FAQs
Technology Programme: Spring 2007 Competition for funding
This document provides potential applicants with answers to a number of frequently asked questions. These will be revised and added to over time in response to queries from applicants and assessors. The questions are divided into the following areas:
- The Technology Strategy;
- The Spring 2007 Competition for Funding;
- Submitting Applications;
- Funding;
- Post Offer Letter Stage.
Detailed guidance for applicants on the application process and the appraisal criteria are provided in the document “Guidance for Applicants, Spring 2007 Competition for Funding for Collaborative Research & Development Projects” available via the Technology Programme website and referred to in these FAQs as the Guidance for Applicants document.
Should you have any questions that are not addressed either in the Guidance for Applicants document or these Frequently Asked Questions, please contact the Programme’s Helpline on 01355 272155 or info@technologyprogramme.org.uk.
1. What is the Technology Strategy Board?
The Technology Strategy Board, formed mainly of senior business representatives, has responsibility for overseeing the development of the Technology Strategy and identifying technology priorities critical to the growth of the UK economy. The Board ensures that the technology priorities for the Collaborative R&D competitions are market-focussed and advises on the broad allocation of resources to them. The Board acts as a high level forum for interaction between business, government and other stakeholders. The Board published its second Annual Report on 2 November 2006, which sets out in more detail what the Board is aiming to achieve and how it plans to take forward the Technology Strategy.
In July 2007 the Technology Strategy Board will become an Executive Non-Departmental Public Body taking over responsibility for Government support for technological innovation including funding for the Collaborative R&D competitions, Knowledge Transfer Networks, and Knowledge Transfer Partnerships.
2. What is the Technology Strategy?
The Technology Strategy is part of the Government’s Science and Innovation ten-year framework (2004 – 2014) published in July 2004. The framework has two main dimensions - Investment in the UK's research base; and, the translation of the knowledge created into commercial innovation. The Strategy is being developed by the Technology Strategy Board and is focused on delivering the second of the two dimensions. The Strategy aims to focus on areas where the UK has the capacity to develop and exploit the technology and the size of the global market opportunity.
Further information on the work of the Technology Strategy Board and the Technology Strategy can be found at http://www.dti.gov.uk/innovation/technologystrategy/index.html
The Spring 2007 Competition for Funding
3. How is the funding allocated across the technology priorities?
Although indicative allocations are included in the PDF documents for each technology priority available here, the allocation of funds across priorities will depend on the quality of the applications received.
4. How were the technology priorities for this competition chosen?
The selection of competition areas, agreed by the Technology Strategy Board, was based on evidence provided by the work of the Innovation and Growth Teams, DTI sector and technology experts, Research Council priorities, discussions with stakeholder communities and consultancy studies, including a number of studies commissioned by the Technology Strategy Board on high value added sectors.
5. How much funding is available in this Competition?
About £100 million is available for Collaborative Research & Development in the Spring 2007 competition.
6. What technology priorities are included in the competition?
The technology priorities for this competition are listed here, together with further details of each of the technology priorities.
7. How can I get advice on whether my project aligns with a technology priority?
You should refer to the PDF document for that technology priority, available here and contact the Programme’s Helpline if you require further information.
8. What if I have a project that does not fall into any of the technology priority areas identified in the competition?
Your project will only be considered for funding if it directly addresses one or more of the technology priority areas identified in the competition.
9. What is the application process?
The application process is detailed in the Guidance for Applicants document. It is a Two-Stage application process – an Outline Application followed by a Full Application for projects successful at the Outline stage.
10. What’s the difference between Collaborative Research & Development within the Technology Programme and LINK?
LINK is a framework for Collaborative Research & Development projects that is still used across Government. The Technology Programme's Collaborative Research & Development product builds on the best of the LINK scheme and allows funding for some business-to-business collaborations.
11. Where do I get an Application Form?
Application Forms are available via the Technology Programme website once you have registered your intention to submit an application. Sample Application Forms are available on the website prior to registration, but these cannot be used to submit an application.
