Research Councils UK. Knowledge Transfer Categorisation And Harmonisation Project. Final Report

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1 Research Councils UK Knowledge Transfer Categorisation And Harmonisation Project Final Report September 2007

2 Table of Contents 1. Introduction and Study Approach The RCUK Business Plan Competition Core Knowledge Transfer Schemes Analysis by Research Council Core Knowledge Transfer Schemes Typology Framework Collaborative R&D Collaborative Training Way Forward Action Pathways APPENDICES Appendix 1 Appendix 2 Core KT Schemes Funded by the Research Councils but Managed by Other Organisations Core KT Schemes Funded and Managed by the Research Councils Appendix 3 CASE and Other Collaborative Research Training Programmes

3 1. Introduction and Study Approach Background 1.1 The UK has a track record of scientific excellence, world-class universities and leading R&D intensive businesses in a number of key sectors. However, its record of commercialising R&D is less impressive and the level of business investment in R&D remains lower than in many other competitor countries. 1.2 The Government s Science and Innovation Investment Framework sets out a strategy for improving the UK s innovation performance based around the following themes: World-class research in the strongest UK centres of excellence. Greater responsiveness of the publicly funded research base to the needs of the economy. Increased business investment in R&D and increased business engagement in drawing on the UK research base for ideas and expertise. A strong supply of scientists, engineers and technologists. Sustainable and financially robust universities and public laboratories across the UK. Increased awareness across UK society of scientific research and its innovative applications. 1.3 The Lambert Review of Business University Collaboration published in 2003 identified various barriers to collaboration. Key issues highlighted were: There is no guaranteed return from business investment in R&D and the exploitation of university research entails even higher risks because it is further from market. The need for more interaction between scientists / technologists in industry and academia. Collaboration cannot occur if industry and academia are not aware of their respective capabilities and what they might be able to do for one another. This is particularly the case for SMEs that have limited resources to make linkages with the research base. Policy makers must make it as easy as possible for such collaborations to occur. Difficulties in commercialising university intellectual property (IP) including a lack of clarity over the ownership of IP. 1.4 While the main role of the Research Councils is to support world-class research, the Councils are also committed to supporting the exploitation of research in accordance with the Science and Innovation Investment Framework. Thus, for a number of years the Research Councils have been developing a portfolio of knowledge transfer (KT) activities designed to meet the needs of their user communities and to extend the knowledge of researchers. 1

4 1.5 In 2005/06 the House of Commons Science and Technology Committee carried out a review of the Research Councils Support for Knowledge Transfer. The report (published in June 2006) was generally supportive of the KT schemes that had been developed, but it identified weaknesses in the way that information on schemes was presented:.we are concerned about the potential for confusion surrounding the considerable array of knowledge transfer schemes..we too have found it difficult to ascertain a clear understanding of the many schemes the Councils support. Presentation across the Councils, of the many different knowledge transfer schemes varies greatly and we did not find it at all easy to navigate and clarify which programmes are most suitable for different requirements 1.6 In response to the House of Commons Review and recommendations from the Warry Report on Increasing the Economic Impact of the Research Councils (July 2006), the Research Councils have made a commitment to: Harmonise and simplify the range of KT schemes available and introduce common terminology and branding where appropriate. Consider setting up a web portal to enable everyone to access all the Research Councils KT schemes through one gateway. 1.7 The purpose of this consultancy project is to gather and organise the information needed to undertake the above actions. Study Objectives 1.8 The key objectives of the study are: To gather information on the Research Councils KT schemes and to set out the defining characteristics of each scheme. To simplify the presentation of information on the Research Councils KT Schemes. In particular, to develop a classification framework that will enable the schemes to be presented in a more coherent way. To analyse the extent to which there may be opportunities to rationalise or harmonise KT schemes, or to introduce more collective branding of KT schemes across the Research Councils. Study Coverage 1.9 The following definition of knowledge transfer has been agreed between RCUK, Department for Innovation, Universities and Skills (DIUS) and the Research Councils: The UK Research Councils seek to accelerate the two-way flow of people and ideas between the research environment and wider economy, and thereby contribute to national prosperity, the quality of life of UK citizens, and cultural enrichment of our society. Knowledge transfer encompasses the systems and processes by which knowledge, expertise, and skilled people transfer between the 2

