may not apply for new UORG
funding as principal investigator until the 2017 round called in mid-2016.
No expenditure from a grant will be possible before 1 January 2015. A single year UORG
is funded from 1 January 2015 to 31 March 2016. For two-year funded projects, the project end
date will be 31 March 2017. Three-year funded projects will end on 31 March 2018.
NOTIFICATION OF SUCCESS
Written notification of the outcome of applications will be sent to applicants in mid October.
Decisions made by the Research Committee are subject to confirmation by Council of the
Research Committee budget.
Provisional awards may be given in some instances where only partial funding is awarded. In
this situation the recipient will be required to provide a revised budget and revised objectives to
the Research and Enterprise Office. The revised budget must take into account the amount
actually awarded and any restrictions placed on it by the Research Committee.
STATUTORY AND REGULATORY CONSENTS AND APPROVALS
Please note that any required ethics and/or regulatory consents approvals must be in place, and a
copy forwarded to the Research and Enterprise Office, before the grant account can be activated.
Māori consultation should be undertaken as part of the standard University process. Please refer
to “Research Consultation with Māori” on the University website
http://www.otago.ac.nz/research/maoriconsultation/index.html.
ANNUAL REPORTING REQUIREMENTS
All grant recipients, including those who have been awarded two or three year grants, are
required to submit an electronic report to the Research & Enterprise Office on the use of the
grant no later than 30 June 2016.
(Download the report template from
http://www.otago.ac.nz/research/forms/.) A reminder will be sent to all grant recipients. See the
report form for reporting details.
University of Otago Research Grant Guidelines revised March 2014
18
PUBLICATION ACKNOWLEDGMENT
All publications resulting from the research funded by the grant should acknowledge University
of Otago Research Grant funding.
UORG ACCOUNT CLOSE-OFFS
No extensions will be available without formal prior approval. For one-year grants, accounts will
be closed and unused balances at 31 March 2016 will be automatically withdrawn. For two-year
grants, the account close-off will be 31 March 2017. Three-year grants will have their accounts
closed on 31 March 2018.
University of Otago Research Grant Guidelines revised March 2014
19
Appendix 1 – Summary of Changes to 2015 Guidelines
The following pages contain changes to the Guidelines. These are highlighted with the words
‘New’ next to the change.
Change
Application Form
Early Career Staff Eligibility
Assessment Criteria
Strategic Outcomes, Impact and Outputs
Research Team Track Record
Signatory Page
Travel
University of Otago Research Grant Guidelines revised March 2014
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