Endeavour Fund
Smart Ideas and Research Programmes
Applicant Guidelines for
Completing a Proposal
2017 Endeavour Round
September 2016
The Ministry of Business, Innovation and Employment reserves the right
to withdraw or amend, at any time, this Applicant Guidelines for Completing a Proposal
document or any part of it.
All financial information in this document is indicative only, and does not include GST.
Contents
How does this document help you? .............................................................................................. 1
PART A: BEFORE YOU START ......................................................................................................... 2
What you need to know - at a glance ............................................................................................ 3
Before starting your proposal ....................................................................................................... 4
New this year ...................................................................................................................................... 4
Changes to the fund settings .......................................................................................................... 4
Changes on how you complete your proposal ............................................................................... 4
Observations from the 2016 Endeavour Round ................................................................................. 4
When drafting your proposal ....................................................................................................... 5
Tips for writing a good proposal ......................................................................................................... 5
The executive summary ...................................................................................................................... 5
Registration ......................................................................................................................................... 5
ANZSRC codes ..................................................................................................................................... 5
Excellence............................................................................................................................................ 6
Impact ................................................................................................................................................. 6
Documents that will assist you ........................................................................................................... 6
What sections need completing in the IMS Portal ......................................................................... 7
PART B: COMPLETING YOUR PROPOSAL ....................................................................................... 8
Registration/Summary ................................................................................................................. 9
Fund Information ................................................................................................................................ 9
Key Information .................................................................................................................................. 9
Indicative Project Team .................................................................................................................... 10
Conflict of Interest ............................................................................................................................ 11
Proposal Glossary ...................................................................................................................... 12
Statements ................................................................................................................................ 13
Executive Summary........................................................................................................................... 13
Public Statement ............................................................................................................................... 13
Impact Criteria ........................................................................................................................... 15
Benefit/s to New Zealand ................................................................................................................. 15
Implementation Pathway/s .............................................................................................................. 16
Credibility of Indicative Implementation Pathways ...................................................................... 16
Strength of Implementation Relationships ................................................................................... 17
Post Contract Outcomes ................................................................................................................... 17
Excellence .................................................................................................................................. 18
Science .............................................................................................................................................. 18
Team ................................................................................................................................................. 19
Team Contribution ........................................................................................................................ 19
FTE Table ....................................................................................................................................... 19
Research Plan .................................................................................................................................... 21
Methods ............................................................................................................................................ 21
Resources .......................................................................................................................................... 22
Contracting Information ............................................................................................................. 23
Work Programme.............................................................................................................................. 23
Requested Funding and Budget ........................................................................................................ 24
Sub-Contracting ................................................................................................................................ 24
Key Relationships....................................................................................................................... 25
End Users .......................................................................................................................................... 25
International Collaborations/Partnerships ....................................................................................... 26
Additional Information............................................................................................................... 27
References ........................................................................................................................................ 27
Special Ethical and Regulatory Requirements .................................................................................. 27
Conflicts of Interest ........................................................................................................................... 28
Intellectual Property Management................................................................................................... 28
Classifications ............................................................................................................................ 29
Industry Sector .................................................................................................................................. 29
Profiling Data .................................................................................................................................... 29
ANZSRC Codes ................................................................................................................................... 29
Appendix 1
Declaration
Appendix 2
Some guidance to help you strengthen your approach to Vision Mātauranga
Appendix 3
ANZSRC Codes
How does this document help you?
This document has two parts to help you prepare your proposal.


Part A – Before starting
Part B – Completing your proposal
We recommend you read this document before you begin drafting your proposal. You may also
want to read other relevant documents, such as those set out in Figure 1, which provide additional
context.
Figure 1: Document Map
1
PART A:
BEFORE YOU START
2
What you need to know - at a glance
What are the
key dates?
These key dates are indicative and may be subject to change. Any change will be
notified via MBIE’s Alert e-newsletter for the Endeavour Round.
Smart Ideas
Call for Proposals and Applicant Guidelines for
Late September 2016
Completing a Proposal available
Early October 2016
Roadshow sessions
12 noon, 2 November 2016
Closing date for registrations
12 noon, 30 November 2016
Closing date for concept proposals
April 2017
Science Board decisions on concept proposals
May 2017
Applicants notified of Science Board decisions
12 noon, 14 June 2017
Closing date for full proposals
August 2017
Science Board final decisions
September 2017
Applicants notified
1 October 2017
Contracts begin
Research Programmes
Call for Proposals and Applicant Guidelines for
Late September 2016
Completing a Proposal available
Early October 2016
Roadshow sessions
12 noon, 8 February 2017
Closing date for registrations
12 noon, 9 March 2017
Closing date for proposals
May 2017
Science Board decisions on Excellence
June 2017
Applicants notified of Science Board decisions
August 2017
Science Board final decisions
September 2017
Applicants notified
1 October 2017
Contracts begin
Do I have to
register my
proposal?


How do I
contact
MBIE?
Yes, you must register each proposal you submit. If you do not register your
proposal by the published time and date, you cannot submit a concept
proposal or full proposal.
Pages 9-11 of this document provides more information on how to register
your proposal.
You can contact MBIE through a number of channels.
 Email [email protected] for questions about the process or
completing your proposal.
 Email [email protected] for questions about the IMS portal.
 Phone us on 0800 693 778 (Monday to Friday, 8:30am to 4:30pm).
 Subscribe to MBIE’s Alert e-newsletter for the Endeavour Round (you can
subscribe here).
Note: if MBIE thinks the question and answer would be relevant to other
applicants, it will be posted as a Question and Answer (Q&A) or Frequently Asked
Question (FAQ) on the Endeavour Round web page.
3
Before starting your proposal
New this year
Changes to the fund settings
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The Gazette Notice has been updated and clarifies that:
o proposals with a primary focus on health outcomes are not eligible to apply
o Smart Ideas Concept Proposals will not be assessed for Impact. We are, however, asking
that you provide some context of the impact of your proposed research.
The Investment Plan has been updated to include new investment figures.
Changes on how you complete your proposal
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Character limits have been replaced with word limits. The word limits are fixed so you cannot
exceed the limit set.
The word limit includes words in a table and references or citations. It does not include images.
For Smart Ideas Concept proposals, the sections for Benefits to New Zealand and
Implementation Pathway/s have been combined.
The Impact Plan section has been removed.
For Research Programmes proposals additional space has been provided in the Benefits to New
Zealand, Implementation Pathway/s and Science Excellence sections.