5 research environment (universities, centres and institutes) and its user communities in industry, commerce, public and service sectors It is clear from this definition that the Research Councils have different types of user communities: Some have strong links with industry and an important part of their KT activities is laying the foundations for research to be commercialised. Some have a very diverse user community that includes industry and business, but also public sector organisations such as Government Departments and Devolved Administrations and the third sector. An important part of their KT activities is ensuring that information from research programmes reaches these public / third sector organisations and is used to inform policy and practice. Finally, some Councils have a limited natural user community. The STFC has a dual role: to develop and provide large scale research facilities, and to conduct a science programme. The researchers who use these large scale facilities are a user community. However it is recognised that some of the knowledge developed though the science programme could be used elsewhere in the economy. Hence an important part of STFC s KT activities is identifying organisations and individuals that may have potential to apply STFC knowledge and supporting exploratory work on this All the different KT activities supported by the Research Councils to meet the needs of their user communities are covered in this study. The study does not focus only on schemes that help research to be commercialised. It takes account of all KT activities that help research to be used for economic, social and cultural gain The Research Councils use the following taxonomy to group related KT activities 1 : Interaction between the research base and user community (people and information flows) Commercialisation Collaborative R&D Collaborative Training All these forms of knowledge transfer are covered in the study. However, different approaches have been used to collect information on them: Detailed information has been collected on KT activities relating to people & information flows and commercialisation. These are referred to as Core KT Schemes in this report. More generic information has been collected on collaborative R&D and collaborative training activities. This is because it was agreed that it would be unrealistic, in the time available, to collect information on all the collaborative research projects / programmes 1 Five KT categories are used for performance reporting purposes but two have been amalgamated for the purposes of this study. Interaction with business / public services and people exchanges between the research base and users have been amalgamated into one category. 3

6 funded by the Research Councils. Also an exercise had already been undertaken to map training activities in the Research Councils so it was agreed that less detailed information was required on collaborative training programmes The Research Councils fund a number of knowledge transfer schemes that are owned / managed by other organisations. For example, Knowledge Transfer Partnerships which are owned by the Technology Strategy Board in partnership with other sponsors including Research Councils and RDAs, and managed by an external company Momenta. All schemes of this kind are included within the scope of the study. Excluded 1.15 The study does not, however, cover all KT activities funded by the Research Councils. Some of the KT activities supported by the Research Councils are not available to the external research and user community. They are only available in Research Council Institutes, Centres and Units. Since one of the purposes of the study is to provide information for a possible new web portal that will be targeted at the external research and user community, it was agreed that the study would not cover the following types of KT support: Organisational infrastructure supporting KT in Institutes / Centres / Units for example the commercialisation arms of Research Council Institutes such as MRCT, CLIK. KT schemes only available in Research Council Institutes for example Rainbow Seed Fund. KT provision which does not constitute a funded scheme open to applications or participation from the external research and user community for example STFC support for Regional Resource Centres, Centres of Vocational Excellence and so on It was also agreed that the study would not cover: Physical infrastructure supporting KT for example science and innovation campuses, use of research facilities by the user community This is because RCUK wished to focus this study on funding streams for KT support. However, it is recognised that science and innovation campuses and access to research facilities are an important way of facilitating knowledge transfer and they will be incorporated into the wider KT Categorisation and Harmonisation Project that will continue after the end of this consultancy Many would argue that teaching students is a key way in which knowledge is transferred from the research base to user communities. However, it was agreed that the focus of this study should be on activities undertaken primarily to promote KT as opposed to mainstream education and skills development activities It is important to highlight that although the overall objective of KT activities is to generate positive outcomes for user and research communities, this study has been based on an analysis informed by Research Council consultations. As the KT Categorisation and Harmonisation project develops further, a review of Research Council KT activities with user perspectives may be helpful. It is also important to stress that the study does not attempt to comment on the scale, efficiency or impact of KT activities. Again, as the KT Categorisation and Harmonisation project develops further, such an assessment may be helpful. 4

7 Report Structure 1.20 The remainder of this report is structured as follows: Section 2 examines the operation of the RCUK Business Plan Competition. This is the only fully harmonised KT scheme operated by the Research Councils. It is important to understand the advantages and disadvantages that have arisen from harmonising this scheme as context for the remainder of the study. Section 3 presents information on the Core KT Schemes funded by each Research Council. Section 4 sets out a framework for categorising Core KT Schemes funded by the Research Councils. Section 5 presents information on the different approaches used by the Research Councils to support collaborative R&D. Section 6 presents information on the types of collaborative training schemes supported by the Research Councils. Section 7 considers various action pathways for managing Research Council KT activities in the future. 5

8 2. The RCUK Business Plan Competition Background 2.1 The Business Plan Competition was established by BBSRC (with support from MRC) in In 2000 NERC established a parallel environmental sciences Business Plan Competition. From , the majority of Research Councils became involved in the Competition. However, it was only in 2003/04 that the scheme was harmonised across all the Research Councils and branded through RCUK. The second RCUK Business Plan competition was run in 2005/06 and the third RCUK Business Plan Competition for 2007/08 is just getting underway. 2.2 The 2007/08 Competition has a Research Council budget of 500,000 (further funding is provided by external sponsors). The proposed contribution of individual Research Councils is based on their share of the science budget and is shown below. The level of funding is relatively small in the context of other KT schemes supported by the Research Councils. Table 2.1 Research Council Contributions to the RCUK Business Plan Competition AHRC 19 BBSRC EPSRC 124 ESRC 29 MRC 100 NERC 69 STFC 93 Total A part-time Project Manager (based in EPSRC) manages the Competition on a day-to-day basis with support from other staff. Project management costs are included within the project budget. Overall direction is provided by a Project Board chaired by BBSRC and comprising representatives from all the Research Councils. Operation 2.4 The scheme enables researchers who have ideas with commercial potential to access training, knowledge and support to develop a high-quality business plan. The competition runs for approximately 18 months and its main features are as follows: Call issued for one page outline business plans. All researchers (including PhD students) in UK HEIs and Public Sector Research Establishments (including Research Council Institutes) are eligible to apply. In 2005/06, 138 research teams submitted one page outline business plans. Successful applicants are invited to attend a two-day regional training workshop. In 2005/06, 88 teams were invited to attend training workshops. Research teams are invited to submit more detailed five page business plans and those judged to be most promising, are given access to high-quality mentoring and management 6

