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Sarah Vodden Competitions Manager London, 23rd October 2012

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1 Sarah Vodden Competitions Manager London, 23rd October 2012
Competition briefing - Energy Harvesting - Energy Efficient Computing Feasibility Studies Sarah Vodden Competitions Manager London, 23rd October 2012 Welcome to today’s briefing event. Thank you for joining us. And welcome to our online audience. My name is Sarah Vodden I would like to introduce Alex Chahian Myrddin Jones who is the Lead Technologist – Electronics Jonathan Mitchener who is the Lead Technologist – ICT All Slides will be available online for future reference. 1

2 Health and safety Before we go any further I would like to run through a few Health & Safety points Mobiles OFF or on MUTE Restroom location Fire drills not expected today. If the alarm bell sounds please make your way to the nearest EXIT. Hopefully you’ve all received one of our Surveys, please could you take a moment to fill this in, we really appreciate your feedback and help in improving our events.

3 Agenda 10:00 Introductions Technology Strategy Board
- Energy Harvesting (Competition scope / Background) - Energy Efficient Computing (Competition scope / Background) Q&As (Scope) Application criteria & process ****Coffee break**** Funding Your project costs Submitting your application The way forward Q&A (Process) Now to our agenda. After we go through this morning’s objectives, Barry will move on to tell you about the Technology Strategy board and then Belinda will go through the Competition scope and host a short Q&A session should anyone have any questions. Barry will then return and talk you through the application process, answering any questions that may arise, before we have a short “coffee” break After the break I will take over and talk you through the financial side of your application, the Joint Electronic Submission forms for academic partners, how to submit your application forms and what happens after you submit your forms. Again they’ll be time to asks questions at the end of this section.

4 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 All presentations will be available at: https://ktn.innovateuk.org/web/competitions-faqs/document-library The objective of this morning’s session: Fully understand the scope of the competition Understand the application process and how you can submit the best application to ensure your success ALL Slides will be available to download from your secure site / _connect and also ed to attendees.

5 Technology Strategy Board
5

6 Our vision... Partnership is key
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. Everything we do is driven by one aim and that aim is to help UK business bring new ideas / technologies to market. Our goal is to accelerate economic growth by supporting business-led innovation. Partnership is key

7 The Technology Strategy Board is…
A national body supporting business innovation... for business benefit.. for economic growth.. for quality of life.. We are the UK’s innovation agency. We provide support in the form of innovation programs which have been created in conjunction with business.

8 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 140 based in Swindon We are sponsored by BIS – Dept for Business, Innovation and Skills. Staff of about 140 based in Swindon

9 Our strategy Support for companies from Concept to Commercialisation
Our strategy supports Government ambition and focuses on helping business navigate the difficult territory after an idea has been created, but before it can enter the market and be fully commercialised. We want to accelerate the pace of innovation in business. Our strategy document can be found on our website

10 In just 5 years… Over 2000 CR&D projects launched
Most are Business led 4000 business partnerships and almost all the UK’s universities Together with partners and business, over £2bn invested in UK innovation Developed new ways of reaching out to SMEs Launchpad, Feasibility Studies, Smart Scheme Catapults programme Key achievements over past 5 years: It was actually our fifth birthday at the start of July. • Over 2000 CR&D projects launched (with over 750 expected this year) We have engaged with more than 4000 businesses and almost all the UK’s universities (~130) together with our partners, we have invested £2bn with a focus on innovation to address societal challenges •  We have developed new ways of reaching out to SMEs such as Launchpad, missions, feasibility study competitions and our Smart scheme which is now in its 2nd year. (launched April 2011) •  We now have several Catapult programmes underway for establishing centres of innovation, including High Value Manufacturing, Offshore renewable energies, cell therapies, satellite applications, Digital and future cities. Each month we typically engage with 600 businesses and other innovation partners

11 For more information... Competition Helpline: _connect Network: https://ktn.innovateuk.org If you would like to learn more about us and the work that we do or indeed any information specific to this competition, these are our contact details. _connect is our TSB platform network, providing you with an effective and powerful way for you to collaborate online, network and share knowledge with other innovators 11

12 Competition Scope Energy Harvesting
Myrddin Jones Lead Technologist - Electronics, Sensors, Photonics Competition Scope Energy Harvesting 12

