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 and changing criteria within the programme.  The questions are divided into the following areas:

• The Technology Strategy;
• The Autumn 2005 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, Autumn 2005 Competition for Funding” available via the Technology Programme website at www.dti.gov.uk/technologyprogramme. 

Should you have any questions that are not addressed either in the guidance documents or these Frequently Asked Questions, please contact the Programme’s helpline on 01355 272155 or info@technologyprogramme.org.uk. 

The Technology Strategy

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 within the Technology Programme 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 results of the Board's input to the Technology Strategy shape competitions for funding under the Technology Programme.   The Board publishes its first Annual Report on 24 November 2005, which is accompanied by a “Call to Action” document, aimed at engaging business and other key partners in the process of developing a Technology Strategy for UK wealth creation. 

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 Strategy is being developed by the Technology Strategy Board and is aimed at enhancing UK competitiveness.  The Strategy will have two main approaches – support for emerging technologies, mainly through the Technology Programme and Innovation Platforms which will focus on major societal challenges and the technologies and policy levers that can be used to address the specific challenge.  In both cases, greater cross government co-ordination of activities will be required.   Further information on the work of the Technology Strategy Board and the Technology Strategy can be found at www.dti.gov.uk/technologystrategy.

The Autumn 2005 Competition for Funding

3.      How is the funding allocated across the technology priorities?

Although indicative allocations are included in the PDF descriptors for each technology priority available at www.dti.gov.uk/technologyprogramme/nov05_comp.html, 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 £63 million is available for Collaborative Research & Development in the Autumn 2005 competition. 

6.      What technology priorities are included in the competition?

The technology priorities for this competition are listed at  www.dti.gov.uk/technologyprogramme/nov05_comp.html, 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 descriptor for that technology priority, available at www.dti.gov.uk/technologyprogramme/nov05_comp.html.  This includes details of who to contact for 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.      When will the technology priorities to be included in future competitions be announced?

Technology priority areas for future competitions will be announced at least one month before the launch of each competition. The Technology Programme is working towards extending this.

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.

Submitting Applications

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 DTI help put applicants together (marriage broker)?

The DTI does not carry out a comprehensive service of this nature. However some activities may be run in specific industry areas.  For details of these please refer to the appropriate industry pages on the DTI website at www.dti.gov.uk. 

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.

17.    Can the lead organisation at the Full Application stage be different from the lead organisation at the Outline Application 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. 

19.    Can a start-up business apply?

In principle, yes. 

20.    Can a sole-trader apply?

In principle, yes.

21.    What is the DTI doing for SMEs?

Implementation of the Technology Programme will neither discriminate for nor against SMEs. There are a range of other DTI support mechanisms that specifically target SMEs, including Knowledge Transfer Partnerships (www.ktponline.org.uk), Grant for Investigating an Innovative Idea (www.dti.gov.uk/innovative-idea/) or Grant for Research and Development (www.dti.gov.uk/r-d/) . A full brochure of support services for SMEs can be found at www.dti.gov.uk/innovate.

22.    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.  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.

23.    What are the partner requirements for EUREKA projects?

EUREKA 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 project must also have a UK Company in the project.

24.    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.

25.    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 Technology Programme.  However, public sector bodies are in general not expected to be a consortium partner or receive funding from the Technology 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 speak to the DTI Technology Manager in your technology priority area to seek further clarification of how their involvement should be treated.

26.    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.

27.    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 DTI 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 be included when calculating total project costs.

28.    What are the criteria against which my project will be assessed?

The assessment criteria are provided in the document “Guidance for Applicants, Autumn 2005 Competition for Funding” available via the Technology Programme website at http://www.dti.gov.uk/Applicants_Guide_autumn_2005.pdf. 

29.    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 DTI (and other Technology Programme co-funders as appropriate), and all the partners in your project are in agreement via a signed Collaboration Agreement. 

30.    How big can a project be?

Guidance on the size of projects is provided in the PDF descriptor for each technology priority, available at www.dti.gov.uk/technologyprogramme/nov05_comp.html.  Unless indicated otherwise in the specification, there is no maximum or minimum limit.