A section for Post-Contract Outcomes for Smart Ideas Full Proposals and Research Programmes
Proposals has been added.
Observations from the 2016 Endeavour Round
This is a summary of general observations/lessons from the assessment in the 2016 Endeavour
Round.
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Excellence and impact, for both Smart Ideas and Research Programmes, are assessed separately.
Be very clear and deliberate to thoroughly address both of these areas.
Be explicit. How does your proposal sit within international and domestic research impact
landscape? Refer to relevant government and sector strategies. If none are relevant, say so.
You can find the list of key relevant government and public sector priorities and strategies on
page 14 of the Endeavour Fund Investment Plan.
4
When drafting your proposal
Tips for writing a good proposal
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Make sure your proposal aligns to the government’s investment priorities outlined in the
Investment Plan.
Structure your narrative in a logical way – so there is a natural and obvious flow between your
ideas.
Consider using subheadings to highlight and guide the reader to key messages you want to
convey.
Avoid large blocks of text. White space enhances the visual impact of your proposal, and makes
reading easier.
Cross reference, rather than duplicate information, where possible eg “Key end users, including
but not limited to those listed in Section X, will be invited to a workshop…”
Make the use of images/pictures count. Saturating your proposal with images/pictures may not
necessarily improve the quality and detail of your proposal content.
Use Plain Text when copying and pasting into the IMS portal.
Use the Glossary to explain acronyms, names, terms or use of te reo Māori.
Use the Reference section to upload a document containing your references/citations – this way
you will maximise your word limit use.
The executive summary
Your executive summary is critical. The assessors rely on the executive summary to get context. The
executive summary is not another public statement. It needs to be targeted and tell the story about
the research and science of your proposed research. Structure your executive summary around the
criteria. Feedback from the assessors is that the best executive summaries had clearly delineated
sections that clearly described the proposed research that would be undertaken, benefits and
pathways to implementation.
Registration
Registration of your proposal matters as we use your proposal registration to align assessors who
are best suited to the subject area of your research. Avoid using the registration process as a
placeholder for proposals that are unlikely to eventuate. Minimise changing details of your research
proposals from registration to proposal stage. It is important you provide meaningful key words and
accurate ANZSRC codes at registration stage.
ANZSRC codes
ANZSRC codes are critical to the identification and alignment of an assessor to your proposal. If your
ANZSRC codes are not well aligned to your research, there is increased risk that we might assign your
proposal to an assessor not experienced in the subject area.
We have asked you to identify two SEO codes and two FOR codes. Align these as closely as possible
to the subject area of your research. This year we have provided additional instructions and
guidance on how to identify ANZSRC codes (see Appendix 3). Please read these before completing
your registration.
5
Excellence
The Investment Plan signals an appetite for investing in higher risk and stretchy science. However,
that risk needs to be well managed and described in your proposal. Pages 18-22 of these guidelines
will provide additional information on how you can address this in your proposal.
Impact
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Explain how the research will contribute to the benefit.
Engage users, as appropriate, in design of research, and set out steps you plan to take to
increase likelihood of impact being achieved.
Look to deliver wider impact where possible.
Documents that will assist you
These documents are contextual and will provide information on strategy and purpose.
 National Statement of Science Investment 2015-2025 (the NSSI) outlines the government’s 10year vision for New Zealand’s science system.
 Endeavour Fund Investment Plan 2016-2019 (the Investment Plan) outlines the government’s
strategy for its science investment for the next three years.
 New Zealand Gazette Notice, Number 2016-go4875, August 2016 (the Gazette Notice) sets the
criteria the Minister for Science and Innovation requires the Science Board to use in making
funding decisions for the Fund.
 Vision Mātauranga policy outlines the government’s policy framework that aims to unlock the
innovation potential of Māori knowledge, resources and people to assist New Zealanders to
create a better future.
 International Science for New Zealand: Strategic Action Plan provides guidance about
government’s expectations of the contribution of international partnerships and collaborations
to New Zealand science, (due for release early 2017).
These documents are more operational and will provide guidance on how to.
 Assessor Guidelines for Smart Ideas and Assessor Guidelines for Research Programmes provide
details of the scoring guides and an indication of the information assessors will be looking for in
assessing your proposal(s). These are the guidelines MBIE provides to assessors.
 Portal Guidelines for Applicants explain how to register and submit a proposal through the IMS
portal.
6
What sections need completing in the IMS Portal
This table identifies the sections you need to complete to submit your proposal. Some of the information you
provide at registration stage will carry over into relevant sections of the concept proposal or full proposal. If your
concept proposal is successful and you are invited to submit a full proposal, your concept proposal information
will carry over into relevant sections of the full proposal. Complete the sections identified by a 
Registration/Summary
Fund Information
Key Information
Proposal Glossary
Statements
Executive Summary
Public Statement
Impact Criteria
Benefit/s to New Zealand
Implementation Pathway/s
Post-Contract Outcomes
Excellence Criteria
Science
Team
Research Plan
Method
Resources
Contracting
Work Programme
Funding Requested and Budget
Sub-contracting
Key Relationships
End users
International Collaborations/Partnerships
Additional Information
References
Special Ethical & Regulatory Requirements
Conflicts of Interest
Intellectual Property Management
Classification
Industry Sector
Profiling Data
ANZSRC Codes
Declaration
SMART IDEAS
CONCEPT
PROPOSAL
SMART IDEAS or
RESEARCH
PROGRAMMES
FULL PROPOSAL

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Optional
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Optional
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N/A
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N/A
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N/A
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N/A
N/A
N/A
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N/A
N/A
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N/A
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N/A
N/A
N/A
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7
PART B:
COMPLETING YOUR
PROPOSAL
A disclaimer:
The intention is that the content of this document assists you by providing examples of content and
what a good proposal might look like. The suggestions for content in the following sections are
provided as guidance only. You may choose not to include suggested items or to include other
material you consider relevant.
8
Registration/Summary
You must register your proposal to apply for funding from the Endeavour Fund. The information
you provide will enable MBIE to manage resources for the investment round and begin to select
assessors.
Note:
 sections marked * must be completed.
 when you develop your concept proposal or full proposal some of this information will be pulled
through into a ‘summary’ section which you will be able to modify.
Fund Information
Funding
Requested*
How much total funding, across all years, are you requesting?
Short Title
Provide a meaningful short title of no more than six words. Do not use
acronyms or abbreviations. Your short title will be used for everyday use and
reference.