9 support to work towards submission of a full business plan. In 2005/06, 69 research teams submitted five page business plans and 53 were asked to prepare a full business plan. Research teams submit full business plans (49 did so in 2005/06). Finalists are selected to present their plan to a Panel of Judges at the final of the Competition. The winning team receives a prize of 25,000. Advantages of Harmonisation 2.5 On the basis of consultation with Research Council staff and members of the RCUK Business Plan Competition Project Board, the advantages from harmonising the scheme have been as follows: The scheme encourages multi-disciplinary working. Business ideas do not need to be restricted to the remit of individual Research Councils (as would be the case if the scheme was managed by individual Councils). Applications can cut across a number of disciplines. For example, there have been a high number of applications from teams that cross AHRC and EPSRC disciplines (which would normally be regarded as very different). It is easier for the research community to understand the scheme. Rather than each individual Research Council having its own scheme with different terms and conditions, there is one unified scheme across all the Research Councils. While it is true that many researchers only work with one Research Council, some researchers work in disciplines that cut across different Councils so it can be confusing if Councils have different schemes for the same type of support. Similarly, the unified scheme is easier for central KT/Technology Transfer Office staff to promote. The Project Board is a forum for meeting staff engaged in KT work in other Research Councils and for exchanging information / good practice. Since the establishment of the Knowledge Transfer and Economic Impact Group (KTEIG), which operates at a senior level, there have been less opportunities for other KT staff to meet and exchange information. The Knowledge Transfer Group, which used to perform this function was wound-up in There are economies of scale in terms of management and administration costs from running one scheme, as opposed to seven different schemes. There are also viabilities of scale. For example, individual Councils may not have sufficient demand individually to justify a scheme but collectively a scheme is feasible. Finally, there are flexibilities of scale, insofar as the disciplines supported can vary in numbers annually. It helps to engage politicians / DIUS who have a strong harmonisation agenda and like to be associated with initiatives that embrace the Research Councils as a whole. Disadvantages of Harmonisation 2.6 The disadvantages are as follows: Some Councils question whether they are getting value for money from the scheme because business planning training is not necessarily a priority for the type of KT activities in which their researchers are engaged. 7

10 Some Councils feel the marketing and literature for the Business Plan Competition is still focussed too much on physical product development activity. However, there is less emphasis now on high-tech, scaleable businesses than before, which has been welcomed. The training / mentoring provided through the scheme has had to become more generalised (and some would argue less useful) to accommodate the wide range of researchers now involved. All Councils have had to compromise on the content of the training presentations and the type of examples used, to a greater or lesser extent. It is more difficult to secure sponsorship particularly from industry. Companies want to see direct benefits from sponsorship ie, the opportunity to learn about research ideas with commercial potential in their sector. They do not want to pay for activities that embrace a wide range of sectors that are not relevant to them. Staff do not feel the same sense of ownership over the RCUK Business Plan Competition as the KT schemes operated by their own Research Council. For example, no one wants to commit the time required to chair the Project Board. BBSRC has carried out this role to date but this is not sustainable in the long-term. Conclusion 2.7 It is clear that there are pros and cons from the harmonisation of this scheme. In terms of the implications for harmonisation of other Research Council KT schemes, three key points emerge: It was relatively easy to harmonise this scheme because most Research Councils were already operating similar but subtly different schemes. Therefore, it was not a case of Research Councils having to do something new or in a very different way to what they were doing already. There is a sense that Research Councils have been prepared to make compromises to harmonise the Business Plan Competition because it involves relatively small amounts of money. They would not necessarily be prepared to do this for schemes where larger sums of money are involved. Promotion of the Business Plan Competition by individual Research Councils is important. It would not work if the scheme was promoted only through RCUK. 8

