Health Protection Research Units: Guidance for Applicants Stage 2

Introduction

The mission of the National Institute for Health and Care Research (NIHR) is to improve the health and wealth of the nation through research. NIHR delivers against this mission through six core workstreams set out in Best Research for Best Health - the next chapter.

The NIHR launched a new, two-stage, open competition in October 2023 to designate and fund NIHR Health Protection Research Units (HPRUs) in England.  We now invite those successful at Stage 1 to submit full application for Stage 2 of the competition process.  

NIHR HPRUs are partnerships between Universities and the UK Health Security Agency (UKHSA), and will act as centres of excellence in multi-disciplinary health protection research in key priority areas.

Role of NIHR HPRUs

The purpose of the NIHR HPRU scheme is to support UKHSA in delivering its functions and objectives for public health protection, including an immediate response to emerging priorities and by building an evidence base for public health protection policy and practice.  

The NIHR HPRU scheme will provide designation and funding to:

• Create an environment where world class health protection research, focused on the needs of the public, can thrive.
• Focus on priority areas which will have the greatest impact on public health protection.
• Provide high quality research evidence to inform decision-making by public health professionals, policy makers, those involved in operational delivery and service users.
• Enable translation of advances in health protection research into benefits for patients, service users and the public.
• Increase capacity and capability to conduct high quality multi-disciplinary health protection research and facilitate knowledge exchange and expertise across universities and UKHSA.
• Provide a flexible staff capacity in the event of a major health protection incident and retain a level of responsive research capacity to address emerging health protection research requirements.
• Contribute to addressing health inequalities through an increasing focus on underserved communities including relevant interventions, improving health outcomes in the health and care sector and for broader economic gain.

Priority Areas

Research partnerships are sought in the following priority areas with the expectation that one NIHR HPRU will be funded in each priority area:

• Evaluation and Behavioural Science
• Health Analytics and Modelling
• Emergency Preparedness and Response
• Public Health Genomics
• Chemical Threats and Hazards
• Radiation Threats and Hazards
• Climate Change and Health Security
• Respiratory Infections
• Emerging Zoonoses
• Gastrointestinal Infections
• Blood Borne and Sexually Transmitted infections 
• Healthcare Associated Infections and Antimicrobial Resistance 
• Vaccines and Immunisation

Annex 1 contains summary objectives for each priority area. Applications may include additional health protection ideas, but these must be relevant to UKHSA’s remit and in support of the UKHSA Science Strategy (UKHSA Science Strategy 2023 to 2033 Securing health and prosperity) and the UK Biosecurity Strategy (UK Biological Security Strategy).

Engaging with UKHSA at Stage 2

All Stage 2 applications will be co-produced by the shortlisted universities and UKHSA. In order to ensure that all applications are prepared equally and efficiently, UKHSA have put an internal process in place, and identified leads for each priority area who will coordinate UKHSA’s contribution to applications and who will lead the HPRUs on behalf of UKHSA.

Scope 

NIHR HPRUs will perform world class, translational health protection research bringing together leading academic institutions with health protection professionals.  Each NIHR HPRU will have a focus on a priority area addressing specific health protection research requirements.  All NIHR HPRUs will consider Health Equity and Inclusion Health in order to understand health impacts on vulnerable groups and underserved communities, and the impact of interventions to reduce inequalities.

For each priority research area, funding will be awarded to a single University working in partnership with UKHSA and is to be used to support excellent health protection research relevant to the needs of UKHSA and as agreed with NIHR.  The purpose of the funding is to meet the research costs incurred by the University/UKHSA partnership in undertaking an approved programme of multidisciplinary research, including the funding of salaries for researchers and research support staff.

The focus of the remit of activity within an NIHR HPRU will be the delivery of health protection research in priority areas.  Each NIHR HPRU will be led by a Director from the Host University with proven experience and leadership in health protection research, including evidence of their ability to influence the practice of health protection delivery.  Each HPRU will be co-led by a UKHSA lead in order to ensure partnership working with the Director of the host university and that the HPRU is addressing UKHSA needs. 

To support health protection, all NIHR HPRUs, in addition to their work with UKHSA, will need to work with other relevant parts of the health and care system.  All NIHR HPRUs will be expected to work together to provide the experience and expertise to drive forward evidence generation to inform policy decisions or operational delivery.  Additionally, through collaborative working, the NIHR HPRUs will aim to facilitate where feasible the translation of health protection research findings into implementable evidence-based approaches to managing and improving public health.  

All NIHR HPRUs should take a multidisciplinary approach to their work.  Specifically, all NIHR HPRUs focussed on infectious disease topics should incorporate microbiology, virology, epidemiology and other disciplines (e.g. multidisciplinary and multi pathogen research) as appropriate into their programme of work supporting multidisciplinary research.

Priorities within the health and care system change and NIHR HPRUs will be expected to be responsive to support UKHSA’s response to emerging needs and situations that can arise (nationally and globally) which require access to research, research expertise and resources at short notice.  NIHR HPRUs will be expected to prioritise resources towards addressing national health and care priorities at the request of UKHSA and the Department of Health and Social Care (DHSC)/NIHR.

All relevant HPRUs, particularly those focused on infectious diseases, emergency preparedness and cross-cutting, will be required to include a specific theme addressing pandemic preparedness.  This will include research to support the development of the evidence and tools required to strengthen pandemic preparedness, having a strong clinical and public microbiology and/or virology component (including but not necessarily wet-lab virology) to aid research into the evaluation of diagnostics, therapeutics and vaccines for pathogens of pandemic potential.

Once funded, the NIHR HPRUs will be expected to continue to work with UKHSA and DHSC/NIHR to ensure that the agreed research programme evolves to meet the needs of UKHSA in delivering its objectives and functions for health protection during the five-year award.  NIHR HPRUs are expected to leverage additional research funding, including from other public, charity and industry research funding sources to undertake full scale studies.

Smaller Awards

Provision of additional NIHR funding may be considered for smaller awards on the recommendation of the funding committee where applications have not been selected for full NIHR HPRU designation but have demonstrated high quality in a specific targeted area of research within a priority topic or where applications that include multiple Themes may be reduced. If smaller awards are made in the same topic area as an NIHR HPRU, there will be one UKHSA lead for both awards and UKHSA will act as a focal point.   

NIHR HPRU Key features  

Multidisciplinary research teams

The programmes of research that NIHR HPRUs are expected to undertake will benefit from the expertise of a range of specialities. The following areas are suggested for possible inclusion in the team as appropriate to the proposed programme of research (and links to expertise in other HPRUs are encouraged): health informatics, health analytics and modelling, health economic analysis and behavioural science, toxicology, clinical and public microbiology and/or virology and public health genomics.  The strength and balance of the multidisciplinary team is a selection criterion for Stage 2 of the commissioning process.

NIHR HPRUs will be required to prioritise, design and conduct research which takes into account the need to reduce health inequalities showing a commitment to equality, diversity and inclusion.  It is also expected that Public and Patient Participation, Engagement and Involvement and research inclusion strategies will be built into HPRUs activities in both governance and individual research activities.

In order to ensure that the outputs of each HPRU are of relevance to delivery of public health practice, we encourage potential end users, (for example, a representative of UKHSA’s Health Protection Operations and/or from health equity and inclusion health) to be involved in the priority setting and governance of each HPRUs.

Responsive Research 

Public health needs evolve over time and specific unforeseen situations can arise which require research and research expertise at short notice. All NIHR HPRUs will be required to retain a level of responsive research capacity to address emerging health protection research requirements, as agreed with UKHSA and DHSC/NIHR.  The proportion of budget to be used for this type of work may vary across HPRUs, but applicants should be aware that responsive work may be required up to a value of  20% of the contract.  

