1. Driving Innovation
Technology Strategy Board
Competition Briefing
-Metadata Production Tools
(Mainstream & Fast Track rounds)
-Collaboration across digital industries 2
Alex Chahian
Competitions Team
London, 24th March 2011
3. Driving Innovation
Agenda
09:30 – Arrival
10:00 – Introduction
Technology Strategy Board
10:15 – Application Criteria
Costs, Finances and Grant allocations
Je-S
IT & The Way Forward
11:00 – Q&A (Process & Finance)
**** 11:30 – Coffee Break ****
11:45 – Metadata Production Tools
Competition Scope
12:05 – Collaborating Across Digital Industries 2
Competition Scope
12:30 – Q&A (Scope)
**** 13:00 – FINISH ****
All presentations will be available at: https://ktn.innovateuk.org/web/competitions-faqs/document-library
4. Driving Innovation
By the end of the briefing
You should, with confidence and knowledge, be able to:
• Understand the scope and objectives of the competition
• Understand the competition process and criteria
• Understand the application requirements
• Be clear on the timelines & deadlines
6. Driving Innovation
Our vision...
for the UK to be a global leader in innovation and a
magnet for innovative businesses, where
technology is applied rapidly, effectively, and
sustainably, to create wealth and
enhance quality of life.
Partnership is key
7. Driving Innovation
The Technology Strategy Board is…
A national body supporting business innovation...
for business benefit
for economic growth
for quality of life
8. Driving Innovation
Who we are as an organisation…
• An arm’s length executive body guided by business-led Governing
Board
• Sponsored by the Department for Business, Innovation and Skills
(BIS)
• We work across government departments and often in
partnership with the research councils
• Focused on business innovation and the application of
technology
• Staff of around 120 based in Swindon
10. Driving Innovation
What are we funding?
• Over a 1000 Business-focused R&D Consortia
• Most are Business led
• 3000 business partnerships
• 826 academic partnerships – 98 HEIs
• Over £900m invested/committed – of total £ 1,200m
13. Driving Innovation
TSB Strategic Criteria
• Does the UK have the capability?
Significant research capability/capacity to exploit opportunities.
• Is the idea “ready”?
Clear opportunity to which this is a timely response.
Speed progress towards more sustainable economic growth.
• Is there a large market opportunity?
What is the size of the global market opportunity?
Will it create added value in the UK, taking into account the global
market potential?
• Can the Technology Strategy Board make a difference?
Can we add value?
Will our investment promote sustainability and quality of life?
14. Driving Innovation
The “Ideal Project”
• A clear commercial opportunity to open up or exploit a
significant growth market.
• A technical challenge that requires the creation of an
industrially driven consortium and innovative and risky
research and development to solve.
• A realistic project with deliverables and applications that are
innovative, commercially exploitable and of wider benefit.
• A demonstrable need for support.
15. Driving Innovation
Types of Project
Commercialisation
Prod. Prototype
System Qual.
System Dev.
Technology Demo
Technology Development
Feasibility
Blue sky
Research Commercial Investment
Councils BAS APP EXP Venture Capital
TSB and its co-funders funding
Market readiness
16. Driving Innovation
Application Structure
The Application is broken down into 4 marked sections:
Gateway: Scope Section One: Business Proposition
• Does the project fit the competition • What is the business proposition
call? that the applicants are trying to
address and exploit?
Section Two: Project & Partners Section Three: Value Add
Details : • Is the project value for money?
• What will the project entail? • Why should the Technology Strategy
• Who are the project participants and Board invest?
what are their credentials?
17. Driving Innovation
Abstract of proposed project
• This part of the application is not marked
18. Driving Innovation
Scope Gateway
Key Points:
• “must align”
• “clear majority of the
projects objectives and
activities”
Don’t write yourself
out of scope...!
19. Driving Innovation
Section 1:
The Business Proposition
Question 1 What is the business opportunity that this project
addresses?
Question 2 What is the size of the market opportunity that this
project might open up?
Question 3 How will the results of the project be exploited and
disseminated?
