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Call for Research & Innovation Proposals – Guidance for Applicants
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Welsh European Funding Office
Call for Research & Innovation Proposals Theme: Accelerating world-class collaboration in research and innovation Guidance for Applicants Version 1.0
December 2017
Call for Research & Innovation Proposals – Guidance for Applicants
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Contents
1 Background ............................................................................................... 3
1.1 Future of EU funds .............................................................................. 3
1.2 Background to the call for proposals ................................................... 3
2 Scope of the call ........................................................................................ 4
2.1 Eligible activities ................................................................................. 8
2.2 Available finance ................................................................................. 9
2.3 Priorities for funding ............................................................................ 9
3 Dates and deadlines ................................................................................ 10
4 How to apply............................................................................................ 10
5 Assessment and decision process .......................................................... 12
6 Contact / Further queries ......................................................................... 13
7 Useful Documents / Further Information .................................................. 13
Annex A ......................................................................................................... 15
Annex B ......................................................................................................... 16
Call for Research & Innovation Proposals – Guidance for Applicants
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1 Background
1.1 Future of EU funds The Welsh Government is continuing to deliver the 2014-2020 EU funding programmes in Wales. Applications for EU funds are still being developed and approved by the Welsh Government in line with objectives agreed by the European Commission. The UK Treasury will provide a full lifetime guarantee for all structural and investment projects approved before the UK leaves the EU. This will meet all financial commitments by March 2019 until the end of the normal programme spending period at the end of 2023. This also includes investments to UK organisations through the European Territorial Co-operation programmes from which Wales benefits, including the Ireland Wales programme, as well as programmes directly managed by the European Commission, such as Horizon 20201. The Welsh Government’s plan for the UK’s exit from the EU is set out in Securing Wales’ Future2 which outlines proposals for replacing EU funding from UK sources after 2020.
1.2 Background to the call for proposals EU Structural Funds help support people into work and training, youth employment, research and innovation, business (SMEs) competitiveness, renewable energy and energy efficiency, and connectivity and urban development. Together with match funding, the funds will drive a total investment of at least £2.7bn across Wales. There are separate allocations available for the West Wales and the Valleys and the East Wales regions in Wales (See Annex A). This guidance concerns Priority Axis 1: Research and Innovation and is therefore focused on the development of research, technological development and innovation. This is one component of an overarching suite of programmes to help address long-standing structural weaknesses in the Welsh economy and labour market, helping to increase the number of sustainable jobs and economic growth throughout Wales. Further information on Structural Funds in Wales is available from the WEFO website3.
1 http://gov.wales/funding/eu-funds/horizon2020/?lang=en
2 https://beta.gov.wales/brexit
3 http://gov.wales/funding/eu-funds/2014-2020/?lang=en
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This call should also be considered in the context of key strategic developments related to research and innovation, including:
The Welsh Government’s ‘Prosperity for All’ strategy4.
The forthcoming outcomes of the Reid Review5.
The UK Government’s ‘Industrial Strategy’ and ‘Industrial Strategy Challenge Fund’6.
The report of the independent High Level Group on maximising the impact of EU Research & Innovation Programmes7.
Ongoing research and policy debates continue to focus on the importance of research and innovation to the UK economy, and in particular for helping to address the UK’s productivity challenge. In addition to traditional investment in research excellence, technological development and commercialisation, there remains a wider challenge of a lack of diffusion of innovation. The OECD8 highlights part of the explanation for stagnant productivity is that the ‘innovation diffusion machine’ has broken down; a message strongly echoed in the work of the Bank of England. Productivity growth continues apace at our highest performing businesses, but the innovations in technology, management and processes that are driving this growth are no longer making their way to other firms as they have in the past. We need to explore ways in which to repair this diffusion ‘machine’ and help raise productivity in all firms. The Structural Funds offer us an opportunity to pilot new approaches to help make this happen.
2 Scope of the call
This call concerns Priority Axis 1: Research and Innovation and is therefore focused on the development of research, technological development and innovation. The theme of this call is ‘accelerating world-class collaboration in research and innovation’.
4 http://gov.wales/about/programme-for-government/?lang=en
5 The highly respected Professor Graeme Reid from University College London has been asked by the
Welsh Government to lead the review that will look at the strengths, gaps and future potential to sustain and grow strong research and innovation activity in Wales. He will report back this Winter.