NIHR HPRUs will also be required to provide an appropriate flexible staff capacity in the event of a major health protection incident.

Capacity Building

NIHR HPRUs will have a formal remit to support the development of a highly skilled research workforce to support the development of health protection research and meet growing demands in this area.  A particular success of the NIHR HPRUs to date has been the importance each HPRU has placed on developing and training future experts in health protection research.  The HPRUs are well placed to make a significant contribution to developing capacity in this area.  The future NIHR HPRUs are expected as part of their full application to demonstrate how they will support skills in the workforce development by providing theoretical and practical training, other placements and translational exchange fellowships. More specifically, the HPRUs will have a remit for academic capacity development and training across the full career spectrum, that supports greater equity of opportunities for all. This should include skills development and training, in discussion with UKHSA, based on emerging needs, and in developing future research leaders in this area  including supporting  plans for succession.

While the focus should be on developing early career researchers, consideration should be given to all stages of the academic career pathway, in particular, post-doctoral skills and training as well as future career development. Training and support should be in line with the principles and best practice set out within the Researcher Development Concordat.  Partnerships are expected to demonstrate how they align with the national offer from the NIHR Academy, including in areas of need for research capacity development.

Each NIHR HPRU will be expected to appoint an Academic Career Development (ACD) lead and to provide support across the career development pathway for staff at all levels from early training into continuous professional development to build capacity and expertise within health protection research.  The NIHR HPRUs will be expected to collaborate and engage with each other to support the transfer of knowledge and best practice in research capacity development. This will be facilitated by individual ACD Leads within each NIHR HPRU; the proportion of budget to be used for this type of work may vary across HPRUs, but applicants should be aware that the Academic Career Development work may require up to a value of 20% of the contract.

NIHR HPRU Training Programme

NIHR and UKHSA will be seeking to establish a pan-NIHR HPRU Training Programme where successful HPRUs will be provided with the opportunity to bid for extra funding (£1.5M)  where they will be required to submit a complimentary plan to their strategies above, highlighting how they will enhance training and activity offers to their academy members in their career development process embedding research and inclusion in their practice to provide a wide range of individuals with diverse background with the opportunity to access this career development programme.  These opportunities may not be limited to PhD students of the HPRU but also extended to UKHSA staff, e.g. UKHSA operative leads and UKHSA leads.  The NIHR HPRUs may consider designating mentors/senior staff from a pool of candidates with various backgrounds and expertise as an additional resource for guidance and tutoring of the workforce.  Further information in relation to the training programme will be provided post-commission.

Lead activities: Knowledge Mobilisation and Pandemic Preparedness

NIHR HPRUs are expected to carry out world leading health protection research resulting in high quality academic publications.  However, it is also important to engage directly with policy makers, those involved in operational delivery and service users, to ensure NIHR HPRU research plans and findings are relevant and actionable.  Knowledge mobilisation strategies help researchers to plan this engagement work and develop dissemination approaches that will have impact. Applicants will be required to explain how they will build knowledge mobilisation into their research and training plans. Successful applicants will be required to submit a final plan, with supporting logic model, within 6 months of the contract.  Each NIHR HPRU will be expected to appoint a Knowledge Mobilisation Lead to support the delivery of their knowledge mobilisation plans.

NIHR will be seeking to establish a Knowledge Mobilisation Hub where successful HPRUs will be provided with the opportunity to bid for extra funding to lead on this activity on behalf of all the HPRUs.  The purpose of the Knowledge Mobilisation Hub will be to provide a focal point for coordination and collaboration between the designated NIHR HPRUs for enhanced dissemination and knowledge mobilisation activities to enable effective communication/engagement with relevant stakeholders, particularly policy makers, practitioners and service users.  

There will also be an opportunity for individual NIHR HPRUs to apply to lead a Pandemic Preparedness Hub, the purpose of which will be to provide a platform for strategic coordination and a focal point for collaboration between the designated NIHR HPRUs on the subject.

Post commissioning, each successful NIHR HPRU can apply for additional funding for these various lead activities.  Further details on the process to designate the host organisation for these lead activities will be provided following the designation and funding of NIHR HPRUs.

Patient and Public Involvement and Engagement

The NIHR HPRUs will be expected to incorporate Patient and Public Involvement, Engagement and Participation in the development of their proposals and in both governance and individual research activities.

The NIHR HPRUs will be expected to work with relevant communities and individuals to develop their strategy for public and community involvement, engagement and participation and consider how their plans will contribute to delivering impact on health protection.  NIHR HPRUs should consider how their plans will respond to current challenges and opportunities for involvement, engagement and participation including; reflecting the diversity of the population (particularly those from underserved communities), fostering community-led approaches to research (sharing best practice), developing new methods and approaches, and demonstrating the impact of this agenda on improving health and care research.  NIHR HPRUs are also encouraged to align their plans, as well as work collaboratively with other patient/public and community involvement, engagement and participation efforts in their region (and where appropriate nationally) and ensure that, overall, sufficient resources, staff time and senior leadership are provided to support these activities. Applicants are encouraged to consider how they will support early career researchers to integrate PPIE as part of their doctoral training research delivered within the NIHR HPRU award. Applicants will be required to explain how they will address public and community involvement, engagement and participation in their research and, successful applicants, required to submit a final PPIE strategy within 6 months of the contract.  Each NIHR HPRU will be expected to appoint a PPIE lead to support the delivery of their PPIE strategy.

NIHR HPRUs should also consider how their plans will incorporate the six UK standards for public involvement in research; Inclusive Opportunities, Working Together, Communication, Learning and Support, Impact and Governance. The standards provide a framework for reflecting on and improving the purpose, quality and consistency of public involvement in research. They describe the building blocks for good practice and provide a baseline of expectations.  Please note that patient and public involvement, engagement and participation in research are distinct but often interrelated activities.  Please use NIHR definitions of ‘involvement’, ‘engagement’ and ‘participation’ to differentiate between these areas.

Research Inclusion  

Embedding inclusion in everything we do is one of the NIHR’s key operating principles and is key to the successful delivery of NIHR’s Research Inclusion Strategy. This requires active involvement of everyone within our NIHR people framework, as set out in NIHR's Research Inclusion Strategy 2022-2027.

Award holders will be expected to develop a distinct Research Inclusion strategy along with the allocation of appropriate resources, to demonstrate how this will be embedded throughout their research, culture and systems, in line with the themes outlined in NIHR’s Research Inclusion Strategy 2022 - 2027.  Applicants will be required to explain fully how they will address research inclusion and successful applicants will be required to appoint a Research Inclusion Lead and submit a fully developed plan within 6 months of the contract.

The NIHR INCLUDE project has issued guidance on improving inclusion of under-served groups in clinical research. The HPRUs are expected to consider under-served groups, as well as working to ensure equality of opportunity for individuals who share a protected characteristic as set out in the UK’s Equality Act 2010 and in alignment with the ambitions stated in the UKHSA Health Equity Strategy. HPRUs may wish to refer to the principles and best practice outlined within relevant Charters and Concordats in these areas, such as the Researcher Development Concordat and Advance HE’s Equality Charters.  Alongside these characteristics, the NIHR also considers socio-economic status, geographical location and access to health and social care: 

• Universities applying to the HPRU award will be required to demonstrate how the protected characteristics and underserved groups have been considered and addressed, including steps taken to ensure the work reduces existing inequalities, where appropriate, and should evidence how mitigation measures will reduce such inequalities.
• HPRUs should demonstrate how they support greater equality of opportunities through the skills training and workforce development offered. As part of this, HPRUs may undertake an assessment of their own diversity, especially within leadership and governance structures.  The HPRUs’ reflections on equality, diversity and inclusion will be considered as part of the overall assessment process.