Question 4 What economic, social and environmental benefits
are the project expected to deliver to those inside and
outside of the consortium and over what timescale?
All questions are equally weighted (10 marks per question)
20. Driving Innovation
Business Proposition – Key points
Question 1 What is the business opportunity that this project addresses?
Question 2 What is the size of the market opportunity that this project might open
up?
• Have you identified a viable business opportunity?
• Is it clear you understand the dynamics of the market?
• Has the “size of the market” been quantified and where possible,
has evidence been given?
• Is the business need and market realistic and addressable by the
project?
“If no-one in the consortium knows the market, you
haven’t got the right consortium!”
21. Driving Innovation
Business Proposition – Key points
Question 3 How will the results of the project be exploited and disseminated?
Question 4 What economic, social and environmental benefits are the project
expected to deliver to those inside and outside of the consortium and
over what timescale?
• Is it clear how your consortium plans to exploit the results?
• Is it clear how your consortium will benefit from the project?
• Have you quantified the value of the output and how it will be
disseminated?
• Who else will benefit from the project and how?
• Will there be any social or environmental impacts? If these are
negative how will they be mitigated?
• Sustainability implications?
22. Driving Innovation
Section 2:
The Project Details
Question 5 What technical approach will be adopted and how will
the project be managed?
Question 6 What is innovative about the project?
Question 7 What are the risks (technical, commercial and
environmental) to project success? What is the
project’s risk management strategy?
Question 8 Does the consortium have the right skills and
experience and access to facilities to deliver the
intended benefits?
All questions are equally weighted (10 marks per question)
23. Driving Innovation
Project Details – Key points
Question 5 What technical approach will be adopted and how will the project be
managed?
Question 6 What is innovative about the project?
• Have you described the main technical objectives, methodology
and the project plan?
• Have you explained how the project will result in substantial and
lasting changes?
• Does the project present both commercial and scientific
innovations?
• Have you provided evidence such as patent search of this
innovation?
The UK Intellectual Property Office says 80% of published patents are lapsed and
estimates that 30% of European R&D expenditure is wasted!
24. Driving Innovation
Project Details – Key points
Question 7 What are the risks (technical, commercial and environmental) to project
success? What is the project’s risk management strategy?
• Have you identified the risks for your project; technical,
commercial, managerial, environmental and others?
• Have you outlined how the risks will be managed and mitigated?
25. Driving Innovation
Project Details – Key points
Question 8 Does the consortium have the right skills and experience and access to
facilities to deliver the intended benefits?
• Why are you the consortia best placed to do this project?
• Have you adequately demonstrated your consortia’s proven track
record?
• Have you successfully completed other innovative R&D projects?
• Do you have the ability within the consortia to develop and exploit?
26. Driving Innovation
Section 3:
Funding and Added Value
Question 9 What is the financial commitment required for
the project?
Question 10 How does the financial support from the
Technology Strategy Board and its funding
partners add value?
All questions are equally weighted (10 marks per question)
27. Driving Innovation
Funding – Key points
Question 9 What is the financial commitment required for the project?
• Do not simply write out the finance table!
• Have you explained the funding model & cost break down for the
project?
• Is the budget realistic and appropriate? – underestimating cost is as
bad as overestimating costs
• Have you explained and justified any significant costs e.g
subcontracting or travel?
• Have you articulated and quantified the amount of investment
required to deliver the project?
28. Driving Innovation
Funding – Key points
Question 10 How does the financial support from the Technology Strategy Board and
its funding partners add value?
• Will the TSB investment increase the amount of Research and
Development undertaken in the UK?
• Have you explained and justified why you are not fully funding the
project yourselves?
• Have you explained how the project would be undertaken
differently with TSB investment?
• What are the implications of the TSB funding? What does it mean
to the project, idea and exploitation?
29. Driving Innovation
Appendices (None for EOI)
Appendix Guidance
Appendix A This should be used to provide additional information to address
Section 1 of the application form: The Business Proposition. The
Maximum length: applicant may wish to include graphics describing the nature of the
Up to 5 sides of A4 problem, market dynamics and/or exploitation plans.
