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November 2019

Endeavour Fund Assessment Guidelines

2020 Investment Round

ISSN 2703-2507Cover photo courtesy of NZ Story.The material contained in this document is subject to Crown copyright protection unless otherwise indicated.The Crown copyright protected material may be reproduced free of charge in any format or media without requiring specific permission. This is subject to the material being reproduced accurately and not being used in a derogatory manner or in a misleading context. Where the material is being published or issued to others, the source and copyright status should be acknowledged. The permission to reproduce Crown copyright protected material does not extend to any material in this report that is identified as being the copyright of a third party. Authorisation to reproduce such material should be obtained from the copyright holders.All monetary values quotes are in NZ Dollars and are GST exclusive. All dates and times are New Zealand Time.Published November 2019.LSE 5108

ENDEAVOUR FUND ASSESSMENT GUIDELINES 2020 INVESTMENT ROUND NOVEMBER 2019

1

Contents

FOREWORD 3

INTRODUCTION 4

THE ASSESSMENT PROCESS 5

For Smart Ideas 5

For Research Programmes 5

Assessor Roles 6

Key Dates 6

Time Commitment 7

How and When Proposals are Assigned 7

How and When Assessments are Recorded 8

Confidentiality and Privacy 8

Conflicts of interest 8

What the Assessments are used for 9

PERFORMING ASSESSMENTS 10

The Assessment Steps 10

EXCELLENCE ASSESSMENT 13

Points to Note 13

Excellence Assessment Scoring Guide Smart Ideas Concepts & Full Proposals, and Research Programmes 15

IMPACT ASSESSMENT 22

Points to Note 22

Impact Assessment Scoring Guides Smart Ideas Full Proposals 25

Impact Assessment Scoring Guides Research Programmes – Protect and Add Value 32

Impact Assessment Scoring Guides Research Programmes – Transform 39

VIEWING ASSIGNED PROPOSALS AND RECORDING ASSESSMENTS 46

Accessing the IMS Portal 46

Updating your IMS Portal Details 47

Accepting/Declining Assigned Proposals 47

Viewing and Printing Assigned Proposals 49

Recording Assessments 49

Checking the Status of your Assessments 52

Recording Lead Assessor Summaries 52

MINISTRY OF BUSINESS, INNOVATION AND EMPLOYMENT

2

The Endeavour Fund’s mission is to support research, science or technology, or related activities, with:

“The potential to positively transform New Zealand’s economic performance, the sustainability and integrity of our environment, help strengthen our society and give effect to the Vision Mātauranga policy.”


3

ForewordThank you for agreeing to assess proposals submitted for investment from the Endeavour Fund 2020 round.

The Endeavour Fund is managed by New Zealand’s Ministry of Business, Innovation and Employment (MBIE) as an investment portfolio with economic, environmental, and societal objectives. Investment is made through two mechanisms – Smart Ideas and Research Programmes. These guidelines detail what is involved in assessing both mechanisms and the role that you will play in this process.

Informed assessment of proposals is a critical aspect of MBIE’s investment process, as it forms the basis of the Science Board’s investment decisions. We have selected you and other Assessors based on your knowledge and experience. You have not been selected as a ‘representative’ of a particular organisation or sector.

The names of all Assessors and their affiliated organisations are published on MBIE’s website.

The expertise that you bring to the investment process is greatly appreciated.

Thank you for supporting MBIE’s science investment processes.


4

IntroductionAs an Assessor, you have a critical role in helping MBIE’s Science Board to identify proposals that have the greatest potential to deliver on the New Zealand Government’s goals for the Endeavour Fund. Investment is made through two mechanisms – Smart Ideas and Research Programmes.

The Smart Ideas investment mechanism catalyses and rapidly tests promising, innovative research ideas with high potential for benefit to New Zealand, to enable refresh and diversity in the science portfolio. Applicants can request between $0.4 million to $1 million over the term of two or three years. In 2020, we expect to invest up to $18 million per year in Smart Ideas contracts.

The Research Programmes investment mechanism supports ambitious, excellent, and well-defined research ideas which, collectively, have credible and high potential to positively transform New Zealand’s future in areas of future value, growth or critical need. Applicants can request a minimum of $0.5 million per year for a term of three, four or five years. In 2020, we expect to invest up to $38.8 million per year in Research Programme contracts.

Please read this document in conjunction with the Endeavour Fund Call for Proposals 2020 Investment Round.

These and other key documents supporting the 2020 investment round are available on the Endeavour Fund application and assessment information webpage.

If you have any questions, feel free to contact us.

Email Assessment queries: [email protected] Portal queries: [email protected]

Phone 0800 693 778 (Monday to Friday, 8:30am to 4:30pm, New Zealand time)

https://www.mbie.govt.nz/assets/endeavour-fund-call-for-proposals-2020-investment-round.pdf

https://www.mbie.govt.nz/assets/endeavour-fund-call-for-proposals-2020-investment-round.pdf

https://www.mbie.govt.nz/science-and-technology/science-and-innovation/funding-information-and-opportunities/investment-funds/endeavour-fund/application-and-assessment-information/

mailto:assessors%40mbie.govt.nz?subject=

mailto:imssupport%40mbie.govt.nz?subject=


5

The Assessment ProcessYou may be asked to assess proposals from one or both investment mechanisms. This will depend largely on the nature of the proposals received and how they align with your skill set.

The assessment process differs between the two investment mechanisms and these processes are outlined below.

For Smart IdeasPhase One: Registration

› Applicants register their interest before submitting a proposal. Registration is not assessed.

Phase Two: Concepts

› Applicants submit Concepts.

› Concepts are assessed against the Excellence assessment criteria and, where relevant, the Vision Mātauranga policy.

› The Science Board makes decisions on which Concepts progress to Full Proposals.

› Successful Applicants are invited to submit Full Proposals.

Phase Three: Full Proposals

› Invited Applicants submit Full Proposals.

› Independent Assessors review all proposals against:

– The Excellence assessment criteria.

– The Impact assessment criteria.

– Where relevant, the Vision Mātauranga policy.

› The Science Board makes its investment decisions.

For Research ProgrammesPhase One: Registration

› Applicants register their interest in submitting a proposal. Registration is not assessed.

Phase Two: Full Proposal

› Proposals are assessed against the Excellence assessment criteria and, where relevant, the Vision Mātauranga policy.

› The Science Board decides which proposals progress for Impact assessment.

› Successful proposals are assessed against the Impact assessment criteria and, where relevant, the Vision Mātauranga policy.

› The Science Board makes its investment decisions.

The assessment process does not cover eligibility.


6 Assessor RolesThere are two types of Assessors for the Endeavour Fund (Assessors and Lead Assessors). The following section outlines their key roles and responsibilities.

Assessor

An Assessor’s role is to review proposals submitted to the Endeavour Fund. Your key responsibilities are:

› Declaring any conflicts of interest.

› Reading and assessing assigned proposals.

› Allocating scores that reflect your views (using a 7-point scoring system against our assessment criteria).

› Recording your scores and supporting commentary, into MBIE’s Investment Management System (IMS).

› Adhering to MBIE’s confidentiality and privacy policies.

Lead Assessor

In addition to the responsibilities of an Assessor, Lead Assessors are also responsible for:

› Writing assessment summaries for each proposal that reflect the range of comments and diversity of scores provided by the Assessors, and how it responds to MBIE’s Vision Mātauranga policy.

› If you have been assigned to assess Research Programmes proposals for Impact you will also provide Revised Scores and your rationale for those scores.

Key Dates

SMART IDEAS RESEARCH PROGRAMMES

CONCEPTS FULL PROPOSALS

FULL PROPOSALS

Proposals assigned and assessment starts

21 Jan 2020 11 Jun 2020for assessment of Excellence: 18 Mar 2020

for assessment of Impact: 28 May 2020

Assessment ends. Assessments must be recorded

in the IMS portal

05 Feb 2020 01 Jul 2020for Excellence: 30 Mar 2020

for Impact: 10 Jun 2020

Lead assessment will have started*

17 Feb 2020 13 Jul 2020 for Excellence: 07 Apr 2020 for Impact: 25 Jun 2020

Lead assessment ends. Lead assessments must be

recorded in the IMS portal

26 Feb 2020 22 Jul 2020for Excellence: 21 Apr 2020

for Impact: 06 Jul 2020

Science Board decisions Apr 2020 Sep 2020 progress to Impact assessment: May 2020

Investment: Sep 2020

Successful Applicants notified Apr 2020 Sep 2020 Sep 2020

Contracts begin n/a 1 Oct 2020 1 Oct 2020

*Lead assessment will start as soon as the four individual assessments have been submitted.

All dates are New Zealand Time


7Time CommitmentWe envisage your involvement in the assessment process to be as follows.

APPROXIMATELY: TO:

Half a day Read these guidelines and the supporting documents.

2-3 hours per proposal (actual time depends on the proposal type ie Concepts or Full Proposals)

Read your assigned proposals, assign scores and enter those scores, with supporting commentary, into the IMS portal.

1 hour per proposal (Lead Assessors only)

Record a summary of the individual Assessor comments and, for Research Programmes Impact Lead Assessors, a Revised Score (see page 54).

How and When Proposals are AssignedProposals are assigned to Assessors after aligning the proposal’s fields of research with the Assessor’s expertise, checking the Assessors availability and the absence of any potential conflicts of interest. Each proposal is assigned to four Assessors, one of which is designated the Lead Assessor.

MBIE will email you to confirm which proposals you are being asked to assess and this may be a combination of one or more of the following:

INVESTMENT MECHANISM PROPOSAL TYPE ASSESS FOR

EXCELLENCE IMPACT

Smart Ideas Concepts Yes No

Full Proposals Yes Yes

Research Programmes Full Proposals Yes Yes

ASSIGNMENT DATES SMART IDEAS RESEARCH PROGRAMMES

CONCEPTS FULL PROPOSALS FULL PROPOSALS

Proposals assigned and assessment starts 21 Jan 2020 11 Jun 2020

for assessment of Excellence: 18 Mar 2020


Lead assessment will have started*

17 Feb 2020 13 Jul 2020 For Excellence: 07 Apr 2020 For Impact: 25 Jun 2020

*Lead assessment will start as soon as the four individual assessments have been submitted.

You use MBIE’s IMS portal to:

1. Log on to view your assigned proposals, identify and notify MBIE of any potential conflicts of interest, and then accept or decline accordingly.

2. Open (download and/or print) all assigned and accepted full proposals.

Refer to page 46 for further instructions on how to use the IMS portal.


8 How and When Assessments are RecordedYour assessment scores and comments are recorded in the IMS portal; this must occur on or before the following dates.

ASSIGNMENT DATES SMART IDEAS RESEARCH PROGRAMMES


Assessment ends. Assessments must be recorded

in the IMS portal

05 Feb 2020 01 Jul 2020 for Excellence: 30 Mar 2020

for Impact: 10 Jun 2020

Lead assessment ends. Lead assessments must be

recorded in the IMS portal

26 Feb 2020 22 Jul 2020 for Excellence: 21 Apr 2020


Lead Assessors are sent an email alert when the individual assessments for each of their proposals have been completed and they are able to start their assessment summaries.

Confidentiality and PrivacyTo ensure confidentiality, as an Assessor you must:

› Ensure the safekeeping of all proposals and related documents (eg workbooks, notes, etc.).

› Destroy any remaining documentation (or return it to MBIE), at the end of the assessment process.

› Not correspond with or discuss the content or assessment of any proposal with the Applicant or any other party. If an Applicant contacts you about a proposal:

– direct them to MBIE ([email protected]), and

– email MBIE with the details of your contact.

› Not use any confidential information for any purpose other than assessment.

All Assessors must agree to adhere to MBIE’s confidentiality and privacy policies before they can view their assigned proposals. This applies to all information provided by MBIE and collected in the IMS portal.

Official Information Act 1982

MBIE is subject to the Official Information Act 1982 and therefore assessment information may be released, as required by the Act.

Conflicts of InterestMBIE follows a rigorous process to maintain the credibility of the investment process and to assure Applicants that their proposals are reasonably and fairly assessed.

Before starting your assessment, you must check your list of assigned proposals for any conflicts of interest and either accept or decline the assignments as appropriate (see page 47 and 48 for how to do this).

It is important to report a conflict of interest as soon as possible to ensure that assessment is not delayed.

mailto:endeavour%40mbie.govt.nz?subject=


9What is Considered a Conflict of Interest?

Conflicts of interest may occur on two levels; direct and indirect.

› A direct conflict of interest would be deemed if you are:

– directly involved with a proposal (as a participant, manager, mentor, or partner) or you have a close personal relationship with the Applicant, eg family members, or

– a collaborator or in some other way involved with an Applicant’s work programme.

› An indirect conflict of interest would be deemed if you:

- are employed by an organisation involved in a proposal but you are not part of the Applicant’s work programme.

- have a personal and/or professional relationship with one of the Applicants, eg an acquaintance.

- have or had involvement with a proposal that is in direct competition with a proposal being assessed or where the impacts proposed by a proposal under discussion may compete with your personal business interests.

Reporting Identified Conflicts

All conflicts of interest must be declared to MBIE.

If you identify a direct conflict with a proposal that has been assigned to you, you must decline the assignment.

If you identify an indirect conflict, you must email MBIE at [email protected] with the details for further discussion before accepting or declining the assignment.

What the assessments are used forInvestment Decisions

The Science Board makes the investment decisions in accordance with the Endeavour Fund 2020 Investment Round Gazette Notice, considering:

› Independent Assessor reviews.

› Portfolio approach.

› Investment Targets in the Endeavour Fund Investment Plan 2019-2021, and MBIE’s Vision Mātauranga policy.

Feedback to applicants

The assessments are also used to provide feedback to applicants at the end of the round.



10

Performing AssessmentsUse the following procedure when assessing proposals. Remember, your assignment email(s) will confirm what you are being asked to assess, which may be a combination of one or more of the following:

INVESTMENT MECHANISM PROPOSAL TYPE ASSESS FOR

EXCELLENCE IMPACT

Smart Ideas Concepts Yes No

Full Proposals Yes Yes

Research Programmes Full Proposals Yes Yes

The Assessment Steps1. Read and understand the documents essential to the assessment process

Read and understand the:

› Relevant scoring guide for Smart Ideas and Research Programmes (in this document). The scoring guides contain specific points to note for each assessment criterion to help ensure consistency in assessment.

› Gazette Notice which sets out the Excellence and Impact assessment criteria, and the Endeavour Fund’s general and specific policy objectives.

› Endeavour Fund Investment Plan 2019-2021 which details the Government’s goals and priorities for investment through the Endeavour Fund.

› Vision Mātauranga policy (see page 12 for details).

2. Accept (or Decline) assigned proposals

Accept your assigned proposals (or decline if you believe a direct conflict of interest exists) within 24 hours of receiving your assignment. Contact MBIE if you believe an indirect conflict of interest exists (see page 47 and 48 for how to do this).

3. Read assigned proposals (see page 49 for how to view and/or print).

4. Select an assessment score and record associated commentary

Only assess the information presented in the proposal. Applicants are expected to present all relevant information. If a proposal has obvious gaps, reflect this in your score and detail the significant issues in your comments.

As directed in your assignment, independently score each proposal using either the Excellence or Impact assessment criteria in the relevant assessment scoring guide for Smart Ideas and Research Programmes.

For each assessment criterion, select a score ranging from 1 (low quality) to 7 (high quality) from the scoring grid which best matches your assessment.

While certain sections of proposals specifically align with the assessment criteria, assess the proposal as a whole before finalising your assessment.

Record your assessment scores in the IMS portal (see page 49) and the reasons why you gave those scores. Your comments should also identify, if applicable, the specific reasons for a deficiency or merit, if the scores are below 3 or above 5, respectively.

https://gazette.govt.nz/notice/id/2019-go3220

http://www.mbie.govt.nz/assets/6a4e807a69/2019-endeavour-fund-investment-plan.pdf

https://www.mbie.govt.nz/assets/9916d28d7b/vision-matauranga-booklet.pdf


11Ensure that your comments are professional, honest, and accurate, and correlate with the scores and descriptions outlined in the scoring guides. Do not include names and be mindful that:

› if requested, your comments may be released under the Official Information Act.

› your comments form the basis of feedback to applicants.

› word limits for comments apply; these are shown in each Comment field in the IMS portal.

› if assessing Excellence, only comment on Excellence, if assessing Impact, only comment on Impact.

Exercise your knowledge, judgement and expertise to reach clear and sound assessments that are fair, objective and evidence-based.

You will also be asked to rate:

› the level of scientific or technical risk in the proposal, whether Low, Medium or High.

› how closely your area(s) of expertise aligns with the proposal, whether Aligned, Well aligned, or Very well aligned.

Be wary of ‘drift’ in your scoring. It is common for scoring to change as Assessors gain experience with the assessment process.

5. Lead Assessors only

View and summarise Assessor comments for assigned proposals

Record your summary for each assigned proposal, based on the individual Assessor comments and scores. Where there is a wide diversity of scores, comment on the reasons why.

Do not include names or scores in your comments.

Be mindful that if requested to do so, assessment comments may be released under the Official Information Act 1982 and that your comments form the basis of feedback to the applicants.

Assessment of Research Programmes proposals for Impact only

In addition, Lead Assessors also provide Revised Scores (for both Benefit to New Zealand and Implementation Pathways) and a comment explaining your rationale.

The Revised Scores should reflect what you believe the proposal should receive, after considering the scores and comments from the other Assessors.

The comment explaining your rationale will be provided to the Science Board. This rationale is particularly important if one or both Revised Scores are different to the calculated medians of the individual Assessor scores.