Industry

NIHR HPRUs should consider where relevant the approach and strategy of the proposed HPRUs industry-collaborative research, and where possible provide examples of key strategic partnerships already in place that are directly relevant to the proposed Themes.  This could include evidence of a prior track-record working with industry, forward plans, or outline of a strategy for working with industry (including the life sciences industry and small and medium sized enterprises). Examples of the proposed industry collaborations should align with the research priority areas in Annex 1 and outline how the proposed collaboration supports UKHSA in delivering its objectives.

Further Considerations

Biosecurity Lead

Following designation and funding successful NIHR HPRU will be expected to identify an appropriately qualified individual to lead on biosecurity and provide advice to DHSC (including specifically to the CMO team and CSA), and to UKHSA when called upon to do so, to support the UK government’s Biological Security Strategy. As part of this, some HPRU staff will be expected to obtain Developed Vetting (DV) security clearance. 

Data Access

In order to access data held by UKHSA, institutions will need to have completed an assessment using the Data Security and Protection Toolkit and must have an adequate DSPT or ISO27001 to demonstrate adequate Information Governance security.  The Data Security and Protection Toolkit is an online self-assessment tool that allows organisations to measure their performance against the National Data Guardian’s 10 security standards.

All organisations that have access to or are intending to request access to NHS patient data and systems must use this toolkit to provide assurance that they are practising good data security and that personal information is handled correctly.  

NIHR position on the sharing of research data: The NIHR strongly supports the sharing of data in the most appropriate way, to help deliver research that maximises benefits to patients and the wider public, the health and care system and which contributes to economic growth in the UK. To enable research data to be discoverable and effectively re-used by the scientific community, researchers are required to take the actions outlined with the NIHR policy on sharing of research data.

Health Data Research UK (HDRUK) FAIR Principles: NIHR expects that data, resulting from research activity funded by the NIHR HPRU award will conform to FAIR Principles as set out by HDRUK within a reasonable period following initial data analysis and publication.

NIHR Open Access Policy: NIHR HPRUs will be required to comply with the expectations in NIHR's Open Access policy, and identify funding for Open Access as part of the application.

Data Exclusivity Deals: The NIHR operates an open and transparent research system and would not expect to award funding to universities that has signed data exclusivity deals that either limit or restrict the use of data held by the NIHR HPRU to individuals, organisations or companies. The NIHR would expect to be notified of any approaches for data exclusivity deals immediately. University partnerships are expected to adhere to the principles outlined in the ‘Creating the right framework to realise the benefits of health data guidance’ when taking decisions about entering into data agreements. 

UK Health Data Research Alliance: The UK Health Data Research Alliance is an independent alliance of leading healthcare and research organisations united to establish best practice for the ethical use of UK health data for research at scale. Any university hosting an NIHR HPRU, not already a member, will be expected to join the Alliance and have an agreement in place within the first 12 months of the contract start date. 

Application process and Timetable

Eligibility Criteria

A joint application at Stage 2 must be led by a single host university that was shortlisted as part of Stage 1 process.  That university must co-produce the application in partnership with UKHSA for submission at Stage 2.  The joint application must be in the priority area for which the university was shortlisted at Stage 1. 

The host University may identify an additional University and/or organisation who would form part of the designated NIHR HPRU and would work with the contracted host University/UKHSA partnership to deliver its programme of work.  Any additional University and/or organisations would have specified roles in the application as collaborators.  The type and structure of the relationships with the different proposed partners should be included in the application.  In addition, a public sector partner with a strong research portfolio which can bring added value may also form part of the NIHR HPRU application at Stage 2.  The funding will not support large consortia proposals with multiple lead institutions. 

Each NIHR HPRU will be led by a single HPRU Director who has a contractual relationship with the lead university and will have direct control of the funding. UKHSA has selected a UKHSA lead for each NIHR HPRU to work alongside the Director.

Programme of Work

At Stage 2 applicants will be required to present detail for the specific programme of work to be conducted including detail of each Research Theme.  It is expected that each research theme will have both a university and UKHSA lead.

Funding and Financial Information

Funding will be awarded for a five year period starting 1 April 2025.  Full costs are to be submitted in the Stage 2 application.

A total of up to £77 million is available for the overall NIHR HPRU scheme over a five year period (starting 1st April 2025).  The expectation is that thirteen HPRUs are likely to be funded, i.e. one for each priority area.  The amount of funding has not been predetermined, however funding is expected to be no more than £5.5 million per NIHR HPRU for the five-year period.  For this call we will be commissioning only one NIHR HPRU addressing Healthcare Associated Infections and Antimicrobial Resistance with a funding limit up to £11 million for the five-year period.  All funding decisions will be informed by the scale, nature and quality of the research activity to be conducted by an individual NIHR HPRU.  

No DHSC capital funding will be available for NIHR HPRUs as part of this funding competition.  Therefore applications should only include research that can be undertaken within existing facilities or planned facilities that the host university of UKHSA is investing in alone, or with other external organisations, with confirmed funding.

Successful host universities will enter into a formal partnership with UKHSA.  Additionally, it will be permissible to pass funding from the host university to other collaborating institutions involved in the programme of work of the NIHR HPRU via subcontract provided that there are good reasons for doing so and these are fully justified in the Stage 2 application.

The financial information required for Stage 2 applications is provided in Annex 3.

Stage 2 Selection Criteria

At Stage 2, the same Independent Funding Committee that reviewed NIHR HPRU Stage 1 applications will review the shortlisted applications and make recommendations to DHSC on which applicants should be invited for interview and following interview which applications will be successful for NIHR HPRU designation and funding. The information provided in the stage 2 application will be assessed against the following selection criteria:

• The strength of the strategic plan including: the leadership and governance arrangements; a clear demonstration of patient and public involvement; plans to support improvements in research culture; and a commitment to equality, diversity and inclusion;
• The depth and breadth of high-quality health protection research; and a proven ability to perform world class, translational health protection research bringing together leading academic institutions with health protection professionals, including evidence of their ability to influence the practice of health protection delivery, to drive forward evidence generation in order to inform policy decisions or operational delivery, to facilitate where feasible the translation of health protection research findings into implementable evidence based approaches to managing and improving public health and deliver benefits for patients and the public, the health and care system and for broader economic gain;
• The strength and balance of the multidisciplinary team;  
• The strength of the strategic partnerships including the commitment to collaborative working with UKHSA across NIHR HPRUs and in the ecosystem, other sectors engaged in public health research and relevant parts of the health and care system;  support UKHSA’s response  to emerging needs and situations that can arise (nationally and globally) which require access to research, research expertise and resources at short notice.  NIHR HPRUs will be expected to prioritise resources towards addressing national health and care priorities at the request of UKHSA and the Department of Health and Social Care (DHSC)/NIHR; 
• The existing capacity and capability to support health protection research and plans for increasing capacity, including through the provision of relevant training and career development opportunities for academics and UKHSA staff; 
• Value for money.

Process and Timetable

Stage 2
21 February 2024	Stage 2 guidance and invitation to submit full application (Stage 2)
28 May 2024	Closing date for receipt of full applications
29-31 July and 1 August 2024	Independent Funding Committee meeting with applicant interviews
September 2024	Department of Health and Social Care confirm selected NIHR HPRUs
1 April 2025	Funding for selected NIHR HPRUs commences

Please note that the following research areas are excluded from this call:

• Animal research: the NIHR does not support work involving animals or their tissues; 
• De novo development of new vaccines and therapeutics;
• Clinical trials that we would normally expect to be funded through other NIHR programmes.
  