13 Energy Harvesting In 2011, the TSB identified Energy Harvesting as a key emerging technology. At workshops the community asked us to: Invest in demonstrators Build critical mass Create a coordinated programme Build & nurture capability In 2012, we are acting to support the community by: Establishing this competition to help build critical mass Setting up a Special Interest Group to bring together business, academia, policy makers etc. across technology and market sectors

14 Special Interest Group https://connect.innovateuk.org/web/eh1
Around 250 members – join now and participate...

15 The Competition A collaborative R&D feasibility and demonstrator competition with up to £1m to invest in projects using low-power energy harvesting technologies for autonomous sensing. This initiative will help companies explore the opportunities created by energy harvesting to extend the life of batteries in devices or to eliminate the need for batteries altogether.

16 The Challenge Demonstrate the feasibility of energy harvesting to power autonomous sensors and sensor systems. The harvesting devices need to be integrated with power management systems for use with sensing devices and to incorporate some form of data transmission. The form, size and fit of the energy harvesting device should be well-matched to its application and possibly integrated with the device it is intended to power. It should be sufficiently robust to withstand extended periods of use in the environment it is intended for.

17 The Scope Broad in scope to encourage a range of projects including:
Demonstrations of energy harvesting in new and challenging real world applications. Exploration of novel energy harvesting techniques for practical use. Developments in power management systems. Proof of concept and feasibility studies Small scale prototype systems tested in a relevant environment.

18 The type of thing we have in mind .....
© T.I.

19 What’s out of scope? The energy harvesting device can be of any form but excluding the following: Domestic and utility-level harvesting of any type e.g. photovoltaics, wind turbines, geothermal, hydro-electric, wave and tidal. Small-scale silicon wafer-based photovoltaics, since this is already commercial off-the-shelf (COTS) technology. An exception is made where this is just one harvesting approach within a hybrid energy harvesting device. (Small-scale non-silicon PV systems are in scope).

20 Competition Scope Energy efficient computing
Jonathan Mitchener Lead Technologist - Information and Communication Technology Competition Scope Energy efficient computing 20

21 Energy efficient computing
In 2011, the TSB identified Energy efficient computing as a key emerging technology/industry. At workshops the community asked us to: Build critical mass Create a coordinated investment programme Build & nurture capability In 2012, we are acting to support the community by: Establishing this competition to help build critical mass Setting up a Special Interest Group to bring together business, academia, policy makers etc. across technology and market sectors

22 Special Interest Group
https://connect.innovateuk.org/web/eec/ Over 100 members - join now & participate The SIG is up and running and growing daily in membership numbers. The SIG is run for us by the KTNs involved ... ESP and ICT. It’s scope is wider than the competition in energy efficiency. This is an area unlike some others where suitable approaches and their feasibility is open to debate. The SIG is the place for that debate to take place so that future decisions about funding innovation in this area can be made. We are fortunate to have a steering group for this SIG comprising key industry and academic players with interests in this area, such as ARM, Imagination, IBM, Professor Steve Furber, Kirsten Eder, and Professor John Bancroft amongst others. Please do join and get involved with this group, certainly if you do get involved in competitions for funding but even if you don’t. Talking of competitions...

23 The competition A collaborative R&D feasibility competition with up to £1.25M to invest in projects looking at energy efficient computing. Competition is co-funded by EPSRC & DSTL Single stage competition. Relatively simple and quick to register interest and make an application. Projects must be collaborative ... at least two partners, may include academics but must be led by a business. Businesses can be any size. We are looking to fund between 8 and 12 high quality feasibility type projects in this area. Very pleased to have co-funding from both EPSRC and DSTL in this competition. Maximum grant will be £100K and the % grant available will likely average between 50 and 75% depending on the nature of the research proposed in the project. Projects must be between 6 and 18 month duration. This competition is about devices and software - this is not just about data centre problem. Projects that have elements of both hardware and software are particularly encouraged. Embedded systems projects are very applicable