Appendix B This should be used to provide supporting information to address
Section 2 of the application form: The Project Details. For example,
Maximum length: a Gantt chart, risk analysis table, project management structure
Up to 5 sides of A4 (7 sides of A4 and/or details of evidence for innovation.
for Science to Business Science to Business applications, are allowed an additional 2 A4
sides for additional assessment information such as the Pathways to
Applications) Impact.
Appendix C This should be used to provide details of the specific expertise and
track record of each consortium partner and each subcontractor to
Maximum length: address Question 8 of the application form. Academic collaborators
Half a side of A4 for each partner may wish to refer to their research standing.
and subcontractor
• These should be used to add justification, graphs, pictures etc to support
your application
• They are not a continuation of the application form
• Do not use web references
30. Driving Innovation
Application Assessment
All applications are assessed by
independent reviewers drawn
from industry and academia
What do they look for?
• Clear and concise answers
• The right amount of information –
don’t give too much detail or make
assumptions
• Quantification and justification
• That you’re the right people with the
right bright idea and the means to
exploit its potential
31. Driving Innovation
Top Tips
• Answer the question fully and use all the space available
• Number your sections & questions
• Check your application for quality of presentation – make the best
impression on the assessors
• Use capitals when correct to do so but not to draw attention to your
case – reviewers do not like it
• Quantified means put some numbers in
• Avoid clichés – “Holy Grail” or “Market is massive”
• Don’t leave your submission until the deadline
• Please refer to the Guidance for Applicants
32. Driving Innovation
Key Dates – Metadata Mainstream
Timeline Summary
Competition opens 14th March
Optional Expression of Interest review period 14th March to Noon 14th April
Optional Briefing 24th March
Final date for Registration Noon 14th April
Submission of Expression of Interest Applications Deadline: Noon 21st April
Decision provided by Technology Strategy Board End of business 6th May
Stage 2 opens (for invited applications) 9th May
Feedback to applicants End of business 9th May
Optional Finance Form review period 9th May to Noon 9th June
Submission of the Application – including Je-S submission, Deadline: Noon 16th June
finance forms & appendices
Decision to applicants End of business 22nd July
New Projects Workshop Date and location to be confirmed
33. Driving Innovation
Key Dates – Metadata Fast Track
Timeline Summary – Round One
Competition opens 14th March
Optional Briefing 24th March
Final date for Registration Noon 14th April
Optional Finance review 14th March to 14th April
Submission of the Application – including Je-S submission, Deadline: Noon 21st April
finance forms & appendices
Decision provided by Technology Strategy Board End of business 25th May
Feedback to Applicants End of business 8th June
Timeline Summary – Round Two
Competition opens 13th June
Final date for Registration Noon 14th July
Optional Finance review 13th June to 14th July
Submission of the Application – including Je-S submission, Deadline: Noon 21st July
finance forms & appendices
Decision provided by Technology Strategy Board End of business 24th August
Feedback to Applicants End of business 7th September
34. Driving Innovation
Key Dates – CADI2
Timeline Summary
Competition opens 14th March
Optional Expression of Interest review period 14th March to Noon 13th April
Optional Briefing 24th March
Final date for Registration 13th April
Submission of Expression of Interest Applications Deadline: Noon 20th April
Decision provided by Technology Strategy Board End of business 13th May
Full Stage Workshop (successful applicants from the 24-25 May
Expression of Interest only)
Stage 2 opens (for invited applications) 27th May
Feedback to successful applicants 27th May
Optional Finance Form review period 27th May to Noon 27th June
Submission of the Application – including Je-S submission, Deadline: Noon 6th July
finance forms & appendices
Decision to applicants End of business 5th August
Feedback to Applicants provided End of business 19th August
New Projects Workshop Date and location to be confirmed
36. Driving Innovation
Funding Criteria (Collaborative R&D)
• Collaborative... business-led
• Typically in the category of Applied Research (attracting 50% public funding
for eligible project costs)
• Consortium members (within overall project funding levels)
• Industrial up to 50%
• Industrial (SME) up to 60%
• Academic 100% (of 80% FEC)
37. Driving Innovation
What is Collaboration?