Annex 1: Priority Areas

-	Priority Areas	Summary paragraph
1	Evaluation and Behavioural Science	Research including enhancing methodologies for designing and evaluating health protection interventions, particularly those involving behaviour change. Evidence synthesis and research into translation of evidence into policy and practice.
2	Health Analytics and Modelling	Research into data analytics and modelling in health protection including all threats. Develop system capabilities and capacity for health protection analytics, and modelling including techniques such as statistical analysis, data mining, machine learning, and deep learning for health protection and scenario modelling to inform policy on the impacts of interventions. Research to include Health Economics to undertake cost-effectiveness evaluations of interventions.
3	Emergency Preparedness and Response	Research to improve the capability to plan, prepare for and respond to major health protection incidents and emergencies affecting the UK public including both infectious diseases and environmental threats to health. To focus on evidence of effective preparedness and response including operational aspects.
4	Public Health Genomics	Research to enhance health protection surveillance and response through the development and application of genomics approaches and integrating genomic and other types of data. The HPRU should consider both laboratory, analytical aspects of genomics particularly implementation and evaluation tools and approaches for public health benefit.
5	Chemical Threats and Hazards	Research to inform understanding of the health impacts and the risk assessment of chemical hazards and environmental exposure to pollutants and their risk management through policy and/or practice. This to include relevant aspects of outdoor air quality and health. Excluding aspects of biological threats. Development of toxicological capacity and inclusion of deliberate releases.
6	Radiation Threats and Hazards	Research to improve evidence and capacity for effective control of radiation risks to health. This to include research required to strengthen response to accidental and deliberate releases.
7	Climate Change and Health Security	Research to inform work to protect health in the context of a changing climate. This includes improving understanding of the health impacts of climate change and effective interventions to protect health including approaches to adaptation and interventions to support resilience to climate change, particularly for vulnerable populations. To include research into indoor air quality including mould and other indoor contaminants. This HPRU does not include net zero and mitigation actions, active transport and health improvement research which is covered through other funding routes and is outside the scope of UKHSA
8	Respiratory Infections	Research to improve effectiveness in the prevention and control of respiratory infections, including TB and responding to outbreaks including both epidemiology and microbiology aspects of respiratory infections, including diagnostic evaluation.
9	Gastrointestinal Infections	Research to improve effectiveness in prevention of gastrointestinal infections and responding to outbreaks.
10	Emerging Zoonoses	Research to provide a better understanding of emerging infections and zoonoses supporting a one health approach, their impact on humans, including those with animal reservoirs and how to improve effectiveness in the prevention, detection, and response to outbreaks.
11	Blood Borne and Sexually Transmitted Infections	Research to improve effectiveness in preventing and reducing the burden on infections transmitted through blood and/or sexual contact: STIs including HIV Hepatitis, including epidemiological and microbiological aspects. Research into accelerating progress against elimination targets
12	Vaccines and Immunisation	Research to improve health outcomes through vaccines including both research to support the development and evaluation of new vaccines, including, importantly immunology research as well as research to optimise immunisation programmes and schedules.
13	Healthcare Associated Infections and AMR (1 HPRU)	Multidisciplinary research to inform the prevention and control of healthcare associated infections and of antimicrobial resistance and support the delivery and accelerate progress towards the AMR action plan.

Annex 2: Outline of the Stage 2 Application Form

A joint application for NIHR HPRU designation and funding will be expected to be co-produced with UKHSA.  Universities applying are asked to complete and submit the following details and supporting evidence using the NIHR’s Research Management System (RMS):

• A Full Application
• A Full Financial Plan
• Curriculum Vitae (CV) for the Director, University Lead, UKHSA Lead, ACD lead, PPIE Lead RI Lead and Knowledge Mobilisation Lead.

The Stage 2 application form is set out below. Please note, some sections of the Stage 2 application form shall pull through information from Stage 1.

Details of the Proposed Priority Area

1.1 Pulled through from Stage 1.

Details of the proposed NIHR HPRU 

2.1 Please use the following format NIHR-Name of the Priority Area-HPRU. Pulled through from Stage 1.

Details of the host university

3.1 Details of the University who will host the NIHR Health Protection Research Unit (HPRU). Before submission, specified representatives of the institution will need to fully endorse the application for an NIHR HPRU award and confirm that appropriate support will be provided to the HPRU should the application for funding be successful.

Details of the Director and UKHSA lead

4.1 The name of the NIHR HPRU Director; this must be agreed by both the host University and UKHSA.

4.2 The name of the UKHSA Lead for this application.

Details of any other partners

5.1 A list of any collaborating universities and/or public sector partners.  Please list any additional partners that will be formal partners in the NIHR HPRU. Partners will be pulled through from the Stage 1 application form. No new partners other than those listed in the Stage 1 application may be added at Stage 2.  

5.2 Letters of Support from partner organisations are required.  All letters of support must  be collated into a single document and then uploaded as a single pdf file.

Plain English Summary

Please provide a plain English summary describing the specific overarching aims of the proposed NIHR HPRU.  It should explain:

• The nature of the proposed NIHR HPRU.
• The research questions it aims to address and the potential outcomes of the research findings.

This should be aimed at members of the public and be written clearly and simply, without jargon and with an explanation of any technical terms included.  The summary may be made publicly available. (500 words)

Leadership, Management and Governance

7.1 Please describe the leadership and expertise demonstrated by the proposed HPRU Director, UKHSA Lead and Research Theme lead(s) and other key researchers and their proposed contribution to the NIHR HPRU (1000 words). This should include:

• Evidence that they are at the forefront of their fields.
• Evidence of a track-record in the priority area and their vision for the proposed HPRU. 
• The organisational leadership experience of the Director, including evidence of their ability to influence the practice of health protection delivery at a local, regional and/or national/international level. 
• Evidence of their experience in progressing health protection research.
• The role they will be undertaking in the NIHR HPRU.
• A statement highlighting the Director’s commitment to, and experience of, improving research culture and equality, diversity and inclusivity in the research workforce.
• Evidence of commitment to developing research capacity and capability within health protection research, including supporting emerging leaders and plans for succession.
• The percentage Full Time Equivalent (FTE) they will commit to the HPRU.

7.2 Please describe the management and governance arrangements for the proposed NIHR HPRU (1000 words)

Describe the management arrangements for the proposed NIHR HPRU and confirm that the proposed Director of the NIHR HPRU will have responsibility for, and authority over, the NIHR funding, if awarded. Please explain:

• The oversight arrangements for joint working between the university and UKHSA, and any additional organisations or universities that will form the NIHR HPRU.
• How the Director, UKHSA Lead and Theme Leads will manage and monitor the programme of work including how responsibilities will be determined for joint appointments.
• How the HPRU proposes to identify research needs and evidence gaps and how these will be prioritised to form a programme of work focussed on the needs of UKHSA
• The proposed NIHR HPRU’s governance arrangements and ways of working between the University and UKHSA.
• The processes for managing the allocation and monitoring funding.
• The centre’s arrangements for overseeing capacity building; patient and public involvement and engagement; equality, diversity and inclusion; and communication/dissemination of NIHR HPRU activities.