24 The challenge To look at energy efficient computing from a holistic system viewpoint ... hardware & software To optimise energy efficiency through novel computer & device architectures To enable energy-aware or energy-optimised software through new techniques & algorithms Context for this is that the design and development of computing devices, systems architecture and software running on them has become increasingly complex and energy consumption has increased. Performance (especially in software) has usually been put ahead of power consumption. Energy efficient software is hardly considered at all. So the challenge here is to first of all look at energy efficient computing from a holistic system viewpoint. One challenge is to optimise energy efficiency through the design of novel computer and device architectures. Another challenge is to enable energy- aware or energy-optimised software through new techniques and algorithms, exploiting novel architectures. To develop low power designs for DSP, chip to chip interconnects, cross layer chip optimisation

25 The scope Measurement & characterisation of device, system, and software energy consumption Developments of standards based around energy efficiency of devices & software Device design (architecture, approaches, and new technologies etc.) It’s about devices and software that runs on them ... not simply the data centre problem. The competition has elements of hardware and software feasibility ... - the design and development of novel computer and device architectures to optimise energy efficiency and to address the ‘dark silicon’ problem (the increasing proportion of transistors on a chip which have to be switched off because of power constraints) - enabling energy-aware or energy- optimised software through new techniques and algorithms in order to exploit novel architectures for greater energy efficiency among devices and systems - developing low-power designs for digital signal processing, energy- efficient chip-to-chip interconnects and cross-layer (3D) chip optimisation. Also interesting because the h/w & s/w communities come from very different cultures ... c.f. tools. A competition such as this is a way to bring these otherwise different communities together. Feasibility of re-design to reduce and manage energy consumption

26 What’s not in scope Physical design of large systems (e.g. data centres) Physical architecture of such systems (e.g. cooling systems, power supplies) This is only about devices and software. The physical design of large systems including data centres is excluded. The architecture of such systems including their cooling systems and power supplies are excluded. Technology investigated for feasibility must include some consideration of how it could be commercialised.

27 Questions & answers Scope
27

28 Alex Chahian Application process 28

29 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? When the TSB set up a competition, we look at the following strategic criteria We link the challenge to the UK capability, ask the question to see if we have or can build a strategic presence in this area Is the idea ready, and if so will bringing it to market make enough impact quickly enough to be commercially rewarding? Is there a large market opportunity? – will the opportunity if exploited, lead to value for the UK economy? (no point developing or inventing something if there is no market for it) Can the TSB make a difference? – will our investment drive additional R&D or would it happen anyway?

30 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. In terms of the “Ideal Project”, we are looking for One which requires a collaborative solution to address a technical challenge One which demonstrates a clear business opportunity but which needs support from us to get going One which will increase R&D in the UK

31 Commercial Investment Venture Capital TSB and its co-funders funding
Types of project Commercialisation Prod. Prototype System Qual. System Dev. Technology Demo Technology Development Feasibility Blue sky Research Councils FUN IND EXP Commercial Investment Venture Capital This slide represents the usual types of Project Research Councils fund Early Stage or Blue sky Projects. Venture capitalists will be attracted to projects which are closer to getting to market (less risk) TSB operates in between these two, and tries to encourage R&D where sometimes it’s more difficult to obtain (as more risk) “Fundamental/Industrial/Experimental development” TSB and its co-funders funding Market readiness

32 Competition eligibility
Energy Harvesting Energy Efficient computing Type of Competition Single Stage Project composition Collaborative Funding available Up to £1m / £1.25m Project Size Up to £150k (indicative) Total Grant size ---- Approx % Funding for business Up to 75% Anticipated Project length 12 – 18 months Application form 10 marked questions

33 Guidance for Applicants
Competition page Guidance for Applicants In order to enter the competition you need to register on our website.

34 If you intend to make an application, you must first REGISTER for the competition. (Remember: Registration ends 1 week prior to the competition close) You will receive an with your username and password along with a link to the secure upload area. This will also contain your application form with unique application number. For multiple projects: please contact the support team after your first registration for additional unique application forms. Step 1 – Register for the competition. If you are applying for more than project in the same competition then you need to register once and then contact the business support group to ask for other application forms for each project.

