General FAQs - Call for Kaupapa kākano Seed project proposals 2021
Q1: What are the key changes from last year’s Seed Project Funding Round?
A: This year SfTI is prioritising applications from Early Career Researchers (ECRs) who wish to explore complex and risky ideas across any of the SfTI technical research themes.
Our focus in 2021 is to support researchers most impacted by Covid-19, and to encourage more applications from ECRs, women, Māori and Pacific researchers, especially where their research has been impacted by Covid-19.
Note that we are still prioritising applications that create cutting-edge technology using Mātauranga Māori and that have strong Māori leadership under our Vision Mātauranga priority.
For the first time, SfTI is offering Proposal Development Grants of up to $3000 per proposal. Refer to the CfP for information on how to apply.
SfTI has amended our definition of ECR to extend this beyond 7 years active research by 2 years for each child born within that period.
Team and eligibility
Q6: If I am an ECR who has previously received funding from SfTI, or, if I am an ECR who is currently receiving funding from SfTI (via a Seed project and/or Spearhead project), am I still eligible to apply for Seed funding in 2021?
A: Yes, all ECRs are eligible to apply in 2021. ECRs can apply for the PDG and submit a Seed Project application.
Q7: How long is the funding grant valid for?
A: The earliest a successful project can start is 1 October 2021. However, you can only start when the full research team is in place that you need to undertake the first 6 months of work. For instance, if you need to recruit a student, you can not start the project until you have that student in place. Because of the time it takes to recruit and with consideration to covid impacts, the project start can be delayed until 1 July 2022 at the latest (in other words, up to 9 months).
The end date for the project is delayed in line with the start date. For example, if the project duration is 2 years and it takes until March 2022 to get your student/s, then the project would start in March 2022 and finish in February 2024.
Q8: Regarding the PDG Grant, what is an example of family and cultural responsibilities?
A: We understand that sometimes researchers have responsibilities within their iwi. For instance, their iwi may have business activities and this activity has been impacted by Covid-19 and there is a flow on effect to the researcher in terms of time commitment. Alternatively, a researcher with primary care responsibilities for children may have found it harder to dedicate time to research if they’ve had, for instance, responsibilities for home schooling their children during Covid-19 lockdowns. This impact may be ongoing.
Q9: What is meant by mentorship? Does the mentor have to be in science or project management?
A: Mentors play a role in advising a junior researcher(s) on various aspects of project management, career guidance and professional development but they should not have a scholarly input into the proposed research (if they do, they should be listed as a researcher instead). Mentors should ideally be based at the junior researcher’s/ECR’s organisation. Also, the mentor does not have to be 0 FTE. If they have a bigger role in the project, it is acceptable to give them some funded FTE, but this would disqualify the project from consideration under the ECR priority.
Q10: How does SfTI define an ECR or emerging researcher? Is there a cut off for defining an emerging researcher?
A: SfTI considers ECR and emerging researchers to be synonymous. An ECR/emerging researcher is defined as having spent seven (7) years full-time equivalent in an active research role after completing their highest research degree. However, from 2021, SfTI defines this as follows. If the ECR is the primary caregiver, then the eligibility period may be increased by 2 years per dependent child born in the period (e.g. two dependent children born in the 7 years post highest degree could extend the eligible period to 11 years). If the ECR has had part-time employment as a researcher or significant periods of sickness leave, then the contribution to the 7 years full-time equivalent is pro-rata. Contact SfTI if you are unsure about whether you fit this definition. For instance, perhaps you have worked in non-research role post highest degree, or a part-time research employment, or sickness leave. The ECR 7-year period will be assessed as of 1 October 2021.
Q11: Are PhD students eligible to apply as the Principal Investigator?
A: Yes, but we would expect them to have completed* and passed their PhD before the Seed proposal submission date of 18 June 2020 so that they can undertake the project as a postdoctoral researcher. We would also expect to see in the project team that they have strong mentoring and support around them as an ECR. SfTI would also require evidence that, following the completion of their PhD, a research organisation is willing to employ them before they can be funded as a PI on a Seed Project, and that the research organisation is willing to be the Contracting Organisation should the Seed Project proposal be successful.