Descriptive Title* Provide a title that identifies the nature of your research programme in no more
than 12 words. Do not use acronyms or abbreviations.
Investment
Mechanism*
Which mechanism are you applying to (ie Smart Ideas or Research
Programmes)?
Number of Years
Funding*
How many years of funding are you applying for? For Smart Ideas you can apply
for two or three years funding. For Research Programmes you can apply for
three, four or five years funding.
Fund Objective*
Which one of the three fund objectives, Economic, Environmental or Society
best describes the primary focus of your proposed research? You will be able to
provide more specificity, including secondary objectives, in the ANZSRC code
section of your registration. Refer to the Investment Plan for more information
regarding government investment priorities.
Key Information
Eligibility
Criteria*
Does your proposal meet the required Eligibility Criteria as defined in the
Gazette Notice? If you have answered YES to any of the questions, use the
space provided to explain why the criterion is not met but how you might be
eligible. For example, if the majority of your research activities will be
undertaken outside New Zealand, use this space to explain the reason why.
Science
Abstract*
Provide a brief summary of your proposed research, focussing on the science
you plan to undertake, noting that the Impact Panel will use this abstract as a
succinct summary of your science approach. Please include your key hypothesis.
Write clearly and concisely. The abstract helps us to select assessors for your
concept proposal or full proposal. It will also be used by MBIE and assessors to
identify any potential conflicts of interest. Do not use acronyms, abbreviations,
or images. Your abstract must not contain commercially sensitive information.
9
Your abstract cannot be more than 280 words.
Primary Contact
Person
Name & Contact
Details*
Provide the primary contact person’s name, email address and a contact
telephone number. MBIE will contact this person if we have any administrative
questions about your proposal. Your contact person must have the mandate
from your organisation to discuss the proposal with MBIE officials. They should
not be the Science Leader.
Secondary
Contact Person
Name & Contact
Details*
In the event MBIE is not able to contact the primary contact person, we will
contact the secondary contact person. Provide the contact person’s name,
email address and a contact telephone number. The Secondary Contact Person
named must be different from the Primary Contact Person named.
Key Words*
Provide up to up to 15 key words that describe the nature of your research. Key
words will help MBIE to select assessors for your concept proposal or full
proposal. Do not use acronyms or abbreviations.
ANZSRC*
An ANZSRC code is a standard classification that allows research and
development activities to be categorised according to their intended purpose or
outcome. Definitions are available online at the Australian Bureau of Statistics
We will use these to help select assessors for your proposal. If your proposal is
successful, we will ask you to confirm your codes for each impact statement for
monitoring and evaluation purposes.
Socio-Economic Objective (SEO)
Codes
Please provide up to two SEO
ANZSRC codes, and allocate the
percentage of relevance against
each code, totalling 100%.
Field of Research (FOR) Codes
Please provide up to two FOR ANZSRC
codes and allocate the percentage of
relevance against each code, totalling
100%.
Indicative Project Team
Indicative Project Indicate as many of your project team members as are known at this stage.
Team*
Please provide each team member’s role, first name, surname, organisation and
SCOPUS ID (if available). SCOPUS IDs are available at http://www.scopus.com/
MBIE will use this information to help select assessors for your proposal.
Assessors will use it to identify any potential conflicts of interest they may have
prior to seeing your proposal.
The information you provide here will be pulled through to your proposal.
You may update (add or remove) the details of your team when you submit your
concept proposal or full proposal.
10
Conflict of Interest
Conflict of
Interest
Provide details of any potential conflicts of interest you are aware of at this
stage. MBIE will use this information to ensure any potential conflict is
appropriately managed. You may update the details of any potential conflicts
when you submit your concept proposal or full proposal at which time any new
conflicts need to be declared.
11
Proposal Glossary
You can use this section to explain any acronyms, names, terms or use of te reo Māori that may be
unfamiliar to readers of your proposal. This section is optional.
Note:
 you must upload an attachment for your glossary. You may wish to use this page as a guide to
what your glossary might look like.
Remember that international assessors may not be familiar with New Zealand-specific language or
terminology.
Your glossary should not exceed two sides of an A4 page. Do not include references, hyperlinks or
images. Do not use the glossary to provide long explanations but rather the description of
acronyms, initials etc.
Word/acronym/
abbreviation/
te reo Māori
Full description/translation
12
Statements
This section allows you to introduce and highlight the research you propose through an Executive
Summary and a Public Statement.
Note:
 the Executive Summary will be provided to science and impact assessors and the Science Board.
It is required for all proposals.
 the Public Statement will be published on MBIE’s website if your proposal is funded. It is not
considered as part of the assessment process and will not be seen by assessors or the Science
Board.
Executive Summary
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
Yes
Yes
Yes
Word Limit
280
560
560
Add images
No
No
No
The Executive Summary is your opportunity to introduce to assessors and the Science Board the
research you propose, its potential impact and how you plan to achieve it.
The Executive Summary should summarise the content of the overall objective of your research
proposal and how you will achieve it, including:
 why your research is needed (the issue or problem you are addressing)
 what you propose to do (your hypothesis and scientific approach)
 the results, impacts or outcomes you expect, how they will be achieved, and who will use or
benefit from them.
It should not introduce new material.
A good Executive Summary should have a logical flow and outline, use subheadings and show how
the proposed research addresses the questions in each assessment criterion in the Gazette Notice
including material that explains how you have responded to Vision Mātauranga.
Public Statement
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
No
Yes
Yes
Word Limit
Add images
280
280
No
No
If your proposal is funded, a Public Statement will be published on MBIE’s website and may be used
in the public arena by MBIE. The Public Statement should not contain confidential information.
Assessors and the Science Board will not see or receive your Public Statement.
A Public Statement should tell the story of your research for easy consumption by the public. An
effective Public Statement will briefly explain, in plain English, why your research is needed, how you
will achieve your objectives, the benefits you expect your research to deliver and the key
beneficiaries of the research. It will also be in language that is understandable to the public.
13
You may wish to provide the name and contact details of the person in your organisation that
members of the public or media may contact if they want to know more about your research.
Please note, if you provide contact details they will be published on the MBIE website.
Here is an example of a Public Statement:
“Many pests and diseases with potential to severely disrupt New Zealand’s primary productionbased export markets are intercepted before they enter New Zealand. However, despite strong
biosecurity measures that examine goods entering NZ, pests occasionally enter the country,
requiring urgent, costly and widespread eradication measures before these pests become widely
established.