6. Destroy (or return to MBIE) all proposals and supporting documentation when the assessment process is complete.

Note that MBIE will perform quality assurance checks on all assessments. The purpose of this is to ensure Assessors are delivering effective and high quality assessments. If MBIE has any questions with respect to your assessment(s), we will contact you.


12

Vision MātaurangaThrough the Vision Mātauranga policy, we encourage appropriate and distinctive research arising from the interface between Māori knowledge and science, to deliver effective and innovative products, services and outcomes for New Zealand. This includes integrating the policy across government investments in research, and building the capability, capacity and networks of Māori and the research community to collaborate and carry out this work. The outcomes being sought through the policy appear in the Investment Signals section of the Endeavour Fund Investment Plan 2019-2021.

The Excellence and Impact assessment includes Vision Mātauranga where relevant; it is not a separate or additional assessment. When performing your assessment, consider if Vision Mātauranga is relevant.

If Vision Mātauranga is relevant, in terms of the positioning of the proposal and/or if there is explicit acknowledgement of Vision Mātauranga, consider:

› When assessing Excellence, whether Vision Mātauranga has been incorporated in the design of the research, and the capability of the team and its connections to key Māori stakeholders?

› When assessing Impact, the extent the proposal identifies potential benefits to Māori and New Zealand, and the extent to which the implementation pathway engages key Māori stakeholders and Māori knowledge in delivering these benefits?

During assessment, you are asked:

› Whether Vision Mātauranga is relevant to the proposal.

› Whether the Applicant recognises the relevance of Vision Mātauranga to the proposal.

› If Vision Mātauranga is relevant, how well has the Applicant addressed this (Very well, Moderately well or Not well).

If there is divergence between your opinion on the relevance of Vision Mātauranga and the applicant’s, you must give reasons for this. If not relevant, and this is consistent with the applicant’s view, the only comment you need to make is ‘Vision Mātauranga is not relevant to this proposal’.

https://www.mbie.govt.nz/assets/9916d28d7b/vision-matauranga-booklet.pdf


13

Excellence Assessment

Points to NoteTo assess Excellence, read and understand the points below to note and use the scoring guide on the following pages to help form your assessment and determine a score.

Consider Excellence in the context of:

› Research horizons: Early stage research may pose higher scientific or technical risk than later stage research. Both approaches are valid.

› Areas of research: Excellent research should be appropriate to the relevant discipline(s).

Specific Points to Note for Science

Dissemination › Making the research results available for potential end (or next) users so that impact and benefits can be achieved.

› May vary according to the situation and should not be confined to publications in peer reviewed scientific journals.

Risk › Scientific and technical risk is the basis of a good proposal. This may include assumptions that are based on current knowledge and scientific principles; or the application of scientific techniques in an unproven or speculative way.

› Technical risk may be associated with a new technology, which will need to be developed during the research.

Risk management

› Risk managed through risk mitigation strategies and/or contingency plans, and residual risk is considered against the potential additional value.

› Risk and additional value are considered together. However, risk and additional value can exist in many combinations, so the reference statements in the guide are only examples of where some combinations should sit in the scoring range. Assessors need to use their judgement in deciding where other combinations might more appropriately sit.

Novelty › A new method or idea.

› All or some elements of a proposal may be novel.

› Novelty can range from having only minor impact to making ground-breaking advances.

Innovation › Bringing in new methods or ideas.

› Degrees of innovation range from minor innovations in existing processes/techniques to the implementation of completely new processes/techniques that significantly challenge the status quo.

› Can include the application of existing processes or techniques in new or unexpected areas.

Well positioned The research: › takes account of existing knowledge and research, either by:

– avoiding redundancy or overlap, or

– using existing knowledge/research as a platform for achieving more significant advances in knowledge than would otherwise be the case.

› links with key related science activities (often funded separately) are described and are complementary or synergistic.

› has international links that provide leverage and additional value.


14Specific Points to Note for Science, continued

A credible research plan

Contains all of the expected elements in a way, which is scientifically and managerially competent and can be effectively implemented. Expected elements include: › the research methodology and methods,

› the research design and proposed outputs,

› a risk management and mitigation plan, and

› provision for access to and use of the facilities and equipment for carrying out the research.

Specific Points to Note for Team

Skill mix Consider whether the: › mix of skills is appropriate to the research.

› whole team has the level of experience and other attributes which give confidence in their ability to deliver the research.


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ith

Māo

ri r

elev

ant

to

the

scie

nce.


16

EXCE

LLEN

CE A

SSES

SMEN

T

ASSESSMENT CRITERIA

Scie

nce

Wei

ghti

ngs:

Sm

art

Idea

s 50

%, R

esea

rch

Prog

ram

mes

25%

Res

earc

h sh

ould

be

wel

l-de

sign

ed, i

nvol

ve ri

sk a

nd/o

r nov

elty

, and

leve

rage

add

itio

nal v

alue

fr

om w

ider

rese

arch

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to w

heth

er t

he p

ropo

sed

rese

arch

, sci

ence

or t

echn

olog

y or

rela

ted

acti

viti

es:

1.

prog

ress

and

dis

sem

inat

e ne

w k

now

ledg

e;2.

ha

ve a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent;

3.

are

ambi

tiou

s in

ter

ms

of s

cien

tifi

c ri

sk, t

echn

ical

risk

, nov

elty

and

/or i

nnov

ativ

e ap

proa

ches

; and

4.

are

wel

l-po

siti

oned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t.

Team

W

eigh

ting

s:

Smar

t Id

eas

15%

, Res

earc

h Pr

ogra

mm

es 2

5%

The

prop

osed

tea

m s

houl

d ha

ve t

he m

ix o

f co

mpl

emen

tary

ski

lls, k

now

ledg

e an

d re

sour

ces

to d

eliv

er t

he p

ropo

sed

rese

arch

, sci

ence

or

tec

hnol

ogy

or re

late

d ac

tivi

ties

, and

to

man

age

risk

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

2D

oubt

ful

Insu

ffici

ent

Lack

ing

Litt

leLo

wPo

or c

redi

bilit

y

Pro

gres

s an

d di

ssem

inat

e ne

w k

now

ledg

e:

›N

ew k

now

ledg

e cr

eate

d on

ly a

mpl

ifies

or f

urth

er e

xpla

ins

wha

t is

alr

eady

kno

wn.

›Th

e di

ssem

inat

ion

met

hod(

s) a

re n

ot w

ell m

atch

ed t

o th

e ty

pe o

f kno

wle

dge

invo

lved

.

Hav

e a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent:

›

Cont

ains

som

e ex

pect

ed e

lem

ents

but

the

info

rmat

ion

is in

suffi

cien

t fo

r the

pla

n to

be

plau

sibl

e.

›P

oor s

cien

tifi

c or

tec

hnic

al r

isk

man

agem

ent.

›Th

e re

sear

ch is

fit

for p

urpo

se in

ver

y fe

w r

espe

cts.

Are

am

biti

ous

in t

erm

s of

sci

enti

fic

risk

, tec

hnic

al ri

sk, n

ovel

ty o

r inn

ovat

ive

appr

oach

es:

›Sc

ient

ific

and/

or t

echn

ical

ris

k is

low

and

so

is t

he a

ddit

iona

l val

ue t

hat

coul

d be

ac

hiev

ed, o

r

›Th

e pr

opos

al h

as li

ttle

inno

vati

on.

Are

wel

l pos

itio

ned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t:

›Li

ttle

rec

ogni

tion

of a

ligne

d or

rel

ated

maj

or r

esea

rch.

›In

adeq

uate

link

s to

the

rel

evan

t re

sear

ch la

ndsc

ape.

if V

isio

n M

ātau

rang

a is

rele

vant

›It

is d

oubt

ful t

hat

the

Vis

ion

Māt

aura

nga

elem

ents

in t

he r

esea

rch

desi

gn a

re s

uffici

ent.

›Li

ttle

rel

evan

t in

nova

tion

val

ue t

o M

āori

.

Skill

s m

ix ›

Lack

s m

ost

of t

he s

kills

, kno

wle

dge

and

reso

urce

s ne

eded

to:

–de

liver

the

res

earc

h, s

cien

ce o

r te

chno

logy

, or r

elat

ed a

ctiv

itie

s.

–m

anag

e ri

sk.

if V

isio

n M

ātau

rang

a is

rele

vant

›La

cks

the

leve

l of c

apab

ility

or c

apac

ity

requ

ired

to

navi

gate

and

eng

age

wit

h M

āori

st

akeh

olde

rs a

nd t

heir

inte

rest

s fo

r the

sc

ienc

e.

›Li

ttle

or p

oor t

rack

rec

ord

wit

h M

āori

re

leva

nt t

o th

e sc

ienc

e.


17

EXCE

LLEN

CE A

SSES

SMEN

T

ASSESSMENT CRITERIA

Scie

nce

Wei

ghti

ngs:

Sm

art

Idea

s 50

%, R

esea

rch

Prog

ram

mes

25%

Res

earc

h sh

ould

be

wel

l-de

sign

ed, i

nvol

ve ri

sk a

nd/o

r nov

elty

, and

leve

rage

add

itio

nal v

alue

fr

om w

ider

rese

arch

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to w

heth

er t

he p

ropo

sed

rese

arch

, sci

ence

or t

echn

olog

y or

rela

ted

acti

viti

es:

1.

prog

ress

and

dis

sem

inat

e ne

w k

now

ledg

e;2.

ha

ve a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent;

3.

are

ambi

tiou

s in

ter

ms

of s

cien

tifi

c ri

sk, t

echn

ical

risk

, nov

elty

and

/or i

nnov

ativ

e ap

proa

ches

; and

4.

are

wel

l-po

siti

oned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t.

Team

W

eigh

ting

s:

Smar

t Id

eas

15%

, Res

earc

h Pr

ogra

mm

es 2

5%

The

prop

osed

tea

m s

houl

d ha

ve t

he m

ix o

f co

mpl

emen

tary

ski

lls, k

now

ledg

e an

d re

sour

ces

to d

eliv

er t

he p

ropo

sed

rese

arch

, sci

ence

or

tec

hnol

ogy

or re

late

d ac

tivi

ties

, and

to

man

age

risk

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

3Li

mit

ed

effe

ctiv

enes

sLo

w t

o m

oder

ate

Mos

tSi

gnifi

cant

gap

sSo

me

aspe

cts

inad

equa

te

Pro

gres

s an

d di

ssem

inat

e ne

w k

now

ledg

e ›

The

new

kno

wle

dge

crea

ted

is in

crem

enta

l in

char

acte

r, ie

it is

no

mor

e th

an a

logi

cal

exte

nsio

n of

wha

t is

alr

eady

kno

wn.

›Th

e di

ssem

inat

ion

met

hod(

s) a

re w

orka

ble

but

unlik

ely

to b

e ve

ry e

ffec

tive

.

Hav

e a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent

›Co

ntai

ns m

ost

of t

he e

xpec

ted

elem

ents

but

the

det

ails

or s

ome

of t

he e

lem

ents

are

lim

ited

.

›Si

gnifi

cant

gap

s in

sci

enti

fic

and

tech

nica

l ris

k m

anag

emen

t.

›Th

e re

sear

ch is

fit

for p

urpo

se in

som

e re

spec

ts b

ut t

he c

onne

ctio

n to

pur

pose

is n

ot

dem

onst

rate

d w

ell.

Are

am

biti

ous

in t

erm

s of

sci

enti

fic

risk

, tec

hnic

al ri

sk, n

ovel

ty o

r inn

ovat

ive

appr

oach

es ›

Scie

ntifi

c an

d/or

tec

hnic

al r

isk

is lo

w b

ut h

as a

ddit

iona

l ben

efit

that

cou

ld b

e ac

hiev

ed,

or

›Co

ntai

ns s

ome

elem

ents

of i

nnov

atio

n bu

t no

com

plet

ely

new

app

roac

hes.

Are

wel

l pos

itio

ned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t ›

Som

e re

cogn

itio

n of

rel

ated

res

earc

h or

exi

stin

g in

form

atio

n, b

ut t

his

has

only

par

tly

infl

uenc

ed t

he r

esea

rch

desi

gn.

›Si

gnifi

cant

gap

s in

link

s to

the

rel

evan

t re

sear

ch la

ndsc

ape.

if V

isio

n M

ātau

rang

a is

rele

vant

›Li

mit

ed r

esea

rch

that

will

unl

ock

Māo

ri in

nova

tion

thr

ough

the

sci

ence

.

›Th

ere

are

gaps

in k

ey V

isio

n M

ātau

rang

a el

emen

ts in

the

res

earc

h pl

an d

esig

n w

hich

su

gges

ts lo

w e

ffec

tive

ness

to

deliv

er n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

rele

vant

to

Māo

ri.

Skill

s m

ix ›

Som

e si

gnifi

cant

gap

s in

the

ski

lls,

know

ledg

e an

d re

sour

ces

need

ed t

o:

–de

liver

the

res

earc

h, s

cien

ce o

r te

chno

logy

, or r

elat

ed a

ctiv

itie

s.

–m

anag

e ri

sk.

if V

isio

n M

ātau

rang

a is

rele

vant

›So

me

sign

ifica

nt g

aps

in t

he c

apab

ility

or

capa

city

req

uire

d to

nav

igat

e an

d en

gage

w

ith

Māo

ri s

take

hold

ers

and

thei

r int

eres

ts

for t

he s

cien

ce.

›A

pat

chy

trac

k re

cord

wit

h M

āori

rel

evan

t to

th

e sc

ienc

e.


18

EXCE

LLEN

CE A

SSES

SMEN

T

ASSESSMENT CRITERIA

Scie

nce

Wei

ghti

ngs:

Sm

art

Idea

s 50

%, R

esea

rch

Prog

ram

mes

25%

Res

earc

h sh

ould

be

wel

l-de

sign

ed, i

nvol

ve ri

sk a

nd/o

r nov

elty

, and

leve

rage

add

itio

nal v

alue

fr

om w

ider

rese

arch

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to w

heth

er t

he p

ropo

sed

rese

arch

, sci

ence

or t

echn

olog

y or

rela

ted

acti

viti

es:

1.

prog

ress

and

dis

sem

inat

e ne

w k

now

ledg

e;2.

ha

ve a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent;

3.

are

ambi

tiou

s in

ter

ms

of s

cien

tifi

c ri

sk, t

echn

ical

risk

, nov

elty

and

/or i

nnov

ativ

e ap

proa

ches

; and

4.

are

wel

l-po

siti

oned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t.

Team

W

eigh

ting

s:

Smar

t Id

eas

15%

, Res

earc

h Pr

ogra

mm

es 2

5%

The

prop

osed

tea

m s

houl

d ha

ve t

he m

ix o

f co

mpl

emen

tary

ski

lls, k

now

ledg

e an

d re

sour

ces

to d

eliv

er t

he p

ropo

sed

rese

arch

, sci

ence

or

tec

hnol

ogy

or re

late

d ac

tivi

ties

, and

to

man

age

risk

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

4La

rgel

y ap

prop

riat

eLa

rgel

y sa

tisf

acto

ry

but

wit

h ga

ps o

r de

fici

enci

esM

oder

ate

Part

lyR

easo

nabl

eSi

gnifi

cant

in s

ome

as

pect

s

Pro

gres

s an

d di

ssem

inat

e ne

w k

now

ledg

e

›Th

e kn

owle

dge

crea

ted

is n

ew b

ut la

rgel

y an

ext

ensi

on o

f exi

stin

g kn

owle

dge

rath

er

than

bre

akin

g si

gnifi

cant

new

gro

und.

›Th

e di

ssem

inat

ion

met

hod(

s) a

re a

ppro

pria

te o

r lik

ely

to b

e m

oder

atel

y eff

ecti

ve.

Hav

e a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent

›Co

ntai

ns a

ll of

the

exp

ecte

d el

emen

ts b

ut in

som

e ca

ses

the

leve

l of d

etai

l is

not

of

a sa

tisf

acto

ry s

tand

ard.

›A

dequ

ate

scie

ntifi

c or

tec

hnic

al r

isk

man

agem

ent.

›Th

e re

sear

ch is

larg

ely

fit

for p

urpo

se.

Are

am

biti

ous

in t

erm

s of

sci

enti

fic

risk

, tec

hnic

al ri

sk, n

ovel

ty o

r inn

ovat

ive

appr

oach

es

›M

oder

ate

scie

ntifi

c an

d/or

tec

hnic

al r

isk

larg

ely

coun

terb

alan

ced

by t

he a

ddit

iona

l be

nefi

t th

at c

ould

be

achi

eved

, or

›Si

gnifi

cant

inno

vati

on in

the

pro

posa

l bas

ed m

ore

on n

ew a

pplic

atio

ns o

f exi

stin

g ap

proa

ches

tha

n ne

w a

ppro

ache

s.

Are

wel

l pos

itio

ned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t

›R

easo

nabl

e re

cogn

itio

n of

rel

ated

res

earc

h an

d ex

isti

ng k

now

ledg

e, le

vera

ged

wit

h so

me

gaps

in r

esea

rch

desi

gn.

›A

dequ

ate

links

to

the

rele

vant

res

earc

h la

ndsc

ape.

if V

isio

n M

ātau

rang

a is

rele

vant

›R

easo

nabl

e po

tent

ial f

or t

he r

esea

rch

to u

nloc

k M

āori

inno

vati

on t

hrou

gh t

he s

cien

ce.

›La

rgel

y ap

prop

riat

e V

isio

n M

ātau

rang

a el

emen

ts a

ppea

r in

the

rese

arch

pla

n de

sign

w

ith

som

e ga

ps o

r defi

cien

cies

incl

udin

g di

stin

ct r

isks

iden

tifi

cati

on a

nd m

itig

atio

n.