Also, please note that projects are only able to start once the full team is in place (e.g. completion of their PhD for a post-doctoral researcher).
*Completing in this context means the degree must have been examined and the student must have passed. The student does not need to have graduated. The degree must be completed by the proposal submission deadline of 18 June 2021.
Q12: Are PhDs not wanted for Seed projects?
A: PhDs are allowed but Masters are preferred in 2021 unless the case for PhD is compelling. The key issue is that for a 3-year PhD programme, there is usually going to be some overhang beyond the maximum 2 years duration of the Seed. The research work the PhD is doing for the Seed project has to be completed within the duration of the Seed project. It is not a funding issue as SfTI will fund the scholarship for 3 years (funding paid over 2 years). If a PhD is included in a proposal, the application will need to make the case for this approach (e.g. student is from an under-represented group but wants to do a PhD rather than a Masters).
Q13: Is it possible to use some of the project funding to support a PhD student who is already in their second year of study?
That is allowable, but the proposal application would have to explain how their contribution to the project fits with their PhD study, and how their work on the project fits with the project. Also remember that the project must be novel and new, and not a continuation of an existing project.
Q14: Is there a minimum FTE for an Associate Investigator?
A: No, there is no minimum. Please note however, we prefer to see fewer people working with significant FTE, rather than a lot of people at low FTE. The FTE should be appropriate for the project. For instance, if any researcher has low FTE, and their expertise is critical for the project, then that may not be a convincing team. The assessment panel will look at whether the research team is appropriate and compelling for what you intend to do.
Q15: What does zero FTE for mentoring mean?
A: We like the idea that junior researchers (ECRs) can lead a Seed Project, and we see that a connection to a mentor is very desirable at this stage of their career. SfTI only wants to support funded FTE for the team of the researchers carrying out the substantive research work. So more senior personnel who are acting as mentors to the ECRs should not be funded.
It follows that only the CVs for key researchers (substantive research team) should be included. The (unfunded) zero FTE mentor should not include their CV in the application.
Q16: Can we include an overseas researcher?
A: Yes, you can, but SfTI cannot fund overseas researchers for their time. You must explain in your application why the overseas researcher’s expertise is critical to what you are trying to achieve.
The expertise provided by the overseas researcher should not normally be available in New Zealand. Thus, project funding can be used for you to spend time with an overseas research group if there is critical expertise that you need to access offshore or support the costs of getting access to equipment that is overseas.
The project could fund some travel to visit them or them to visit you, but you would have to make the case in your application that the travel was critical for the project.
In the current Covid-19 environment however, SfTI would not expect project budgets to include plans for international travel as it is not realistic at this time.
Q17: Can my Seed project Masters Student be from overseas or must they have a NZ qualification only?
They can have any overseas qualification, if this is a valid qualification that is accepted by a NZ university. Also note, that anyone doing a Masters or PhD is deemed by SfTI to be an ECR.
Q18: Can all the project ECRs be from the same research institution or does SfTI require multiple organisations in a project? Does a commercial co-funder have to be on board?
A: Projects with researchers from a single institution and projects with researchers from multiple organisation are both eligible and acceptable to SfTI. The key thing is that you must make sure the group of researchers in your proposed project fit well with what you are intending to do. An appropriate mix of skills and expertise is the most important thing, not whether you have other organisations involved.
Although SfTI welcomes the involvement of more than one organisation, the number of organisations and researchers may be limited by the funding level which is capped at $200k per project. Researchers from overseas organisations however can not be funded for their time commitment.
As discussed above, SfTI cannot fund overseas organisations. Funding can cover costs of collaboration (noting that travel is not really possible at the moment). Note that SfTI’s preference is to support NZ research and NZ researchers.