• For two partners - one must undertake at least 30% of the
work (in terms of eligible cost).
• For more than two partners - any one partner cannot carry
out more than 70% of the work (in terms of eligible costs).
38. Driving Innovation
What does this mean for the grant?
The share of the grant can be determined by agreement between the partners
subject to the following criteria:-
• The project must be business led, i.e. the lead partner must be a
business/industry partner.
• Each industry partner must receive at least 10% grant against their costs.
• Different maximum funding levels apply for consortium partners
dependent on their size & type:
• Different maximum funding levels for SMEs vs. large organisations
• An HEI may receive up to 100% of its costs (based on 80% Full Economic
Costs.)
• The project can not request more grant than the total maximum funding
indicated
• 50% (collaborative R&D, assuming Applied Research)
40. Driving Innovation
Top 3 Financial Issues
1. Overhead rates –
• too high, containing ineligible items such as sales and
marketing expenses, audit costs, etc.
• not justified – if not using the overhead calculator, you
must explain how its been calculated
2. Academic 20% - the difference between FEC and the Grant
available total generated by Je-S is not a contribution from the
academic partner.
3. Software licences supplied by/from project partners or
collaborators within the project should be priced at the actual
cost of supplying the software and not at the normal or even
discounted commercial licence rate.
41. Driving Innovation
To reiterate: Total Funding Limits
• Up to 75% for Basic Research projects
• Up to 50% for Applied Research projects
• Up to 25% for Experimental development projects
• Business to Business projects(50%, 50%, 25%)
• Projects can span more than one type, calculate the grant on
a work package by work package basis.
42. Driving Innovation
Eligible Costs (Industry Partners)
• Labour Costs
• Overheads
• Materials
• New Capital Equipment
• Existing Capital Equipment Depreciation
• Sub-Contracts
• Travel & Subsistence
• Other Costs
– Other eligible direct costs not included in the above headings,
• cash transfers
• Contributions in Kind
– IP filing costs up to £5,000 (SME only)
43. Driving Innovation
Industrial Finance Form
(not required for R&D EoI Stage)
45. Driving Innovation
Overheads
“Any indirect cost related to the general management and administration of the
company necessary for the company to perform the project”
Eligible Ineligible
Board & senior management – where they Production or service delivery costs – any
are not productive / fee earning and are costs associated with the way in which the
not included as individuals in the direct company makes its money. This would
Labour costs include all items used to calculate gross
margin and cost of sale.
Admin and support staff – where not
included in direct labour costs Marketing and Sales Costs – these again count
in the cost of sales
Recruitment costs
Non-bookable R&D time – non productive
General supplies and IT – not linked to
time or non-chargeable time of technical
production or service delivery
or support personnel
Corporate fees and expenses – auditing, IPR
Entertainment and Hospitality
maintenance, insurance, photocopying
New IP protection costs
Site expenses – building rental, taxes,
security and cleaning Any headings that are being charged for
directly within the project – such as
Utilities – careful not to include production
training, T&S
equipment energy or supply costs
46. Driving Innovation
Overheads Calculation
Option 1 – Use the calculator
provided on the finance form
Option 2* – provide an
equivalently detailed
explanation and breakdown
of your own methodology
53. Driving Innovation
Project Management
• It is up to the consortium to develop and implement a sound
project management system
• Implications of project management
– Ensure that you have identified a suitably experienced
individual to act as Project Manager
– Ensure that you have provided them with sufficient time to
carry out the role, for example:
A typical 3 year £1m project with 5 partners will need an experienced Project
Manager with 50% Full Time Equivalent (FTE) available to run the project. (~350 days)
– Include this resource in the labour costs of the lead partner
54. Driving Innovation
Cash Transfers
• Cash transfers between participants are eligible, but they
should not increase the size of the project.
• The donating partner shows a positive value in “Other” cost
on their finance form.