›Ex

isti

ng r

elev

ant

Māo

ri k

now

ledg

e ha

s be

en c

onsi

dere

d.

›N

ew k

now

ledg

e an

d in

telle

ctua

l pro

pert

y of

val

ue t

o M

āori

inte

rest

s is

del

iver

ed.

Skill

s m

ix:

›R

easo

nabl

e m

ix o

f ski

lls, k

now

ledg

e an

d re

sour

ces

need

ed t

o:

–de

liver

the

res

earc

h, s

cien

ce o

r te

chno

logy

, or r

elat

ed a

ctiv

itie

s.

–m

anag

e ri

sk.

if V

isio

n M

ātau

rang

a is

rele

vant

›M

oder

ate

capa

bilit

y an

d ca

paci

ty f

or

reas

onab

le e

ngag

emen

t w

ith

core

Māo

ri

stak

ehol

ders

for

the

sci

ence

; the

re a

re s

ome

gaps

/defi

cien

cies

.

›A

larg

ely

sati

sfac

tory

tra

ck r

ecor

d w

ith

Māo

ri

rele

vant

to

the

scie

nce.


19

EXCE

LLEN

CE A

SSES

SMEN

T

ASSESSMENT CRITERIA

Scie

nce

Wei

ghti

ngs:

Sm

art

Idea

s 50

%, R

esea

rch

Prog

ram

mes

25%

Res

earc

h sh

ould

be

wel

l-de

sign

ed, i

nvol

ve ri

sk a

nd/o

r nov

elty

, and

leve

rage

add

itio

nal v

alue

fr

om w

ider

rese

arch

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to w

heth

er t

he p

ropo

sed

rese

arch

, sci

ence

or t

echn

olog

y or

rela

ted

acti

viti

es:

1.

prog

ress

and

dis

sem

inat

e ne

w k

now

ledg

e;2.

ha

ve a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent;

3.

are

ambi

tiou

s in

ter

ms

of s

cien

tifi

c ri

sk, t

echn

ical

risk

, nov

elty

and

/or i

nnov

ativ

e ap

proa

ches

; and

4.

are

wel

l-po

siti

oned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t.

Team

W

eigh

ting

s:

Smar

t Id

eas

15%

, Res

earc

h Pr

ogra

mm

es 2

5%

The

prop

osed

tea

m s

houl

d ha

ve t

he m

ix o

f co

mpl

emen

tary

ski

lls, k

now

ledg

e an

d re

sour

ces

to d

eliv

er t

he p

ropo

sed

rese

arch

, sci

ence

or

tec

hnol

ogy

or re

late

d ac

tivi

ties

, and

to

man

age

risk

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

5A

ppro

pria

teCo

mpr

ehen

sive

Goo

d/ef

fect

ive

Mee

ts g

ood

prac

tice

st

anda

rds

Mod

erat

e to

hig

hM

ore

than

si

gnifi

cant

New

/nov

elN

o ga

ps

Pro

gres

s an

d di

ssem

inat

e ne

w k

now

ledg

e

›Th

e ne

w k

now

ledg

e cr

eate

d br

eaks

new

gro

und.

›Th

e di

ssem

inat

ion

met

hod(

s) a

re a

ppro

pria

te o

r lik

ely

to b

e eff

ecti

ve.

Hav

e a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent

›Co

ntai

ns a

ll of

the

exp

ecte

d el

emen

ts, m

eets

exp

ecte

d st

anda

rds

of g

ood

prac

tice

an

d sh

ould

be

deliv

ered

as

stat

ed.

›A

ppro

pria

te a

nd c

redi

ble

scie

ntifi

c or

tec

hnic

al r

isk

man

agem

ent.

›Th

e re

sear

ch is

fit

for p

urpo

se in

mos

t as

pect

s.

Are

am

biti

ous

in t

erm

s of

sci

enti

fic

risk

, tec

hnic

al ri

sk, n

ovel

ty o

r inn

ovat

ive

appr

oach

es

›M

oder

ate

scie

ntifi

c an

d/or

tec

hnic

al r

isk

coun

terb

alan

ced

by a

ddit

iona

l ben

efit,

or

›Is

sig

nifi

cant

ly in

nova

tive

and

con

tain

s ne

w a

ppro

ache

s, ie

the

y ha

ve n

ot b

een

prop

osed

bef

ore.

Are

wel

l pos

itio

ned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t

›Co

mpr

ehen

sive

rec

ogni

tion

of r

elat

ed r

esea

rch

and

exis

ting

kno

wle

dge

com

pete

ntly

le

vera

ged

in r

esea

rch

desi

gn.

›W

ell d

emon

stra

ted

links

to

the

rele

vant

res

earc

h la

ndsc

ape.

if V

isio

n M

ātau

rang

a is

rele

vant

›G

ood

pote

ntia

l for

the

res

earc

h ap

proa

ch t

o un

lock

Māo

ri in

nova

tion

thr

ough

th

e sc

ienc

e.

›Cr

edib

le V

isio

n M

ātau

rang

a el

emen

ts s

uppo

rt r

esea

rch

plan

des

ign.

›Ex

isti

ng r

elev

ant

Māo

ri k

now

ledg

e ha

s be

en in

corp

orat

ed.

›D

isti

nct

risk

s an

d se

nsit

ivit

ies

are

wel

l map

ped

and

mit

igat

ed.

›N

ew k

now

ledg

e an

d in

telle

ctua

l pro

pert

y of

str

ateg

ic v

alue

to

Māo

ri in

tere

sts

is d

eliv

ered

.

›So

me

likel

ihoo

d of

att

ract

ing

inte

rnat

iona

l att

enti

on.

Skill

s m

ix

›A

ppro

pria

te m

ix o

f ski

lls, k

now

ledg

e an

d re

sour

ces

need

ed t

o:

–de

liver

the

res

earc

h, s

cien

ce o

r te

chno

logy

, or r

elat

ed a

ctiv

itie

s.

–m

anag

e ri

sk.

if V

isio

n M

ātau

rang

a is

rele

vant

›M

oder

ate

to h

igh

leve

l of c

apab

ility

and

ca

paci

ty t

o na

viga

te a

nd e

ngag

e eff

ecti

vely

w

ith

Māo

ri s

take

hold

ers,

net

wor

ks, i

nter

est

grou

ps in

var

ious

sett

ings

rel

evan

t to

the

sc

ienc

e.

›A

str

ong

trac

k re

cord

of e

ngag

ing

effec

tive

ly

wit

h M

āori

rel

evan

t to

the

sci

ence

.


20

EXCE

LLEN

CE A

SSES

SMEN

T

ASSESSMENT CRITERIA

Scie

nce

Wei

ghti

ngs:

Sm

art

Idea

s 50

%, R

esea

rch

Prog

ram

mes

25%

Res

earc

h sh

ould

be

wel

l-de

sign

ed, i

nvol

ve ri

sk a

nd/o

r nov

elty

, and

leve

rage

add

itio

nal v

alue

fr

om w

ider

rese

arch

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to w

heth

er t

he p

ropo

sed

rese

arch

, sci

ence

or t

echn

olog

y or

rela

ted

acti

viti

es:

1.

prog

ress

and

dis

sem

inat

e ne

w k

now

ledg

e;2.

ha

ve a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent;

3.

are

ambi

tiou

s in

ter

ms

of s

cien

tifi

c ri

sk, t

echn

ical

risk

, nov

elty

and

/or i

nnov

ativ

e ap

proa

ches

; and

4.

are

wel

l-po

siti

oned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t.

Team

W

eigh

ting

s:

Smar

t Id

eas

15%

, Res

earc

h Pr

ogra

mm

es 2

5%

The

prop

osed

tea

m s

houl

d ha

ve t

he m

ix o

f co

mpl

emen

tary

ski

lls, k

now

ledg

e an

d re

sour

ces

to d

eliv

er t

he p

ropo

sed

rese

arch

, sci

ence

or

tec

hnol

ogy

or re

late

d ac

tivi

ties

, and

to

man

age

risk

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

6Co

mpr

ehen

sive

Exce

eds

best

pra

ctic

eIn

sigh

tful

Mar

kedl

ySi

gnifi

cant

Very

cre

dibl

eVe

ry g

ood/

effe

ctiv

eVe

ry h

igh/

hig

hly

Very

larg

e

Pro

gres

s an

d di

ssem

inat

e ne

w k

now

ledg

e

›Th

e ne

w k

now

ledg

e cr

eate

d is

pot

enti

ally

sig

nifi

cant

ly b

eyon

d th

e cu

rren

t st

ate

of

rese

arch

in t

he fi

eld.

›Th

e di

ssem

inat

ion

met

hod(

s) a

re v

ery

effec

tive

or l

ikel

y to

be

very

eff

ecti

ve.

Hav

e a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent

›Co

ntai

ns a

ll ex

pect

ed e

lem

ents

at

a le

vel o

f com

pete

nce

and

deta

il w

hich

exc

eeds

ex

pect

ed s

tand

ards

of g

ood

prac

tice

, and

giv

es c

onfi

denc

e th

at t

he p

lan

will

be

deliv

ered

as

sta

ted.

›Sc

ient

ific

or t

echn

ical

ris

k m

anag

emen

t is

like

ly t

o be

eff

ecti

ve.

›Th

e re

sear

ch is

ful

ly fi

t fo

r pur

pose

.

Are

am

biti

ous

in t

erm

s of

sci

enti

fic

risk

, tec

hnic

al ri

sk, n

ovel

ty o

r inn

ovat

ive

appr

oach

es

›H

igh

Scie

ntifi

c an

d/or

tec

hnic

al r

isk

coun

terb

alan

ced

by t

he a

ddit

iona

l ben

efit

that

cou

ld

be a

chie

ved,

or

›H

ighl

y in

nova

tive

wit

h m

arke

dly

new

idea

s an

d/or

app

roac

hes

likel

y to

att

ract

att

enti

on

from

oth

er r

esea

rche

rs a

nd p

oten

tial

end

use

rs.

Are

wel

l pos

itio

ned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t

›Co

mpr

ehen

sive

and

insi

ghtf

ul r

ecog

niti

on o

f rel

ated

res

earc

h an

d ex

isti

ng in

form

atio

n an

d th

is is

ext

rem

ely

wel

l lev

erag

ed in

res

earc

h de

sign

.

›Co

mpr

ehen

sive

link

s to

the

rel

evan

t re

sear

ch la

ndsc

ape.

if V

isio

n M

ātau

rang

a is

rele

vant

›Ve

ry g

ood

pote

ntia

l for

the

res

earc

h to

unl

ock

Māo

ri in

nova

tion

tho

ugh

the

scie

nce.

›Ve

ry c

redi

ble

and

com

preh

ensi

ve V

isio

n M

ātau

rang

a el

emen

ts s

uppo

rt a

nd e

nhan

ce t

he

rese

arch

pla

n.

›Ex

isti

ng r

elev

ant

Māo

ri k

now

ledg

e ha

s be

en f

ully

inco

rpor

ated

and

hel

ped

shap

e th

e re

sear

ch.

›D

isti

nct

risk

s an

d se

nsit

ivit

ies

are

very

wel

l map

ped

and

mit

igat

ed.

›N

ew k

now

ledg

e an

d in

telle

ctua

l pro

pert

y of

sig

nifi

cant

str

ateg

ic v

alue

to

Māo

ri in

tere

sts

is d

eliv

ered

.

›Ve

ry li

kely

to

attra

ct in

tern

atio

nal a

tten

tion

.

Skill

s m

ix

›Co

mpr

ehen

sive

mix

of s

kills

, kno

wle

dge

and

reso

urce

s ne

eded

to:

–de

liver

the

res

earc

h, s

cien

ce o

r tec

hnol

ogy,

or

rel

ated

act

ivit

ies.

–m

anag

e ri

sk.

if V

isio

n M

ātau

rang

a is

rele

vant

›H

igh

leve

l of c

apab

ility

and

cap

acit

y to

nav

igat

e M

āori

sta

keho

lder

s, n

etw

orks

, int

eres

t gr

oups

an

d th

eir e

xpec

tati

ons

rele

vant

to

the

scie

nce.

›Ve

ry s

tron

g tr

ack

reco

rd o

f hig

h va

lue

enga

gem

ent

wit

h M

āori

rel

evan

t to

the

sci

ence

.


21

EXCE

LLEN

CE A

SSES

SMEN

T

ASSESSMENT CRITERIA

Scie

nce

Wei

ghti

ngs:

Sm

art

Idea

s 50

%, R

esea

rch

Prog

ram

mes

25%

Res

earc

h sh

ould

be

wel

l-de

sign

ed, i

nvol

ve ri

sk a

nd/o

r nov

elty

, and

leve

rage

add

itio

nal v

alue

fr

om w

ider

rese

arch

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to w

heth

er t

he p

ropo

sed

rese

arch

, sci

ence

or t

echn

olog

y or

rela

ted

acti

viti

es:

1.

prog

ress

and

dis

sem

inat

e ne

w k

now

ledg

e;2.

ha

ve a

wel

l-de

sign

ed re

sear

ch p

lan

and

cred

ible

app

roac

h to

risk

man

agem

ent;

3.

are

ambi

tiou

s in

ter

ms

of s

cien

tifi

c ri

sk, t

echn

ical

risk

, nov

elty

and

/or i

nnov

ativ

e ap

proa

ches

; and

4.

are

wel

l-po

siti

oned

in t

he d

omes

tic

and

inte

rnat

iona

l res

earc

h co

ntex

t.

Team

W

eigh

ting

s:

Smar

t Id

eas

15%

, Res

earc

h Pr

ogra

mm

es 2

5%

The

prop

osed

tea

m s

houl

d ha

ve t

he m

ix o

f co

mpl

emen

tary

ski

lls, k

now

ledg

e an

d re

sour

ces

to d

eliv

er t

he p

ropo

sed

rese

arch

, sci

ence

or

tec

hnol

ogy

or re

late

d ac

tivi

ties

, and

to

man

age

risk

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

7(H

igh

qual

ity)

Exce

eds

best

pr

acti

ce

stan

dard

sEx

celle

ntEx

empl

ary

Inte

rnat

iona

lly

sign

ifica

ntO

utst

andi

ngVe

ry h

igh

Very

/ext

rem

ely

larg

eW

holly

app

ropr

iate

Who

lly c

redi

ble

Pro

gres

s an

d di

ssem

inat

e ne

w k

now

ledg

e ›

The

new

kno

wle

dge

crea

ted

is p

oten

tial

ly o

f int

erna

tion

al s

igni

fica

nce

and

likel

y to

att

ract

inte

rest

acc

ordi

ngly

. ›

The

diss

emin

atio

n m

etho

d(s)

are

who

lly a

ppro

pria

te o

r lik

ely

to b

e ex

trem

ely

effec

tive

. ›

Hav

e a

wel

l-de

sign

ed r

esea

rch

plan

and

cre

dibl

e ap

proa

ch t

o ri

sk m

anag

emen

t ›

Cont

ains

all

the

expe

cted

ele

men

ts, t

he a

ppro

ach

and

deta

il is

exe

mpl

ary

and

give

s hi

gh

confi

denc

e th

at t

he r

esea

rch

will

be

deliv

ered

exc

elle

ntly

and

as

plan

ned.

›Sc

ient

ific

or t

echn

ical

ris

k m

anag

emen

t is

ver

y lik

ely

to b

e eff

ecti

ve.

›Th

e re

sear

ch is

ful

ly fi

t fo

r pur

pose

.A

re a

mbi

tiou

s in

ter

ms

of s

cien

tifi

c ri

sk, t

echn

ical

risk

, nov

elty

or i

nnov

ativ

e ap

proa

ches

›H

igh

scie

ntifi

c an

d/or

tec

hnic

al r

isk

subs

tant

ially

exc

eede

d by

the

add

itio

nal b

enefi

t th

at c

ould

be

achi

eved

, or

›O

utst

andi

ngly

inno

vati

ve w

ith

new

gro

und

brea

king

app

roac

hes

likel

y to

att

ract

in

tern

atio

nal a

tten

tion

. A

re w

ell p

osit

ione

d in

the

dom

esti

c an

d in

tern

atio

nal r

esea

rch

cont

ext

›O

utst

andi

ng r

ecog

niti

on o

f rel

ated

res

earc

h an

d ex

isti

ng in

form

atio

n. ›

Res

earc

h de

sign

tak

es f

ull a

dvan

tage

of t

he o

ppor

tuni

ties

for

leve

rage

. ›

Out

stan

ding

link

s to

the

rel

evan

t re

sear

ch la

ndsc

ape.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

st p

oten

tial

for

the

res

earc

h to

unl

ock

Māo

ri in

nova

tion

rel

evan

t to

the

sci

ence

. ›

Who

lly c

redi

ble

Vis

ion

Māt

aura

nga

elem

ents

are

fun

dam

enta

l to

the

rese

arch

pla

n de

sign

to

an e

xem

plar

y st

anda

rd.

›Ex

isti

ng r

elev

ant

Māo

ri k

now

ledg

e ce

ntra

l to

the

rese

arch

. ›

Very

wel

l map

ped

and

mit

igat

ed r

isks

and

sen

siti

viti

es.

›N

ew k

now

ledg

e an

d in

telle

ctua

l pro

pert

y of

ver

y si

gnifi

cant

str

ateg

ic v

alue

to

Māo

ri

inte

rest

s is

del

iver

ed o

n a

larg

e sc

ale.

›

Extr

emel

y lik

ely

to a

ttra

ct in

tern

atio

nal a

tten

tion

.