Regarding commercial partners, SfTI doesn’t expect to see commercial partners involved in a proposal but in some cases it could be appropriate (e.g. a key expertise is provided by the partner). If the project is very close to commercialisation such that a commercial partner is directly involved, we would ask whether the science is not perhaps as early stage, risky and stretchy as SfTI expects, and may not be well suited to Seed funding.
Q19. Does SfTI require that everyone on the team has a PhD? For instance, can one of the team be a formally trained production design engineer?
A: No, SfTI does not expect all funded researchers to have PhDs. The crucial question is, has the team got the skills and expertise to do the planned research? We also support students. Note that SfTI prefers Masters students to PhD students for Seed projects given the maximum two year duration.
Q20. Can a researcher submit multiple Seed project proposals as a PI?
Under SfTI rules, a researcher can be a funded PI on only one Seed proposal but can also be an AI on another Seed proposal at the same time. If you are involved in two proposals, note your proposals will, in effect, be competing against each other, so our advice is to focus on one proposal.
Projects
Q21: Can you tell me what “capacity development” is?
A: SfTI Capacity Development refers to professional development training activities that help scientists to connect, communicate, collaborate or commercialise with industry, Māori, and researchers outside of the scientist’s discipline of research. SfTI offers various opportunities for this kind of professional development, and it is a requirement to undertake at least one training per year.
Q22: I am planning to do a project including social science, but I am not sure if I am eligible?
A: Applications for Seed projects that use social science methodologies and expertise to explore how to build New Zealand’s innovation capacity, including the social dimensions of technology development and its uptake, are welcome but they must align with and be complimentary to the aims of the SfTI Spearhead Building New Zealand’s Innovation Capacity (BNZIC).
The project would need to focus on scientists also industry people could also be relevant if the proposed research was about industry relationships with science. For instance, the project might offer novel insights into how we build those relationships between industry and science.
Please note, very importantly, that alignment with the BNZIC Spearhead project must be a secondary alignment, with the project having a primary alignment with one of the SfTI scientific/technical themes. That is, any methodology drawn from social science must be applied to a technical context.
We ask that applicants in this area contact SfTI for confirmation that their proposed project will achieve alignment to the SfTI BNZIC Spearhead project. It is also important to check that what you are proposing is not duplicated in BNZIC Spearhead project which looks across the SfTI Spearheads and Seed projects and is focused on human and relational processes associated with these projects.
Q23: I am unsure whether to specify a stage gate date when I aim to complete, or when I am sure to complete? Or would it be possible to specify a date range?
A: This is a common issue and we expect a date rather than a range. We want you to undertake risky science, but we also want you to set timelines so that you do not “go down a rabbit hole” that ends up wasting time and resources. We would prefer you to state what you are hoping to achieve, and then should the science fail, then SfTI can then work with you to pivot to an alternative pathway. In your planning you need to set a reasonable end date by which your scientific process can be explored to a good extent such that you feel you should reach the goal if it is ever going to be possible. We would advise not to make this too early or you will put yourself under undue pressure! However, if the deadline is too long then your project may appear less challenging to the assessors and there will be insufficient time left to pivot. Also remember, that pivoting is okay if the planned research does not work out but indicates that a different approach or direction is more promising. If you can foresee some alternative approaches or directions, try to build them into your research plan as options as indicated below.
Q24: What is a pivot, and would you expect the pivot to be identified in the methodology/plan?
A: A pivot is a deviation from the original research plan that normally necessitates changes to the contracted critical steps or stage gate. It is not compulsory that you identify the pivot up front. Applicants should state the primary research path you want to follow.
However, if you can identify an alternate process or pathway for the research, then do this in the application - but we do not expect this. You can describe some options and tell us what those options or pathways are. We want you to think about, and say upfront, what option you are going for, and that you might explore other options. However, if it transpires you cannot do this, we do not want you to feel constrained to fit with the original plan. We want to free up your science. Also, if you do state options up front then you may not need the pivot because you have already described another direction as part of your research plan.