Our research aims to increase the likelihood of eradicating pests that evade border biosecurity
measure, by developing new methods to attract them. This will make it more likely that pests
entering the country will be contained in relatively small areas, which will make eradication
easier, cheaper and more effective.
We will build on our previous research that identified naturally-occurring compounds known to
attract several pests of concern to NZ. We will chemically modify these compounds to make
them more attractive to each pest, then test the modified compounds in the laboratory to see
how effective they are. Our tests will be done in conditions typical of the climates surrounding all
the main ports of New Zealand.
Our results will identify the best compounds to attract a range of pests, and show if or how their
use might be affected by climate. We will work with the chemical industry to make the
compounds commercially available for use by agencies such as the Ministry for Primary
Industries, and regional councils, who are responsible for pest eradication.
Our research will significantly advance NZ’s ability to eradicate pests that threaten its primary
productivity, and will provide a new approach to protecting government aspirations of export
growth from primary production. For extra information contact: X, y [email protected]”
14
Impact Criteria
This section is your opportunity to show clearly and convincingly how your proposed research
addresses the impact assessment criteria in the Gazette Notice, and the relevance of your proposal
to the investment signals in the Investment Plan.
Note:
 this section will be available to both science and impact assessors, but will be assessed only by
impact assessors.
 Smart Ideas Concept Proposals will only be assessed for Excellence, however, to provide context
of your research potential, we are asking you to briefly describe the Impact your research
proposes.
Tip:
 you may refer to the NSSI (pages 11 and 12) for further information and guidance on general
domains for impact.
 the information that impact assessors will be looking for to determine how well your proposal
meets the impact criteria is outlined in the Assessor Guidelines for Smart Ideas and Assessor
Guidelines for Research Programmes.
Benefit/s to New Zealand
Smart Ideas Concept Proposals
Complete jointly with Implementation Pathway/s
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
Word Limit
Add images
Weighting
Yes
280
Optional
N/A
Yes
Yes
560
1120
Optional
Optional
25%
25%
Your proposal should directly address the impact assessment criteria as set out in the Gazette
Notice, with reference to investment signals in the Investment Plan.
A good proposal should clearly explain:
 the problem to be solved or the opportunity to be taken and how this is important/relevant to
New Zealand and globally (if applicable)
 the scale and extent of potential benefits (including spill over benefits) that are attributable to
the proposed research
 any assumptions used to estimate the type and scale of the potential benefits and their scale
and extent
 how the proposed research addresses the future investment signals in the Investment Plan
 how the proposed research gives effect to Vision Mātauranga, including benefits to Māori (iwi,
communities/groups, and/ or businesses). If Vision Mātauranga is not relevant, provide the
rationale for, and substantiate this position
 the benefits to New Zealand arising through any collaborations with overseas research
individuals or teams that are part of the proposed research.
Please consider whether you have:
 provided sufficient information to substantiate the need for the research, its potential benefits,
and how you identified those benefits
 provided sufficient information to substantiate your estimates of the scale of benefits, which
may be qualitative or quantitative
15
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



identified the potential markets/uses or types of end users or beneficiaries, and provided
sufficient information to substantiate these
demonstrated that the benefits are for the public good and not for a single end user or
beneficiary
identified outcomes that are beyond “business as usual”, ie would not be expected as part of
any end user’s normal business operations
demonstrated the Vision Mātauranga-related benefits in the above areas, or explained why
Vision Mātauranga is not relevant
substantiated any comments or views in your proposal attributed to other individuals or
organisations
identified and described the nature of any benefits that extend beyond New Zealand.
Implementation Pathway/s
Smart Ideas Concepts
Complete jointly with Benefit/s to New Zealand
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
Word Limit
Add images
Weighting
Yes
280
Optional
N/A
Yes
Yes
1120
1120
Optional
Optional
10%
25%
Your proposal should directly address the impact assessment criteria as set out in the Gazette
Notice, with reference to future investment signals in the Investment Plan. Criteria and weightings
differ between Smart Ideas and Research Programmes investment mechanisms.
Credibility of Indicative Implementation Pathways
A good proposal should clearly explain:
 who’s problem or opportunity does the proposed research address? And why will this approach
be successful?
 how your research is intended to be taken up by end users in order to deliver impact for New
Zealand (ie the benefits described in the Benefits to New Zealand Section)
 your key initiatives, and their timing, to deliver the proposed impacts
 the contribution your research will make to the impacts and outcomes you’ve identified
 how you are sure you have freedom to operate in your proposed area of research
 appropriate partnering arrangements where applicable, and if significant private benefit may
accrue to an individual end user, the arrangements to be put in place to ensure broad benefit to
New Zealand
 how the project will be managed to test assumptions, clarify the implementation pathway,
mitigate risk, and remove barriers to implementation
 how the above activities will contribute to Vision Mātauranga outcomes, or if none are relevant
then provide the rationale for this position (you may cross reference statements made in
previous sections).
Please consider whether you have:
 described your team’s track record in research implementation (not scientific endeavour)
 considered, identified and responded to the needs, opportunities or contribution from Māori
knowledge, resources and/or people to support the delivery of impact, or if none are relevant
then provide the rationale for this position.
You might like to use this space to summarise in a diagram the key feature(s) of your
implementation pathway.
16
Strength of Implementation Relationships
A good proposal should clearly explain:
 the strength of your current relationships with potential end users and partners, and/or how you
plan to engage with end users/partners to develop and improve relationships relevant to the
delivery of impact
 the team’s track record in delivering impact or relationships with end users or beneficiaries.
Please consider whether you have:
 discussed and co-developed the proposed research with relevant potential end users or
beneficiaries
 described relationships and interdependencies that bear upon your capability to translate
research to outcomes
 identified and provided sufficient information to substantiate the potential markets or types of
end users or beneficiaries that might be involved, including supporting analysis
 provided sufficient evidence of any partnerships with end users or beneficiaries which might
include informal or formal arrangements and contributions such as in-kind or cash co-funding
 demonstrated relationships that support the specific needs, opportunities or contributions from
Māori knowledge, resources and or people or if this is not appropriate described why.
Post Contract Outcomes
Smart Ideas Concepts
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
No
Yes
Yes
Word Limit
Add images
280
280
No
No
Use this section to outline how you plan to deliver impact from your proposed research including
what should be achieved from a successful project during the contract and over a two, five and 10
year period.
17
Excellence
This section allows the assessor to assess how well your research components address your scientific
hypothesis and the likelihood of your research achieving its objectives (as outlined in the Science
text). This is your opportunity to show clearly and convincingly how your proposed research
addresses the excellence assessment criteria in the Gazette Notice.