Skill

s m

ix

›Ex

empl

ary

mix

of s

kills

and

kno

wle

dge,

and

ex

celle

nt r

esou

rces

nee

ded

to:

–de

liver

the

pro

pose

d re

sear

ch, s

cien

ce o

r te

chno

logy

, or r

elat

ed a

ctiv

itie

s.

–m

anag

e ri

sk.

if V

isio

n M

ātau

rang

a is

rele

vant

›O

utst

andi

ng c

apab

ility

and

cap

acit

y to

ex

pert

ly n

avig

ate

sign

ifica

nt a

nd d

iver

se

Māo

ri s

take

hold

ers,

net

wor

ks, i

nter

est

grou

ps a

nd t

heir

exp

ecta

tion

s of

the

sci

ence

.

›A

n ex

trem

ely

stro

ng t

rack

rec

ord

of h

igh

valu

e en

gage

men

t w

ith

Māo

ri r

elev

ant

to t

he

scie

nce.


22

Impact Assessment

Points to Note

To assess impact, read and understand the points below to note and use the scoring guide on the following pages to help form your assessment and determine a score.

Please note that there are separate scoring grids for Smart Ideas Full Proposals (pages 25-31), Research Programmes – Protect and add value (pages 32-38), and Research Programmes – Transform (pages 39-45).

Consider Impact in the context of the breadth/extent of the proposed benefits, which may include aspects that go beyond the direct benefits associated with the output of the research.These can include: › Benefits across multiple

sectors

› Faster uptake of results in multiple areas

› Improved state of the environment

› Potential to scale up regional initiatives to nation-wide implementation

› Consistency of standards or approaches for regulators

› Improved social well-being

› Better use of resources

› Preservation or enhancement of cultural heritage and values

› More efficient processes

› Upskilling industry

› Support for emerging new sectors

› Creation of research platform which has additional utility for new users

› Job creation eg via new start-ups

› Development of a cluster of businesses

› Multinational business attraction to or retention in New Zealand

› Protecting existing markets, or impact on New Zealand’s reputation

› Diversification of the economy.

Specific Points to Note for Benefit to New ZealandScale Size expressed in a way which sensibly reflects the end

use area. For example: › an economic development project may express

scale in financial terms or degree of penetration of markets.

› social and environmental projects may use the level of impact on or significance for, reducing environmental effects, resolving social issues, and/or developing more effective policies, etc.

In assessing estimates of scale, apply the principle of additionality: › value over and above that which would be

expected to occur anyway through routine research investment by existing, scientifically competent businesses or user organisations.

› value which exceeds the cost of doing the research.

Extent The coverage of the benefits, ie irrespective of scale, whether benefits are concentrated in a narrow area (eg individual organisations) or are of widespread potential impact. Given a particular scale of impact, score more highly proposals of widespread coverage than those of narrow impact.

Consider the extent to which proposals will enable: › potential impact for New Zealand

› more investment in research with higher (impact)

› risk and longer term horizons to impact (consider impact risk in the research separately from scientific/technical risk which is included in assessing Excellence)

› better leveraging of wider existing investment and knowledge in New Zealand and overseas

› greater effect to be given to Vision Mātauranga.


23Specific Points to Note for Implementation Pathway(s)

Credible implementation pathway

Sufficient end or next-user information to confirm that the analysis takes account of the characteristics of the area in which it will be used and is not simply a generic description. There needs to be enough detail so that pathways can be traced, and the role of each participant/end user is clear.

The implementation pathway is expected to be appropriate to the state of the sector or the stage of the research, eg if the research is:

› At a later stage of development, a detailed description of pathway towards implementation is expected as is more end-user involvement.

› At an earlier stage of development, next users would be more relevant, and a line of sight towards implementation should be visible, but not to the same extent as with more applied research.

In both cases, there should be some indication that pathways have been given serious thought and that the implementation is not limited to a ‘one size fits all’ approach. The impact delivery plan needs to contain the information referred to above. The information should be authoritative (derived from or built on credible and reliable sources), set out in a logical pattern and supported by good quality analysis and explanation. This is particularly important for Research Programmes proposals submitted under the ‘Transform’ impact category.

Strength of the relationships

The provision of co-funding in some cases may reflect the level of end user or stakeholder commitment. In others co-funding may not be a relevant factor (co-funding is not a requirement for proposals).

Measure against a range of parameters which include the: › length of time over which the relationship has

been developed

› quality of the relationship (eg deep seated or superficial)

› level of commitment of the stakeholders/end users/beneficiaries. To some extent, the level of commitment can be gauged from:

– the level of user-involvement in steering the research (eg via an advisory group),

– commitment either to specific actions or to providing various types of assistance.


24Proposals submitted in the Transform category should meet the following:

› Immediate Impact: the new, or changed, technology, process, practice, business model or policy, that is enabled by the research, a radical change and/or a leap in performance versus the status quo; and

› Ultimate Impact: the research ultimately leads to a transformational change within the New Zealand economy, society or environment by, for example, creating or disrupting economic activities, creating a new sustainable resource use or eliminating environmental damage, or changing the character of risks and opportunities faced by individuals and society

Proposals that do not meet both criteria above should be named under the “Protect and add value” category.

For the avoidance of doubt, the focus of assessment for proposals in the “Transform” category is on the nature rather than the size of the impact. Evidence of a large impact will not be taken as conclusive evidence of a transformational impact.

Specific Points to Note for Implementation Pathway(s), Research Programmes only

Relevant The end users need to credibly link to the implementation of the projected impacts.

For proposals submitted under the Protect and add value impact category, if there is no relevant link, the strength of the relationship is irrelevant and the score should be marked down accordingly.

For proposals submitted under the Transform impact category, in a new industry with no existing end users, then the envisioned end users should be described and what types of relationships would need to be developed.

Team impact track record

Where the applicant describes the mix of complementary skills and experience within the team, relevant to achieving impact. Includes team members experience in applying research findings commercially or non-commercially leading to economic, social and environmental impact. It builds on the information provided in the CVs and could include details of ‘spin-off’ companies, licensing intellectual property, applications of knowledge in policy, social to environmental domains, development and commercialisation of software and technical products, etc.


25

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26

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27

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ifica

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pect

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pa

thw

ay a

ppea

r som

ewha

t in

adeq

uate

.


28

IMPA

CT A

SSES

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T –

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ng b

road

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efits

to

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land

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cono

mic

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an o

r na

tura

l cap

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. Ass

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ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

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the

scal

e an

d ex

tent

of p

oten

tial

ben

efits

from

the

pro

pose

d re

sear

ch, s

cien

ce o

r te

chno

logy

or r

elat

ed a

ctiv

itie

s; a

nd2.

th

e R

elev

ance

of B

enefi

ts a

nd a

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iona

l val

ue d

eliv

ered

to

New

Zea

land

.

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LEM

ENTA

TIO

N P

ATH

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Wei

ghte

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%

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ty o

f ind

icat

ive

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emen

tati

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way

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liver

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t to

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le fi

rm o

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ific

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ct t

o m

ore

than

one

are

a of

str

ateg

ic im

port

ance

.

›Th

ey m

ay h

ave

som

e im

pact

s up

on a

larg

e se

ctor

or u

pon

a se

ctor

wit

h m

odes

t po

tent

ial f

or g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Mod

erat

ely

rele

vant

and

som

e po

tent

ial s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of s

trat

egic

im

port

ance

to

New

Zea

land

.

›M

odes

t in

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e m

oder

atel

y re

leva

nt t

o M

āori

, ach

ievi

ng s

ome,

re

ason

able

, or m

odes

t ec

onom

ic a

nd/o

r soc

ial a

nd/o

r env

iron

men

tal b

enefi

ts.

›M

āori

con

trib

utio

ns a

re v

alue

d to

som

e de

gree

and

hav

e so

me

invo

lvem

ent

in t

he

deliv

ery

of b

enefi

ts.

›So

me

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

Impl

emen

tati

on p

athw

ays

›Pa

rtia

lly c

redi

ble.

›H

as g

aps

in t

he s

uppo

rtin

g in

form

atio

n th

at

leav

es k

ey q

uest

ions

una

nsw

ered

.

›N

ot li

mit

ed t

o a

sing

le fi

rm o

r end

use

r.

if V

isio

n M

ātau

rang

a is

rele

vant

›Sa

tisf

acto

ry a

rran

gem

ents

for

eng

agem

ent

wit

h ob

viou

s M

āori

sta

keho

lder

s.

›So

me

dist

inct

ris

ks a

nd s

ensi

tivi

ty

man

agem

ent

is in

pla

ce.

›Sa

tisf

acto

ry M

āori

par

tici

pati

on in

the

re

sear

ch is

evi

dent

.

›O

bvio

us r

elev

ant

tika

nga

(cus

tom

s an

d tr

adit

ions

) of M

āori

has

bee

n sa

tisf

acto

rily

ga

uged

and

des

crib

ed.

›Th

e IP

agr

eem

ents

in p

lace

res

pond

to

any

indi

geno

us k

now

ledg

e m

anag

emen

t is

sues

/re

quir

emen

ts if

rai

sed.


29

IMPA

CT A

SSES

SMEN

T –

SMA

RT

IDEA

S FU

LL P

RO

PO

SALS

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

scal

e an

d ex

tent

of p

oten

tial

ben

efits

from

the

pro

pose

d re

sear

ch, s

cien

ce o

r te

chno

logy

or r

elat

ed a

ctiv

itie

s; a

nd2.

th

e R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 10

%

The

cred

ibili

ty o

f ind

icat

ive

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

t to

N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d-us

er, a

nd w

hich

may

be

unce

rtai

n in

nat

ure.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

5A

ppro

pria

teCr

edib

leG

ood

confi

denc

eLa

rge

Rel

evan

tSi

gnifi

cant

Siza

ble

Subs

tant

ial

Wel

l exp

lain

ed

Scal

e an

d ex

tent

of

bene

fits

›

Pot

enti

al d

irec

t be

nefi

ts a

re la

rge,

num

erou

s, o

f hig

h va

lue,

and

may

be

wid

ely

dist

ribu

ted

or o

f spe

cifi

c im

pact

to

mor

e th

an o

ne a

reas

of s

trat

egic

impo

rtan

ce.

›Th

ey m

ay h

ave

sign

ifica

nt im

pact

s up

on a

larg

e se

ctor

or u

pon

a se

ctor

wit

h m

arke

d po

tent

ial f

or g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Rel

evan

t an

d su

bsta

ntia

l pot

enti

al s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of s

trat

egic

im

port

ance

to

New

Zea

land

.

›Su

bsta

ntia

l ind

irec

t an

d ad

diti

onal

val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re

dire

ctio

ns o

f inv

estm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e re

leva

nt t

o M

āori

, ach

ievi

ng la

rge,

sig

nifi

cant

, or

spec

ific

econ

omic

and

/or s

ocia

l and

/or e

nvir

onm

enta

l ben

efits

.

›M

āori

con

trib

utio

ns a

re v

alue

d an

d ar

e ce

ntra

l to

the

deliv

ery

of b

enefi

ts.

›Si

gnifi

cant

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

Impl

emen

tati

on p

athw

ays

›Cr

edib

le, fi

t fo

r pur

pose

.

›In

dica

tive

sup

port

ing

info

rmat

ion

is

sati

sfac

tory

in s

cope

and

com

pete

nce.

›N

ot li

mit

ed t

o a

sing

le fi

rm o

r end

use

r.

if V

isio

n M

ātau

rang

a is

rele

vant

›In

form

ed b

y co

mpr

ehen

sive

eng

agem

ent

wit

h ke

y M

āori

sta

keho

lder

s w

ho a

re

part

icip

atin

g in

, and

con

trib

utio

ns t

o,

the

rese

arch

and

co

-dev

elop

men

t of

the

pr

opos

al.

›D

isti

nct

risk

s an

d se

nsit

ivit

ies

are

wel

l m

appe

d an

d m

anag

ed.

›Th

e ro

le o

f (cu

stom

s an

d tr

adit

ions

) has

bee

n id

enti

fied

.

›Cr

edib

le IP

agr

eem

ents

are

in p

lace

and

re

spon

d to

iden

tifi

ed in

dige

nous

kno

wle

dge

man

agem

ent

requ

irem

ents

.


30

IMPA

CT A

SSES

SMEN

T –

SMA

RT

IDEA

S FU

LL P

RO

PO

SALS

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

scal

e an

d ex

tent

of p

oten

tial

ben

efits

from

the

pro

pose

d re

sear

ch, s

cien

ce o

r te

chno

logy

or r

elat

ed a

ctiv

itie

s; a

nd2.

th

e R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 10

%

The

cred

ibili

ty o

f ind

icat

ive

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

t to

N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d-us

er, a

nd w

hich

may

be

unce

rtai

n in

nat

ure.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

6Co

mpr

ehen

sive

Cred

ible

Enti

rely

Exte

nsiv

eH

igh

confi

denc

eR

elev

ant

Very

larg

eVe

ry s

ubst

anti

alW

ell

Scal

e an

d ex

tent

of

bene

fits

›

Pot

enti

al d

irec

t be

nefi

ts a

re o

f ver

y la

rge,

sub

stan

tial

, of h

igh

valu

e, a

nd m

ay b

e ve

ry

wid

ely

dist

ribu

ted

or o

f spe

cifi

c im

pact

to

man

y ar

eas

of s

trat

egic

impo

rtan

ce.

›Th

ey m

ay h

ave

very

sub

stan

tial

impa

cts

able

to

be d

eliv

ered

for

a la

rge

sect

or o

r a

sect

or w

ith

mar

ked

exte

nsiv

e po

tent

ial f

or g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue

›Ve

ry r

elev

ant

and

very

sub

stan

tial

pot

enti

al s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of

stra

tegi

c im

port

ance

to

New

Zea

land

.

›Ve

ry s

ubst

anti

al in

dire

ct a

nd a

ddit

iona

l val

ue is

gen

erat

ed b

y th

e re

sear

ch.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e ve

ry r

elev

ant

to M

āori

, ach

ievi

ng v

ery

larg

e, v

ery

sign

ifica

nt, o

r spe

cifi

c an

d hi

ghly

val

ued

econ

omic

and

/or s

ocia

l and

/or e

nvir

onm

enta

l be

nefi

ts.

›M

āori

con

trib

utio

ns a

re s

tron

gly

valu

ed a

nd a

re v

ery

cent

ral t

o th

e de

liver

y of

ben

efits

.

›Ve

ry s

ubst

anti

al n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

›B

enefi

ts o

r kno

wle

dge

gain

ed w

ill b

e sc

aled

up

or t

rans

ferr

ed t

o ot

her l

ocat

ions

in

New

Zea

land

, res

pect

ivel

y.

Impl

emen

tati

on p

athw

ays

›O

f a h

igh

stan

dard

, ver

y cr

edib

le a

nd fi

t fo

r pu

rpos

e.

›Th

e su

ppor

ting

info

rmat

ion

is c

redi

ble

in

scop

e an

d co

mpe

tenc

e.

›N

ot li

mit

ed t

o a

sing

le fi

rm o

r end

use

r.

if V

isio

n M

ātau

rang

a is

rele

vant

›In

form

ed b

y ve

ry c

redi

ble

enga

gem

ent

wit

h di

vers

e M

āori

sta

keho

lder

s w

hich

res

ults

in

mea

ning

ful M

āori

par

tici

pati

on in

, and

co

ntri

buti

ons

to, t

he r

esea

rch

and

co-

deve

lopm

ent

of t

he p

ropo

sal.

›D

isti

nct

risk

s an

d se

nsit

ivit

ies

are

effec

tive

ly

map

ped

and

man

aged

.

›A

ppro

pria

te t

ikan

ga (c

usto

ms

and

trad

itio

ns)

has

been

iden

tifi

ed a

nd r

espo

nsib

iliti

es

allo

cate

d.

›IP

agr

eem

ents

alig

n st

rong

ly t

o in

dige

nous

be

st p

ract

ice

know

ledg

e m

anag

emen

t.


31

IMPA

CT A

SSES

SMEN

T –

SMA

RT

IDEA

S FU

LL P

RO

PO

SALS

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

scal

e an

d ex

tent

of p

oten

tial

ben

efits

from

the

pro

pose

d re

sear

ch, s

cien

ce o

r te

chno

logy

or r

elat

ed a

ctiv

itie

s; a

nd2.

th

e R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 10

%

The

cred

ibili

ty o

f ind

icat

ive

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

t to

N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d-us

er, a

nd w

hich

may

be

unce

rtai

n in

nat

ure.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

7(H

igh

qual

ity)

Com

plet

ely

Com

preh

ensi

veEx

empl

ary

Extr

emel

y re

leva

ntEx

trem

ely

sign

ifica

ntH

ighl

y cr

edib

leH

ighl

y re

leva

ntIm

pres

sive

Out

stan

ding

Tota

l con

fide

nce

Very

larg

eVe

ry w

ell

Scal

e an

d ex

tent

of

bene

fits

›

Pot

enti

al d

irec

t be

nefi

ts a

re e

xtre

mel

y re

leva

nt, v

ery

high

in n

umbe

r, of

ext

rem

ely

high

va

lue,

and

com

preh

ensi

vely

dis

trib

uted

or o

f spe

cifi

c im

pact

to

all a

reas

of s

trat

egic

im

port

ance

.

›Th

ey m

ay h

ave

extr

emel

y si

gnifi

cant

impa

cts

upon

a la

rge

sect

or o

r upo

n a

sect

or w

ith

impr

essi

ve p

oten

tial

for

gro

wth

.