11 3. Core Knowledge Transfer Schemes Analysis by Research Council 3.1 Figure 3.1 (overleaf) shows all the KT schemes funded by the Research Councils with the exception of the RCUK Business Plan Competition and activities that relate to collaborative R&D and collaborative training. These schemes fall into the following two categories used by the Research Councils to categorise KT Activity: Interaction between the research base and user community (people and information flows). Commercialisation. 3.2 Two types of schemes are shown in Figure 3.1: Schemes owned / managed by the Research Councils - above the dotted line. External schemes to which Research Councils contribute funding below the dotted line. 3.3 It is important to stress that there are significant differences in the scale of these activities. Some are very large and others are very small. Figure 3.1 does not distinguish between large and small schemes. External Schemes to Which Research Councils Contribute Funding 3.4 It is interesting that many of the KT schemes funded by the Research Councils are, in effect, already harmonised in that they are external schemes managed by other organisations to which the Research Councils contribute funding. Full details of these schemes are provided in Appendix 1. A brief overview is provided below: Knowledge Transfer Partnerships (Technology Strategy Board and formerly DTI) all the Research Councils fund KTPs with the exception of MRC. Some Councils make significant contributions to the scheme. For example, this is the second largest KT activity supported by ESRC in terms of financial commitment. (It spends more on CASE awards). Knowledge Transfer Networks (Technology Strategy Board and formerly DTI) support for this scheme is more modest but BBSRC and STFC have provided funding for the Sensors and Instrumentation KTN. NERC has also recently agreed to provide funding for this KTN, which will commence in August Industry Fellowships (The Royal Society) this scheme supports the exchange of researchers either from the research base to industry or vice versa. The researcher is expected to undertake a collaborative research project of up to two years duration. The researcher does not necessarily have to be based at the collaborating organisation but there must be significant interaction / collaboration between the organisations involved. BBSRC, EPSRC and NERC contribute to this scheme. Enterprise Fellowships (The Royal Society of Edinburgh) the key feature of the scheme is time-out from academic duties to pursue a commercialisation opportunity (up to a year s salary is provided), bespoke business training provided by the University of Strathclyde and access to a mentoring network. BBSRC and STFC contribute to this. 9

12 Figure 3.1: Overview of Research Council Core Knowledge Transfer Schemes AHRC BBSRC EPSRC² ESRC MRC NERC¹ STFC Knowledge Transfer Fellowships Follow On Fund Follow On Fund Impact Grants Industry Collaboration Award Scheme Knowledge Transfer Call PIPSS Industrial Programme Knowledge Catalyst Industry Interchange Programme Knowledge Transfer Challenge & Awards Placement Fellowships Research Translators Follow On Fund Mini PIPSS Young Entrepreneurs Scheme Networks Enterprisers Young Entrepreneurs Scheme Parliamentary Secondments (POST) Follow On Fund Intellectual Property Workshops Technology Translator for Healthcare Parliamentary Secondments (POST) Young Entrepreneurs Scheme Knowledge Exchange Service Parliamentary Secondments (POST) KITE Club KTPs KTPs KTPs KTPs KTPs KTPs KTNs RS Industry Fellowships RSE Enterprise Fellowships RS Industry Fellowships AWM SME Innovation Vouchers STEP Student Placements 1 NERC also operates a small scheme, Connect A, to facilitate new partnerships between the research base and user community. However, this is a very small scheme that is likely to become part of the main KT Call in the future. 2 EPSRC also funds Research Assistant Industrial Secondments but these are part of EPSRC s Collaborative Training Accounts (CTAs). They are not part of a separate scheme. KTNs RS Industry Fellowships KTNs RSE Enterprise Fellowships NWDA SME Innovation Vouchers 10

13 STEP Enterprise this is a well established national student placement scheme which gives second or penultimate year undergraduates, and now also postgraduates, the opportunity to spend an eight week period working for a SME. ESRC contributes to this. Innovation Vouchers for SMEs two schemes are being supported by the Research Councils. The INDEX scheme in the West Midlands gives SMEs the opportunity to receive an innovation voucher worth 3,000, which they can exchange with any of the regional universities. Advantage West Midlands is the main funder of this scheme but it is also being supported by ESRC (and EPSRC through its Knowledge Transfer and Awards Scheme on which further information is provided later in this section). The Daresbury Innovation Centre Scheme provides up to 10,000 for projects that involve interaction between SMEs at the Daresbury Innovation Centre and STFC facilities based at Daresbury. This is funded on a 50:50 basis between the North West Development Agency and STFC It is sensible that the Research Councils support established knowledge transfer schemes managed by other organisations where there is a good fit with their objectives. The key issue for schemes of this kind is that information on them is presented clearly and consistently across the Research Councils, which is not the case at the moment. Core KT Schemes Owned / Managed by the Research Councils 3.6 Full details of Core KT Schemes Owned / Managed by the Research Councils are provided in Appendix 2. Key points in relation to these schemes, with reference to Figure 3.1, are summarised below: 3.7 The number of KT schemes operated by the Research Councils is relatively small (no Research Council operates more than 5 schemes). This is less than DTZ expected based on information submitted to the House of Commons Science and Technology Committee. 3.8 In part, this is because some of the Councils have been simplifying KT provision. A number of Councils have one main flexible scheme through which a range of KT activity can be funded: AHRC Knowledge Transfer Fellowships there is a large degree of flexibility in this scheme. It is not limited to supporting an individual but can be used for any type of activity that generates economic, social or cultural benefit for the non-academic partner. MRC Industry Collaboration Award Scheme a pilot scheme that can fund a range of KT activity such as exchanges, fellowships and small collaborative research projects. NERC has introduced the KT Call, which is a single flexible scheme that can support most types of KT activity (the only exceptions are follow-on funding and collaborative R&D). All other types of KT activity such as staff exchanges, technology translators, dissemination events, industry training courses can be supported through the scheme. It is up to the research community to bid for what they need rather than being restricted to 2 It could be questioned whether this scheme qualifies as one that is open to applications from the external research / user community, since only a small number of SMEs based in the Daresbury Innovation Centre are presently eligible for the scheme. However, it will be extended to the proposed innovation campus at Rutherford Appleton Laboratories in the future. 11