Note that pivoting does not mean changing to a whole new project – it still has to be within the terms of the overarching objective you have stated in the proposal as trying to reach, and we would not expect to see lots of new expertise or resources requested as a result. Pivots are expected to head to a related, or slightly different direction. If you hit an interesting new direction, which is unexpected when you started, we want you to be able to follow this (as far as budget will allow).
Q25: Does SfTI have a preference for a theoretical or a practical outcome?
A: It is important to remember that SfTI is different from funds such as Marsden. We are seeking benefit to NZ from our funded projects, and although that benefit can be in the longer term, it needs to be reasonably well defined. Hence SfTI is unlikely to support purely blue skies research that does not have a defined potential outcome and benefit to NZ.
Q26: Does SfTI consider publications as an achievement?
A: SfTI acknowledges publication is very important for researchers, for their careers. However SfTI’s goal is about creating benefit to NZ, and publication may not be the best way to achieve that. In terms of alignment to SfTI’s goals, it is more appropriate to state achievement in terms of the characteristics of the science/technology development and performance, and being able to demonstrate its potential value.
Q27: What is the TRL and can you tell me about it?
A: Technology Readiness Level or TRL is a standard scale that can be found here.
SfTI Seed funding is looking to fund projects and technology development up to TRL 4, or at the proof of concept or laboratory validation stage. Seed funding does not support technology development that is beyond TRL 4 and well down the commercialisation pathway.
Q28: Would a recommendation letter from industry be helpful to confirm the need of the research?
A: Industry involvement/engagement in a proposal is usually a positive but it is not essential. We do not expect to see recommendation letters from industry partners. If a company is keen to give support, it might suggest to us that the technology may be beyond TRL 4. We’d also want to know why, if It is important to them, why are not they funding the research themselves? If the research is speculative but has the potential to open up a whole new area for their business, then this could be of value and appropriate for SfTI Seed funding as we are really trying to fund early stage research. Industry involvement might be as a possible future commercialisation partner, to help define the future potential of the research, or directly as a research contributor if they have appropriate expertise.
Q29: Where will my novel Intellectual Property (IP) for this Seed project sit, and what about Spearhead projects?
A: The IP principles are the same for SfTI Spearhead and Seed projects. SfTI is a virtual organisation and we do not want to own IP. The IP Management plan attached to every SfTI research contract states “Unless the Parties agree otherwise in writing, Project IP will be owned on creation exclusively by the Party (or Parties, as the case may be) that create it.”
We want researchers and institutions to own and manage the IP as they are in the best position to do this. SfTI expects the project parties to work out and agree who will be the managing party for any commercialisation of IP.
SfTI is not against publishing – we expect you to make plans for protecting any Project IP before you go to publication with those ideas. Your proposal should include results from a scan of existing technologies and patents in the field of interest if this has been done. Think about your idea and make sensible decisions that will not limit the potential for impact down the track.
Q30: The guidelines ask whether the proposal addresses a NZPA 'missing science' area. What does this mean?
A: In the course of the New Zealand Product Accelerator's (NZPA) engagement with industry, unsolved science problems are sometimes identified, which if solved with new proven science would unlock potential commercialisation and create the opportunity for new products and services. They call these 'missing science' areas. If you are aware of this work by NZPA and have addressed one of these in your proposal, please include this information in your application.
Please note that although alignment with a NZPA missing science area is NOT compulsory from a SfTI perspective, we expect all Seed proposals to be targeting new science which has the potential to solve a current problem with commercial impact.
Assessment
Q31: Can you explain the Vision Mātauranga assessment?
A: Proposals are scored on 7 criteria listed in the CfP by Vision Mātauranga experts. Proposals will need to achieve at least three points in total and at least one point for the two Māori participation criteria to be eligible for selection into the Vision Mātauranga ballot. We are assessing the Vision Mātauranga quality through three principles or pillars, called “pou” with the following level/points system:
- The level of relationships with Māori and participation by Māori in the proposal - can score two points. It is mandatory to score at least one point for this pou.