Rel

evan

ce a

nd a

ddit

iona

l val

ue

›Co

mpl

ete

rele

vanc

e an

d ex

trem

ely

subs

tant

ial p

oten

tial

sig

nifi

canc

e to

one

or m

ore

area

s of

str

ateg

ic im

port

ance

to

New

Zea

land

.

›Ex

trem

ely

sign

ifica

nt in

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›

The

bene

fits

of t

he r

esea

rch

are

extr

emel

y re

leva

nt t

o M

āori

, ach

ievi

ng o

utst

andi

ng,

impr

essi

ve, o

r spe

cifi

c an

d ex

trem

ely

valu

able

eco

nom

ic a

nd/o

r soc

ial a

nd/o

r en

viro

nmen

tal b

enefi

ts.

›M

āori

con

trib

utio

ns a

re f

ully

val

ued

and

are

com

plet

ely

incl

uded

in t

he d

eliv

ery

of

bene

fits

.

›Ve

ry la

rge

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

›B

enefi

ts o

r kno

wle

dge

gain

ed w

ill b

e sc

aled

up

or t

rans

ferr

ed t

hrou

ghou

t N

ew Z

eala

nd,

resp

ecti

vely

.

Impl

emen

tati

on p

athw

ays

›O

f an

extr

emel

y hi

gh s

tand

ard,

com

plet

ely

cred

ible

, and

fit

for p

urpo

se.

›Th

e su

ppor

ting

info

rmat

ion

is e

xem

plar

y in

sc

ope

and

com

pete

nce.

›N

ot li

mit

ed t

o a

sing

le fi

rm o

r end

use

r.

if V

isio

n M

ātau

rang

a is

rele

vant

› In

form

ed b

y ex

empl

ary

enga

gem

ent

wit

h di

vers

e M

āori

sta

keho

lder

s w

hich

op

tim

ises

sig

nifi

cant

and

mea

ning

ful M

āori

pa

rtic

ipat

ion

in, a

nd c

ontr

ibut

ions

to,

th

e re

sear

ch a

nd c

o de

velo

pmen

t of

the

pr

opos

al.

›D

isti

nct

risk

s an

d se

nsit

ivit

ies

are

wel

l m

appe

d an

d m

anag

ed.

›A

ppro

pria

te t

ikan

ga (c

usto

ms

and

trad

itio

ns)

has

been

iden

tifi

ed a

nd r

espo

nsib

iliti

es

allo

cate

d.

›Ex

empl

ary

IP a

gree

men

ts m

odel

ling

inte

rnat

iona

l ind

igen

ous

best

pra

ctic

e kn

owle

dge

man

agem

ent

are

in p

lace

.


32

Impa

ct A

sses

smen

t Sc

orin

g G

uide

R

esea

rch

Pro

gram

mes

– P

rote

ct a

nd A

dd V

alue

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– P

RO

TECT

AN

D A

DD

VA

LUE

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

soc

iety

as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an

or n

atur

al c

apit

al. A

sses

smen

t m

ust

have

par

ticu

lar r

egar

d to

:1.

th

e sc

ale

and

exte

nt o

f pot

enti

al b

enefi

ts fr

om t

he p

ropo

sed

rese

arch

, sci

ence

or

tech

nolo

gy o

r rel

ated

act

ivit

ies;

and

2.

the

Rel

evan

ce o

f Ben

efits

and

add

itio

nal v

alue

del

iver

ed t

o N

ew Z

eala

nd.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

The

cred

ibili

ty o

f im

plem

enta

tion

pat

hway

(s)

to d

eliv

er p

ublic

ben

efits

to

New

Zea

land

, no

t lim

ited

to

a si

ngle

firm

or e

nd u

ser,

and

the

stre

ngth

of r

elat

ions

hips

wit

h re

leva

nt

end

user

s, b

enefi

ciar

ies,

or s

take

hold

ers;

and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct

area

s.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

1(L

ow q

ualit

y)

Impl

ausi

ble

Neg

ligib

leN

ot c

redi

ble

Not

pre

sent

Not

rele

vant

Unl

ikel

yU

nrel

iabl

eVe

ry p

oor

Scal

e an

d ex

tent

of

bene

fits

›P

oten

tial

dir

ect

and

indi

rect

ben

efits

are

neg

ligib

le a

nd/o

r not

cre

dibl

e an

d un

likel

y to

be

wid

ely

dist

ribu

ted

or o

f no

spec

ific

impa

ct t

o m

ore

than

one

are

a.

›Th

ey m

ay h

ave

negl

igib

le im

pact

s up

on a

larg

e se

ctor

or u

pon

a se

ctor

wit

h ne

glig

ible

po

tent

ial f

or g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Not

rel

evan

t an

d of

neg

ligib

le p

oten

tial

sig

nifi

canc

e to

one

or m

ore

area

s of

str

ateg

ic

impo

rtan

ce t

o N

ew Z

eala

nd.

›N

eglig

ible

indi

rect

and

add

itio

nal v

alue

in a

reas

alig

ned

wit

h on

e or

mor

e fu

ture

di

rect

ions

of i

nves

tmen

t.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ha

ve n

o re

leva

nce

to M

āori

.

›Th

ere

is n

o cl

arit

y as

to

whe

ther

any

eco

nom

ic a

nd/o

r soc

ial a

nd/o

r env

iron

men

tal

bene

fits

will

be

real

ised

by

any

Māo

ri in

tere

sts

or if

Māo

ri c

ontr

ibut

ions

to

the

scie

nce

are

iden

tifi

ed a

nd v

alue

d.

›N

o or

neg

ligib

le n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

Impl

emen

tati

on p

athw

ays

›N

o su

ppor

ting

impa

ct p

lan.

›Li

mit

ed t

o a

sing

le fi

rm o

r end

use

r.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›Ve

ry p

oor m

ix o

f ski

lls a

nd e

xper

ienc

e,

wit

h ne

glig

ible

pot

enti

al f

or a

chie

ving

th

e pr

opos

ed o

utco

mes

and

impa

ct.

if V

isio

n M

ātau

rang

a is

rele

vant

›N

o cr

edib

le e

ngag

emen

t w

ith

Māo

ri.

›V

isio

n M

ātau

rang

a is

not

pre

sent

.


33

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– P

RO

TECT

AN

D A

DD

VA

LUE

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

soc

iety

as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an

or n

atur

al c

apit

al. A

sses

smen

t m

ust

have

par

ticu

lar r

egar

d to

:1.

th

e sc

ale

and

exte

nt o

f pot

enti

al b

enefi

ts fr

om t

he p

ropo

sed

rese

arch

, sci

ence

or

tech

nolo

gy o

r rel

ated

act

ivit

ies;

and

2.

the

Rel

evan

ce o

f Ben

efits

and

add

itio

nal v

alue

del

iver

ed t

o N

ew Z

eala

nd.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

The

cred

ibili

ty o

f im

plem

enta

tion

pat

hway

(s)

to d

eliv

er p

ublic

ben

efits

to

New

Zea

land

, no

t lim

ited

to

a si

ngle

firm

or e

nd u

ser,

and

the

stre

ngth

of r

elat

ions

hips

wit

h re

leva

nt

end

user

s, b

enefi

ciar

ies,

or s

take

hold

ers;

and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct

area

s.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

2In

suffi

cien

tLi

ttle

Min

orN

arro

wN

ot s

igni

fica

ntPo

orU

ncon

vinc

ing

Uns

atis

fact

ory

Very

lim

ited

Very

low

Scal

e an

d ex

tent

of

bene

fits

›P

oten

tial

dir

ect

and

indi

rect

ben

efits

are

ver

y lo

w, a

nd m

ay b

e na

rrow

ly d

istr

ibut

ed o

r of

very

lim

ited

spe

cifi

c im

pact

to

mor

e th

an o

ne a

rea.

›Th

ey m

ay h

ave

very

lim

ited

impa

cts

upon

a la

rge

sect

or o

r upo

n a

sect

or w

ith

unco

nvin

cing

pot

enti

al f

or g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Very

lim

ited

rel

evan

ce a

nd li

ttle

sig

nifi

canc

e to

one

or m

ore

area

s of

str

ateg

ic

impo

rtan

ce t

o N

ew Z

eala

nd.

›P

oor i

ndir

ect

and

addi

tion

al v

alue

in a

reas

alig

ned

wit

h on

e or

mor

e fu

ture

dir

ecti

ons

of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ha

ve li

ttle

rel

evan

ce t

o M

āori

.

›Th

ere

is v

ery

limit

ed c

lari

ty a

s to

whe

ther

if a

ny e

cono

mic

and

/or s

ocia

l and

/or

envi

ronm

enta

l ben

efits

will

be

real

ised

by

any

Māo

ri in

tere

sts

or if

Māo

ri c

ontr

ibut

ions

to

the

sci

ence

are

iden

tifi

ed a

nd v

alue

d.

›Ve

ry li

mit

ed n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

Impl

emen

tati

on p

athw

ays

›Th

e su

ppor

ting

info

rmat

ion

is v

ery

limit

ed

and

larg

ely

unsa

tisf

acto

ry.

›Li

kely

to

be li

mit

ed t

o a

sing

le fi

rm o

r end

us

er.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

poo

r mix

of s

kills

and

exp

erie

nce

wit

h a

very

lim

ited

pot

enti

al o

f ach

ievi

ng t

he

prop

osed

out

com

es a

nd im

pact

.

if V

isio

n M

ātau

rang

a is

rele

vant

›Ve

ry li

mit

ed, i

nsuffi

cien

t ar

rang

emen

ts f

or

enga

gem

ent

wit

h M

āori

sta

keho

lder

s.


34

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– P

RO

TECT

AN

D A

DD

VA

LUE

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

soc

iety

as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an

or n

atur

al c

apit

al. A

sses

smen

t m

ust

have

par

ticu

lar r

egar

d to

:1.

th

e sc

ale

and

exte

nt o

f pot

enti

al b

enefi

ts fr

om t

he p

ropo

sed

rese

arch

, sci

ence

or

tech

nolo

gy o

r rel

ated

act

ivit

ies;

and

2.

the

Rel

evan

ce o

f Ben

efits

and

add

itio

nal v

alue

del

iver

ed t

o N

ew Z

eala

nd.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

The

cred

ibili

ty o

f im

plem

enta

tion

pat

hway

(s)

to d

eliv

er p

ublic

ben

efits

to

New

Zea

land

, no

t lim

ited

to

a si

ngle

firm

or e

nd u

ser,

and

the

stre

ngth

of r

elat

ions

hips

wit

h re

leva

nt

end

user

s, b

enefi

ciar

ies,

or s

take

hold

ers;

and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct

area

s.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

3Li

mit

edLo

wPa

rtia

llySo

me

Scal

e an

d ex

tent

of

bene

fits

›P

oten

tial

dir

ect

and

indi

rect

ben

efits

are

low

, and

may

not

be

wid

ely

dist

ribu

ted

or o

f lim

ited

spe

cifi

c im

pact

to

mor

e th

an o

ne a

rea.

›Th

ey m

ay h

ave

som

e im

pact

s up

on a

larg

e se

ctor

or u

pon

a se

ctor

wit

h lim

ited

pot

enti

al

for g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Som

e re

leva

nce

and

limit

ed s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of s

trat

egic

impo

rtan

ce

to N

ew Z

eala

nd.

›Lo

w in

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ha

ve lo

w t

o m

oder

ate

rele

vanc

e to

Māo

ri.

›Th

ere

is li

mit

ed c

lari

ty a

s to

whe

ther

any

eco

nom

ic a

nd/o

r soc

ial a

nd/o

r env

iron

men

tal

bene

fits

will

be

real

ised

by

any

Māo

ri in

tere

sts

or if

Māo

ri c

ontr

ibut

ions

to

the

scie

nce

are

iden

tifi

ed a

nd v

alue

d.

›Li

mit

ed n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

Impl

emen

tati

on p

athw

ays

›Th

e su

ppor

ting

info

rmat

ion

is li

mit

ed a

nd

not

very

con

vinc

ing.

›M

ay b

e lim

ited

to

a si

ngle

firm

or e

nd u

ser.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

lim

ited

mix

of s

kills

and

exp

erie

nce

wit

h a

limit

ed li

kelih

ood

of a

chie

ving

the

pro

pose

d ou

tcom

es a

nd im

pact

.

if V

isio

n M

ātau

rang

a is

rele

vant

›So

me

sign

ifica

nt g

aps

in a

rran

gem

ents

for

en

gage

men

t w

ith

Māo

ri s

take

hold

ers.

›Th

e V

isio

n M

ātau

rang

a re

late

d as

pect

s of

the

pa

thw

ay a

ppea

r som

ewha

t in

adeq

uate

.


35

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– P

RO

TECT

AN

D A

DD

VA

LUE

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

soc

iety

as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an

or n

atur

al c

apit

al. A

sses

smen

t m

ust

have

par

ticu

lar r

egar

d to

:1.

th

e sc

ale

and

exte

nt o

f pot

enti

al b

enefi

ts fr

om t

he p

ropo

sed

rese

arch

, sci

ence

or

tech

nolo

gy o

r rel

ated

act

ivit

ies;

and

2.

the

Rel

evan

ce o

f Ben

efits

and

add

itio

nal v

alue

del

iver

ed t

o N

ew Z

eala

nd.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

The

cred

ibili

ty o

f im

plem

enta

tion

pat

hway

(s)

to d

eliv

er p

ublic

ben

efits

to

New

Zea

land

, no

t lim

ited

to

a si

ngle

firm

or e

nd u

ser,

and

the

stre

ngth

of r

elat

ions

hips

wit

h re

leva

nt

end

user

s, b

enefi

ciar

ies,

or s

take

hold

ers;

and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct

area

s.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

4M

oder

ate

Mod

est

Rea

sona

ble

Som

e

Scal

e an

d ex

tent

of

bene

fits

›So

me

dire

ct a

nd in

dire

ct b

enefi

ts a

re o

f mod

erat

e va

lue,

and

may

be

reas

onab

ly

dist

ribu

ted

or o

f som

e sp

ecifi

c im

pact

to

mor

e th

an o

ne a

rea.

›Th

ey m

ay h

ave

som

e im

pact

s up

on a

larg

e se

ctor

or u

pon

a se

ctor

wit

h m

odes

t po

tent

ial f

or g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Mod

erat

ely

rele

vant

and

som

e po

tent

ial s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of s

trat

egic

im

port

ance

to

New

Zea

land

.

›M

odes

t in

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e m

oder

atel

y re

leva

nt t

o M

āori

, ach

ievi

ng s

ome,

re

ason

able

, or m

odes

t ec

onom

ic a

nd/o

r soc

ial a

nd/o

r env

iron

men

tal b

enefi

ts.

›M

āori

con

trib

utio

ns a

re v

alue

d to

som

e de

gree

and

hav

e so

me

invo

lvem

ent

in t

he

deliv

ery

of b

enefi

ts.

›So

me

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

Impl

emen

tati

on p

athw

ays

›H

as g

aps

in t

he s

uppo

rtin

g in

form

atio

n th

at

leav

e ke

y qu

esti

ons

unan

swer

ed.

›M

ay b

e lim

ited

to

a si

ngle

firm

or e

nd u

ser.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

rea

sona

ble

mix

of s

kills

and

exp

erie

nce

that

is li

kely

to

achi

eve

at le

ast

part

of t

he

prop

osed

out

com

es a

nd im

pact

.

if V

isio

n M

ātau

rang

a is

rele

vant

›Sa

tisf

acto

ry a

rran

gem

ents

for

eng

agem

ent

wit

h ob

viou

s M

āori

sta

keho

lder

s.

›So

me

dist

inct

ris

ks a

nd s

ensi

tivi

ty

man

agem

ent

is in

pla

ce.

›Sa

tisf

acto

ry M

āori

par

tici

pati

on in

the

re

sear

ch is

evi

dent

.

›O

bvio

us r

elev

ant

tika

nga

(cus

tom

s an

d tr

adit

ions

) Māo

ri h

as b

een

sati

sfac

tori

ly

gaug

ed a

nd d

escr

ibed

.

›Th

e IP

agr

eem

ents

in p

lace

res

pond

to

any

indi

geno

us k

now

ledg

e m

anag

emen

t is

sues

/re

quir

emen

ts if

rai

sed.


36

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– P

RO

TECT

AN

D A

DD

VA

LUE

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

soc

iety

as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an

or n

atur

al c

apit

al. A

sses

smen

t m

ust

have

par

ticu

lar r

egar

d to

:1.

th

e sc

ale

and

exte

nt o

f pot

enti

al b

enefi

ts fr

om t

he p

ropo

sed

rese

arch

, sci

ence

or

tech

nolo

gy o

r rel

ated

act

ivit

ies;

and

2.

the

Rel

evan

ce o

f Ben

efits

and

add

itio

nal v

alue

del

iver

ed t

o N

ew Z

eala

nd.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

The

cred

ibili

ty o

f im

plem

enta

tion

pat

hway

(s)

to d

eliv

er p

ublic

ben

efits

to

New

Zea

land

, no

t lim

ited

to

a si

ngle

firm

or e

nd u

ser,

and

the

stre

ngth

of r

elat

ions

hips

wit

h re

leva

nt

end

user

s, b

enefi

ciar

ies,

or s

take

hold

ers;

and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct

area

s.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

5A

ppro

pria

teCr

edib

leG

ood

confi

denc

eLa

rge

Rel

evan

tSi

gnifi

cant

Siza

ble

Subs

tant

ial

Wel

l exp

lain

ed

Scal

e an

d ex

tent

of

bene

fits

›P

oten

tial

dir

ect

and

indi

rect

ben

efits

are

larg

e, n

umer

ous,

of h

igh

valu

e, a

nd m

ay b

e w

idel

y di

stri

bute

d or

of s

peci

fic

impa

ct t

o m

ore

than

one

are

a .