• The receiving partner shows an equal negative value in
“Other” cost on their finance form.
55. Driving Innovation
Ineligible Project Costs
• Input or Output VAT
• Interest charges, bad debts, profits, advertising, entertainment
• Hire purchase interest and associated service charges
• Profit earned by a subsidiary or by an associate undertaking work sub-
contracted out under the project
• Inflation and contingency allowances expressed as an overall arbitrary
percentage
• The value of existing assets such as IPR, data, software and other
exploitable assets that are contributed to the project by any collaborator
• Project Audit Fees
56. Driving Innovation
Grant Claims & Payments
• All grants are claimable quarterly in arrears
• Claims can only be made for costs incurred and defrayed (amounts
actually paid, may include partial payments) between the project
start and end dates
• All claims will be subject to an independent audit (including all
academic partners)
• In most cases audits are required with the first and last claim
• Claims are only paid once quarterly reporting and necessary audits
are complete
• All projects are monitored on a quarterly basis including a visit
from the appointed Monitoring Officer
• The monitoring will be carried out against a detailed project plan
58. Driving Innovation
Why Je-S?
• The Research Councils Joint Electronic Submission System is
being used to collect ALL academic finance forms.
• Also to collect project finance details from non-HEIs (e.g. RTOs)
that are claiming they are carrying out academic quality work and
want to be funded on an FEC basis.
• The Je-S system automates the collection of Full Economic Costs
(FEC) based costs from academic partners and tells them exactly
what numbers should be used in the application form for their
costs.
• Using Je-S enables Research Councils to easily co-fund Technology
Programme projects.
59. Driving Innovation
Submission
Research Office
HoD
R.O
P.I. Submission
to meet
deadline
Submitter Pool Je-S
Acceptance
Je-S Output Form
‘with Council’ status
Technology Strategy Board
60. Driving Innovation
Eligible Costs (Academic Partners)
• Eligible costs are based on
FEC calculation
• RC Contribution is the total
eligible cost of academic
partners.
• The 20% difference
between this and the FEC
total DOES NOT represent
a contribution to the
project and should not be
included anywhere within
the application.
61. Driving Innovation
Normal Je-S application elements
• Not just the financials
– E.g. Justification of resources
– E.g Pathways to impact
• Full details on the Je-S system
• Queries about Je-S via the Je-S Helpdesk
– JeSHelp@rcuk.ac.uk
– 01793 44 4164
64. Driving Innovation
Academic Partner Finance Form
Je-S Equivalent Summary Form - To be completed by each academic applicant from the Je-S submission document and submitted to the
Technology Strategy Board by the lead applicant
Please complete this form by filling in the pink shaded cells and return with all other paper work as advised in the guidance notes. This form is for HEI's and not
for industry partners – the “Grant Sought” Total should be transferred to column 4 on Page 8 of the Application Form.
Financial resources Summary of staff effort requested
Percentage Staff Role Months
Summary Tech Prog
Fund Fund Full Economic Grant Sought
Heading Heading Cost (FEC) (% of FEC) Grant Sought
Staff Investigator
80% £0
Travel & subsistence Researcher
80% £0
Directly Incurred Equipment Technician
80% £0
Other Costs Project Students
80% £0
Sub-total Visiting Researchers
£0 80% £0
Investigators Other
80% £0
Estates Costs Total 0
80% £0
Directly Allocated
Other Directly Allocated
80% £0
Sub-total
£0 80% £0
Indirect Costs Indirect Costs Research Council Facilities £0
80% £0
Staff
100% £0
Travel & Subsistence
100% £0
Exceptions Equipment
100% £0
Other Costs
100% £0
Sub-total
£0 100% £0
Total
£0 £0
66. Driving Innovation
EOI Application consists of:
• EOI Application Form
– with finance summary table
• Je-S open for validation, not submission at this stage
• EOI submission deadlines:
– CADI2: noon 20th April
– Metadata Mainstream: noon 21st April
(Note: no optional finance review at this stage)
All submitted by the lead partner
67. Driving Innovation
Fast Track Application consists of:
• Application Form
• Appendices
• Industry Partner Finance Form (non-academic partners only)
• Academic Partner Finance Form (academic partners only)
• Je-S pdf Output Document (academic partners only)
• Optional Finance Review deadline: noon 14th April 2011
• Application deadline (incl. Je-S): noon 21st April 2011
All submitted by the lead partner
68. Driving Innovation
Where to go for help...