35 This part of the application is not marked
Project summary Summary of Proposed Project (Not Scored) Question Guidance Please provide a short summary of the content and objectives of the project including what is innovative about it. This is an opportunity to provide a short summary of the key objectives and focus areas of the project. It is important that this summary is presented in reference to the main outline of the project, with sufficient information to provide a clear understanding of the overall vision of the project and its innovative nature. This summary is not marked, but provides a summary of your proposal for the benefit of the Assessors. Provide a summary of the project, including its innovation. Gives an overview of the Project setting the scene for the Assessors. It’ s not marked and it doesn’t affect the scoring in any way, but it’s highly recommended that you make full use of it. This part of the application is not marked

36 Public description of the project
Public Description of the Project (Not Scored) Question Guidance If your application is successful, the Technology Strategy Board will publish the following brief description of your proposal. Provision of this description is mandatory but will not be assessed. To comply with Government practice on openness and transparency of public-funded activities for projects in receipt of grant, the Technology Strategy Board has to publish information relating to funded projects. Please provide a short description of your proposal in a way that will be comprehensible to the general public. Do not include any commercially confidential information, for example Intellectual Property or patent details, in this summary. Whilst this section is not assessed, provision of this public description is mandatory. Funding will not be provided to successful projects without this. It is mandatory to provide a summary of the project to be used to publicise the project if you are successful. It’ s not marked and it doesn’t affect the scoring in any way. Please do not add any market sensitive information in to this description. This part of the application is mandatory but is not marked

37 Application structure
The Application is broken down into 4 marked sections: Page Information Required 1 Application Details 2 Summary of Proposed Project Gateway Question: Scope 3 Section 1 – The Business Proposition 4 & 5 Section 2 – Project Details & Partner/Collaborator Details 5 Section 3 – Funding and Added Value 6 Other Funding From Public Sector Bodies 7 Finance Summary Table We will now move onto the questions which are marked. There are 4 key sections. Please refer to the Competition Guidance.

38 Gateway question: Scope
How well does the project fit the competition? Key points: “must align” “clear majority of the projects objectives and activities” Don’t write yourself out of scope...! This is an important question. Please ensure that you give yourself the best chance of putting together a successful application by ensuring that your project aligns with the scope contained in the competition brief and as explained by Belinda As a tip here we would expect that the majority of the project’s objectives and activities to be aligned with this competition. Our assessors will consider whether your application addresses the research objectives and topics it claims to. The reason we stress the scope relationship, is that you could have the best application form with the highest score ever, but if it is judged out of scope you will not get funding.

39 All questions are equally weighted (10 marks per question)
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? Questions 1-4 are equally weighted. We will now go through each of these individually. What is the project idea and the business proposition, and why undertake it? All questions are equally weighted (10 marks per question)

40 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? Q1 outlines the business opportunity and what the consortium needs to do to successfully address it within the proposed timescales and cost. Be specific in what you are going to achieve, do not just repeat the statements made in your Abstract Q2 What is the market potential. Are there existing products and if so why is your project better. What is your projected market share and why (how to you intend to achieve this)? Describe and quantify the ROI and reference any relevant data sources. “If no-one in the consortium knows the market, you haven’t got the right consortium!”

41 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? Q3. Here you can list the potential outputs – products, processes, technical advances, IPR and so on. And how these will be exploited. The route to market, the likely impacts of the results and over what timeframe. Be clear on who within your project team is responsible for dissemination of any non-sensitive information. Q4. Identify all the benefits – both qualitative as well as quantitative. You should specifically identify all sustainability benefits that will accrue both inside and outside of the consortium as a result of the proposed project. Truly sustainable development balances economic growth with social impacts and benefits and the protection of the environment. Describe the benefits of your project both to your consortium participants and outside of it - including the timelines of the impacts. If there are any negative impacts how are they mitigated?

42 All questions are equally weighted (10 marks per question)
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? Having done the business case, this section looks at your project. How will the project be undertaken? And with whom? What is innovative about the project and what are the risks? Again, each question is weighted equally and we will go through each individually. All questions are equally weighted (10 marks per question)

43 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 assessors are looking at your answers of these questions to see that the technical or methodical approach is within scope of the project. Q5 – are the innovative steps achievable? Is the project plan sufficient compared to the complexity of the project? Are the timescales realistic? Are there clear management reporting lines? Break your project down in to work packages, milestones, deliverables and responsibilities Explain how your proposed approach will offer a better outcome than those of your rivals and alternative strategies. Q6. Does the project push boundaries over and beyond current technology? Is your project both commercially and technically innovative? Provide evidence, eg patent search, competitive analysis, freedom to operate in the area etc The UK Intellectual Property Office says 80% of published patents are lapsed and estimates that 30% of European R&D expenditure is wasted!