›Th

ey m

ay h

ave

sign

ifica

nt im

pact

s up

on a

larg

e se

ctor

or u

pon

a se

ctor

wit

h m

arke

d po

tent

ial f

or g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Rel

evan

t an

d su

bsta

ntia

l pot

enti

al s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of s

trat

egic

im

port

ance

to

New

Zea

land

.

›Su

bsta

ntia

l ind

irec

t an

d ad

diti

onal

val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re

dire

ctio

ns o

f inv

estm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e re

leva

nt t

o M

āori

, ach

ievi

ng la

rge,

sig

nifi

cant

, or

spec

ific

econ

omic

and

/or s

ocia

l and

/or e

nvir

onm

enta

l ben

efits

.

›M

āori

con

trib

utio

ns a

re v

alue

d an

d ar

e ce

ntra

l to

the

deliv

ery

of b

enefi

ts.

›Si

gnifi

cant

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

Impl

emen

tati

on p

athw

ays

›In

dica

tive

sup

port

ing

info

rmat

ion

is

sati

sfac

tory

in s

cope

and

com

pete

nce.

›N

ot t

o be

lim

ited

to

a si

ngle

firm

or e

nd u

ser.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

cre

dibl

e m

ix o

f ski

lls a

nd e

xper

ienc

e ap

prop

riat

e to

ach

ievi

ng t

he p

ropo

sed

outc

omes

and

impa

ct.

if V

isio

n M

ātau

rang

a is

rele

vant

›In

form

ed b

y co

mpr

ehen

sive

eng

agem

ent

wit

h ke

y M

āori

sta

keho

lder

s w

ho a

re

part

icip

atin

g in

, and

con

trib

utio

ns t

o,

the

rese

arch

and

co

-dev

elop

men

t of

the

pr

opos

al.

›D

isti

nct

risk

s an

d se

nsit

ivit

ies

are

wel

l m

appe

d an

d m

anag

ed.

›Th

e ro

le o

f (cu

stom

s an

d tr

adit

ions

) has

bee

n id

enti

fied

.

›Cr

edib

le IP

agr

eem

ents

are

in p

lace

and

re

spon

d to

iden

tifi

ed in

dige

nous

kno

wle

dge

man

agem

ent

requ

irem

ents

.


37

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– P

RO

TECT

AN

D A

DD

VA

LUE

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

soc

iety

as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an

or n

atur

al c

apit

al. A

sses

smen

t m

ust

have

par

ticu

lar r

egar

d to

:1.

th

e sc

ale

and

exte

nt o

f pot

enti

al b

enefi

ts fr

om t

he p

ropo

sed

rese

arch

, sci

ence

or

tech

nolo

gy o

r rel

ated

act

ivit

ies;

and

2.

the

Rel

evan

ce o

f Ben

efits

and

add

itio

nal v

alue

del

iver

ed t

o N

ew Z

eala

nd.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

The

cred

ibili

ty o

f im

plem

enta

tion

pat

hway

(s)

to d

eliv

er p

ublic

ben

efits

to

New

Zea

land

, no

t lim

ited

to

a si

ngle

firm

or e

nd u

ser,

and

the

stre

ngth

of r

elat

ions

hips

wit

h re

leva

nt

end

user

s, b

enefi

ciar

ies,

or s

take

hold

ers;

and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct

area

s.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

6Co

mpr

ehen

sive

Cred

ible

Enti

rely

Exte

nsiv

eH

igh

confi

denc

eR

elev

ant

Very

larg

eVe

ry s

ubst

anti

alW

ell

Scal

e an

d ex

tent

of

bene

fits

›P

oten

tial

dir

ect

and

indi

rect

ben

efits

are

of v

ery

larg

e, s

ubst

anti

al, o

f hig

h va

lue,

and

m

ay b

e ve

ry w

idel

y di

stri

bute

d or

of s

peci

fic

impa

ct t

o m

any

area

s .

›Th

ey m

ay h

ave

very

sub

stan

tial

impa

cts

able

to

be d

eliv

ered

for

a la

rge

sect

or o

r a

sect

or w

ith

mar

ked

exte

nsiv

e po

tent

ial f

or g

row

th.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Very

rel

evan

t an

d ve

ry s

ubst

anti

al p

oten

tial

sig

nifi

canc

e to

man

y ar

eas

of s

trat

egic

im

port

ance

to

New

Zea

land

.

›Ve

ry s

ubst

anti

al in

dire

ct a

nd a

ddit

iona

l val

ue is

gen

erat

ed b

y th

e re

sear

ch.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e ve

ry r

elev

ant

to M

āori

, ach

ievi

ng v

ery

larg

e, v

ery

sign

ifica

nt, o

r spe

cifi

c an

d hi

ghly

val

ued

econ

omic

and

/or s

ocia

l and

/or e

nvir

onm

enta

l be

nefi

ts.

›M

āori

con

trib

utio

ns a

re s

tron

gly

valu

ed a

nd a

re v

ery

cent

ral t

o th

e de

liver

y of

ben

efits

.

›Ve

ry s

ubst

anti

al n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

›B

enefi

ts o

r kno

wle

dge

gain

ed w

ill b

e sc

aled

up

or t

rans

ferr

ed t

o ot

her l

ocat

ions

in

New

Zea

land

, res

pect

ivel

y.

Impl

emen

tati

on p

athw

ays

›O

f a h

igh

stan

dard

, and

fit

for p

urpo

se.

›Th

e su

ppor

ting

info

rmat

ion

that

is c

redi

ble

in s

cope

and

com

pete

nce.

›N

ot t

o be

lim

ited

to

a si

ngle

firm

or e

nd u

ser.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

wel

l-co

mpl

imen

ted

mix

of s

kills

and

ex

peri

ence

rel

evan

t to

ach

ievi

ng t

he

prop

osed

out

com

es a

nd im

pact

.

if V

isio

n M

ātau

rang

a is

rele

vant

›In

form

ed b

y ve

ry c

redi

ble

enga

gem

ent

wit

h di

vers

e M

āori

sta

keho

lder

s w

hich

res

ults

in

mea

ning

ful M

āori

par

tici

pati

on in

, and

co

ntri

buti

ons

to, t

he r

esea

rch

and

co-

deve

lopm

ent

of t

he p

ropo

sal.

›D

isti

nct

risk

s an

d se

nsit

ivit

ies

are

effec

tive

ly

map

ped

and

man

aged

.

›A

ppro

pria

te t

ikan

ga (c

usto

ms

and

trad

itio

ns)

has

been

iden

tifi

ed a

nd r

espo

nsib

iliti

es

allo

cate

d.

›IP

agr

eem

ents

alig

n st

rong

ly t

o in

dige

nous

be

st p

ract

ice

know

ledg

e m

anag

emen

t.


38

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– P

RO

TECT

AN

D A

DD

VA

LUE

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

soc

iety

as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an

or n

atur

al c

apit

al. A

sses

smen

t m

ust

have

par

ticu

lar r

egar

d to

:1.

th

e sc

ale

and

exte

nt o

f pot

enti

al b

enefi

ts fr

om t

he p

ropo

sed

rese

arch

, sci

ence

or

tech

nolo

gy o

r rel

ated

act

ivit

ies;

and

2.

the

Rel

evan

ce o

f Ben

efits

and

add

itio

nal v

alue

del

iver

ed t

o N

ew Z

eala

nd.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

The

cred

ibili

ty o

f im

plem

enta

tion

pat

hway

(s)

to d

eliv

er p

ublic

ben

efits

to

New

Zea

land

, no

t lim

ited

to

a si

ngle

firm

or e

nd u

ser,

and

the

stre

ngth

of r

elat

ions

hips

wit

h re

leva

nt

end

user

s, b

enefi

ciar

ies,

or s

take

hold

ers;

and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct

area

s.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

7(H

igh

qual

ity)

Com

plet

ely

Com

preh

ensi

veEx

empl

ary

Extr

emel

y re

leva

ntEx

trem

ely

sign

ifica

ntH

ighl

y cr

edib

leH

ighl

y re

leva

ntIm

pres

sive

Out

stan

ding

Tota

l con

fide

nce

Very

larg

eVe

ry w

ell

Scal

e an

d ex

tent

of

bene

fits

›P

oten

tial

dir

ect

and

indi

rect

ben

efits

are

ext

rem

ely

rele

vant

, ver

y hi

gh in

num

ber,

of

extr

emel

y hi

gh v

alue

, and

com

preh

ensi

vely

dis

trib

uted

or o

f spe

cifi

c im

pact

to

man

y ar

eas.

›Th

ey m

ay h

ave

extr

emel

y si

gnifi

cant

impa

cts

upon

a la

rge

sect

or o

r upo

n a

sect

or w

ith

impr

essi

ve p

oten

tial

for

gro

wth

.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Com

plet

e re

leva

nce

and

extr

emel

y su

bsta

ntia

l pot

enti

al s

igni

fica

nce

to m

any

area

s of

st

rate

gic

impo

rtan

ce t

o N

ew Z

eala

nd.

›Ex

trem

ely

sign

ifica

nt in

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e ex

trem

ely

rele

vant

to

Māo

ri, a

chie

ving

out

stan

ding

, im

pres

sive

, or s

peci

fic

and

extr

emel

y va

luab

le e

cono

mic

and

/or s

ocia

l and

/or

envi

ronm

enta

l ben

efits

.

›M

āori

con

trib

utio

ns a

re f

ully

val

ued

and

are

com

plet

ely

incl

uded

in t

he d

eliv

ery

of

bene

fits

.

›Ve

ry la

rge

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

›B

enefi

ts o

r kno

wle

dge

gain

ed w

ill b

e sc

aled

up

or t

rans

ferr

ed t

hrou

ghou

t N

ew Z

eala

nd,

resp

ecti

vely

.

Impl

emen

tati

on p

athw

ays

›O

f an

extr

emel

y hi

gh s

tand

ard,

and

fit

for

purp

ose.

›Th

e su

ppor

ting

info

rmat

ion

is e

xem

plar

y in

sc

ope

and

com

pete

nce.

›N

ot t

o be

lim

ited

to

a si

ngle

firm

or e

nd u

ser.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

hig

hly

cred

ible

mix

of s

kills

and

exp

erie

nce

that

is h

ighl

y re

leva

nt t

o ac

hiev

ing

the

prop

osed

out

com

es a

nd im

pact

. if

Vis

ion

Māt

aura

nga

is re

leva

nt ›

Info

rmed

by

exem

plar

y en

gage

men

t w

ith

dive

rse

Māo

ri s

take

hold

ers

whi

ch

opti

mis

es s

igni

fica

nt a

nd m

eani

ngfu

l Māo

ri

part

icip

atio

n in

, and

con

trib

utio

ns t

o,

the

rese

arch

and

co

-dev

elop

men

t of

the

pr

opos

al.

›D

isti

nct

risk

s an

d se

nsit

ivit

ies

are

wel

l m

appe

d an

d m

anag

ed.

›A

ppro

pria

te t

ikan

ga (c

usto

ms

and

trad

itio

ns)

has

been

iden

tifi

ed a

nd r

espo

nsib

iliti

es

allo

cate

d.

›Ex

empl

ary

IP a

gree

men

ts m

odel

ling

inte

rnat

iona

l ind

igen

ous

best

pra

ctic

e kn

owle

dge

man

agem

ent

are

in p

lace

.


39

Impa

ct A

sses

smen

t Sc

orin

g G

uide

R

esea

rch

Pro

gram

mes

– T

rans

form

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– T

RA

NSF

OR

M

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

exte

nt t

o w

hich

the

tec

hnol

ogy,

pro

cess

, pra

ctic

e, b

usin

ess

mod

el, o

r pol

icy

enab

led

by

the

rese

arch

is a

Rad

ical

Cha

nge

and/

or le

ap in

per

form

ance

ver

sus

the

stat

us q

uo; a

nd

2.

the

exte

nt t

o w

hich

the

ult

imat

e im

pact

resu

ltin

g fr

om t

he n

ew t

echn

olog

y, p

roce

ss,

prac

tice

, bus

ines

s m

odel

or p

olic

y is

a t

rans

form

atio

n of

the

New

Zea

land

eco

nom

y, s

ocie

ty

or e

nvir

onm

ent;

and

3.

evid

ence

of t

he R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

Dem

onst

rate

d un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in p

oten

tial

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

ts t

o N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d us

er, a

nd t

he s

tren

gth

of r

elat

ions

hips

w

ith

rele

vant

end

use

rs, b

enefi

ciar

ies,

or

stak

ehol

ders

; and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct a

reas

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

1(L

ow q

ualit

y)

Impl

ausi

ble

Neg

ligib

leN

ot c

redi

ble

Not

pre

sent

Not

rele

vant

Unl

ikel

yU

nrel

iabl

eVe

ry p

oor

Imm

edia

te Im

pact

›

The

chan

ges

enab

led

by t

he r

esea

rch

are

negl

igib

le a

nd/o

r giv

e no

leap

in p

erfo

rman

ce.

Ult

imat

e Im

pact

›Th

e po

tent

ial b

enefi

t fo

r New

Zea

land

is n

ot t

rans

form

atio

nal i

n na

ture

.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Not

rel

evan

t an

d of

neg

ligib

le p

oten

tial

sig

nifi

canc

e to

one

or m

ore

area

s of

str

ateg

ic

impo

rtan

ce t

o N

ew Z

eala

nd.

›In

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

in

vest

men

t is

not

pre

sent

.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ha

ve n

o re

leva

nce

to M

āori

.

›Th

ere

is n

o cl

arit

y as

to

whe

ther

any

eco

nom

ic a

nd/o

r soc

ial a

nd/o

r env

iron

men

tal

bene

fits

will

be

real

ised

by

any

Māo

ri in

tere

sts

or if

Māo

ri c

ontr

ibut

ions

to

the

scie

nce

are

iden

tifi

ed a

nd v

alue

d.

›N

o or

neg

ligib

le n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

Dem

onst

rate

d un

ders

tand

ing

of

impl

emen

tati

on p

athw

ay(s

) ›

The

appl

icat

ion

dem

onst

rate

s no

un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in

pot

enti

al im

plem

enta

tion

pat

hway

(s).

Stre

ngth

of

prop

osed

impa

ct re

lati

onsh

ips

›A

re n

ot r

elev

ant.

›D

o no

t gi

ve c

onfi

denc

e th

at c

omm

itm

ents

ba

sed

on t

hose

rel

atio

nshi

ps w

ill b

e re

alis

ed.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›Ve

ry p

oor m

ix o

f ski

lls a

nd e

xper

ienc

e,

wit

h ne

glig

ible

pot

enti

al f

or a

chie

ving

the

pr

opos

ed o

utco

mes

and

impa

ct.

if V

isio

n M

ātau

rang

a is

rele

vant

›N

o cr

edib

le e

ngag

emen

t w

ith

Māo

ri.

›V

isio

n M

ātau

rang

a is

not

pre

sent

.


40

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– T

RA

NSF

OR

M

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

exte

nt t

o w

hich

the

tec

hnol

ogy,

pro

cess

, pra

ctic

e, b

usin

ess

mod

el, o

r pol

icy

enab

led

by

the

rese

arch

is a

Rad

ical

Cha

nge

and/

or le

ap in

per

form

ance

ver

sus

the

stat

us q

uo; a

nd

2.

the

exte

nt t

o w

hich

the

ult

imat

e im

pact

resu

ltin

g fr

om t

he n

ew t

echn

olog

y, p

roce

ss,

prac

tice

, bus

ines

s m

odel

or p

olic

y is

a t

rans

form

atio

n of

the

New

Zea

land

eco

nom

y, s

ocie

ty

or e

nvir

onm

ent;

and

3.

evid

ence

of t

he R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

Dem

onst

rate

d un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in p

oten

tial

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

ts t

o N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d us

er, a

nd t

he s

tren

gth

of r

elat

ions

hips

w

ith

rele

vant

end

use

rs, b

enefi

ciar

ies,

or

stak

ehol

ders

; and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct a

reas

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

2In

suffi

cien

tLi

ttle

Min

orN

arro

wN

ot s

igni

fica

ntPo

orU

ncon

vinc

ing

Uns

atis

fact

ory

Very

lim

ited

Very

low

Imm

edia

te Im

pact

›

The

chan

ges

enab

led

by t

he r

esea

rch

are

min

or a

nd/o

r giv

e a

smal

l lea

p in

per

form

ance

.

Ult

imat

e Im

pact

›Th

e po

tent

ial b

enefi

t fo

r New

Zea

land

is u

nlik

ely

to b

e tr

ansf

orm

atio

nal i

n na

ture

.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Very

lim

ited

rel

evan

ce a

nd li

ttle

sig

nifi

canc

e to

one

or m

ore

area

s of

str

ateg

ic

impo

rtan

ce t

o N

ew Z

eala

nd.

›P

oor i

ndir

ect

and

addi

tion

al v

alue

in a

reas

alig

ned

wit

h on

e or

mor

e fu

ture

dir

ecti

ons

of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ha

ve li

ttle

rel

evan

ce t

o M

āori

.

›Th

ere

is v

ery

limit

ed c

lari

ty a

s to

whe

ther

if a

ny e

cono

mic

and

/or s

ocia

l and

/or

envi

ronm

enta

l ben

efits

will

be

real

ised

by

any

Māo

ri in

tere

sts

or if

Māo

ri c

ontr

ibut

ions

to

the

sci

ence

are

iden

tifi

ed a

nd v

alue

d.