www.innovateuk.org
competitions@innovateuk.org
Competition Helpline: 0300 321 4357
Technology Strategy Board: 01793 442700
70. Driving Innovation
Competition Entry Instructions
Process overview
1. If you do intend to make an application, you must first register for the
competition. Registration closes one week before the competition CLOSE date.
2. You will receive an email with your username and password along with a link to
the secure upload area. This email will also contain your application form with
unique application number.
3. Submission: please don’t leave it until the last minute to submit your Application.
Allow yourself 24 hours before the competition deadline, in order to avoid last
minute issues.
71. Driving Innovation
Competition Entry Instructions
General Notes
Please ensure that:
a) your file is named as instructed:
a) Documents in an optional review period and for review must begin with DRAFT
b) Your fully completed submission documents must begin with FINAL
c) Any requested appendices begin with APPENDIX
b) the application form is of the correct format: it should be a 97-2003 Word file (.doc)
and not a later version (.docx). Excel appendices in 97-2003 (.xls)
c) file names should only be made up of Alpha Numeric characters – do not include any
other signs or symbols.
d) include the applicant number and the partner number where applicable eg
FINALApplicationApp12345.
72. Driving Innovation
Competition page
Competition Brief
Register to receive
other documents
73. Driving Innovation
The public area holds generic documents and full instructions on the use of the site.
Click to download.
To access your
personal space, click
on the login tab
Press to login to your
Check the competition name ! secure area
74. Enter your login details and click the check
Driving Innovation box to accept the terms and conditions.
Click the login button at the bottom
You will need to tick the T&C’s
Box each time you enter the site.
If this is your first login, you will be required to change your password. This must be at least 8
characters long
75. You will see a list of files that exist in the
Driving Innovation folder (if any)
Click the upload tab to open the file upload application
76. Driving Innovation
Click Select Files to show the file browser
Files waiting to be uploaded will be shown with a pending status
Select Your file and click Open Click Start Upload to upload the file(s)
77. Once uploaded, the files will appear in the
Driving Innovation
list.
Check that your
submission has the right
name and file type/size.
80. Driving Innovation
Timelines & Offer Letter
• Conditional offer letters will be issued
approximately 3 weeks after notification.
• We will require the return of various documents
within the timescales stated on the offer letter to
validate the grant offer.
81. Driving Innovation
Outline of the letter
• Project lead organisation • State Aid Obligations
• Total grant amount • Role of the Lead and project
• Project title management
• Terms & Conditions of offer • Confidentiality and
Intellectual Property
• Payment terms
• Exploitation
• Changes affecting the
Project • Acceptance of Offer
• Publicity • Dispute Resolution
82. Driving Innovation
Collaboration agreement
• To be returned within the deadlines stated within
the offer letter
• Original agreement signed by all participants
• A financial forecast for each Participant showing the
anticipated spend of the project broken down by
quarters throughout the life of the Project
This will have to be done within the deadlines
83. Driving Innovation
Key features
• Who is in the Consortium?
• What are the aims, and how is the work divided up?
• Ownership of IPR
• Management of consortium
84. Driving Innovation
The Collaboration Agreement
Preparation
Negotiating a Collaboration Agreement can be
complex and time consuming. Applicants for
Technology Strategy Board funding should
therefore start work on this at an early stage in
the process, ideally before submitting their full
applications
85. Driving Innovation
New Projects Workshop
• Requirement for successful projects
• Expectation that each partner has one
representative to attend the workshop
• Outlines process requirements (how to raise a claim
etc)
• Opportunity to meet your Monitoring Officer
86. Driving Innovation
Remember
• Projects will be assessed based on the strength of their
business proposition
• And their value for money