12. Can I bid into more than one technology priority in the same project?
You must choose the main technology priority which your application addresses. If you believe your project addresses more than one technology area you should make this clear in the Application Form.
13. Can I submit applications for more than one project within the competition?
Yes.
14. Does the Technology Programme help put applicants together (marriage broker)?
The Technology Programme does not carry out a comprehensive service of this nature. However, the Programme’s website provides a Noticeboard where potential applicants who are seeking expertise or partners for their project or have specific expertise to offer to a partnership can enter their details into a partnership database, which can then be accessed and searched by other potential applicants. The Noticeboard can be accessed via the Technology Programme website.
15. Can an academic organisation apply?
In conjunction with at least one industrial partner, yes. However the project must demonstrate that it is industry driven and has industry commitment.
16. Should the lead organisation in a consortium be an industry or an academic organisation?
The lead organisation can be either an industry or academic organisation but the project must demonstrate that it is industry driven and has industry commitment and therefore the lead partner is in general expected to be an industry organisation.
17. Can the lead organisation at the Full stage of the Two-Stage application process be different from the lead organisation at the Outline stage?
The lead organisation is in general expected to be the same at the Outline and Full Application stages. However, it is possible to change the lead organisation at the Full Application stage if the consortium considers this to be necessary. In this case you must highlight the change and the reason for the change in your application. You must also notify the Technology Programme by contacting the Helpline, as the lead partner is the main point of contact between the Technology Programme and the consortium and all communication from the Programme will be to the named lead partner.
18. Can spinout companies from universities apply?
In principle, yes. However, where the university or other public sector body has 50% or greater ownership of the spinout, the spinout will be treated as a public sector body, which will affect the eligibility of its costs and level of any grant that can be awarded. In cases where both the spinout and the university are involved in the same collaboration, the additionality and added value brought to the collaboration between the two organisations through the project will need to be justified.
Spinout companies with less than 10 employees should refer to the Guidance for Sole Traders, Partnerships and Micro-Companies document available via the Technology Programme website.
19. Can a start-up business apply?
In principle, yes. Start-up businesses with less than 10 employees should refer to the Guidance for Sole Traders, Partnerships and Micro-Companies document available via the Technology Programme website.
20. Can sole-traders and partnerships apply?
In principle, yes. They should refer to the Guidance for Sole Traders, Partnerships and Micro-Companies document available via the Technology Programme website.
21. How many partners can there be in a consortium?
There must be at least two partners in a consortium, but there is no upper limit although a Fast Track project is expected to have typically less than five partners. Applicants must explain the role(s) of each of the project partners and what value that partner will be adding to the project and the exploitation of its outcomes. An unduly large group may be unwieldy in practice. A consortium must include at least one industry partner.
22. What are the partner requirements for EUREKA and ERA-NET projects?
EUREKA and ERA-NET projects must have at least one UK partner and partner selection should take account of the business driven nature of the Technology Programme. UK HEIs seeking funding for their participation in a EUREKA or ERA-NET project must also have a UK Company in the project.
23. What is the difference between a consortium partner and a subcontractor?
A partner in a consortium will typically have a significant input to and role in the project and will be able to exploit the results of the project through the terms of the Collaboration Agreement, including for example, preferential access to intellectual property rights (IPR) created by the project. A subcontractor’s role is expected to be less significant and its work will be subcontracted to the project through one of the partners. A subcontractor does not have financial input to or a management role in the project, is not included in the collaboration agreement and is not therefore able to benefit preferentially from any IPR created by the project.
24. Can a public sector body be a consortium partner?
The support and involvement of public sector bodies in a project, either through the provision of funding or other support, is encouraged by the Programme. However, public sector bodies are in general not expected to be a consortium partner or receive funding from the Programme. There may be certain exceptions to this and if you are considering the involvement of a public sector body in your consortium you may wish to contact the Programme’s Helpline to seek further clarification of how their involvement should be treated.