- The level of incorporation of Māori knowledge in the proposal - applications can get up to three points.
- The level to which the research will benefit Māori in some way - applications can get up to two points. This includes the priority or impact for Māori, so even if the project was not high impact it may be a high priority area for Māori, and so would get a point for that.
Based on these principles, the applications can score up to seven points for how these dimensions feature in the proposal. An application may not score all seven points and we do not really expect that it would. Applications should focus on the few areas where you are strong. We are realistic that projects may not spread across all the areas or hit all possible aspects of Vision Mātauranga.
Q32: Will preference be given to researchers employed by Maori entities?
A: SfTI welcomes Māori entities’ involvement in designing or implementing the research and in 2021 such involvement is essential for a project to be considered under the Vision Mātauranga priority. Please read the Vision Mātauranga assessment criteria in the Call for Proposals Document for guidance about the aspects of Vision Mātauranga research we are interested in seeing in the project. This will explain the importance of involving Māori knowledge holders in your project.
Q33: How does assessment work for Vision Mātauranga – do the assessors on the panel get to veto proposals with Vision Mātauranga alignment?
A: No, the panel has technical assessors and Vision Mātauranga assessors. The Vision Mātauranga assessors on the panel make the decisions about Vision Mātauranga criteria and eligibility for the Vision Mātauranga ballot due to strong Vision Mātauranga alignment. The whole panel considering both Vision Mātauranga and science/technical quality decide which proposals are selected for the Vision Mātauranga ballot.
Q34: Can you tell us a bit more about what you mean by economic context?
A: SfTI is an economically based NSC and we’re looking for projects that have the potential to create technologies that will have significant economic value to NZ. The project can address health, environment or social issues and the value can be health, social or environmental benefits and not just direct financial benefits.
Q35: Do I need to do a market assessment of the technology before I submit a proposal?
A: Yes, it’s very useful to do a market assessment and have a sense of what the potential might be if the science proposed is successful. However, we don’t expect an elaborate and expensive analysis to be undertaken given that the research should be early stage (at up to TRL4)
Q36: I am a student and not currently employed by a NZ research organisation - can I apply?
A: Yes, but only if you have an offer of employment from a suitable NZ based research organisation and their support for the application (the offer can be subject to the Seed funding application being successful).
Q 37: I’m not certain about which technical theme my project aligns to as it seems to align to more than one SfTI technical theme. Does it matter if I select the wrong theme? Is it ok if my project is across themes?
A: It is OK if your Seed project seems to be on the boundary as you can select more than one technical theme.
SfTI reviews the theme alignment when the proposal is submitted and, if your proposal is successful, will confirm the theme alignment then before contracting.
In selecting the theme, consider where the main research/science stretch lies in your project, and this is the theme you should select as the primary theme. What is most important is that the proposal does align to at least one of the technical themes. SfTI can not support research that is not aligned to SfTI technical themes.
Budget
Q38: The SfTI master’s stipend of $27,500. Why is that when Masters students usually get less than a PhD student?
A: SfTI prefers that the stipend and fees for a Masters student is at the same level as a PhD as we are not wanting Masters students to be viewed as less valuable than PhD students. The Masters student arrangement also fits better to the duration of a SfTI Seed project and we wish to encourage the involvement of Masters students.
If an organisation wishes to pay a lower amount to the student, that’s for the organisation to decide, but the assessment panel may view it negatively unless a persuasive rationale is provided (and fitting budget constraints is unlikely to be a persuasive reason). Also, in the long term, the Masters student may become disgruntled when they find they are being paid at a lower rate than other SfTI supported students.
Q39: What does the funding cover? Eg time, expenses, software, technology, travel?
Funding covers the cost of researcher time (FTE) including overheads. The proposal budget template, found in the portal and on the SfTI website, includes more guidance about what research costs can be covered.
Regarding travel, SfTI does not support large amounts of money to fund travel to conferences, although we do support getting students and ECRs to conferences as this is part of their capacity development.