7.3. Please provide an organogram outlining the proposed Governance arrangements for the proposed NIHR HPRU.

Strategic Plan

8.1 The partnership’s overall strategy to develop and conduct high quality, multidisciplinary research relevant to health protection, in support of UKHSA in delivering its objectives and functions for public health and addressing the need to reduce health inequalities, including by building an evidence base for public health policy and practice. Please describe the Partnership’s plans for managing, disseminating and/or exploiting intellectual property (this may include but is not limited to the results, the research data, arising know-how and any other registrable IP). (1500 words, table excluded from word count) Please include:

• The vision and aims of the NIHR HPRU and the relevance of these to health protection and UKHSA’s identified priorities.  This should include:
• A brief outline of the Themes, to show how they will be brought together into a coherent plan.
• The key research areas that the NIHR HPRU is aiming to tackle and how the funding will support these. This should demonstrate how the research will identify and reflect the needs of health protection and UKHSA’s identified priorities, taking into account the diversity of the population and how the outcomes of the research could contribute to policy and impact the public.
• The proposed operational plan, including mechanisms for tracking and monitoring progress against the objectives of the HPRU: 
• Use the table to set out specific (SMART) objectives that will be used to track the progress of the proposed NIHR HPRU.  Please include details of how the proposed NIHR HPRU will monitor and determine successful completion of each objective.  Objectives should be specific enough to provide an overview of the HPRU’s activities but should not be a granular description of each milestone. Please include: 
• Short term objectives (1-2 years).
• Medium term objectives (2-3 years).
• Long term objectives (4-5 years).
• Indicate how each Theme enhances the proposed NIHR HPRU, and how each links to the overall objectives stated above (One supporting diagram may be uploaded).
• How the expertise of any additional partners will strengthen the delivery of the NIHR HPRUs overall objectives and strategy.
• How the NIHR HPRU will retain a responsive capacity to respond to emerging health protection research requirements.
• How the NIHR HPRU will provide a flexible staff capacity in the event of a major health protection incident.

8.2  Please describe the existing strengths and track-record in translating advances from research into public health practice in the proposed priority area, including the impact the partnership’s research has had on public health (1500 words total). This should include (400 words per example):

• The track-record of working with relevant stakeholders.
• Three specific examples over the last five-year period of how previous research in the proposed priority area has been translated, describing the outcomes and impact or potential impact. The information presented should be understandable to all members of the funding committee and should be written clearly without the use of jargon and any technical terms should be explained. 

NIHR HPRU Theme Details

9.1 Details of each of the specific Research Themes to be conducted (1000 words)(up to a maximum of five Research Themes can be proposed). For each Theme, please provide details of the specific programme of work to be conducted, including:

• The name of the Theme.
• The proposed Theme Lead(s).  There should be a named Theme Lead from the host University (or relevant HEI partner) and UKHSA.   
• Key researchers contributing to the proposed Theme [Name and expertise/ experience].
• The strategic rationale for the Theme and the specific areas the Theme will address. This should demonstrate how the research will follow health protection and UKHSA’s needs and reflect the diversity of the population (including support for research activities being conducted in areas with the greatest disease burden, in collaboration with local investigators)
• The Theme’s relevance to the needs of UKHSA and how outputs will support UKHSA in delivering its objectives.
• A brief outline of key projects anticipated over the first year.
• A description of the expected outputs from the research and the impacts anticipated (including the intended audience, how the impacts will be achieved and likely time frame).
• Demonstrate how the approaches to be taken will impact health protection, UKHSA’s needs and contribute to policy.

9.2. Please complete the table to set out specific Theme-level (SMART) objectives that will be used to demonstrate, and manage, the progress of the Theme. Objectives should be specific enough to provide an overview of the Theme activities but should not be a granular description of each milestone:

• Short term objectives (1-2 years).
• Medium term objectives (2-3 years).
• Long term objectives (4-5 years).

9.3. Partnerships required to support the Theme (300 words). Where relevant, please provide details of how any proposed additional partners (universities or other organisations) will contribute to the Theme. This should include a description of:

• The role they will contribute and the additional expertise they will bring.
• Examples of any previous successful research collaborations between the additional partner(s) and the partnership.

Financial plan

10.1 The financial plan provides the financial summary for the whole NIHR HPRU. This will require:

• Detailed breakdowns of costs for staff posts and salaries, travel, subsistence, conference, equipment, consumables, PPIE, dissemination (including Open Access costs), unallocated research funding, other direct costs, indirect costs and NHS support costs (if applicable).

Costs should be separated into Core and Theme Costs:

• Core costs should only include costs for the overall management and operation of the NIHR HPRU rather than for the delivery of a specific theme. For example, this might include staff costs for roles such as the HPRU Director, Manager, ACD, PPIE, RI and Knowledge Mobilisation Leadership etc.
• Theme costs should include all costs associated with delivering the work programme of the theme.
• All applications are expected to have appropriate UKHSA and other partner organisation input into the finance section of the application form.

10.2 Justification of Resources Requested: please provide a description of how these resources will be deployed to support the work of the proposed NIHR HPRU (750 words), including:

• Justification for the resources requested.
• The financial or other contribution from the Lead University and any collaborating universities and/or public sector organisations, noting that value for money will be a key aspect in the designation and funding of the new round of NIHR HPRUs.
• How the proposed research would be adapted in the event of the final award being different by the funding scenarios (+10% or -10%) of that applied for.

10.3 Summary of resource requested for Academic Career Development (ACD) and capacity building, PPIE and RI (200 words per activity: 600 total)

• Please provide the total value of the cost that you anticipate will be allocated to delivering ACD activities and capacity building (monetary value) within the main award.
• Please provide the total value of the cost that you anticipate will be allocated to delivering PPIE activities (monetary value).
• Please provide the total value of the cost that you anticipate will be allocated to delivering RI activities (monetary value).

10.4 Please provide a statement on how activities would be prioritised in the event of the final award being decreased by the following levels of that applied for:

• -10%, or -50%. (300 words) 

Collaborative Working 

11.1 Please outline (500 words):

• The strength of the existing strategic partnerships between the host organisation, UKHSA and other partner university(ies)/collaborators that are highlighted in the application.
• The proposed NIHR HPRU’s plans and intended approach to work collaboratively with other funded NIHR HPRUs.     
• The resources (drawn from the proposed NIHR HPRU award and/or other resources available to the partnership) that will support the proposed NIHR HPRU’s contribution to collaborative efforts to build an HPRU community.

11.2 Outline how the HPRU will focus its support on local innovation clusters whilst developing and generating evidence for health protection, UKHSA’s needs and contribute to policy.  Please provide examples of key strategic partnerships already in place that are directly relevant to the proposed Themes. (1000 words)

11.3 Please outline the approach and strategy to support the proposed NIHR HPRU’s commitment to collaborative working across NIHR and with other parts of the NIHR ecosystem/schemes (e.g. BRCs, PSRCs, ARCs, HRCs). (500 words)                    

Capacity Building and Training (600 words)

12.1 Academic career development (ACD) lead name 

12.2 The partnership’s strategies, objectives and plans for research capacity development for research staff, research support staff and academics in training, explaining how this builds on the partnership’s track record in this regard and how it will align with the NIHR Academy and its offer to its Members and Associates, this should include:

• The attributes of the research training environment and the efforts to be made to ensure that all research staff, as well as those on an academic pathway, receive a high-quality development experience; (This may include, but is not limited to, highlighting the approach taken to leadership, research management, mentoring, addressing areas of low research capacity, presenting opportunities to participate in priority research areas, skills development and training on the basis of emerging needs (e.g. toxicology and in discussion with UKHSA), and in developing future research leaders in this area  including supporting  plans for succession) 
• Please include a clear statement of the Partnership’s equality, diversity and inclusion strategy, and its application to research staff, research support staff and academics in training which we expect to include flexible working arrangements and support for people at all stages on the career pathway.