25. What if my research partners are not in the UK?
A key aim of Technology Programme support is to help improve the UK’s innovation performance. Collaborators outside the UK – EU and non EU – are acceptable, but there must be a clear and substantial gain for the UK brought about by their involvement. They will not, however, receive funding from the Programme, although their project costs may be included when calculating total eligible project costs.
26. Can a UK company do work outside the UK or Europe within the project?
A key aim of Technology Programme support is to help improve the UK’s innovation performance. It will be up to the applicants to convince the Programme that supporting work and building intellectual capital outside the UK will meet the key aim. Note that work done outside the UK will not attract funding, although the project costs associated with the overseas work may in exceptional circumstance be included when calculating total project costs.
27. What are the gateway questions and assessment criteria against which my project will be assessed?
The gateway questions and assessment criteria are provided in the Guidance for Applicants document.
28. How soon can my project start?
As soon as possible and practical so long as you have received and accepted a valid Offer Letter from the Technology Programme and all the partners in your project are in agreement via a signed Collaboration Agreement. Projects must start with 6 months of the acceptance of Offer date.
29. How big can a project be and how long should it last?
Guidance is provided in the PDF documents for each technology priority, available here. If your project is seeking £10 million or more financial support from the Programme, you must contact the Programme Helpline before 25th May 2007 to discuss your application. If you do not contact the Helpline by this date your application will not be accepted. (Applicants seeking funding of less than £10 million do not need to contact the Helpline.)
30. Who owns the IP of the project?
IP developed within the project is the property of the consortium. The allocation of rights to this IP should be covered by the collaboration agreement.
31. Where and by when am I required to exploit?
The default grant offer condition is that exploitation of the results of the project must not be outside of the European Economic Area and must be within a period starting on the Offer Letter date and ending five years after the date on which final payment of grant is made. If applicants are able to demonstrate that it would be of major positive economic benefit to the UK and strengthen UK GDP to also exploit the results outside of the European Economic Area, the Technology Programme may grant an assent to vary the Offer Letter. However, this will be in exceptional circumstances only and considered by the Programme on a case-by-case basis. Applicants considering exploitation outside of the European Economic Area must contact the Programme Helpline to discuss this before submitting their Application.
32. How much information on my application will be made publicly available?
The project title and abstract of all projects that are funded will be placed in the public domain. The names of the project partners, project costs and amount of grants and key contact details would be expected to be included also, but the Technology Programme will respect the wishes of partners if they notify the Technology Programme that they do not want all information disclosed. Additional information submitted in the application is not made public at this time.
33. What information is released into the public domain during, on completion and after the project lifecycle?
Academics are encouraged to publish the findings of their research. However this must be done in the manner agreed in the project’s Collaboration Agreement. The Programme reserves the right to use any project as a case study to publicise the Programme and the benefits of collaborative working. Projects will be required to provide publicity material annually during the life of the project. Publicity material will be agreed with consortia members before release.
34. Are there any ethical or health and safety concerns associated with the Technology Programme?
It is important that public concerns about technologies are addressed and any unfounded fears dispelled. For all technology priorities featuring in any competition, project participants will be responsible for ensuring that individual projects are carried out according to the current legislative and regulatory framework.
35. Are there any restrictions on “defence” industry projects?
Projects are to serve civilian and not defence purposes. Projects aimed at developing technology for defence related products will not be funded under this Programme. However, projects aimed at developing civilian uses from technology developed for defence purposes will be eligible.
36. Who assesses the projects?
Independent assessors are appointed by the Programme for each competition for funding. Each application is assessed by a minimum of three assessors.
37. If my project is rejected can I re-submit it in a future competition?
Reworked applications may be submitted in a future competition if they directly address one of the technology priorities in that competition. However it should be noted that the Application Forms and specific applicant guidance differ slightly across competitions. If you are re-submitting a previous application you must ensure that you refer to the Guidance for Applicants document for the specific competition to which you are now applying and that you complete and submit the Application Form and supporting documentation for that competition. Application Forms from previous competitions will not be accepted.