44 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? Innovation is risky!– what is important is whether you have identified the risks and how you plan to mitigate them! Innovation projects are risky! Here we are seeking reassurance from you that the project has identified the risks and identified adequate arrangements for mitigation of those risks. So Identify the risks Categorise them into High, medium and Low And explain how you would mitigate them, don’t just add the statement “the consortium can manage all risks” Remember we are here to assist in funding projects that have an element of high risk about them, so make sure you are realistic in terms of assessing the risks and the actions needed to mitigate them

45 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? Detail the experience of the consortium members to show the capability of your team to develop the technology. In evaluating this, assessors will consider whether the project builds the UK supply chain and addresses end user needs Also whether the consortium members have the right mix of skills and experience to deliver the project successfully And a key question assessors look for is whether the benefits of the consortium is actually greater than the sum of its parts! What is the added value that can be delivered from this consortium?

46 All questions are equally weighted (10 marks per question)
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? Section 3 looks at the costs of the project, if they are value for money and whether the project is worthy of TSB investment. The questions are equally weighted and we will look at each individually. All questions are equally weighted (10 marks per question)

47 Funding – key points Do not simply write out the finance table!
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? Indicate the anticipated project cost and the levels of contribution from consortium participants and what is required from the Technology Strategy Board and its funding collaborators. The figures are to be recorded in the finance summary table we will come to in a moment, however use this question to explain the costs. Think about who is getting the money and what it is being used for. Particularly need justification for high costs – eg if subcontractor cost high why not in collaboration? There is no physical limit for sub contracting within your budget. Is it value for money? Need to have a realistic budget. Assessors will review whether the budget is realistic vs. the scale/complexity of the project. NOTE: Assessors only see finances in this question and in the finance summary table, so anything you feel is relevant, should be included here. You may want to show the cost per work package.

48 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? Here you will need to provide evidence that: Success will increase total consortium spend on R&D in the UK. Not looking to replace existing R&D budgets. Why participants are not funding the project themselves or why /how TSB funding would allow you to fund the project differently and how this benefits the UK economy. Key questions to be satisfied if you are to meet the criteria for being granted funding under the standard state aid rules.

49 Organisation registration Number
Finance summary table Finance Summary Table (continued) 1 2 3 4 5 6 7 8 Organisation name Organisation registration Number Enterprise Category Postcode Contribution to project by each organisation (£) Funding sought from the Technology Programme Other funding from public sector bodies Total Lead org.                 Partner 1 Partner 2 Partner 3 Partner 4 Partner 5 Partner 6 Partner 7 Partner 8 Partner 9 Partner 10 Partner 11 Partner 12 Partner 13 Partner 14 Partner 15 Partner 16 Partner 17 Partner 18 Partner 19 Partner 20 Total (£) Project cost summary (for each project participant) 1. Organisation name 2. Organisation registration number 3. Enterprise category 4. Postcode 5. Contribution to project by each organisation Funding sought from the Technology Strategy Board Other funding from public sector bodies Total This shows the finance summary table where you will enter the headline figures and breakdown between consortium members. More detailed finance forms will also be required and will be discussed in more detail after the coffee break. Enter project cost, listing contribution from consortium participants and funding required from the TSB

50 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 not too much detail no assumptions Quantification and justification That the applicant has the right people with the right bright idea and the means to exploit its potential After we receive your applications they are assessed by independent assessors who are experts in their field. Drawn from business and academia. It’s important that your application is clear for the assessors so they understand your project without making assumptions. Get somebody else to read it for you as a detached viewer as what’s clear to you might not be clear to the assessors.

51 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 As with exam questions if you don’t answer the question fully you will not get full marks. Don’t leave the upload until on the day of submission. Lots of people do this and it slows servers down and could lead to you missing the deadline. If you want to submit your application early, and then realise you need to update it closer to the close, then don’t worry we only assess the latest uploaded documents.