14 particular types of scheme supported by NERC. The KT Call was launched in its present form in STFC PIPSS Industrial Programme Support - is a flexible scheme that can be used to support a large range of KT activity. Due to the nature of STFC s science programme and its limited natural user community, there is a lot of emphasis on work to explore whether its knowledge and research could have practical applications elsewhere EPSRC is in the process of rationalising its KT schemes so that more activities can be funded through one funding stream in the future. EPSRC intends to introduce Knowledge Transfer Accounts (KTAs) from In 2004, EPSRC took a strategic decision to amalgamate all its collaborative training schemes under one financial umbrella. HEIs were invited to bid for the support they needed and were awarded a block grant over four years to deliver these activities known as Collaborative Training Accounts (CTAs). The CTA is a very flexible funding mechanism. HEIs can use their block grant to create new types of collaborative training or redistribute funding between different types of training activity, without additional approval from EPSRC 4. The current CTAs will end in 2008 but it is likely that funding will be rolled over for a further year and KTAs will replace CTAs in Potentially, everything that has a KT dimension, with the exception of collaborative R&D, could be rolled into KTAs although no final decision has been made on this as yet. This means that the current range of Core KT schemes could disappear. Instead, universities would bid for large, flexible block grants to undertake all KT activities (excluding collaborative R&D). Harmonisation of Core KT Schemes Owned / Managed by the Research Councils Schemes That Are Already Harmonised 3.10 It is important to be clear about what we mean by harmonisation in this section. It does not necessarily mean full-blown harmonisation like the Business Plan Competition (which involves all seven Research Councils and has one central pot of funding). It could mean: 2 / 3 / 4 Councils joining up similar schemes Front-end harmonisation of schemes rather than complete centralisation. For example, harmonisation of the way in which a scheme is presented to external organisations (common terms & conditions, application form etc) but individual budgets and different back-office processes so schemes can be tailored to Councils individual requirements (for example special expert panels) If this definition of harmonisation is used, then there are already some schemes that operate in a harmonised way. Figure 3.2 presents the same information as in Figure 3.1 but schemes are grouped into related activities. Key points are: Four Councils operate a Follow-On Fund, which is essentially a harmonised scheme (BBSRC, EPSRC, NERC and STFC). 3 Presentation of the PIPSS scheme can, however, be confusing because there are a number of different variants. 4 In total, EPSRC funded 52 CTAs through the competitive business planning process outlined above. There are a further 41 CTAs but these are mainly vehicles for payment of CASE funding. 12

15 Figure 3.2: Overview of Research Council Core Knowledge Transfer Schemes AHRC BBSRC EPSRC ESRC MRC NERC STFC Follow On Fund Follow On Fund Follow On Fund Follow On Fund Young Entrepreneurs Scheme Enterprisers Young Entrepreneurs Scheme Young Entrepreneurs Scheme Parliamentary Secondments (POST) Parliamentary Secondments (POST) Parliamentary Secondments (POST) Knowledge Transfer Fellowships Industry Collaboration Award Scheme Knowledge Transfer Call PIPSS Mini PIPSS Knowledge Catalyst Industry Interchange Programme Knowledge Transfer Challenge & Awards Impact Grants Research Translators Knowledge Exchange Service Intellectual Property Workshops Networks Placement Fellowships KITE Club Technology Translator for Healthcare KTPs KTPs KTPs KTPs KTPs KTPs KTNs KTNs KTNs RS Industry Fellowships RS Industry Fellowships RS Industry Fellowships RSE Enterprise Fellowships RSE Enterprise Fellowships AWM SME Innovation Vouchers NWDA SME Innovation Vouchers 13 STEP Student Placements