6 The Industrial Strategy Challenge Fund aims to bring together the UK’s world leading research with
business to meet the major industrial and societal challenges of our time. It will provide funding and support to UK businesses and researchers, as part of the UK government’s £4.7 billion investment in research and development over the next 3-4 years. https://www.gov.uk/government/publications/industrial-strategy-building-a-britain-fit-for-the-future 7 The LAB – FAB – APP report
(https://ec.europa.eu/research/evaluations/pdf/archive/other_reports_studies_and_documents/hlg_2017_report.pdf) proposes the guiding principles for designing a post-2020 EU programme for research and innovation (FP9) including the “obvious win-win” of continued UK involvement. 8 Organisation for Economic Co-operation and Development http://www.oecd.org/unitedkingdom/
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WEFO is looking for collaborative and outward facing activity, based on existing excellence in research and/or innovation which can deliver a significant return for Wales in the medium and long term. General criteria relevant to ALL proposals
A key requirement for research and innovation investments is that they demonstrate ‘smart specialisation’. Smart specialisation involves identifying those niche areas in which Welsh businesses and research organisations have already established, and are beginning to establish, internationally significant expertise. Support can then be targeted at those areas to address their specific barriers to innovation and growth, rather than trying to create something from nothing. Science for Wales9 and Innovation Wales10 together form Wales’ Smart Specialisation strategy. Proposals will need to refer to independent evidence of their ‘smart specialisation’.
WEFO operates a portfolio approach to its investments so that different operations complement and add value to each other11. The ERDF research and innovation portfolio consists of a mix of core strategic operations, complemented by a range of innovative and niche approaches12. WEFO is looking for proposals that can evidence how they will complement and integrate with the portfolio.
ERDF investments are not made in isolation and WEFO has looked to maximise synergies wherever possible. Key investments and support are aligned along a ‘stairway to excellence’ (see Figure 3 in Annex A), so whether you are a Welsh business exploring a potential innovation for the first time or an excellent research group looking to build an international collaboration, there is support available and a pathway ‘up the stairway’. Proposals will need to evidence how they will support this strategy.
Proposals will need to demonstrate that they understand what support is already available from the public and private sector (including planned activity/investments where appropriate) and must clearly add value to and not duplicate such provision. Further information on the types of investments and opportunities in Wales can be seen in the WEFO Economic Prioritisation Framework13, and as part of the reporting against Science for Wales14 and Innovation Wales15.
9 http://gov.wales/topics/science-and-technology/science/?lang=en
10 http://gov.wales/topics/science-and-technology/innovation/innovation-wales-strategy/?lang=en
11 Figure 1 in Annex A illustrates this approach for the Research and Innovation elements of the
programmes and also reflects, at a high level, the approach to ‘Smart Specialisation’. 12
Figure 2 in Annex A highlights key strategic operations now in place, complementary operations and proposed investments in an advanced stage of development. Further information on approved projects is available at: http://gov.wales/funding/eu-funds/2014-2020/approved-projects/?lang=en. 13
http://gov.wales/funding/eu-funds/2014-2020/wefo-guidance/epf/?lang=en 14
http://gov.wales/topics/science-and-technology/science/?lang=en 15
http://gov.wales/topics/science-and-technology/innovation/innovation-wales-strategy/?lang=en
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A key driver for investments via the Structural Funds is a clear ‘intervention logic’ which means that the main focus should be on the result being delivered. Proposals must demonstrate a robust link between the nature and scale of the activity proposed and the relevant result and indicators: increasing private and competitive research funding coming to Wales; and increasing the importance of innovation to business turnover.
It is recognised that the nature of the call may mean that the majority of the impact will be delivered in the medium and long term; proposals should demonstrate a clear strategy for capturing that impact. However, short term impact will also be important and proposals which demonstrate that they can also make a significant contribution to the key indicators set out
in the focus areas below are likely to be prioritised16.
There must be a demonstrable ‘industrial pull’ to any proposals. This is expected to go beyond simply demonstrating industrial relevance, for example industry could be the lead partner, a formal partner or a strategic partner. To demonstrate potential impact proposals may need to highlight existing relationships with existing or emerging clusters.