Note:
 this section will be available to both science and impact assessors, but will be assessed only by
science assessors.
Tip:
 the Assessor Guidelines for Smart Ideas and Assessor Guidelines for Research Programmes.
indicate the information that science assessors will be looking for to determine how well your
proposal meets the excellence criteria.
Science
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
Yes
Yes
Yes
Word Limit
280
560
1120
Add images
Optional
Optional
Optional
Weighting
50%
50%
25%
This section, and the more detailed information you provide in your method, research plan and work
programme allows you to demonstrate the excellence of your science. You may reference, but
should not duplicate information provided elsewhere in your proposal.
This section provides an overview across the Excellence sections of the science. Consider whether
you have:
 shown how your research aims and impact statements are linked to form a cohesive and
seamless package of research that will achieve your overall objective
 shown what will be achieved, and by when, from the key components of your research.
A good proposal should clearly explain:
 the science issue or problem you are aiming to address
 your overarching science question or hypothesis that addresses the science issue or problem
 the relevance of this hypothesis to the issue or problem identified
 how your method and high level approach (methodology) will enable the delivery of your
research aims
 how your research is positioned in the domestic and international research context
 how you are leveraging state of the art knowledge and facilities, including through any
collaborations with overseas researchers, teams or institutions
 the new knowledge, approaches and/or scientific or technological advances that will be enabled
by your proposed research
 how your approaches or ideas are innovative or novel
 additional benefits your approach will make possible
 what the technical risk are and how will they be managed
 the specific needs, opportunities or contributions of Māori knowledge, resources and/or people
in the above areas, and explain if not appropriate (you may cross reference to previous
sections).
18
Please consider whether you have provided sufficient information to substantiate:
 how your research contributes to debate and scholarship in your area
 your approach is appropriate to address your hypothesis and achieve your aims
 the endorsement or involvement of individuals or organisations relating to the science proposed
 you have reflected the specific needs, opportunities or contributions from Māori knowledge,
resources and or people in describing the science or if this is not appropriate describing why.
Team
This section allows you to demonstrate the excellence of your team. You should directly address the
excellence assessment criteria as set out in the Gazette Notice and the Investment Plan.
Team Contribution
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
Yes
Yes
Yes
Word Limit
280
560
560
Add images
No
No
No
Weighting
15%
15%
25%
Briefly explain, using keywords or a short phrase, the contribution of each team member to the
proposed activities. Examples are: spatial modelling, sample collection and analysis, engineering
design and structural testing, cultural information/analysis. Provide a brief narrative that
demonstrates these attributes. Note that this section may include individuals not named in the FTE
table but who are crucial to the research.
A good proposal should clearly show:
 that the team has the skill, knowledge, and notable track record needed to deliver the proposed
activities
 the roles and responsibilities of members of your team in this proposed project
 that the team has appropriate partnerships (with domestic or international researchers with
relevant expertise) to deliver the research, including for implementation of Vision Mātauranga if
applicable
 how the team will manage the risks associated with the team itself including its complementary
skills, knowledge and resources, and succession planning.
FTE Table
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
FTE Required
No
Yes
Yes
CV
Add images
Yes
Yes
No
No
Use the FTE table to provide details of your research/project team.
Important Note: Roles with a * must be a minimum 0.15FTE each year of the contract for Smart
Ideas Full Proposals and Research Programmes Proposals only.
Contract manager
 the person MBIE should contact on contractual matters about your proposal.
Science leader*
 the researcher with overall responsibility for the science/research in the entire proposal.
Impact leader* (use the role ‘Leader’ in the IMS portal)
19

the researcher responsible for the science/research within an individual impact statement. The
Science Leader may also be the Leader of an impact statement.
Key researchers*
 team members involved in the research, whose expertise is critical to the success of the project.
They may be from a contracted organisation, a sub contracted agency, or a stakeholder who is
providing cash or in-kind co-funding of the research.
Key individuals*
 team members who are not researchers but whose contribution is critical to the success of the
project (eg implementation).
Post-doctoral/early-career researcher
 an individual who has seven or fewer years’ active research experience after receiving a doctoral
degree.
Student
 a student whose involvement in the research will contribute to their gaining an educational
qualification.
Others
 all remaining research team members not listed elsewhere.
For Smart Ideas Full Proposals and Research Programmes Proposals, use this table as a guide of what
should be provided.
Role
Role
CV
FTE
Scopus ID
Mandatory on
submit
Science
Leader
Leader
(Impact)
Key
Researcher
Key Individual
Post-Doc
Student
Other
Contract
Manager
Email address
Mandatory on
submit
Mandatory
Mandatory
Mandatory
Optional
Mandatory
Mandatory
Mandatory
Mandatory
Optional
N/A
Mandatory
Mandatory
Mandatory
Optional
Mandatory
Mandatory
Optional
Optional
Optional
Mandatory
Mandatory
Optional
N/A
N/A
N/A
Mandatory
Optional
N/A
Optional
N/A
Optional
N/A
N/A
Optional
N/A
N/A
N/A
N/A
N/A
Mandatory
Note:
 MBIE will not fund key individuals who are employed by local or central government but may
fund costs associated with their involvement other than salary.
 CVs are not required for Smart Ideas concepts. You will be able to add your team members CVs
when submitting a full proposal in this section.
 List each individual only once. If they are both the science leader and an impact leader tick
multiple check boxes against the role.
20
Research Plan
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
Yes
Yes
Yes
Word Limit
280
560
560
Add images
Optional
Optional
Optional
This section allows you to provide the detailed context for the approach you are taking.
A good Research Plan should clearly explain:
 your chosen approach
 how the key components of your research impact statement(s), collectively, will enable you to
achieve your research objective(s)
 the technical risks you have identified, and the steps you have taken or will take to mitigate or
manage them.
Your Research Plan should be understandable to assessors, regardless of their specific field of
expertise.
Methods
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
No
Yes
Yes
Word Limit
Add images
1680
1680
Optional
Optional
This section allows you to explain the research method(s) you will use in your proposed research.
You should provide a clear and precise description of how you propose to perform your research,
your rationale for your choice of methods and other science or research characteristics of the
project. This can include for example, qualitative, quantitative, empirical, conceptual and descriptive
methods.