›Ve

ry li

mit

ed n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

Dem

onst

rate

d un

ders

tand

ing

of

impl

emen

tati

on p

athw

ay(s

) ›

The

appl

icat

ion

dem

onst

rate

s ve

ry li

mit

ed

unde

rsta

ndin

g of

the

ena

bler

s an

d ba

rrie

rs

in p

oten

tial

impl

emen

tati

on p

athw

ay(s

).

Stre

ngth

of

prop

osed

impa

ct re

lati

onsh

ips

›A

re o

f litt

le r

elev

ance

.

›G

ive

little

con

fide

nce

that

com

mit

men

ts

base

d on

tho

se r

elat

ions

hips

will

be

real

ised

.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

poo

r mix

of s

kills

and

exp

erie

nce

wit

h a

very

lim

ited

pot

enti

al o

f ach

ievi

ng t

he

prop

osed

out

com

es a

nd im

pact

.

if V

isio

n M

ātau

rang

a is

rele

vant

›Ve

ry li

mit

ed, i

nsuffi

cien

t ar

rang

emen

ts f

or

enga

gem

ent

wit

h M

āori

sta

keho

lder

s.


41

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– T

RA

NSF

OR

M

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

exte

nt t

o w

hich

the

tec

hnol

ogy,

pro

cess

, pra

ctic

e, b

usin

ess

mod

el, o

r pol

icy

enab

led

by

the

rese

arch

is a

Rad

ical

Cha

nge

and/

or le

ap in

per

form

ance

ver

sus

the

stat

us q

uo; a

nd

2.

the

exte

nt t

o w

hich

the

ult

imat

e im

pact

resu

ltin

g fr

om t

he n

ew t

echn

olog

y, p

roce

ss,

prac

tice

, bus

ines

s m

odel

or p

olic

y is

a t

rans

form

atio

n of

the

New

Zea

land

eco

nom

y, s

ocie

ty

or e

nvir

onm

ent;

and

3.

evid

ence

of t

he R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

Dem

onst

rate

d un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in p

oten

tial

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

ts t

o N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d us

er, a

nd t

he s

tren

gth

of r

elat

ions

hips

w

ith

rele

vant

end

use

rs, b

enefi

ciar

ies,

or

stak

ehol

ders

; and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct a

reas

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

3Li

mit

edLo

wPa

rtia

llySo

me

Imm

edia

te Im

pact

›

The

chan

ges

enab

led

by t

he r

esea

rch

are

limit

ed a

nd/o

r giv

e a

limit

ed le

ap in

pe

rfor

man

ce.

Ult

imat

e Im

pact

›Th

e po

tent

ial b

enefi

t fo

r New

Zea

land

is p

ossi

bly

tran

sfor

mat

iona

l in

natu

re.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Som

e re

leva

nce

and

limit

ed s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of s

trat

egic

impo

rtan

ce t

o N

ew Z

eala

nd.

›Lo

w in

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

in

vest

men

t.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ha

ve lo

w t

o m

oder

ate

rele

vanc

e to

Māo

ri.

›Th

ere

is li

mit

ed c

lari

ty a

s to

whe

ther

any

eco

nom

ic a

nd/o

r soc

ial a

nd/o

r env

iron

men

tal

bene

fits

will

be

real

ised

by

any

Māo

ri in

tere

sts

or if

Māo

ri c

ontr

ibut

ions

to

the

scie

nce

are

iden

tifi

ed a

nd v

alue

d.

›Li

mit

ed n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

Dem

onst

rate

d un

ders

tand

ing

of

impl

emen

tati

on p

athw

ay(s

) ›

The

appl

icat

ion

dem

onst

rate

s so

me

unde

rsta

ndin

g of

the

ena

bler

s an

d ba

rrie

rs

in p

oten

tial

impl

emen

tati

on p

athw

ay(s

).

Stre

ngth

of

prop

osed

impa

ct re

lati

onsh

ips

›A

re p

arti

ally

rel

evan

t.

›G

ive

limit

ed c

onfi

denc

e th

at c

omm

itm

ents

ba

sed

on t

hose

rel

atio

nshi

ps w

ill b

e re

alis

ed.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

lim

ited

mix

of s

kills

and

exp

erie

nce

wit

h a

limit

ed li

kelih

ood

of a

chie

ving

the

pro

pose

d ou

tcom

es a

nd im

pact

.

if V

isio

n M

ātau

rang

a is

rele

vant

›So

me

sign

ifica

nt g

aps

in a

rran

gem

ents

for

en

gage

men

t w

ith

Māo

ri s

take

hold

ers.

›Th

e V

isio

n M

ātau

rang

a re

late

d as

pect

s of

th

e pa

thw

ay a

ppea

r som

ewha

t in

adeq

uate

.


42

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– T

RA

NSF

OR

M

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

exte

nt t

o w

hich

the

tec

hnol

ogy,

pro

cess

, pra

ctic

e, b

usin

ess

mod

el, o

r pol

icy

enab

led

by

the

rese

arch

is a

Rad

ical

Cha

nge

and/

or le

ap in

per

form

ance

ver

sus

the

stat

us q

uo; a

nd

2.

the

exte

nt t

o w

hich

the

ult

imat

e im

pact

resu

ltin

g fr

om t

he n

ew t

echn

olog

y, p

roce

ss,

prac

tice

, bus

ines

s m

odel

or p

olic

y is

a t

rans

form

atio

n of

the

New

Zea

land

eco

nom

y, s

ocie

ty

or e

nvir

onm

ent;

and

3.

evid

ence

of t

he R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

Dem

onst

rate

d un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in p

oten

tial

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

ts t

o N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d us

er, a

nd t

he s

tren

gth

of r

elat

ions

hips

w

ith

rele

vant

end

use

rs, b

enefi

ciar

ies,

or

stak

ehol

ders

; and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct a

reas

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

4M

oder

ate

Mod

est

Rea

sona

ble

Som

e

Imm

edia

te Im

pact

›

The

chan

ges

enab

led

by t

he r

esea

rch

are

reas

onab

le a

nd/o

r giv

e a

mod

erat

e le

ap in

pe

rfor

man

ce.

Ult

imat

e Im

pact

›Th

e po

tent

ial b

enefi

t fo

r New

Zea

land

is m

oder

atel

y tr

ansf

orm

atio

nal i

n na

ture

.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Mod

erat

ely

rele

vant

and

som

e po

tent

ial s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of s

trat

egic

im

port

ance

to

New

Zea

land

.

›M

odes

t in

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e m

oder

atel

y re

leva

nt t

o M

āori

, ach

ievi

ng s

ome,

re

ason

able

, or m

odes

t ec

onom

ic a

nd/o

r soc

ial a

nd/o

r env

iron

men

tal b

enefi

ts.

›M

āori

con

trib

utio

ns a

re v

alue

d to

som

e de

gree

and

hav

e so

me

invo

lvem

ent

in t

he

deliv

ery

of b

enefi

ts.

›So

me

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

Dem

onst

rate

d un

ders

tand

ing

of

impl

emen

tati

on p

athw

ay(s

) ›

The

appl

icat

ion

dem

onst

rate

s m

odes

t un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in

pot

enti

al im

plem

enta

tion

pat

hway

(s).

Stre

ngth

of

prop

osed

impa

ct re

lati

onsh

ips

›A

re m

oder

atel

y re

leva

nt.

›G

ive

mod

erat

e co

nfide

nce

that

com

mit

men

ts

base

d on

tho

se r

elat

ions

hips

will

be

real

ised

.St

reng

th a

nd p

oten

tial

impa

ct o

f th

e te

am ›

A r

easo

nabl

e m

ix o

f ski

lls a

nd e

xper

ienc

e th

at is

like

ly t

o ac

hiev

e at

leas

t pa

rt o

f the

pr

opos

ed o

utco

mes

and

impa

ct.

if V

isio

n M

ātau

rang

a is

rele

vant

›Sa

tisf

acto

ry a

rran

gem

ents

for

eng

agem

ent

wit

h ob

viou

s M

āori

sta

keho

lder

s.

›So

me

dist

inct

ris

ks a

nd s

ensi

tivi

ty

man

agem

ent

is in

pla

ce.

›Sa

tisf

acto

ry M

āori

par

tici

pati

on in

the

re

sear

ch is

evi

dent

. ›

Obv

ious

rel

evan

t ti

kang

a (c

usto

ms

and

trad

itio

ns) M

āori

has

bee

n sa

tisf

acto

rily

ga

uged

and

des

crib

ed.

›Th

e IP

agr

eem

ents

in p

lace

res

pond

to

any

indi

geno

us k

now

ledg

e m

anag

emen

t is

sues

/re

quir

emen

ts if

rai

sed.


43

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– T

RA

NSF

OR

M

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

exte

nt t

o w

hich

the

tec

hnol

ogy,

pro

cess

, pra

ctic

e, b

usin

ess

mod

el, o

r pol

icy

enab

led

by

the

rese

arch

is a

Rad

ical

Cha

nge

and/

or le

ap in

per

form

ance

ver

sus

the

stat

us q

uo; a

nd

2.

the

exte

nt t

o w

hich

the

ult

imat

e im

pact

resu

ltin

g fr

om t

he n

ew t

echn

olog

y, p

roce

ss,

prac

tice

, bus

ines

s m

odel

or p

olic

y is

a t

rans

form

atio

n of

the

New

Zea

land

eco

nom

y, s

ocie

ty

or e

nvir

onm

ent;

and

3.

evid

ence

of t

he R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

Dem

onst

rate

d un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in p

oten

tial

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

ts t

o N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d us

er, a

nd t

he s

tren

gth

of r

elat

ions

hips

w

ith

rele

vant

end

use

rs, b

enefi

ciar

ies,

or

stak

ehol

ders

; and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct a

reas

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

5A

ppro

pria

teCr

edib

leG

ood

confi

denc

eLa

rge

Rel

evan

tSi

gnifi

cant

Siza

ble

Subs

tant

ial

Wel

l exp

lain

ed

Imm

edia

te Im

pact

›

The

chan

ges

enab

led

by t

he r

esea

rch

are

sign

ifica

nt a

nd/o

r giv

e a

larg

e le

ap in

pe

rfor

man

ce.

Ult

imat

e Im

pact

›Th

e po

tent

ial b

enefi

t fo

r New

Zea

land

is la

rgel

y tr

ansf

orm

atio

nal i

n na

ture

.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Rel

evan

t an

d su

bsta

ntia

l pot

enti

al s

igni

fica

nce

to o

ne o

r mor

e ar

eas

of s

trat

egic

im

port

ance

to

New

Zea

land

.

›Su

bsta

ntia

l ind

irec

t an

d ad

diti

onal

val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re

dire

ctio

ns o

f inv

estm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e re

leva

nt t

o M

āori

, ach

ievi

ng la

rge,

sig

nifi

cant

, or

spec

ific

econ

omic

and

/or s

ocia

l and

/or e

nvir

onm

enta

l ben

efits

.

›M

āori

con

trib

utio

ns a

re v

alue

d an

d ar

e ce

ntra

l to

the

deliv

ery

of b

enefi

ts.

›Si

gnifi

cant

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

Dem

onst

rate

d un

ders

tand

ing

of

impl

emen

tati

on p

athw

ay(s

) ›

The

appl

icat

ion

dem

onst

rate

s ap

prop

riat

e un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in

pot

enti

al im

plem

enta

tion

pat

hway

(s).

Stre

ngth

of

prop

osed

impa

ct re

lati

onsh

ips

›A

re la

rgel

y re

leva

nt.

›G

ive

good

con

fide

nce

that

com

mit

men

ts

base

d on

tho

se r

elat

ions

hips

will

be

real

ised

.St

reng

th a

nd p

oten

tial

impa

ct o

f th

e te

am ›

A c

redi

ble

mix

of s

kills

and

exp

erie

nce

appr

opri

ate

to a

chie

ving

the

pro

pose

d ou

tcom

es a

nd im

pact

.if

Vis

ion

Māt

aura

nga

is re

leva

nt ›

Info

rmed

by

com

preh

ensi

ve e

ngag

emen

t w

ith

key

Māo

ri s

take

hold

ers

who

are

pa

rtic

ipat

ing

in, a

nd c

ontr

ibut

ions

to,

th

e re

sear

ch a

nd c

o-d

evel

opm

ent

of t

he

prop

osal

. ›

Dis

tinc

t ri

sks

and

sens

itiv

itie

s ar

e w

ell

map

ped

and

man

aged

. ›

The

role

of (

cust

oms

and

trad

itio

ns) h

as b

een

iden

tifi

ed.

›Cr

edib

le IP

agr

eem

ents

are

in p

lace

and

re

spon

d to

iden

tifi

ed in

dige

nous

kno

wle

dge

man

agem

ent

requ

irem

ents

.


44

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– T

RA

NSF

OR

M

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

exte

nt t

o w

hich

the

tec

hnol

ogy,

pro

cess

, pra

ctic

e, b

usin

ess

mod

el, o

r pol

icy

enab

led

by

the

rese

arch

is a

Rad

ical

Cha

nge

and/

or le

ap in

per

form

ance

ver

sus

the

stat

us q

uo; a

nd

2.

the

exte

nt t

o w

hich

the

ult

imat

e im

pact

resu

ltin

g fr

om t

he n

ew t

echn

olog

y, p

roce

ss,

prac

tice

, bus

ines

s m

odel

or p

olic

y is

a t

rans

form

atio

n of

the

New

Zea

land

eco

nom

y, s

ocie

ty

or e

nvir

onm

ent;

and

3.

evid

ence

of t

he R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

Dem

onst

rate

d un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in p

oten

tial

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

ts t

o N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d us

er, a

nd t

he s

tren

gth

of r

elat

ions

hips

w

ith

rele

vant

end

use

rs, b

enefi

ciar

ies,

or

stak

ehol

ders

; and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct a

reas

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

6Co

mpr

ehen

sive

Cred

ible

Enti

rely

Exte

nsiv

eH

igh

confi

denc

eR

elev

ant

Very

larg

eVe

ry s

ubst

anti

alW

ell

Imm

edia

te Im

pact

›

The

chan

ges

enab

led

by t

he r

esea

rch

are

exte

nsiv

e an

d/or

giv

e ve

ry la

rge

leap

in

perf

orm

ance

.

Ult

imat

e Im

pact

›Th

e po

tent

ial b

enefi

t fo

r New

Zea

land

is e

xten

sive

ly t

rans

form

atio

nal i

n na

ture

.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Very

rel

evan

t an

d ve

ry s

ubst

anti

al p

oten

tial

sig

nifi

canc

e to

man

y ar

eas

of s

trat

egic

im

port

ance

to

New

Zea

land

.

›Ve

ry s

ubst

anti

al in

dire

ct a

nd a

ddit

iona

l val

ue is

gen

erat

ed b

y th

e re

sear

ch.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e ve

ry r

elev

ant

to M

āori

, ach

ievi

ng v

ery

larg

e, v

ery

sign

ifica

nt, o

r spe

cifi

c an

d hi

ghly

val

ued

econ

omic

and

/or s

ocia

l and

/or e

nvir

onm

enta

l be

nefi

ts.

›M

āori

con

trib

utio

ns a

re s

tron

gly

valu

ed a

nd a

re v

ery

cent

ral t

o th

e de

liver

y of

ben

efits

.

›Ve

ry s

ubst

anti

al n

ew k

now

ledg

e or

inte

llect

ual p

rope

rty

for M

āori

.

›B

enefi

ts o

r kno

wle

dge

gain

ed w

ill b

e sc

aled

up

or t

rans

ferr

ed t

o ot

her l

ocat

ions

in

New

Zea

land

, res

pect

ivel

y.

Dem

onst

rate

d un

ders

tand

ing

of

impl

emen

tati

on p

athw

ay(s

) ›

The

appl

icat

ion

dem

onst

rate

s co

mpr

ehen

sive

und

erst

andi

ng o

f the

en

able

rs a

nd b

arri

ers

in p

oten

tial

im

plem

enta

tion

pat

hway

(s).

Stre

ngth

of

prop

osed

impa

ct re

lati

onsh

ips

›A

re e

ntir

ely

rele

vant

. ›

Giv

e hi

gh c

onfi

denc

e th

at c

omm

itm

ents

ba

sed

on t

hose

rel

atio

nshi

ps w

ill b

e re

alis

ed.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

wel

l-co

mpl

imen

ted

mix

of s

kills

and

ex

peri

ence

rel

evan

t to

ach

ievi

ng t

he

prop

osed

out

com

es a

nd im

pact

.if

Vis

ion

Māt

aura

nga

is re

leva

nt ›

Info

rmed

by

very

cre

dibl

e en

gage

men

t w

ith

dive

rse

Māo

ri s

take

hold

ers

whi

ch r

esul

ts

in m

eani

ngfu

l Māo

ri p

arti

cipa

tion

in, a

nd

cont

ribu

tion

s to

, the

res

earc

h an

d co

-de

velo

pmen

t of

the

pro

posa

l. ›

Dis

tinc

t ri

sks

and

sens

itiv

itie

s ar

e eff

ecti

vely

m

appe

d an

d m

anag

ed.

›A

ppro

pria

te t

ikan

ga (c

usto

ms

and

trad

itio

ns)

has

been

iden

tifi

ed a

nd r

espo

nsib

iliti

es

allo

cate

d. ›

IP a

gree

men

ts a

lign

stro

ngly

to

indi

geno

us

best

pra

ctic

e kn

owle

dge

man

agem

ent.