Patient and Public Involvement, Engagement and Participation (PPIE) (600 words)

13.1 PPIE Lead name

13.2 Please describe the partnership's approach to and future plans for Patient and Public Involvement and Engagement in research. This section should consist of:

• The NIHR HPRU strategic aims for PPIE including the approach that will be taken to equality, diversity and inclusion and the need to reach underserved communities.
• The HPRU’s programme(s) of activity to deliver its aims, ensuring inclusive opportunities for involvement and engagement across the research Themes and the organisational structure of the institution.
• An outline of the resources that the NIHR HPRU intends to commit to delivering the programme of activities, highlighting the role(s) and FTE that will be committed to enable delivery of the PPIE strategy.  Please consider what resources you will put in place to support novel involvement and engagement mechanisms such as community engagement, digital engagement, training for PPIE representatives or other models that broaden reach.
• The relevant strategic and operational partnerships and collaborations at the local, regional and national level.
• The processes for assessing and evidencing the impact of the proposed NIHR HPRUs PPIE approach - and for capturing and sharing the wider learning that is generated - across the full spectrum of research delivery/dissemination.
• The leadership mechanisms that ensure progress in delivering the plans feed into the management and governance processes of the proposed NIHR HPRU. 

Applicants should consider how they will support early career researchers to integrate PPIE as part of their doctoral training research delivered within the NIHR HPRU award, and how their plans will respond to current challenges and opportunities for involvement, engagement and participation, including how this will support and promote equality, diversity and inclusion.

Research and Inclusion (600 words)

14.1 Research and Inclusion Lead name

14.2 Please describe the partnership's approach to and future plans for Research and Inclusion activities. This section should consist of:

• The NIHR HPRU strategic aims for Research and Inclusion, including the approach that will be taken to equality, diversity and inclusion and the need to reach underserved groups and communities taking into account socio-economic status, geographical location and access to health and social care.
• The HPRU’s programme(s) of activity to deliver its aims, ensuring inclusive opportunities for involvement and engagement across the research Themes and the organisational structure of the institution.
• An outline of the resources that the NIHR HPRU intends to commit to delivering the programme of activities, highlighting the role(s) and FTE that will be committed to enable delivery of the RI strategy.  Please consider what resources you will put in place to demonstrate how the protected characteristics have been considered and addressed, including steps taken to ensure the work reduces existing inequalities, where appropriate, and should evidence how mitigation measures will reduce such inequalities.
• The relevant strategic and operational partnerships and collaborations at the local, regional and national level.
• The processes for assessing and evidencing the impact of the proposed NIHR HPRUs RI approach - and for capturing and sharing the wider learning that is generated - across the full spectrum of research delivery/dissemination.
• The leadership mechanisms that ensure progress in delivering the plans feed into the management and governance processes of the proposed NIHR HPRU. 

Applicants should consider how they will support greater equality of opportunities through the skills training and workforce development offered, and how their plans will respond to current challenges and opportunities for involvement, engagement and participation, including how this will support and promote equality, diversity and inclusion.

Knowledge Mobilisation (600 words)

15.1 Knowledge Mobilisation Lead name

15.2 The partnership’s strategy and plans for knowledge mobilisation of research findings including engagement of policy makers, those involved in operational delivery and service users, including (600 words):

• How the NIHR HPRU will enable translation of advances in health protection research into benefits for patients and the public.
• How the NIHR HPRU will ensure NIHR HPRU research plans and findings are relevant and actionable.
• How the NIHR HPRU will provide high quality research evidence to inform decision-making by public health professionals.
• A description of how the proposed NIHR HPRU will facilitate knowledge exchange and mobilisation.
• How the NIHR HPRU will build knowledge mobilisation into their research and training plans.
• Indicate whether the partnership would be prepared to take on a leadership role across the funded NIHR HPRUs to coordinate a knowledge mobilisation hub.

Pandemic Preparedness (600 words)

NIHR HPRUs covering infectious diseases, emergency preparedness and the cross-cutting HPRUs are required to include a specific theme addressing pandemic preparedness (PP). 

16.1 Pandemic Preparedness Lead name

16.2 The partnership’s strategy and plans for (600 words):

• Including research to support the development of the evidence and tools required to strengthen pandemic preparedness.
• Including a strong clinical and public microbiology and/or virology component (not necessarily wet-lab virology).
• Aiding research into the evaluation of diagnostics, therapeutics and vaccines for pathogens of pandemic potential.

Declaration and Signatures

• Please confirm that the proposed Director of the NIHR HPRU will have responsibility for, and authority over, the NIHR funding if awarded. 
• Details of the University and authorisations to endorse the application for an NIHR HPRU and confirm that appropriate support will be provided should the application be successful.  Specified representatives of the institution should fully endorse the application for an NIHR HPRU award and confirm that appropriate support will be provided to the HPRU should the application for funding be successful.
• Details of the authorisation for UKHSA who will endorse the application and confirm that appropriate support will be provided should the application be successful.  Specified representatives should fully endorse the application for an NIHR HPRU award and confirm that appropriate support will be provided to the HPRU should the application for funding be successful.
• Please provide the details of an administrative lead as a secondary point of contact for any queries relating to the application, should it be supported.

RMS will automatically generate ‘sign off’ emails from the Director(s), and Institutions including Trust Finance and CEO.

Research Office Contact Details

Please provide the contact details of an individual in the host University’s research office who will act as a point of contact for this application, should it be supported.

Acknowledgement, review and submit

Conflicts of interest

Please declare any conflicts or potential conflicts of interest that you or your partner organisations may have in undertaking this research, including any relevant personal, non-personal and commercial interest that could be perceived as a conflict of interest.

Please declare any conflicts or potential conflicts of interest for the University Lead and UKHSA Lead and Research Theme Leads, may have in undertaking this research, including any relevant personal, non-personal and commercial interest that could be perceived as a conflict of interest.

Examples include (this list is not all encompassing) secondary employment, consultancy, financial or commercial gain (pensions, shareholdings, directorships, voting rights), honoraria, etc. In a case of commercial sector involvement with the application or the study, please state clearly the relationship to ownership of data, access to data, and membership of project oversight groups.

Agreement to terms and conditions - Director

In ticking this, you as Director confirm that the information given on this form is correct and that you will be actively engaged in this research and responsible for its overall management.  In addition, I will accept responsibility for ensuring that the Host University and interested parties are kept informed.

Ticking this box constitutes an electronic signature of the Director with regard to this application.

Validation

Please follow the next steps in order to complete your application submission process:

• Validate all mandatory/required fields listed below (that are required to be completed/amended before submitting)
• Check all co-applicants, this includes the University Lead, PHE lead and Research Theme Leads, have completed their CV details as appropriate and review the PDF final version for any formatting issues
• Click 'Save and Close'
• Click the 'Submit' option (this must be completed by 13:00 on 28 May 2024)

You will receive an automated email containing the acknowledgment that we have received your application.

If there are no validation requirements above, you may be ready to submit the application. To do so 'Save and Close' the application and then click ‘Submit’.

Annex 3: Stage 2 - Financial Information

The purpose of NIHR Health Protection Research Units (HPRU) funding

The purpose of the funding is to meet the Higher Education Institute (HEI)-UKHSA partnership research costs incurred by the NIHR HPRU in carrying out an approved programme of work. 

Our expectation is that NIHR HPRU funding will fund a team of staff who will enable a range of collaborating partners and stakeholders to be brought together to generate a programme of work, leading to the generation of high-quality follow-on research projects supported by other research funders (e.g., research councils, charities, industry or other NIHR funding streams e.g., i4i, HTA and EME) and/or potentially also in collaboration with industry.

Funding awards will be made to the designated HEI organisation, but it is permissible for funds to flow to other organisations that are formally part of the NIHR HPRU, via a suitable mechanism such as a subcontract.

The financial plan

The financial plan should provide a breakdown of the direct costs and reasonable indirect costs  for which funding is being requested to carry out the proposed work plan.