16 Three Councils participate in the same Young Entrepreneurs Scheme (BBSRC, MRC, NERC). ESRC have a different scheme Enterprisers but this has similar objectives in terms of promoting an entrepreneurial culture among early career researchers. Three Councils operate a Parliamentary Secondments scheme although each operates this in a slightly different way. The schemes shown in orange in Figure 3.2 are the flexible schemes operated by some Councils through which a range of KT activity can be funded (as noted in Para 3.8). The remaining KT schemes owned / managed by the Research Councils (shown in purple in Figure 3.2) are individual KT schemes which have no direct links with other KT schemes. The schemes below the dotted line are those which are funded by the Research Councils but owned / managed by other external organisations, as shown on Figure Further information is now provided on the schemes mentioned above that are owned / managed by the Research Councils and which already operate in a harmonised way: Follow-On Fund (FOF) Young Entrepreneurs Scheme (YES) 3.13 Follow-On Fund this is a proof-of-concept fund operated by BBSRC, EPSRC, NERC and STFC. Each Council operates their own scheme but it is presented in a harmonised way to the external research community. The Research Councils have agreed common terms and conditions for the scheme and there is a common application form. Anyone applying to the BBSRC scheme would see exactly the same information as if they were applying to the STFC scheme. There is no reason why this could not be branded as a Cross-Council Scheme. Indeed, to a large extent it already is, except the RCUK brand is not used. It is understood that MRC may introduce a follow-on fund for their extramural research community in the future and ESRC has stated in its Delivery Plan that it will become involved in the scheme and has set up a working party on this. It would obviously make sense for these schemes to be developed within the existing framework and to consider RCUK branding, although the scheme would need to continue to be promoted by each Research Council (as for the Business Plan Competition) The harmonised external presentation of the scheme is slightly undermined by: Variation in the timing of calls for applications BBSRC / NERC have joint calls three times a year but EPSRC has only one call per year and STFC has four calls per year. However, Councils do not believe this is a major issue. EPSRC Quota Restriction EPSRC imposes a quota on the value of applications that can be submitted by individual universities because historically, demand for funding has exceeded the resources available. Some consultees commented that this can cause confusion and that some applicants have interpreted this as applying to all Councils. It would be good if there could be more harmonisation on this. It is possible that EPSRC may lift this restriction for 2007/08 following fewer applications than expected in 2006/07. The internal operation of the scheme varies between Councils with the exception of BBSRC / NERC where the internal operation of the scheme is also harmonised. BBSRC takes the lead in processing applications and there is a joint BBSRC / NERC Follow-On Fund Life 14

17 Sciences Panel which has responsibility for determining applications. EPSRC and STFC both process their own applications and have their own expert panels for determining applications This is a different model of scheme harmonisation to the Business Plan Competition. The advantages of this model are it is presented as a harmonised scheme to the external research community but it gives individual Councils control over the scheme (each Council has its own funding allocation and can have its own expert panel to determine applications). There is not just one central pot of money and one central assessment panel. The disadvantages are reduced economies of scale in terms of administration costs (although some Councils would argue that these are minimal) and it is not perhaps as conducive to multi-disciplinary working Young Entrepreneurs Scheme (YES) this is funded by BBSRC, MRC and NERC. It is one scheme led by BBSRC to which MRC and NERC 5 (and other external sponsors) contribute funding. It provides entrepreneurial and business skills training for early career scientists in a competition format. There is no reason why this could not be branded as a Cross-Council Scheme, (for example Research Councils YES), although experience from the Business Plan Competition indicates it would also need to continue to be to be promoted by individual Research Councils Of course, the scheme would have greater status as a Cross-Council Scheme if it involved all the Research Councils, not just three. This has been explored in the past but it has been difficult to make progress. Some Councils (AHRC, EPSRC and STFC) do not explicitly fund activity of this kind over and beyond the Business Plan Competition (which is quite similar). The ESRC has a similar scheme, Enterprisers, but the focus is much more on promoting an entrepreneurial culture among early career researchers rather than business skills training Politically, there could be much to gain from getting all the Research Councils involved in the scheme or a hybrid that takes on board features from ESRC s Enterprisers scheme. This year, a team of Indian researchers will take part in the competition sponsored by the Indian Government, UKTI and FCO and there may be further initiatives of this kind in the future providing valuable international networking opportunities for early career researchers. Previous cohorts have enjoyed networking with North American teams and there are two fully integrated and permanent RDA-sponsored workshops (Yorkshire Forward and NWDA). This is exactly the type of scheme that would be attractive to Government in showcasing the Research Councils KT agenda but it might not be so attractive if it does not involve all the Research Councils However, it is important to bear in mind that a cross-council Competition would raise similar issues to those discussed in Section 2 for the Business Plan Competition in particular how to accommodate people from different disciplines without making the training too generalised. Further Opportunities for Cross-Council Harmonisation 3.20 It could be argued there is no compelling need to harmonise KT schemes across the Research Councils: 5 NERC has its own Environment YES competition within the YES scheme. 15