A good proposal should clearly explain:
 your choice of study material(s), sites and/or subject(s); this may also include reasons for not
choosing various options
 how you plan to collect and manage data such as variables, measurement methods, sampling
methods and sample size
 how you have considered potential errors (random or systematic) and the methods and
strategies you will use to control them
 any experimental design approach where this has a significant impact or is out of the ordinary
(eg the type of participants or types of controls)
 any analytical advantages enabled by your choice of instrumentation/equipment for data
analysis, including your use of statistical methods.
Your methods should be understandable to assessors, regardless of their specific field of expertise.
21
Resources
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
Yes
Yes
Yes
Word Limit
280
560
560
Add images
Yes
Yes
Yes
In this section, identify any extraordinary facilities, plant and/or equipment that are critical to
delivery of your research.
Examples of such resources are:
 high performance “super” computing facilities
 pilot plant facilities
 controlled climate laboratories
 research ships
 physical containment (PC) facilities at PC3 or PC4 levels (not PC1 or PC2)
 logistic support for Antarctic research
 data not in the public domain that is critical for your research
 essential analytical services not available within the team
 facilities located offshore.
Do not list laboratory facilities, plant or equipment that is readily available and would be considered
“standard” in an organisation with internal research capability.
A good proposal should clearly explain:
 the resources you will need to access or purchase to support the proposed research
 measures you have taken or will take to secure those resources
 any risks to obtaining the resources, and how those risks will be managed
 and evidence the commitment you have around resources.
22
Contracting Information
This section is your opportunity to show clearly and convincingly that the nature, timing, resourcing
and quality of your proposed activities are appropriate to deliver your research aims.
Note:
 the information you provide will be available to both science and impact assessors and will
inform their assessment of both excellence and impact, against the criteria set out in the Gazette
Notice. If your proposal is funded, the work programme will become part of your contract.
Tip:
 information that science assessors will be looking for to determine how well your proposal
meets these criteria is outlined in the Assessor Guidelines for Smart Ideas and Assessor
Guidelines for Research Programmes.
Work Programme
Required
No
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
Your Work Programme comprises impact statements, research aims and critical steps. Together,
these provide a hierarchical description at increasing levels of detail, of the key components of your
research. All must be measurable and achievable within the term of the contract and on or before
the end date of the higher level item. That is critical steps must be achievable on or before the end
date of the associated research aims; research aims must be achievable on or before the end date of
the associated impact statement.
You may have up to six impact statements, but at least one must be relevant to the primary portfolio
investment outcome to which you have aligned your research.
Impact statements (140 words)
An impact statement describes the impacts or outcomes the proposal aims to achieve by the end
date specified. It does not include impacts or outcomes delivered beyond the end of the contract
term. Impact statements go one step beyond research outputs such as research papers or client
reports, and typically include transfer to, or uptake of the research by users.
Research aims (140 words)
A research aim is a scientific question or hypothesis that will be answered or a specific objective that
will be delivered by the proposed research.
Critical steps (140 words)
A critical step is a research or related activity that, if not delivered, will significantly affect the
achievement of a research aim or the impact of the proposed research. Regulatory and/or ethical
approvals, for example, should be listed as critical steps.
Critical steps should be measurable, defined events, not incremental progress.
23
Requested Funding and Budget
Required
No
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
This section provides the Science Board with information on how much funding you are requesting
and how it will be spent, should your proposal be funded.
Please provide a breakdown of the total funding you are requesting by impact statement. You
should ensure that the indicative budget for each impact statement reflects the quantum of the
research in the impact statement. Use GST exclusive totals as the IMS Portal will calculate GST
automatically.
Budget items might include:
 personnel costs (excluding overheads – these are listed separately)
 overheads
 general operating expenses, for example, publishing fees, accommodation, transport, and
consumable items required for the research
 building depreciation/rental
 equipment depreciation/rental
 sub-contracting
 other expenditure. Please specify any other significant expenditure not listed above. Examples
include koha, contingency funding, and costs of gaining required legal or ethical approvals.
Your budget must add up to within $1,000 of the amount of funding you have requested.
Sub-Contracting
Required
No
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
Sub-contracting funding is the amount the applicant organisation plans to spend on work done by
other organisations in order to complete the proposed research. Provide information about all subcontractors for each impact statement for each year of the contract.
24
Key Relationships
This section will be used by assessors to consider the criticality of the relationship and their level of
engagement with the research. This is your opportunity to show clearly and convincingly the
relationships between partners and stakeholders and how they will contribute to the success of the
research.
Note:
 the information you provide in this section will be available to both science and impact assessors
and will inform their assessment of both excellence and impact criteria as set out in the Gazette
Notice.
End Users
Required
No
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
End users
End users are stakeholders that are likely to use the research and who will benefit directly from it.
End users may include organisations, businesses and sector or community groups including
iwi/Māori. End users may be involved in defining the research questions and shaping the work not
just involved in the uptake of its findings. Please list end users who are involved in your research in
the table provided.
Note: some research proposals will be at a stage where there are well established and readily
identified end users, while other may be more nascent given an early stage of research. The key is
to reflect users that are appropriate and fit for purpose for your proposal.
For contracting purposes, if an end user is co-funding your research (in cash or in kind) you should
provide these details. Co-funding is support for your proposed research, as cash or in kind, received
from other organisations.
Partnering
If you have partners in research, we would like to know about it, particularly if they are essential or
key to the delivery of your research or impact sought. Co-funding can be an indication of partnering,
however, is not required. If co-funding is beneficial, fit for purpose, relevant or adds value to your
research then let us know. If you have excluded co-funding from consideration in your research, tell
us why. During or before contracting a proposal, MBIE may request proof of the indicated level of
co-funding.
There are two types of co-funding: direct cash (related cash) and direct in-kind (related in-kind).

Direct cash co-funding is cash received from another organisation that contributes directly to an
impact statement within your proposal. Direct cash does not include funding you may receive
after the end date of the research. It must be essential to the achievement of the impact
statement and be genuine cash funding for the proposed research. It is not funding from which
an income is derived or that can be returned to the funder.
25

Direct in-kind co-funding is a non-cash contribution that will assist you to achieve the proposal’s
impact statement(s). It may include, for example, the use of equipment, staff time, or access to
data.
The cash value of in-kind co-funding should be estimated using either the usual cost of the good or
service as advised by the provider or, if the item is not generally traded, your estimate of the out-ofpocket costs sustained by the provider in making the good or service available to you.
International Collaborations/Partnerships
Required
No
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
This section will be used by assessors to determine how well you are aware of and have considered
global science relevant to your proposal.