31.    How long does the project have to last?

Guidance on this is provided in the PDF descriptor for each technology priority, available at www.dti.gov.uk/technologyprogramme/nov05_comp.html. 

32.    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.

33.    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,  DTI may grant an assent to vary the Offer Letter.  However, this will be in exceptional circumstances only and considered by DTI on a case-by-case basis.  Applicants considering exploitation outside of the European Economic Area must discuss this with the DTI Technology Manager responsible for their technology priority area before submitting their Application.

34.    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 would be expected to be included also, but the DTI and other Technology Programme co-funders will respect the wishes of partners if they do not want their names disclosed.  Additional application information is not made public unless with the agreement of the project partners.

35.    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 DTI and other Technology Programme co-funders reserve the right to use any project as a case study to publicise the Technology 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.

36.    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 example, the UK Government commissioned a study by the Royal Society and Royal Academy of Engineering to look at current and future developments in Nanotechnology to understand whether the technology raises any new ethical, health or safety or social issues which are not already covered by current regulation.  For all technology priorities featuring in any competition, it should be noted that project participants will be responsible for ensuring that individual projects are carried out according to the current legislative and regulatory framework.

37.    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.

38.    Who assesses the projects?

Independent assessors are appointed by the DTI, in consultation with the Programme’s co-funders, for each competition for funding.  Each application is assessed by a minimum of three assessors.  Further details of the assessment process are provided in the Guidance for Applicants and Guidance for Assessors documents for the Autumn 2005 competition available via www.dti.gov.uk/technologyprogramme.

39.    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 complete and submit the Application Form for the competition to which you are re-submitting your application.  Application Forms from previous competitions will not be accepted.

Funding

40.    To what levels are projects funded?

The funding levels for projects are provided in Section 2 of the Guidance for Applicants document for the Autumn 2005 competition.  The funding levels apply to the project and not to each partner.  It is up to the consortium to decide, before submitting their Outline Application Form, how the funding is allocated across project partners.  However, note that academic partners can be funded for up to 80% of their Full Economic Costs and that no industrial partner 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.

41.    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.

42.    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 a separate guidance document for RTOs available on the Technology Programme website via www.dti.gov.uk/technologyprogramme/RTO_Guidance.pdf.

43.    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.  Information on the co-funding bodies for each of the technology priority areas in the Autumn 2005 competition are provided in the PDF descriptor for each technology priority.  These are available via www.dti.gov.uk/technologyprogramme/nov05_comp.html.

44.    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.

45.    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 including DTI cannot exceed the limits provided in Section 2 of the document “Guidance for Applicants, Autumn 2005 competition”.

46.    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 document “Guidance for Applicants, Autumn 2005 competition”.

47.    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.inlandrevenue.gov.uk/manuals/cirdmanual/CIRD81670.htm ; more general information on R&D tax credits is available from www.inlandrevenue.gov.uk/randd/ and www.dti.gov.uk/randd/.

48.    Which costs can I include in my application for funding?

A list of eligible costs is provided in Appendix 2 of the Guidance for Applicants document for the Autumn 2005 competition.

49.    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 DTI Technology Manager responsible for your technology priority area prior to submitting your Outline Application Form to discuss and establish whether these costs are eligible. 

50.    Can I claim the costs of IP protection?

SMEs can include a small, realistic figure for IP protection.

51.    Can the project costs in my Full Application differ from those in my Outline Application?

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 Technology 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 unlikely that you will 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 DTI Technology Manager responsible for your technology priority area to discuss this before submitting your Full Application.

52.    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.

53.    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. 

54.    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.

55.    What are the Offer Letter rules?

An Indicative Offer Letter with standard terms and conditions is available via www.dti.gov.uk/technologyprogramme/IndicativeCollaborativeOfferLetter.doc.  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.

56.    Where can I find an example of a collaboration agreement?

An example collaboration agreement is provided on the Technology Programme website via www.dti.gov.uk/technologyprogramme/model_collab_agree_I2.0.doc.

Post Offer Letter Stage

57.    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.

58.    How will projects be audited?
Projects will be audited in accordance with the terms of the Offer Letter.

59.    Who will audit the projects?
Projects will be audited by an independent auditor.

60.    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. 

61.    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.