52 Final question for assessors
Recommendation Recommended Would you recommend this project for funding and if not why not? The last thing that we ask our assessors to do is to confirm if they would recommend your project for funding. This recommendation together with your projects score is then used to produce a ranked order of all the applications. Within this ranking there will be some applications that score highly and are in scope so will be automatically put forward to funding. Those judged out of scope or that have a low score compared to the other projects will unfortunately not be funded. Those in the middle or that will require further clarification on scope, quality, feasibility or fundability will be taken to an assessment panel for consideration.

53 Key dates – Energy harvesting / Energy efficient computing
Time line Dates Competition Opens 8th October 2012 Briefing Event 23rd October 2012 Registration Closes Noon 28h November 2012 Competition Closes Noon 05th December 2012 Applicants Informed 25th January 2013 Offer Letters Issued 22nd February 2013 Feedback to Applicants

54 competitions@innovateuk. org Competition Helpline: 0300 321 4357 www
Competition Helpline: _connect Network: https://ktn.innovateuk.org This slide just repeats the contact information that I went through earlier. 54

55 Coffee break

56 Sarah Vodden Funding 56

57 Funding New funding rules Funding criteria for this competition
Types of organisation Business Research Organisations Public Sector Organisations & Charities Collaborative projects Definition of collaboration Levels of participation Minimum grant Funding criteria for this competition My session is going to look at Funding, Project Costs and Submitting your Application. Show of hands for those who have previously entered a TSB competition? <> OK, so you may be familiar with our previous funding rules – these have now changed. I will go through these and how they relate specifically to this competition.

58 Changes to funding rules
All competitions opening from 1st September A simplified scheme, but very different Previous scheme; fixed grant at project level academic grant was always 80% of FEC business partners had to split remaining grant between them New scheme means business grant not reduced as result of collaborating with research base Focus on business driven R&D so business element must be the primary focus of the project (and the share of costs) <KEEP THIS SLIDE UNTIL JAN’13> Our State Aid notification changed earlier this year and we are now implementing new funding rules with the objective to make things simpler. We want to focus our funding on supporting businesses – this fully supports our strategy of concept to commercialisation. New state aid scheme has now been implemented for competitions opening from 1st September (not retrospective) Main difference is ability to award grants at individual partner level according to the type of organisation, their size and the work they are doing, rather than at project level as before There are also important changes to the rules on shares of project costs – come on to that later

59 Changes to funding rules
Rates applied to individual participant no longer applied at project level (old scheme) R&D project must still sit in the category specified in the competition scope (e.g. preparatory to industrial research – 75%) Rate depends on organisation type, size and the activity being undertaken New rules on level of participation of research and business partners (ie shares of the project costs) Funding rules in Guidance for Applicants applicants/funding-rules.ashx Under the new scheme Project must still sit in the category specified in the competition scope – eg industrial research – in this case its preparatory studies to pre-industrial research Exact rate will depend on type of organisation, the size and the what is being done in the project There are new rules depending upon the type of organisation applying – I will come on to this in the next slides. There is a specific section of our Guidance on Funding rules, available on our website as pointed out prior to the break.

60 Types of organisation Business – SME or large (EU definition)
Research Organisation (RO): Universities (HEIs) Non profit distributing Research & Technology Organisation (RTO) Public Sector Research Establishments (PSRE) Research Council Institutes (RCI) Catapults Public sector organisations and charities doing research activity So applying to this competition, the lead partner needs to be a business – either a large organisation or an SME. Then we have a Research Organisation – so either a university or one of these other categories And then we have Public Sector organisations and charities Note – if you are an RTO you will either be a non-profit distributing or a profit distributing RTO The latter will be classed as a business, and so follow the rules for a business.

61 Pre-industrial research
Business rates Business Size Pre-industrial research Feasibility Studies Industrial Research CR&D Micro/Small 75% 60% Medium Large 65% 50% This is a summary of the individual business rates applicable to these competitions Please check your status using the EU definition – a link is given in the guidance Quite straightforward for a business – the category of research for this competition is pre-industrial research so up to 75% funding for each SME participant or 65% for a large organisation.