18 The main audience for the majority of KT schemes managed by the Research Councils is the research community 6. Most researchers are aligned to one or maybe two Research Councils and therefore are not looking for information on KT activities across lots of Research Councils. As shown in Figure 3.1, individual Research Councils do not have a huge number of KT schemes. It should not be too onerous for researchers to find the information they need on KT schemes as long as it is presented clearly and consistently across Research Councils. This is not the case at the moment and is clearly something that needs to be addressed It is also the case that there are not many KT schemes (beyond those that are already harmonised) where there is a strong case for more harmonisation across the Research Councils because: Many Councils have created (or intend to create) larger, more flexible funding streams for KT activities. Harmonisation of such schemes could make them more rigid and undermine the flexibility / simplicity which are supposed to be their key features. Many schemes funded by the Research Councils have little in common because they are targeted at the needs of specific user communities. For example, STFC s PIPSS / Mini PIPSS is about identifying organisations and individuals that may have the potential to apply knowledge acquired through STFC s science programme and supporting exploratory work on this. AHRC s Knowledge Catalyst Programme is a mini KTP scheme, which is designed largely to meet the needs of the creative industries sector, which is an important part of AHRC s user community. No other Research Councils have similar schemes. Research Council KT schemes are not like business support services where there is a lot of duplication of provision to the same user community This is not to say there is no scope for more Cross-Council working on KT schemes. Further harmonisation of schemes should be considered where: Schemes are providing similar types of support to a similar audience. At present, the only scheme that falls into this category is the Parliamentary Secondments (POST) scheme. This is a scheme that gives PhD students in their second or third year an opportunity to undertake a three month placement in the Parliamentary Office of Science and Technology (POST). Three Councils fund the scheme: EPSRC, ESRC and NERC. The key features of the scheme are similar across all the Councils but there are differences in the funding provided and the range of organisations where secondments can be undertaken. It would take relatively little effort to harmonise the terms and conditions of the scheme across 6 Only BBSRC s Industry Interchange Programme and STFC s PIPSS programme are open to applications from outside the research community ie, direct from user groups such as businesses (although in the case of the Industry Interchange Programme, applications from industry must still be made via the academic partner and grants are not paid directly to the industry partner). 16

19 participating Councils (similar to the Follow-On Fund model of harmonisation) and perhaps involve other Councils. 7 There would be benefits, at a RCUK level, from rolling out a scheme more widely across the Research Councils. It was agreed that DTZ would not evaluate schemes or assess good practice as part of this study. We are not, therefore, in a position to recommend that a scheme should be rolled-out further on the basis of its performance. However, we can highlight schemes which are undertaking activities that would seem to be relevant to all the Research Councils in terms of promoting their KT programme and agenda: Knowledge Transfer Challenge and Awards (EPSRC) Intellectual Property Workshops (BBSRC) 3.23 Knowledge Transfer Challenge and Awards (EPSRC) this is a new scheme that ran for the first time in The purpose of the scheme is to promote a culture that recognises and rewards knowledge transfer activity in universities. Each university can bid to undertake a project that will make an outstanding contribution to knowledge transfer in the engineering and physical sciences. The winner receives 500,000 and short-listed finalists receive 100,000. (One of the runner-ups in 2006 was the INDEX SME Innovation Voucher scheme mentioned in Para 3.3). The EPSRC KT Challenge and Awards Scheme attracted a large number of applications and media / political interest in A scheme of this kind, sponsored at RCUK level, could have a significant impact on raising the profile of the Research Councils KT agenda (although there may be a case for having a greater focus on rewarding KT activity rather than funding more KT projects in the future) Intellectual Property Workshops (BBSRC) the scheme provides support to University Technology Transfer Offices (TTOs) to organise workshops for researchers working in the biological sciences. The workshops provide information on issues relating to the protection and exploitation of intellectual property and the commercialisation process (including the support provided by BBSRC and other organisations for knowledge transfer). TTOs have limited resources to support such events and BBSRC branding helps to encourage attendance. The average award to a university is 2,000. In 2006/07, 31 awards were made and approximately 1,000 researchers attended the workshops. It is not clear whether the use of the RCUK brand would have the same impact. Researchers tend to be attracted by events that are supported by their own Council The Research Councils (as a whole) should consider more support for TTOs so they can be proactive in promoting knowledge transfer and the range of support provided by the Research Councils at the grass-roots level. Often TTOs do not have the resources to be pro-active in this way. A RCUK web portal could make information on KT schemes more accessible to researchers but it is important that there is strong promotion of the portal and Research Council KT schemes generally within universities. 7 ESRC has recently expanded its involvement in POST so that doctoral students may spend up to six months in any of its strategic concordat partners working on a defined project. 17