It is important to undertake a thorough, realistic and accurate costing. You must provide a clear and full justification for all major resources. You must also ensure that you include all costs, including those required to secure good research management and governance. In all cases, the value for money of the proposal will be an important selection criterion.

Justification of costs

Provide justification for the resources requested, including the following:

• Staff costs,
• Travel, subsistence and conference fees
• Equipment (including lease versus purchase costs)
• Consumables
• Patient and Public Involvement, Engagement and Participation
• Any other direct costs
• Dissemination costs including Open Access
• Indirect costs

For help with estimating PPI costs please see the NIHR payment guidance for researchers and professionals.

You should indicate here how this research will potentially benefit the NHS and/ or public health and social care sector. For example, where appropriate, describe the likely cost savings or benefits in terms of numbers of patients treated, treatment times, service users or carers supported etc.

You should describe the value for money of the conduct of the proposed research.

As appropriate, please also provide justification for the NHS or Public Health Support and Excess Treatment cost detailed in the SoECAT. If there are no NHS or Public Health Support or Excess Treatment Costs associated with the research you must explain why you think this is the case.

Detailed Budget Breakdown

The finance section should provide a breakdown of costs associated with undertaking the research as described in the proposal. Please refer to the associated ‘How to complete the finance form’ or short video for guidance about how to complete this section of the application form.

General information

The information entered in this section should provide an analysis of the total funds requested to undertake the research proposed and should be based on current prices. These costs will be used to assess value for money.

It is in your best interest to undertake a thorough, realistic and accurate costing. As this is the full application, the committee will pay close attention to any material increase in costs. You must provide a clear and full justification for all costs including NHS costs. You must also ensure that you include all costs including those required to secure good research management. 

• We recognise that the current higher level of inflation is increasing costs in research. NIHR aims to ensure that the cost of research is properly recompensed, therefore we will consider appropriate, evidenced inflationary price increases, including pay deals, within current contracts. Researchers should present evidence justifying any additional inflationary costs at contract close, with any pre-close pressures managed through normal contract management.
• Years should be calculated starting from the anticipated start date of the proposed research. For example, if your research is expected to start on 01 April 2025 then its second year starts 01 April 2026.
• Further itemisation of costs and methods of calculation may be requested to support the application at a later date.
• Payments will be made to the contracted organisation only and the contracted organisation will be responsible for passing on any money due to their partner organisation(s).
• Appropriate sub-contracts must be put in place for any element of the research which is to be paid to another organisation.
• NHS support costs, including costs for Public Health research, are funded via Clinical Research Networks. Researchers should contact their local NHS R&D department initially and, if they are unable to help directly or if there is no local NHS R&D department, contact the Local Clinical Research Network (LCRN) senior manager for advice on NHS support costs. Further details about LCRN contacts are available on the "NIHR LCRN website". 
• All applications are expected to have appropriate NHS, HEI, commercial and other partner organisation input into the finance section of the application form.
• Non-commercial led Awards (e.g., NHS, HEI etc.) will be paid via BAC transfer payment schedules. The NIHR will release funds net of VAT as Research and Development is considered VAT exempt. There are some cost items within an application which may incur VAT, such as equipment or subcontractors. If the applying organisation is unable to claim back the VAT on these items (e.g., maybe they are not VAT registered) then applicants can charge the gross value to the application.

Please note that whilst the applicable percentages will be used to calculate the maximum grant payable, the programme reserves the right to award a grant for less than this maximum where it is considered appropriate.

Supporting Information

Prior to completing the finance section of the application it is important applicants have a good understanding of the Attributing costs of health and social care Research and Development (AcoRD) guidance.

The AcoRD guidance clarifies the distinction between research costs, NHS support costs and NHS treatment costs associated with non-commercial research studies/programmes:

We strongly recommend that applicants familiarise themselves with these definitions, and consult AcoRD Annex A and AcoRD Annex B as well as the NIHR webpage on Excess Treatment costs

Please note the following:

• Applicants need to separate eligible direct and indirect research costs as well as NHS or Public Health support costs. The finance form is formatted to allow applicants to separate these costs. Guidance on how to complete the finance form is provided within the finance section of the application. 

• Further itemisation of costs and explanation of calculation methods may be requested to support the application if required.
• Applications should be costed at current prices.
• We expect standard organisational accounting policies and guidance to be followed in determining the appropriate costs to be charged to this Research Infrastructure Award.
• Where necessary applications are expected to have appropriate NHS, university, commercial and other partner input into the finance section.
• The NIHR will not support any costs incurred, prior to, or following the completion date of the infrastructure award.
• Years should be calculated starting from the start date of the proposed award i.e. 1 April 2025. Once an award has been made DHSC will require host organisations to provide regular financial statements regarding the use of funds provided under the NIHR funding scheme. DHSC reserves the right to send independent auditors to the NHS organisation to confirm the actual use of funds.
• Payments will only be made to the contracted organisation who will take responsibility for distributing any funds to any Partner(s).
• Appropriate research project agreement and/or sub-contracts must be put in place for any element of the work programme that is to be paid to another organisation.

Information for Different Types of Organisations

Higher Education Institutions (HEIs)

For HEIs, up to 100% of total direct and reasonable indirect costs will be paid.

NHS bodies and other providers of NHS services in England

For applications where the contractor is an NHS body or provider of NHS services in England, up to 100% of direct costs will be paid.

Commercial/other partner organisations

If you are a commercial organisation/consultancy, please fill in direct costs and commercial indirect costs.  Indirect costs should be charged in proportion to the amount of research staff effort requested on the funding application form. Up to 100% of reasonable costs will be paid.

If you are another partner organisation (e.g. charity or NGO), please fill in direct costs and other partner organisations indirect costs. Indirect costs should be charged in proportion to the amount of research staff effort requested on the funding application form.  Up to 100% of reasonable costs will be paid.

Eligible Costs

Direct Costs

These are costs that are specific to the research, which will be charged as the amount actually spent and can be supported by an audit record. They should comprise the following.

Staff costs

This section presents an overview of salary and associated on-costs for the applicant(s) contributing to the research, including normal salary increments broken down individually. 

Where applicants are already in receipt of NIHR funding for any part of their salaries (e.g. NIHR Fellowships), these should not be additionally charged to the project.

Salary costs (apply to years)

This section specifies the annual costs of each applicant contributing to the research. You should now allocate the individual staff member costs to each year of the research, allowing for increments. Use current rates of pay, and build in any known annual increments (again at current rates). You will not be able to claim for pay awards retrospectively, once your research is underway.

Travel, subsistence and conference dissemination costs

This section includes journey costs, subsistence and conference fees. Where applicable, you will need to include the travel and subsistence costs of your project advisory group, steering committee and/or data monitoring & ethics committee. Travel and subsistence costs relating to dissemination should also be included here, as should costs relating to overseas travel.

Journey costs

Enter the total cost of transport for all journeys for destination/purpose. If travel is by car, apply your institution’s mileage rates (however this should not exceed HMRC approved mileage allowance payments, which is 45p per mile for the first 10,000 miles and 25p thereafter).

Travel by the most economic means possible is encouraged. NIHR programmes do not usually fund first class travel.

Subsistence

Subsistence covers accommodation (if necessary) and meals associated with the travel, excluding any alcoholic beverages.

Conferences

UK conference attendance is supported where justified. Costs associated with international conference attendance should be individually stated and fully justified.

Equipment

Essential items of equipment plus maintenance and related costs not included as part of estates should be input in this section. These can be lease or purchase costs. 