Proposals should demonstrate a clear understanding of the range of opportunities available on the Welsh, UK, European and international stage for their specific area of activity. The opportunities should be specifically identified and the approach set out for accessing those opportunities should be realistic but ambitious.
Proposals should reflect a ‘quadruple helix’ approach (involvement of public, private, academic and societal stakeholders) wherever possible. This can be through a mix of delivery partners and strategic engagement approaches.
Collaborations and partnerships should not be limited to Welsh organisations; they should be the best for the desired result. There may be limitations to the eligible costs for non-Welsh delivery partners but this should not limit the ambition of proposals. For example, a proposal could reflect the costs of a Welsh partner/partners contribution to a wider bilateral or multi regional activity.
Proposals will be expected to identify very specific barriers to the outcomes they seek and cost efficient ways of addressing those barriers. For example, it is recognised that increasing collaboration and developing international networks may require travel and membership fees for key networks but there will need to be demonstrable added value.
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Guidance on Indicator Definitions, Data and Evidence Requirements: ERDF Priority Axis 1: Research and Innovation - http://gov.wales/docs/wefo/publications/1604040-indicators-priority1.pdf
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The importance of public funding, including regional funding, in supporting research and innovation in Wales is recognised but proposals will need to demonstrate a realistic plan for sustaining activity after the funding period.
Focus areas Proposals are expected to fall into one of four focus areas. The general criteria above apply to ALL of these focus areas. A: Developing specialist research capacity This would involve the creation of new research capacity to increase the success of Welsh research institutions in attracting competitive and private research funding (Specific Objective 1.1). This does not have to involve physical space, it could be ‘virtual’ capacity. It could reflect the bringing together of activity from different disciplines and/or organisations to address a new opportunity. As new capacity is being created it is recognised that the requirement for grant may be larger than focus area B but the return on investment would also expected to be much higher. Proposals will be expected to deliver a significant return on the key indicator ‘Amount of research funding secured’ but other indicators will be appropriate. B: Enhancing specialist research capacity This would involve enhancing existing research activity, including that already funded by European Structural & Investment Funds (ESIF), to increase the success of Welsh research institutions in attracting competitive and private research funding (Specific Objective 1.1). This enhancement could take the form of, for example, geographical expansion, thematic expansion, taking on new academic or industrial partners, merging with other activity to address new opportunities or increasing international activity. Proposals will be expected to deliver a proportionate return on the key indicator ‘Amount of research funding secured’ but other indicators will be appropriate.
C: Developing specialist innovation capacity This would involve the creation of new innovation capacity to increase the successful translation of research and innovation processes into new and improved commercial products, processes and services, in particular through improved technology transfer from HEIs (Specific Objective 1.2). This does not have to involve physical space, it could be ‘virtual’ capacity. It could reflect the bringing together of activity from different disciplines and/or organisations to address a new opportunity. The activity could include an element of diffusion of innovation within – and across – sectors where this is closely linked to the outcomes. As new capacity is being created it is recognised that the requirement for grant may be larger than focus area D but the return on investment would also expected to be higher. Proposals will be expected to deliver a significant return on one or more of the key indicators ‘Number of enterprises cooperating with supported research institutions’,
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‘Number of enterprises supported to introduce new to the firm products17’ and ‘Number of enterprises supported to introduce new to the market products17’ but other indicators will be appropriate. D: Enhancing specialist innovation capacity
This would involve enhancing existing innovation activity, including that already funded by ESIF, to increase the successful translation of research and innovation processes into new and improved commercial products, processes and services, in particular through improved technology transfer from HEIs (Specific Objective 1.2). This enhancement could take the form of, for example, geographical expansion, thematic expansion, taking on new academic or industrial partners, merging with other activity to address new opportunities or increasing international activity. The activity could include an element of diffusion of innovation within – and across – sectors where this is closely linked to the outcomes. Proposals will be expected to deliver a proportionate return on one or more of the key indicators ‘Number of enterprises cooperating with supported research institutions’, ‘Number of enterprises supported to introduce new to the firm products17’ and ‘Number of enterprises supported to introduce new to the market products17’ but other indicators will be appropriate.