45

IMPA

CT A

SSES

SMEN

T –

RES

EAR

CH P

RO

GR

AM

MES

– T

RA

NSF

OR

M

ASSESSMENT CRITERIA

BEN

EFIT

TO

NEW

ZEA

LAN

D

Wei

ghte

d 25

%

Res

earc

h sh

ould

hav

e di

rect

and

indi

rect

ben

efits

or e

ffec

t on

indi

vidu

als,

com

mun

itie

s or

so

ciet

y as

a w

hole

, inc

ludi

ng b

road

ben

efits

to

New

Zea

land

’s e

cono

mic

, soc

ial,

hum

an o

r na

tura

l cap

ital

. Ass

essm

ent

mus

t ha

ve p

arti

cula

r reg

ard

to:

1.

the

exte

nt t

o w

hich

the

tec

hnol

ogy,

pro

cess

, pra

ctic

e, b

usin

ess

mod

el, o

r pol

icy

enab

led

by

the

rese

arch

is a

Rad

ical

Cha

nge

and/

or le

ap in

per

form

ance

ver

sus

the

stat

us q

uo; a

nd

2.

the

exte

nt t

o w

hich

the

ult

imat

e im

pact

resu

ltin

g fr

om t

he n

ew t

echn

olog

y, p

roce

ss,

prac

tice

, bus

ines

s m

odel

or p

olic

y is

a t

rans

form

atio

n of

the

New

Zea

land

eco

nom

y, s

ocie

ty

or e

nvir

onm

ent;

and

3.

evid

ence

of t

he R

elev

ance

of B

enefi

ts a

nd a

ddit

iona

l val

ue d

eliv

ered

to

New

Zea

land

.

IMP

LEM

ENTA

TIO

N P

ATH

WAY

(S)

Wei

ghte

d 25

%

1.

Dem

onst

rate

d un

ders

tand

ing

of t

he e

nabl

ers

and

barr

iers

in p

oten

tial

impl

emen

tati

on

path

way

(s) t

o de

liver

pub

lic b

enefi

ts t

o N

ew Z

eala

nd, n

ot li

mit

ed t

o a

sing

le fi

rm o

r en

d us

er, a

nd t

he s

tren

gth

of r

elat

ions

hips

w

ith

rele

vant

end

use

rs, b

enefi

ciar

ies,

or

stak

ehol

ders

; and

2.

The

mix

of c

ompl

emen

tary

ski

lls a

nd

expe

rien

ce, w

ithi

n th

e te

am, r

elev

ant

to

achi

evin

g im

pact

in t

he p

ropo

sed

impa

ct a

reas

.

ASS

ESSM

ENT

SCO

RIN

G G

UID

E

7(H

igh

qual

ity)

Com

plet

ely

Com

preh

ensi

veEx

empl

ary

Extr

emel

y re

leva

ntEx

trem

ely

sign

ifica

ntH

ighl

y cr

edib

leH

ighl

y re

leva

ntIm

pres

sive

Out

stan

ding

Tota

l con

fide

nce

Very

larg

eVe

ry w

ell

Imm

edia

te Im

pact

›Th

e ch

ange

s en

able

d by

the

res

earc

h ar

e ra

dica

l and

/or g

ive

outs

tand

ing

leap

in

perf

orm

ance

.

Ult

imat

e Im

pact

›Th

e po

tent

ial b

enefi

t fo

r New

Zea

land

is t

otal

ly t

rans

form

atio

nal i

n na

ture

.

Rel

evan

ce a

nd a

ddit

iona

l val

ue ›

Com

plet

e re

leva

nce

and

extr

emel

y su

bsta

ntia

l pot

enti

al s

igni

fica

nce

to m

any

area

s of

st

rate

gic

impo

rtan

ce t

o N

ew Z

eala

nd.

›Ex

trem

ely

sign

ifica

nt in

dire

ct a

nd a

ddit

iona

l val

ue in

are

as a

ligne

d w

ith

one

or m

ore

futu

re d

irec

tion

s of

inve

stm

ent.

if V

isio

n M

ātau

rang

a is

rele

vant

›Th

e be

nefi

ts o

f the

res

earc

h ar

e ex

trem

ely

rele

vant

to

Māo

ri, a

chie

ving

out

stan

ding

, im

pres

sive

, or s

peci

fic

and

extr

emel

y va

luab

le e

cono

mic

and

/or s

ocia

l and

/or

envi

ronm

enta

l ben

efits

.

›M

āori

con

trib

utio

ns a

re f

ully

val

ued

and

are

com

plet

ely

incl

uded

in t

he d

eliv

ery

of

bene

fits

.

›Ve

ry la

rge

new

kno

wle

dge

or in

telle

ctua

l pro

pert

y fo

r Māo

ri.

›B

enefi

ts o

r kno

wle

dge

gain

ed w

ill b

e sc

aled

up

or t

rans

ferr

ed t

hrou

ghou

t N

ew Z

eala

nd,

resp

ecti

vely

.

Dem

onst

rate

d un

ders

tand

ing

of im

plem

enta

tion

pa

thw

ay(s

) ›

The

appl

icat

ion

dem

onst

rate

s ex

empl

ary

unde

rsta

ndin

g of

the

ena

bler

s an

d ba

rrie

rs in

po

tent

ial i

mpl

emen

tati

on p

athw

ay(s

).St

reng

th o

f pr

opos

ed im

pact

rela

tion

ship

s ›

Are

ext

rem

ely

rele

vant

. ›

Giv

e to

tal c

onfi

denc

e th

at c

omm

itm

ents

bas

ed

on t

hose

rel

atio

nshi

ps w

ill b

e re

alis

ed.

Stre

ngth

and

pot

enti

al im

pact

of

the

team

›A

hig

hly

cred

ible

mix

of s

kills

and

exp

erie

nce

that

is h

ighl

y re

leva

nt t

o ac

hiev

ing

the

prop

osed

out

com

es a

nd im

pact

.if

Vis

ion

Māt

aura

nga

is re

leva

nt ›

Info

rmed

by

exem

plar

y en

gage

men

t w

ith

dive

rse

Māo

ri s

take

hold

ers

whi

ch o

ptim

ises

si

gnifi

cant

and

mea

ning

ful M

āori

par

tici

pati

on

in, a

nd c

ontr

ibut

ions

to,

the

res

earc

h an

d co

-de

velo

pmen

t of

the

pro

posa

l. ›

Dis

tinc

t ri

sks

and

sens

itiv

itie

s ar

e w

ell m

appe

d an

d m

anag

ed.

›A

ppro

pria

te t

ikan

ga (c

usto

ms

and

trad

itio

ns)

has

been

iden

tifi

ed a

nd r

espo

nsib

iliti

es

allo

cate

d.

›Ex

empl

ary

IP a

gree

men

ts m

odel

ling

inte

rnat

iona

l ind

igen

ous

best

pra

ctic

e kn

owle

dge

man

agem

ent

are

in p

lace

.


46

Viewing Assigned Proposals and Recording AssessmentsThis section details how to access the proposals assigned to you and how to record your assessments. Both of these actions are performed in MBIE’s IMS portal.

Accessing the IMS Portal

To access the portal you require:

› Chrome or Firefox

› Your MBIE IMS portal Username and Password.

For portal support, contact MBIE’s Investment Operations Team Monday to Friday between 8.30am and 4.30pm (New Zealand time):

› email [email protected]

› call 0800 693 778

To log in to the IMS portal

For first time Assessors:

1. You will receive an email containing your portal username and a temporary password. Click the portal link in this email. The IMS portal’s access agreement displays. This agreement details the terms and conditions governing the use of the portal.

Your temporary password will expire in 72 hours and can only be used once. The access agreement will only appear once, the first time you log in.

2. Read and accept this agreement. Once accepted, an Edit password screen displays.

3. Following the on screen prompts, enter your temporary password and then enter a new permanent one.

4. Click the Save Changes button. The portal’s Home screen displays.

Five or more failed log in attempts will automatically lock you out of the system. If this occurs, contact the Investment Operations Team via [email protected] and ask for your account to be unlocked.

The Home page of the MBIE IMS portal.

http://www.ims.msi.govt.nz/

https://mako.wd.govt.nz/otcsdav/nodes/96596031/imssupport%40mbie.govt.nz


47For previous Assessors:

1. Click the MBIE IMS Portal link (ims.msi.govt.nz/).

2. Enter your Username and Password.

3. Click the Login Securely button. The portal’s Home screen displays.

To log out of the portal

1. Do one of the following:

– Click the Logout hyperlink (located top right of the Home screen).

– Click the UN icon (where UN is your initials) located top right of assessment Scoring page.

Updating your IMS Portal DetailsFrom the Home screen in the IMS portal, you can update your details as and when required.

TO VIEW AND/OR UPDATE YOUR DETAILS: TO CHANGE YOUR PASSWORD:

1. Click the Edit my account details button on the Home tab.

2. Update your details including Diversity information as required and click Save.

1. Click the Change password button on the Home tab.

2. Enter your new password and click Save.

TIP: You can also access these details by clicking the UN icon (where UN is your initials) located top right of assessment scoring pages.

Accepting/Declining Assigned Proposals

KEY PORTAL DATES SMART IDEAS RESEARCH PROGRAMMES


Proposals assigned and

assessment starts

21 Jan 2020 11 Jun 2020 for assessment of Excellence: 18 Mar 2020


Note that additional proposals may be assigned after these dates.

To accept (or decline) an assignment

1. On the Home tab, click the Investment Assessment link > Current tab.

2. Read and accept the confidentiality agreement. This agreement details the terms and conditions governing the assessment process.

This agreement will only display to first time Assessors when they access their list of assignments. You can revisit this agreement at any stage by clicking the Your Confidentiality Agreement button located top right of the Investment Assessment link > Current tab.

https://ims.msi.govt.nz/


48 Once accepted, the list of all proposals assigned to you displays.

3. Scroll down the list to see your assignments.

The Endeavour Fund proposals assigned to you are listed under the View Project column, grouped by investment process. If you have performed assessments in the past, your new assignments will be at the top of the list under one or more of the following headings:

– 2020 Endeavour Fund – Smart Ideas (Concepts)

– 2020 Endeavour Fund – Smart Ideas (Proposals)

– 2020 Endeavour Fund – Research Programmes (Proposals)

4. For the first proposal listed, click the link under View Project. A summary of the proposal opens in a new browser tab.

5. Read this summary and:

› If you deem a direct conflict of interest exists:

1. Select the browser tab displaying the IMS portal.

2. Click the Decline button adjacent to the proposal.

3. In the resulting dialog box, enter the reason for declining the proposal and then click the Save button. The declined proposal is automatically removed from your list of assigned projects.

4. Close the proposal summary tab.

› If you decide an indirect conflict of interest exists, close the proposal summary and email MBIE at [email protected] to explain the reason why.

› If there is no conflict of interest, close the summary and click the Accept button adjacent to the proposal.

The proposal is allocated an In progress status.

6. Repeat the above steps for all the proposals assigned to you in your list.

A Full Proposal cannot be viewed until an assigned proposal has been accepted for assessment.



49Viewing and Printing Assigned Proposals

To accept (or decline) an assignment

1. Access the Home tab > Investment Assessment page > Current tab.

2. Click a proposal’s View Project link. The Full Proposal (in PDF form) displays in a separate browser tab.

3. From here you can view, print and if desired, download the Full Proposal to your computer to enable access without having to log into the MBIE portal.

The proposal number is prominently displayed in the header of the proposal.

Proposals must be kept confidential. You are required to:

› ensure the safe keeping of all proposals and related documents (eg workbooks and notes, etc.) during the assessment process.

› destroy all saved/printed proposals (or return to MBIE) after the assessment process is completed.

Recording AssessmentsYour assessments are due on or before the following dates.

KEY PORTAL DATES SMART IDEAS RESEARCH PROGRAMMES


Assessment ends. Assessments must by recorded in

the IMS portal

06 Feb 2020 01 July 2020 for assessment of Excellence: 30 Mar 2020

for assessment of Impact: 10 Jun 2020

To record your assessments


2. Click a proposal’s View Assessment link. A Scoring page opens in a separate browser tab.


50You can view and print the proposal by clicking the printer icon next to the proposal number at the top left of the Navigation panel. You must:

› ensure the safe keeping of all proposals and related documents, eg workbooks, notes, etc.

› destroy all saved/printed proposals once the assessment process is complete.

3. Enter your assessment scores and commentary into the relevant fields. The areas you are required to respond to are detailed in the Navigation panel on the left hand side of the screen. Either scroll down the page to view and enter all fields or click on a link in the panel for direct access.

Your entries are automatically saved at regular intervals. A Save and Undo panel displays (bottom right of the screen) every time an automatic save occurs at which time you are given the opportunity to Undo the changes, if necessary.

Ensure that your comments are professional, honest, accurate, and correlate to the score and description associated with the relevant scoring guide supplement. Do not include names and be mindful that:

– if requested to do so, they may be made available under the Official Information Act 1982.

– your comments form the basis of feedback to the Applicants.

– word limits for comments apply; these are shown in each Comment field.

Comment only to what you have been asked to assess, ie. Excellence or Impact.

When responding to the Vision Mātauranga questions, where there is a divergence between your view and the Applicant’s view as to whether or not Vision Mātauranga applies, give reasons for this. If Vision Mātauranga is not relevant to the proposal, and this is consistent with the Applicant’s view, the only comment you need to make is “Vision Mātauranga is not relevant to that proposal”.

You will also be asked to rate:

– how closely your area(s) of expertise aligns with the proposal; whether Aligned, Well aligned, or Very well aligned.

– if applicable to your assessment, the level of scientific or technical risk in the proposal; whether Low, Medium or High.


514. When your assessment is complete (you have recorded your assessment rating and comment(s) into all of the fields), click the Submit button. If you do not record an answer for every question, you will not be able to submit your assessment.

5. A summary dialog displays with your assessment. If your recorded answers are satisfactory to you, click the Submit button. If not, click the Back button to return to the Scoring page and modify your commentary.

The Submit button is not active until all fields are complete.

Once submitted, the proposal is automatically assigned the status Submitted.

6. Close the browser tab displaying the Scoring page and return to the tab displaying your list of assignments.

You may need to refresh the browser page to display the change in status.

7. Once you have completed and submitted all your proposals, click the Archive button for each proposal. The proposals will be automatically removed from your list of assignments.

View all archived assignments on the Archived tab. You can unarchive the proposal at any stage by clicking the Unarchive button.

Remember to destroy all saved/printed proposals after the assessment process is completed.


52 Checking the Status of your AssessmentsYou can check the completeness of your assessment of a proposal in the left hand Navigation panel of the scoring page.

THE COLOURED BAR INDICATES YOU HAVE

recorded a response

yet to respond

TIP: You can also click the mouse at the top of the Scoring page to view a Progress bar.

Recording Lead Assessor SummariesLead Assessors are sent email alerts when they can begin to enter their summary comments for a proposal. A Lead Assessor summary describes and summarises the individual Assessor scores and comments.

Lead Assessor comments are due on or before the following dates.

ASSESSMENT DUE DATES SMART IDEAS RESEARCH PROGRAMMES


Lead assessment ends. Lead assessment must be recorded in the IMS portal

26 Feb 2020 22 July 2020 for assessment of Excellence: 21 Apr 2020


Recording Assessment Summary Comments

This is for all proposals assigned to you.

To record your Summary comment:

1. Access the Home tab > Investment Assessment page > Current tab.2. Click a proposal’s View Assessment link and then click the View All button.

This button is only available to Lead Assessors when they have been alerted to enter their summary comments for a proposal.


53A summary screen detailing the assessment comments recorded for that proposal displays.

A separate line displays the recorded assessment of each Assessor assigned to the proposal. Click the symbol (located to the right of each assessment row) to expand the display and view their individual comments.

You can also click the proposal’s number to open and view the Scoring page. The status of each assessment is shown – the Lead is displayed in Green.

3. Enter your assessment comments in the Assessment Summary field and when complete, click Finalise.

4. A summary dialog displays with your assessment comments. If satisfactory to you, click the Finalise button. If not, click the Back button to return and modify.


54 Recording Revised Scores and Rationale

This is for Research Programmes Impact assessments only.

To record your Revised Scores and rationale:


2. Click a proposal’s View Assessment link and then click the View All button.

This button is only available to Lead Assessors when they have been alerted to enter their summary comments for a proposal.

A summary screen detailing the assessment comments recorded for that proposal displays.

A separate line displays the recorded assessment of each Assessor assigned to the proposal. Click the symbol (located to the right of each assessment row) to expand the display and view their individual comments.

You can also click the proposal’s number to open and view the Scoring page. The status of each assessment is shown – the Lead is displayed in Green.

3. The median Assessor scores for ‘Benefit to New Zealand’ and ‘Implementation Pathway’ criteria display for your consideration. Confirm or change these scores in the Revised Score field.

Note that MBIE calculates and uses the median of the individual assessment scores. This is not the mean (average) and is used to reduce the effect of outliers.

4. In the Rationale field, enter the rationale for your Revised Score.

5. In the Assessment Summary field, enter your Assessor summary comments.

6. When complete, click Finalise.

7. A summary dialog displays with your assessment comments. If satisfactory to you, click the Finalise button. If not, click the Back button to return and modify.


55


57

New Zealand’s science and innovation systems are critical to boosting the number of knowledge-intensive, internationally-connected firms. The Ministry of Business, Innovation & Employment (MBIE) works to lift business expenditure on research and development, improve the benefits to the wider economy from business development assistance, and harness the potential of the digital economy.

MBIE’s funding and support programmes aim to build a high-performing science and innovation system that will transform New Zealand into a more diverse, technologically advanced, smart nation.

For more information on how we invest, see our Science and Innovation webpages.

https://www.mbie.govt.nz/science-and-technology/science-and-innovation/

endeavour fund assessment guidelines 2020 investment round€¦ · endeavour fund assessment...

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