International collaborations can strengthen the quality and impact of research by, for example,
providing expertise or access to infrastructure that is not readily available in New Zealand, or
enabling New Zealand researchers to tap into, build on and benefit from global research advances.
Linking research with relevant international initiatives also builds an international reputation for
New Zealand research and development capability.
List collaborations and partnerships you have, or plan to develop, with international researchers or
organisations, explaining for each:
 the contribution they are making or will make to your proposed research, including any cofunding support
 what your proposal will contribute to them
 any benefits to New Zealand science in general from the relationship(s).
26
Additional Information
This section is your opportunity to provide information that supports your proposal, including,
references, and your intellectual property plan. This section also provides profiling data, special
ethical and regulatory requirements, conflicts of interest and a formal declaration.
The information you provide in this section will be available to assessors of your proposal.
References
Required
Yes
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
No
Use this section to list all references you have cited in your proposal. References provide assessors
an evidence base to support your theory/research claims and illustrate the depth of your knowledge
of relevant research.
Upload your references as a Word or PDF document. Use either EndNote or Oxford formats.
Avoid a long, excessive and out-of-date reference list. List only selected key references pertinent to
your proposed research. For each reference you list, you should ask yourself “how does inclusion of
this reference strengthen my proposal?”
Special Ethical and Regulatory Requirements
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
Yes
Yes
Yes
Word Limit
280
280
280
Add images
No
No
No
Some research requires formal or legal approval. You are responsible for meeting all ethical and
regulatory requirements relating to your proposed research. Any costs associated with fulfilling any
ethical or regulatory requirements should be included in your budget (other expenditure). If delays
are incurred through failure to gain or initial the necessary approvals, funding may be withheld,
withdrawn or renegotiated.
List all the ethical and regulatory requirements, and approvals you need to conduct the proposed
research, and indicate whether these have been obtained. If approvals have not yet been obtained,
explain how and by when you expect to do so. Please also consider any significant safety issues. If
no ethical or regulatory requirements apply to your proposed research simply state “Not
Applicable”.
27
Conflicts of Interest
Use this section to identify conflicts of interest, to help MBIE manage these conflicts. Identify any
person who has a potential conflict of interest with your proposal and say why. Persons might
include science or impact assessors, a part of MBIE you are engaged with outside Science
Investments, or the Science Board.
A direct conflict may occur when a person is directly involved with a proposal (as a participant,
manager, mentor or partner) or has a close personal relationship with you (eg a family member).
It may also occur when the other person is a collaborator or is in some way involved with your
proposal.
An indirect conflict may occur when the other person is employed by an organisation involved in
your proposal but is not part of your proposal, or when the other person has a personal or
professional relationship with you eg an acquaintance.
Conflicts of interest may also occur when the other person has an involvement (direct or indirect)
with a proposal in direct competition with your proposal or where the outcomes proposed by your
proposal may compete with the other persons personal business interests.
Intellectual Property Management
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Required
No
Yes
Yes
Word Limit
Add images
560
560
Yes
Yes
Outline how you will identify, protect, and if appropriate share, any intellectual property generated
by the research. If the success of your research is dependent on access to existing intellectual
property, explain the agreements you have in place to use it.
If you are collaborating with other organisations, we would like to see that you have agreed an
intellectual property management plan with them. You need to ensure due diligence on intellectual
property and probity and that neither party may accidently become involved in legal issues.
You may want to consider your approach with Freedom to Operate and Prior Art, your operational IP
management plan, and any litigation issues or risks you might foresee.
If the Science Board decides to fund your proposal, you will be required to comply with Principles 1-3
in Appendix 2 of the Science Investment Contract.
28
Classifications
This section provides data that is used by MBIE to analyse and report on its investment portfolio.
The data does not contribute to assessment and will not be provided to the assessors.
Industry Sector
Required
No
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
For each Impact Statement, indicate the proportion (percentage) of the proposed research that is
relevant to each industry sector listed. Note that the total for each Impact Statement across all
industry sectors must equal 100%.
Profiling Data
Required
No
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
For each Impact Statement, indicate the proportion (percentage) of the proposed research that is
relevant to each category listed. Note that the total for each Impact Statement within each category
must equal 100%.
Your proposal will not be assessed if you do not provide profiling data. Please ensure you have
completed the work programmes section before attempting to complete your profiling data.
ANZSRC Codes
Required
No
Yes
Yes
Smart Ideas Concept Proposal
Smart Ideas Full Proposal
Research Programmes Full Proposal
Add images
No
No
The identification and apportioning against each ANZSRC code in this section differs from that
provided when you registered your proposal. You should provide a more fulsome list here.
29
Appendix 1
Declaration
By submitting this proposal you are affirming that the information provided is complete and
accurate.
When the person who submits your proposal clicks the ‘Submit to MBIE’ button in the ‘Print and
Submit’ section, you will be asked to agree to the following formal declaration.
You agree that by submitting this proposal to MBIE, you declare and acknowledge the following:
 I am authorised to submit the proposal on behalf of the applicant.
 I have read the terms and conditions related to the Call for Proposals as required.
 The applicant is a legal entity capable of entering into a contract with MBIE.
 The information in the proposal is true and correct.
 Except for any co-funding arrangements described in the proposal, the work proposed in the
proposal is not currently funded by another party, and has not received approval for funding
from any other party.
 All parties mentioned in the proposal who are not employed by the applicant have
confirmed that the nature and level of their involvement in the work described in the
proposal is correct.
 In completing the proposal, the applicant has taken into account the requirements of any
relevant laws, such as the Hazardous Substances and New Organisms Act 1996, and any
consents, approvals, licences, and permits that may be required to carry out the work
described in the proposal.
 Information received and generated by MBIE in relation to this proposal may be released by
MBIE in accordance with MBIE’s external reporting requirements or if required by law,
including in accordance with the requirements of the Official Information Act 1982 or the
Privacy Act 1993.
 The applicant agrees to accede to the terms and conditions of the Science Investment
Contract, should the Science Board approve investment in its proposal.
 All statements in this proposal indicating the support of individuals or organisations have
been made with the approval of the individual or a representative of the organisation with
an appropriate level of authority.
Appendix 2
Some guidance to help you strengthen your approach to Vision
Mātauranga
The Vision Mātauranga policy (Vision Mātauranga) aims to unlock the science and innovation
potential within Māori knowledge, resources, and people to assist New Zealanders to create a better
future. Giving effect to this policy is a priority across the fund’s economic, environmental and
societal objectives; therefore Vision Mātauranga must be addressed in your proposal.