Funding of capital items is limited to less than $2k although the use of funds to pay for equipment hire or to contribute to depreciation costs of smaller capital items is acceptable, but should be justified in the budget table of the proposal. We understand that some projects may need to buy special, small equipment that is vital to undertake the research. This should be itemised and justified in the budget table (you could use the extraordinary expenditure line if the cost is unusually high).
Items up to $2k can be considered as consumables. Above $2k, then you would need to make the case (but as explained above, equipment is generally not funded) or perhaps you could devise a system so you can cost it as rental or equivalent.
Finally, we would encourage a funding allocation to cover costs of collaboration with Māori partners and advisors, even if they are not researchers on the project. Paying for advice and involvement from these individuals is encouraged and properly resourcing this activity is something SfTI strongly supports.
Proposal Development Grant (PDG)
[Applications for the Proposal Development Grant (PDG) closed on Friday the 26th of February 2021]
Q2: If I receive a PDG grant, is there an increased likelihood of receiving the Seed project funding?
A: No, not directly. While we anticipate that proposals submitted following a PDG will be better than without the PDG, the assessment processes are completely independent. The purpose of the PDG is to assist with the preparation of a proposal where the applicant would otherwise struggle to develop and submit one of high quality.
Q3: Can I use the PDG to pay myself a wage?
A: SfTI would NOT normally support you to use the PDG to pay your own wages but will consider these applications on a case by case basis. This is because your time to prepare a proposal is part of the investment and commitment that you and your employing organisation make in order to get funding including overheads.
However, there may be some exceptions, so you are encouraged to make your case if you feel that your opportunity to submit a Seed proposal would be severely compromised without wage support.
Remember that SfTI is primarily interested to support researchers disadvantaged due to Covid-19 or other circumstances outside their or their organisation’s control. Further, if you are not employed by a research organisation then both your PDG and your seed proposal must be supported by a research organisation willing to employ you if one or both of the applications are successful. Also, the PDG should not be used to fund things that your employer would normally provide or fund. Two examples are:
- If you are employed by a research organisation, then SfTI would NOT normally support you to use the PDG to pay your own wages as that is your employer’s obligation. However, if due to Covid-19 your other duties have increased such that you are struggling to find time to prepare a proposal then part of the PDG could be used by your employer to fund someone else to provide relief for you from some of the extra workload assigned to you (e.g. employ a post-doc to help prepare on-line teaching materials so you have more time to prepare a Seed proposal).
If you are unemployed or working for a non-research organisation in a non-research role, then SfTI may consider the PDG being partially used by an organisation to temporarily employ you to prepare a Seed proposal on the basis that they will employ you as a researcher if the proposal is successful. The basis is that the payment to you is the equivalent of other workload relief to a researcher employed by a research organisation (first example above).If you plan to use the PDG to pay a wage to yourself, you are encouraged to contact SfTI to check that your circumstances might be permissible.
Q4: Can I use the PDG to pay myself a wage if I am unemployed or on a benefit?
A: Yes, but the payment of wages must be via a research organisation willing to employ you as a researcher if the Seed proposal is successful and there must be a strong rationale that you would be disadvantaged relative to other without the wage support (see above). Also, the PDG is capped and may not cover all wages for all of the time required to prepare a strong proposal, and supporting costs other than wages is SfTI’s preference.
Q5: Could I apply for the $3k PDG support to fund materials to do preliminary work for the proposal?
A: It is a possibility but less likely to be supported than other expenditure. The main idea behind the PDG is to support you, as an individual, to prepare a research proposal and NOT to directly support doing research. If the need to purchase materials for preliminary work can be validly justified as a Covid-19 impact (e.g. preliminary work delayed due to Covid and reagents have a finite shelf-life), then use of PDG funding for materials costs might be supported. You would need to make it clear in the application why you need the funding, so SfTI can understand what is preventing you doing the preliminary work and purchasing materials, given New Zealand is not currently in lockdown.