2.1 Eligible activities The types of activities eligible for support are wide-ranging and most activity can be accommodated if it can be demonstrated to directly contribute to the relevant objective, result and indicators. Some indicative activities have been listed in the overarching programming documents18, but these are intended only as illustrations. Innovative approaches are particularly welcome if they provide better means to achieve the outcomes being sought. Proposals can deliver in the West Wales and the Valleys region and/or East Wales region (see Annex A) but must deliver appropriate indicators in the relevant region. Proposals can consist of capital and/or revenue expenditure. Expenditure can continue until the end of 2023 where justified but ‘backloaded’ financial profiles will be considered higher risk. As with all proposals, WEFO will carry out the necessary due diligence checks to ensure organisations are in an appropriate financial and resource position to deliver the proposed activity. Although previous experience of delivering a
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This also includes processes and services 18
West Wales and Valleys programmes (Operational Programmes) ERDF - http://gov.wales/funding/eu-funds/2014-2020/west-wales/?lang=en & East Wales programmes (Operational Programmes) ERDF - http://gov.wales/funding/eu-funds/2014-2020/east-wales/?lang=en
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Structural Funds operation can be beneficial, it is not a requirement and new organisations to Structural Funds are welcomed.
2.2 Available finance Funding of around £25m-£35m pan Wales could be available. It is likely that at least £10m of this will be available in the East Wales region. WEFO expects to support several bids in each region with this funding. WEFO will be unable to support 100% of the costs of proposed activity, so there will be an expectation that match funding is identified by applicants. There is no fixed requirement for the amount of match funding within proposals but on average we would expect the ERDF contribution to be 66% or less of the funding package in West Wales & Valleys proposals and 50% or less in East Wales proposals. Proposals that can lever in a high proportion of match funding may be considered better value for money.
2.3 Priorities for funding High quality bids that have a strong fit with the scope of the call will be prioritised for funding. There are no formal allocations of funding across the four focus areas. WEFO may also consider the following when prioritising funding:
The thematic balance of the portfolio;
The balance of ‘high risk’ and ‘low risk’ proposals;
Whether bids under focus areas C and D should be given a higher priority;
Whether bids that address diffusion of innovation should be given a higher priority;
Whether an appropriate contribution to the climate change19 targets for the programmes will be maintained.
19 Contributing to (65) Research and innovation infrastructure, processes, technology transfer and
cooperation in enterprises focusing on the low carbon economy and on resilience to climate change (see eligibility guidance) http://gov.wales/funding/eu-funds/2014-2020/wefo-guidance/eligibility/?lang=en
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3 Dates and deadlines
Call Start Date
19 December 2017
Deadline for Submission of Proposals
28 March 2018
Decision to Applicants
25 May 2018
Successful bids will then be required to agree a full business plan with WEFO in four to six months, so organisations must ensure that there are appropriate resources in place to work to this deadline.
4 How to apply STEP 1: Potential applicants will need to register their contact (email) details
with WEFO at the Research and Innovation mailbox - [email protected] STEP 2: You will be asked to submit an Operation Logic Table (OLT) and a
Supporting Information Document (SID). An OLT and SID template will be sent to you when you register. The OLT sets out in a short table the logic for your proposal, ensuring the outcome and target groups are clear20. The SID will include administrative information on your proposal and provide an opportunity for you to describe how it fits with the scope of the call. In completing the OLT and SID:
Ensure that you have read and understand the relevant supporting information and guidance documents referred to in this document.
Keep the wording brief and concise. The OLT should not exceed more than 2 sides of A3 and the SID should not exceed more than 4 sides of A4 (both using a legible font). Excess information, for example annexes, will not be considered when prioritising proposals. References to independent evidence are welcome however.
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An example of a completed OLT can be seen in Annex A of the “Applying for EU Funding – Part 1: The Pre Planning Stage” - http://gov.wales/docs/wefo/publications/140325applyingforfundingpart1en.pdf
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Demonstrate how your proposal fits the scope of the call (Section 2) including which one of the four focus areas it will deliver against.
Demonstrate value for money by highlighting the realistic impact your proposal could achieve relative to the costs. You may want to consider the principles of:
o Economy = Minimising the costs of resources
o Efficiency = Getting the most from the available resources, and
o Effectiveness = Meeting the objectives and achieving the intended
results.