This guidance is to help you consider Vision Mātauranga in planning your proposal given this should
shape how you develop the proposal, who should be involved, and therefore what content should
be included in each of the application sections. Your proposal should show how you have
considered, identified and responded to opportunities presented by relevant Māori knowledge,
resources or people. This could include, for example, explaining and evidencing:
 the steps you have taken to identify research opportunities relevant to Māori interests
(collectives, businesses and communities)
 which Māori interests will be involved, in what capacity, and the rationale for their selection
 what contributions or innovations you will draw from them and how those contributions are
integrated in the proposal
 how you propose to respond to the distinctive issues, needs and requirements of those Māori
interests
 which of the four Vision Mātauranga outcome benefits outlined in the Investment Plan you
propose to address and how.
Please consider if you have provided sufficient information to show:
 your analysis of Māori needs, opportunities or resources linked to government and other
national strategies, or specific strategies developed by relevant Māori interests
 how your proposal responds to relevant values, histories, relationships, rights, aspirations and
interests held by related Māori interests
 where your research is taking a generic approach, a Māori-centric approach, kaupapa Māori
research approach, or a mix across the proposal, and the rationale for this
 appropriate Māori voices and expertise relevant to the design of the proposal including the
methodology, methods, or applications especially if it includes kaupapa Māori research
 the agreed engagement methods or principles specific to the proposal, especially if you are
proposing work at the interface between knowledge systems
 specific and agreed Māori roles and responsibilities that could include Māori as: researchers,
funders, knowledge contributors, participants, end users, partners, leaders, advisors, or
governance members
 the specific commitments between your team and Māori eg decision-making, ownership of IP
 appropriate use of Māori characterisation
 that your processes, solutions, tools, frameworks and metrics in the implementation pathway
are relevant to Māori world views, knowledge and context
 the international contribution your research will make to the interface between knowledge
systems
 how the above is being resourced and supported
 what risks are associated with the above and how they might be managed and mitigated.
If you think Vision Mātauranga is not relevant to your research, you should test this assumption with
independent advisors with relevant strategic Vision Mātauranga experience. You will need to
provide evidence to explain why you consider Vision Mātauranga is not applicable.
Appendix 3
ANZSRC Codes
What are ANZSRC codes?
The ANZSRC (Australian and New Zealand Standard Research Classification) is a set of codes
developed by the Departments of Statistics of Australia and New Zealand to classify Scientific
Research.
The codes are divided into three areas;
 Type of Activity - this corresponds to the Frascati definition of research which MBIE obtains
through the Profile classification.
 Field of Research (FOR) - this is the discipline and/or the process or techniques used in the
research.
 Socio Economic Objective (SEO) - this describes the intended purpose or outcome of the research
undertaken.
ANZSRC is a hierarchical classification, with 2, 4, and 6 digit codes representing increasing specificity.
For example:
82 Plant Production and Plant Primary Products
8201 Forestry
810104 Native Forests
SEO Sectors
In addition to the 2, 4, and 6 digit codes the SEO codes are grouped into five Sectors;
 Defence
 Economic
 Society
 Environment
 Expanding Knowledge
Note: You are not required to select a Sector because it is automatically determined by the 2 digit
SEO division code you select.
Sector
Defence
Economic
Society
Environment
ANZSRC SEO
Division Codes
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
Expanding
Knowledge
97
Note: It is important that you are familiar with the descriptions, at each level, of the codes you use so
that your classification of your research and its outcomes is as accurate as possible.
How does MBIE use the ANZSRC codes
MBIE uses your choice of ANZSRC codes in two ways:
1. to assist with the identification of suitable assessors for your project
2. to classify which sector or sectors (Economic, Society or Environment ) a project falls under.
The Endeavour Fund Investment Signals for 2016–2019 (page 18 & 19) state that the Endeavour Fund
will invest approximately 70% of the fund in the Economic sector, 25% of the fund in the
Environment sector and 5% of the sector in the Society sector. MBIE will use the SEO codes you
select to determine the funds invested in each sector.
How do I select ANZSRC Codes?
You can allocate a FOR or SEO code in a hierarchical manner by:
1. determining the division in which the largest component of the research is being
performed; then
2. determining the most relevant group within that division; and then
3. determining the most relevant field within that group.
The IMS Portal is set up in a way which facilitates this selection process.
You can select the ANZSRC codes you want directly from the lists of FOR and SEO codes on the
Australian Bureau of Statistics website.
How many ANZSRC codes can I use?
MBIE processes require that each Impact Statement in a project has both ANZSRC FOR and SEO
codes assigned.
Most impact statements contain a homogeneous body of work in a specific field which makes
classification straightforward. However, the emergence of new interdisciplinary and multidisciplinary
fields of research is a feature of the modern research environment. The categorisation of such fields
within a hierarchical and exclusive classification system can pose difficulties for users of the ANZSRC
classification system.
You may use more than one code per Impact Statement to classify a research project to ensure that
it is accommodated within the classification structure; however MBIE recommends that this is only
done where a significant proportion of the research is covered by each code.
Where a defined field cannot be identified within a group for a research project or research
programme, the 'not elsewhere classified' category at the field level is to be used.
What to avoid when selecting ANZSRC codes
As a result of the 2016 investment round MBIE wishes applicants to note the following:

Selecting SEO codes in Division 92 -Health (particularly 9201 and 9204) is likely to indicate that
the main Socio- Economic Outcome of the project is improve health outcomes for New
Zealanders. This cannot be the primary objective of research funded by the Endeavour fund. You
should reassess the primary aim of your research and either, consider coding the research to 86
Manufacturing (eg 8608 Human pharmaceutical products, 8615 Instrumentation or 8601
Processed Food Products and Beverages (excl Dairy Products)) or redirecting your application to
the Health Funding Council.

Selecting SEO codes in the 97 – Expanding Knowledge series indicates that the project does not
an identifiable Socio –Economic objective. This code should only be used for pure, basic research
without a specific socioeconomic objective, such as some of the research funded by the Marsden
Fund. As the Endeavour Fund is mission-focussed, projects funded by the Endeavour fund must
have an Economic, Environment or Social outcome.

SEO codes in the 95 Cultural Understanding series (particularly the group 9503 Heritage) should
be used only if a significant outcome of the research is an “improved understanding of culture”
through the conservation of natural, social and cultural heritage.
If, for example, a project uses Mātauranga Maori as in input to achieve an Environmental outcome
the project should be classified (completely) under the 96–Environment division.