• The purchase cost of pieces of equipment, valued up to £5,000 excluding VAT, will be considered.
• Pieces of equipment costing more than £5,000 to purchase will usually need to be leased. Where applicants are leasing equipment with a purchase price of more than £5,000, a comparison of leasing versus purchasing costs must be provided in the ‘Justification of Costs’ section.
• Items of equipment valued at £250 or more must be itemised separately; however grouping same type equipment is permitted.
• Costs of computers are limited to a maximum of £1000 per item. This includes the costs of any associated software and VAT. A statement of justification must be included, in the relevant ‘Justification of Costs’ section, for any purchase above this limit.

Consumables

This section includes non-reusable items specific to the research. Please itemise and describe the requirements fully (e.g. postage, stationery, photocopying). These items should be research specific, not just general office costs which should be covered by indirect costs.

Patient and public involvement

Please itemise and describe fully the costs associated with patient, user, carer and public involvement. These are likely to include individual travel, out of pocket expenses, payment for time and any relevant training and support costs. Costs related to study participants should not be itemised here.

If voluntary, charity or community groups are supporting the research via activities such as facilitating contact with potential participants, hosting research activities or providing advice, an adequate budget must be included to compensate for their time and resources.

For further information on budgeting for involvement, please read the NIHR Payments Guidance for researchers and professionals.

Dissemination costs

Open access costs

This includes any associated with Open Access Publishing. Please review the NIHR Open Access Policy and the NIHR Open Access publications funding guidance. 

Open Access costs should be budgeted and earmarked by applicants at application stage. Costs for Open Access must be entered and reported as a separate item on the finance form. Contractors are expected to manage Open Access funding equitably, transparently, and in accordance with the Open Access policy throughout the duration of the award.

Other dissemination costs

Any costs associated with presentation or dissemination (excluding Open Access costs, travel and subsistence costs) can be included here. All events must be run at the lowest possible cost, with minimal catering.

Other direct costs

These are costs, not identified elsewhere, that are specifically attributed to the research. For example, costs associated with the use of research facilities, external consultancy costs, costs associated with inclusivity (which may include, but are not limited to justified translation of research participant material into other relevant languages), computer licensing, recruitment and advertising costs.

Please note that for organisations claiming indirect/overhead costs, costs such as recruitment of staff, and general training (e.g. in common IT packages) are costs that should be covered by the indirect costs element of the award being sought and should not appear in this section.

If external consultancy costs are included in this section they must be fully justified in the ‘Justification of Costs’ section. Please specify the hourly rate and the number of hours and note that consultants must not be people who are already employed by the applicant’s institution. If they are, any costs should be entered as direct costs in the ‘Details of Posts and Salaries’ and ‘Annual Costs of Posts’ sections.

Please note that external consultants must not be people who are already employed by any NHS organisations, equivalent non-NHS settings, or organisations from the independent sector providing NHS services and other universities, who will be conducting research activities via an appropriately justified subcontract. If they are, any costs should be entered as direct costs in the ‘Staff Posts and Salaries’ and ‘Annual Costs of Staff Posts’ sections.

Indirect costs/overheads

Indirect costs will be charged in proportion to the amount of research staff effort requested on the award. They comprise:

• General office and basic laboratory consumables
• Premises costs
• Library services/learning resources
• Typing/secretarial
• Finance, personnel, public relations and departmental services
• Usage costs of major research facilities
• Central and distributed computing
• Charge out rates for shared equipment
• Cost of capital employed

NHS bodies or other providers of NHS services indirect cost

• NHS indirect costs cannot be claimed through NIHR/DHSC programme funding. NHS bodies or other providers of NHS services have been allocated NIHR Research Capability Funding (RCF) to contribute to the cost of hosting NIHR/DHSC-supported research. For more information please visit the RCF webpage.

HEI indirect costs

Total HEI indirect costs must be fully justified. HEIs are permitted to claim estate and other indirect costs.

HEI indirect costs are based on the number of full-time equivalent research support staff working and the indirect/estates charges set by an institution.

Where staff from more than one HEI are supporting research services there may be different indirect/estates charges for each one. Please list each institution on a separate line.

Please note HEI indirect costs cannot be claimed on shared staff costs.

The applicant(s) should consult their HEI finance departments for the appropriate figures to include in the estate charges and other indirect cost section.

Commercial/other partner organisation indirect costs

Commercial/other partner organisations can claim indirect costs which are the costs of resources used by the research that are shared by other activities. Please seek advice from your finance department about the appropriate cost for this section.

Total Commercial/other partner organisation indirect costs must be fully justified.

NHS & Public Health support and treatment costs (incl. excess treatment costs/savings)

Please be aware that the research award does NOT include NHS and Public Health support and/or treatment costs. These costs are funded via Clinical Research Networks and should be detailed in the Schedule of Events Cost Attribution Tool (SoECAT) (see below for further details). For Public Health specific guidance please refer to ‘Researcher Guidance for Public Health and Social Care Excess Treatment Costs (ETCs)’

However, the committee will take NHS/Public Health support and/or treatment costs into account when considering the value for money of the research. It is important that you consider these costs and discuss them with the NHS bodies or providers of NHS services involved in order to avoid any delay in commencing the research. 

Applicants should contact their local NHS R&D Department initially and if they are unable to help directly, or if there is no local NHS R&D Department, contact their Local Clinical Research Network (LCRN) for advice on NHS Support Costs. Further details about LCRN contacts are available online at ‘Clinical Research Network’.

When considered necessary by the LCRN AcoRD specialist, a Schedule of Events Cost Attribution Tool (SoECAT) detailing NHS or Public Health support and/or Treatment Costs, needs to be completed and uploaded as part of the application.

A Schedule of Events Cost Attribution Template (SoECAT) form is not required if the development work does not involve the recruitment, consenting and/or treatment of patient/service user or carer participants.

If your planned project includes the recruitment of participants, your application should be accompanied with the Funder Export from the online SoECAT, obtainable via the NIHR Central Portfolio Management System (CPMS). This online version replaces the previous Excel version of the SoECAT, which will no longer be available for applications.

In order to create a SoECAT, you will need to create an account in CPMS. After creating the account, you will need to login to CPMS to activate this account. If any assistance is required in creating the account, please refer to our CPMS user guide. Once your account has been created and is active, you can proceed.

Guidance for the completion of the SoECAT is present in the online tool to assist at each page and stage of the application process and further details can be found on the Online SoECAT Guidance page.

There is also an Online SoECAT Guidance Module which includes video tutorials and linked resources (an NIHR Learn account is required to access and enrol onto the module) and a helpful Study Representative - Online SoECAT Top Tips infographic.

Please note that completion of the SoECAT may not be necessary when applying for funding to support: overarching programmes with no specific research study protocol, infrastructure, fellowships, anything where the grant is to be used for direct employment of a member of staff or purchase of an asset, and data or diagnostic reviews where recruitment data is not collected. Such applications should be submitted with an explanation added to the Justification of Costs section.

More information on the SoECAT form is available on the NIHR website: Online SoECAT guidance

It is acknowledged that support and treatment costs may not be known at the point of application, and if applicable this should be noted on the application form. All award holders are responsible for completing the SoECAT for each applicable study if and when excess treatment costs become known during the award period. Copies of approved SoECATs should be provided to the Programme team under these circumstances.

Ineligible Costs

The funding is not intended to meet NHS or Public Health Treatment costs associated with the research programme of the NIHR HPRU award.

Funding will not be provided to meet the costs of animal research, or costs of audits of practice and service evaluations. Please refer to the UK Policy Framework for Health and Social Care Research for further details.

Equipment costing more than £5,000 will not be funded via the NIHR HPRU award.

No capital funding is available through this award. Research activities should be undertaken within existing facilities or planned facilities for which there is confirmed funding.