38. To what levels are projects funded?
The funding levels for projects are provided in Section 2 of the Guidance for Applicants document. The funding levels apply to the project and not to each partner. It is up to the consortium to decide how the funding is allocated across project partners. Academic partners can be funded for up to 80% of their Full Economic Costs and no industrial partner (except an SME) can be funded for more than 50% of its eligible project costs. It should be noted that this applies to all work undertaken within the project, including project management. SMEs can be funded for up to 60% of their eligible project costs. However the total funding for the project from public sector bodies cannot exceed the limits provided in Section 2 of the Guidance for Applicants document.
39. How much funding can academic partners apply for?
Academic partners should apply for 80% of their Full Economic Costs (FEC), in line with Research Council rules. For the purposes of the Technology Programme this 80% FEC figure equates to the academic partner’s full eligible costs of the project. Note that the remaining 20% cannot be counted as a contribution to the project by the organisation and should not be included in any project costs.
40. How are Research and Technology Organisations (RTOs) funded?
A Research and Technology Organisation (RTO) can operate as either an industrial partner or academic partner within a consortium. In addition, there are certain functions that an RTO can undertake that are deemed to be for the benefit of the wider community as a whole. The implications of these roles for RTO and overall project funding within the context of the Technology Programme are addressed in Appendix 4 of the Guidance for Applicants document.
41. Who are the co-funders for the competition?
As a general rule, DTI is the primary funder of the Technology Programme. The Research Councils act as co-funders for specific competitions and technology priority areas where these are of direct interest to them and are in areas which meet their funding policies. Other co-funding bodies might include other Government Departments, Regional Development Agencies and Devolved Administrations. Details of the co-funders for each specific technology priority are provided in the PDF documents for each technology priority, available here.
42. Why are the Research Councils co-funding the Technology Programme?
The Research Councils have collaborated with DTI on LINK programmes since the mid 1980’s and are keen to maintain this engagement through Collaborative Research & Development. The Research Councils see Collaborative Research & Development as an excellent way of promoting knowledge transfer by encouraging innovative companies to work with important groups from the UK Research Base. Knowledge Transfer is a key objective in the Government’s 10 year Investment Framework for Science and Innovation. Research Councils will continue to support LINK Programmes in partnership with Other Government Departments.
43. Can other public sector bodies (other than the named co-funders for the competition) also provide funding for my project?
Yes. You cannot however apply for funding from them within the Programme and you must make separate arrangements for the funding with the public sector body concerned. Details of any funding you have arranged with other public sector bodies must be included as required on your Application Form. Note that total funding from all public sector bodies cannot exceed the limits provided in Section 2 of the Guidance for Applicants document.
44. Is funding from EU programmes a permissible source of other public sector funding?
Yes. However total funding from all public sector bodies cannot exceed the limits provided in Section 2 of the Guidance for Applicants document.
45. How are R&D tax credits affected by the funding offered from the Technology Programme?
The whole of a company's eligible costs for the project - whether paid for by its own contribution or by the Technology Programme - attract R&D tax credits at the large company rate. That means the company can count 125% of its eligible R&D costs against its taxable profits, thus reducing its corporation tax bill. Because funding received under the Technology Programme is a "Notified State Aid", SMEs cannot obtain payable tax credits or the enhanced (150%) relief in respect of a project that is supported by the Technology Programme, although they can claim at the large company rate. For further information see www.hmrc.gov.uk/manuals/cirdmanual/CIRD81670.htm; more general information on R&D tax credits is available from www.hmrc.gov.uk/randd/ and www.innovation.gov.uk/randd/.
46. Which costs can I include in my application for funding?
A list of eligible costs is provided in Appendix 1 of the Guidance for Applicants document.