20 4. Core Knowledge Transfer Schemes Typology Framework 4.1 This section sets out a more detailed framework for categorising Core KT Schemes funded by the Research Councils. As highlighted in Section 3, these schemes fall into the following two categories currently used by the Research Councils to categorise KT activity: Interaction between the research base and user community (people and information flows) Commercialisation. Each is considered in turn. Interaction Between the Research Base and User Community (People and Information Flows) 4.2 Figure 4.1 (overleaf) shows that five distinct types of KT activities relating to people and information flows can be identified: Networking - this is about encouraging interaction between researchers, industry and other user communities. Networking activities have only been included where their primary aim is to facilitate networking with non-academic contacts. Research Dissemination this is about getting research into a format that can be used easily by industry or other user communities. For example, special publications, databases, workshops, dissemination events and so on. This type of KT activity is important for all Councils, including those Councils where an important part of their KT agenda is ensuring that research influences policy and practice in the public and third sectors (AHRC, ESRC, MRC and NERC in particular). Research Brokering this is about employing people who have specialist knowledge in a particular research area to identify opportunities for commercialisation / exploitation of research and to broker links with researchers, industry and other user communities to make things happen. Arguably, this is what university technology transfer offices (TTOs) should be doing but sometimes they do not have the subject-specific expertise or resources to undertake this role effectively. Placements / Secondments / Exchanges these are schemes that enable students and academics to spend time working in industry or other user organisations in the public / voluntary sector. There are also schemes that enable individuals in industry or other user organisations in the public / voluntary sector to spend time working in a university or other research institution. Collaborative Research Fellowships these are schemes that enable an individual to undertake a collaborative research project. 4.3 Further information on the schemes that fall into the five categories above is provided in the remainder of this section. 18

21 Figure 4.1: Classification Framework for KT Activities Related to Interaction Between the Research Base and User Community (People and Information Flows) Networking Research Dissemination PEOPLE AND INFORMATION FLOWS Research Brokering Placements / Secondments / Exchanges Collaborative Research Fellowships 19

22 Networking 4.4 The schemes funded by the Research Councils that fall into this category, and the intended applicants for these schemes, are shown in Box Scheme Target Applicants / Participants Knowledge Transfer Networks (Technology Strategy Board) Networks (EPSRC) KT Call (NERC) KITE Club (STFC) MRC Showcase Events Box 4.1 Research Council Core KT Schemes - Networking Research Community Industry Public / Third Sector Research Community Industry Public / Third Sector Research Community Industry Public / Third Sector Research Community Industry Public / Third Sector Research Community Industry Public / Third Sector Description National networks that facilitate the transfer of knowledge between the research base, industry and other user communities. The purpose of the scheme is to encourage interaction between the research base, industry and other user groups on new interdisciplinary research topics. Network proposals can be submitted at any time (by academic researchers) in responsive mode but EPSRC will sometimes issue specific calls for network proposals. Networks are expected to lead to new collaborative multidisciplinary research proposals in the future. EPSRC currently has 24 networks. This is a single flexible scheme, introduced in 2004 and revised into its present form in 2007, which can support a wide range of KT activities including networking. The KITE Club provides opportunities for individuals and organisations who have been identified as possible users of STFC technology to build links with STFC scientists. STFC has a limited natural user community for its science programme and an important part of its KT agenda is identifying possible users and then networking then with the STFC science programme (which is the role of the KITE Club). A rolling programme of one-off meetings focussed on particular research themes ie, cancer, inflammation etc. 4.5 Key points are: There are not many networking schemes. This is probably related to the large networking initiative managed by the Technology Strategy Board Knowledge Transfer Networks (to which three Research Councils contribute some funding). There is no point in individual Research Councils having their own networking schemes unless they are substantially different to the TSB KTNs. This is clearly the case with 8 The reason for showing the intended applicants for each scheme is so that information for the web portal can be targeted to particular audiences. It also helps in assessing the extent to which schemes are similar or targeted at very different audiences. 20

23 STFC s KITE Club. The EPSRC Networks scheme is also different in that it is intended to be a precursor to new collaborative multi-disciplinary research proposals in the future. It is clear the schemes are quite different to each other. There is no obvious potential for harmonisation. Research Dissemination 4.6 The schemes funded by the Research Councils that fall into this category, and the intended applicants for these schemes, are shown in Box 4.2. Box 4.2 Research Council Core KT Schemes Research Dissemination Scheme Target Applicants / Participants Impact Grants (ESRC) Research Community Description The purpose of the scheme is to enable academic researchers to undertake activities that will put their research into practice and have a real impact on ESRC s user community. This may mean using research to improve knowledge / innovation in the private sector but often it is about using research to inform policy development and practice (since the public / voluntary sector is a key part of ESRC s user community). The scheme has two strands: Interaction with Business grants for activities that enable research to be used by the business community Directive grants for activities specified by ESRC. An example of a project funded through the scheme is a policy workshop organised by the Tyndall Centre for Climate Change on the investment required for climate change mitigation. 150 delegates attended with almost half from the private sector. KT Call (NERC) Research Community This is a single flexible scheme, introduced in its present form in 2007, which can support a wide range of KT activities including various types of dissemination activities to make research accessible to NERC s user communities. Research Brokering 4.7 The schemes funded by the Research Councils that fall into this category, and the intended applicants for these schemes, are shown in Box

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