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An electronic copy of your OLT and SID will need to be submitted to the Research and Innovation Mailbox ([email protected]) before 5pm on 28 March 2018. WEFO will not accept any late submissions.
STEP 3: The OLT and SID will then be assessed by WEFO (see Section 5).
Successful applicants will be invited in to the formal “Business Planning Stage” by WEFO to further develop the proposal into a Business Plan.
5 Assessment and decision process WEFO will follow its standard operation selection and prioritisation processes21. As described in Section 4, proposals submitted in response to this call will be prioritised by WEFO on the basis of the OLT and the SID. Each proposal will be judged on its own merits and in comparison to other proposals. In assisting with the prioritisation of proposals WEFO may seek advice from experts, but WEFO will make the final decision. All applicants will be informed of the results of the exercise. Successful proposals are likely to have:
Passed basic eligibility criteria (see Section 7 for guidance).
A clear focus, intervention logic and delivery approach.
A close fit with the scope of the call or robust justification for any minor variations.
Clear evidence of smart specialisation and the related opportunities being targeted.
A strong and realistic contribution to the key indicators.
Demonstrated how the proposal will integrate and add value to existing activity.
A strong return on investment for WEFO. Unsuccessful proposals are likely to have:
Not passed basic eligibility criteria (see Section 7 for guidance).
An unclear focus, intervention logic and delivery approach.
Limited fit with the scope of the call.
Limited evidence of smart specialisation and the related opportunities being targeted.
A weak and/or unrealistic contribution to the key indicators.
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Guidance for organisations applying for EU funds 2014-2020 - http://gov.wales/funding/eu-funds/2014-2020/applying/?lang=en
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Failed to demonstrate how the proposal will integrate and add value to existing activity and/or appear to duplicate existing activity.
A poor return on investment for WEFO Due to the limited available funds, good quality proposals that address the scope of the call may still fail to be prioritised. WEFO may reconsider such proposals should further funding become available and will develop a ‘reserve list’ if appropriate. All proposals that move into the formal “Business Planning Stage” will be subject to a full appraisal against our published selection and prioritisation criteria (http://gov.wales/funding/eu-funds/2014-2020/applying/?lang=en). The evidence provided during the call process will be tested early on in the business planning process and proposals can be rejected at any stage before an offer of grant is made. If appropriate, WEFO may then invite another proposal into the “Business Planning Stage”.
6 Contact / Further queries WEFO is happy to help clarify the process and its priorities for funding, particularly if you are new to Structural Funds. Discussions about the detail of individual proposals may need to be limited to ensure all applicants have the same opportunities. If you need more information please email WEFO’s Research and Innovation Mailbox in the first instance ([email protected]) and we will respond to any queries you may have.
7 Useful Documents / Further Information If you are considering submitting a proposal, you should make yourself aware of the following guidance and information available from the WEFO website:
Guidance for organisations applying for EU funds 2014-2020 - http://gov.wales/funding/eu-funds/2014-2020/applying/?lang=en
West Wales and Valleys programmes (Operational Programmes) ERDF - http://gov.wales/funding/eu-funds/2014-2020/west-wales/?lang=en
East Wales programmes (Operational Programmes) ERDF - http://gov.wales/funding/eu-funds/2014-2020/east-wales/?lang=en
Economic Prioritisation Framework - http://gov.wales/funding/eu-funds/2014-2020/wefo-guidance/epf/?skip=1&lang=en
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Eligibility rules and conditions for funding from the European Structural Funds programmes 2014-2020 in Wales - http://gov.wales/funding/eu-funds/2014-2020/wefo-guidance/eligibility/?lang=en
Guidance on Indicator Definitions, Data and Evidence Requirements: ERDF Priority Axis 1: Research and Innovation - http://gov.wales/docs/wefo/publications/1604040-indicators-priority1.pdf
Approved Projects Database - http://gov.wales/funding/eu-funds/2014-2020/approved-projects/?lang=en
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Annex A
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Annex B Figure 1 – Illustration of the structure of the ERDF research and innovation portfolio
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Figure 2 – ERDF portfolio including approved operations and proposed investments in an advanced stage of development
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ANNEX CDDDDDDDD
Research & Innovation Mailbox: [email protected]
For more information: www.gov.wales/eu-funding @wefowales / @wefocymru