47. Can I include Intellectual Property (IP) as an eligible cost?
In general this cannot be included. However if the IP is being “bought-in” from an entity that is not a project partner (i.e. is not included in the Offer Letter) and is not related in any way to any of the project partners, this may be considered as an eligible cost. For IP owned by project partners, exclusive IP, i.e. IP which cannot be used elsewhere if it is being used in the project, may be included as an eligible cost. Non-exclusive IP cannot, although there may be costs associated with IP that can be included as eligible costs. If you consider that certain IP costs should be included in your eligible costs you should contact the Programme Helpline prior to submitting your Application Form to discuss and establish whether these costs are eligible.
48. Can I claim the costs of IP protection?
SMEs can include a small, realistic figure for IP protection.
49. Can the project costs in my Full Application differ from those in my Outline Application within the Two-Stage application process?
Yes, provided that the increase or decrease in costs can be justified and does not represent a significant change in your project costs. Your Full Application is required to be consistent with and build on your Outline Application and the administrators of the Programme will check for this consistency. Material changes to a proposed project and the project costs might invalidate the Full Application. However, at Outline stage it is possible that you will not have worked out all the details of your project, so modest changes to the project and its costs are permitted, reflecting the increased development of your ideas. If you consider that the change in scale of your project and/or project costs is significant, then you should contact the Programme’s Helpline to discuss this before submitting your Full Application.
50. How are pension and National Insurance costs treated and where do I include them?
Pension contributions and other package costs are treated as part of labour and should be included in your labour costs calculations. Employers National Insurance should be included in your overhead calculations and not included in the labour costs.
51. How do I add and describe cash contributions?
If you plan to make a cash contribution within your project, i.e. one partner donating cash to another, this should be cost neutral to the project finances. The way to show this is for the donating organisation to show a cash contribution as a positive “Other Cost” in their Finance Form, and the receiving partner to show an equal negative “Other Cost” on their Finance Form. Where a cash contribution is being made from an organisation outside the consortium, the receiving partner must show this as a negative “Other Costs” on their Finance Form.
52. What is an in-kind contribution?
In-kind contributions are goods or services provided free of charge by a party that is not a member of the consortium and not subject to the terms and conditions of an Offer Letter. The value of the contribution should be shown as a positive “Other Cost” in the receiving partner’s Finance Form. Note that this is not the case for external cash contributions – see the above question on cash contributions.
53. What are the Offer Letter rules?
An Indicative Offer Letter with standard terms and conditions is available via the Technology Programme website. The deadline for agreeing the terms of the offer for your project and returning a signed copy of the Offer Letter to DTI is two months from the date of the issue of the Offer Letter for your project.
54. Where can I find an example of a collaboration agreement?
An example collaboration agreement is provided on the Technology Programme website
55. How will projects be monitored?
Projects will be monitored in accordance with the terms of the Offer Letter. Monitoring is likely to be undertaken by specialist contractors and involve quarterly reporting and progress meetings attended by the appointed Monitoring Officer.
56. How will projects be audited?
Projects will be audited in accordance with the terms of the Offer Letter.
57. Who will audit the projects?
Each project partner is required to appoint an independent auditor to audit their project costs in accordance with the terms of the offer letter.
58. What happens if a consortium partner withdraws during the project?
The Technology Programme must be notified of the withdrawal of a partner and appropriate actions to address this must be agreed with the Programme. The remaining partners will need to consider whether the original aims of the project can be met by rebalancing the work within the smaller consortium or whether they need to recruit a new partner. However, it is possible that the withdrawal of a key partner means that the project has to be abandoned.
59. What happens if a consortium partner is changed or added during the project?
Any proposed changes in partner arrangements must be discussed and agreed with the Technology Programme before being implemented. All partners in the consortium must be happy with the new arrangements and a revised collaboration agreement will need to be agreed. Note that no further funding will be made available if extra partners are added.
These FAQs are correct at going to press. They may be updated and any significant issues arising should be cleared through the Programme Helpline on 01355 272155 or Email:info@technologyprogramme.org.uk
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