62 Research organisations
Use EU Community Framework definition Must be ‘non-economic’ activity Universities – 80% Full Economic Cost (FEC) via JeS (mandatory for HEIs) Other Research Organisations can claim 100% of eligible costs but MUST: be non-profit distributing and disseminate the results of their project work and explain in the application form how this will be done The new scheme follows the definitions set out in the Community Framework No change for universities – who can claim 80% Full Economic Cost and submit via Je-S. As I previously said, a profit distributing RTO will be classed as a business, as will those RTOs that restrict access to funded project outcomes to members only If a research organisation is doing economic activity (retained commercial benefit) then it will also be treated as a business Dissemination is very important as this is not considered to confer economic benefit - there is no potential for market distortion or commercial benefit if the learning is made public Non-economic activity means not commercially revenue generating Otherwise, there is an important rule under State Aid definitions about disseminating the results of the project. This needs to be fully justified on the application form (Question 3) On this basis, a research organisation may claim 100% of their costs. Must read the Guidance to make sure you are aware of the important changes

63 Public Sector Organisations & Charities
Must be: performing research activity and Disseminating project results 100% of eligible costs Must ensure that the eligible costs do not include work or costs already funded from other public sector bodies Public Sector Organisations and Charities: Providing they are performing research activity and disseminating the results of the project Will be eligible to claim 100% of their project costs, providing these are not already being funded by some other form of public sector scheme or body.

64 Levels of participation
The aim of our State Aid scheme is to: optimise the level of funding to business and recognise the importance of research base to project At least 70% of total eligible project costs must be incurred by business The maximum level (30% of project costs) is shared by all research organisations in the project Please refer to the competition guidance for applicants on our website This is a very important change to our scheme. From now on for collaborative projects, research organisations can only participate in a project by incurring a maximum of 30% of the project costs. The majority must be incurred by business. This is to optimise the level of funding we give to business. So to summarise, in this competition the commercial partners must have at least 70% share of the total eligible project costs

65 What is collaboration? In all collaborative projects there must be:
at least two collaborators a business-led consortium, which may involve both business and the research base and evidence of effective collaboration (see guidance) Typically this would mean that no one partner would be taking more than 70% of the eligible costs, and we would expect to see the structure and rationale of the collaboration described in the application. There must be evidence of collaboration. We used to have a rule that no partner could take more than 70% of the grant, however as you will see shortly, we are now allowing cases where a partner may participate, but not claim any grant. So now 70/ 30 is no longer mandatory, but here must be good evidence of collaboration.

66 Minimum grant changes If partner wishes to collaborate but does not wish to claim a grant: role and work should be in application as for all other partners partner name and total costs (contribution to the project) must be included in the finance summary table. Enter zero grant requested in finance summary table no partner finance form required not be named in the offer letter if your project is successful This is a significant change to our funding scheme. Previously, for all TSB competitions, all partners in a collaboration were required to claim a minimum of 10% of the total grant in order to demonstrate their commitment to the project. This is no longer required. The partner is still a key collaborator in the project, contributing costs and expertise. We still need to know what they are doing and spending to be able to assess the project in its totality

67 Changes to funding rules
All competitions opening from 1st September A simplified scheme, but very different Previous scheme Fixed grant at project level Academic grant was always 80% of FEC so business partners had to split remaining grant between themselves Collaborative, no single applicants No zero grant partners allowed New scheme Business grant not reduced as result of collaborating with research base Focus on business driven R&D so business element must be the primary focus of the project (and the share of costs) Single applicants allowed Zero grant partners allowed <KEEP THIS SLIDE UNTIL JAN’13> In Summary, our State Aid notification changed earlier this year and we are now implementing new funding rules with the objective to make things simpler. We want to focus our funding on supporting businesses – this fully supports our strategy of concept to commercialisation. Main difference is ability to award grants at individual partner level according to the type of organisation, their size and the work they are doing, rather than at project level as before

68 Total funding limits Worked example – £500k total cost project:
Project costs involving 2 partners (1 SME, 1 University). Total eligible project cost Maximum % of eligible costs which may be claimed as grant TSB Grant Project contribution Business (SME) £350,000 75% £262,500 £87,500 Research organisation £150,000* 100% £150,000 nil** Total £500,000 - £412,500 Here is an example to show how the funding rules might work for an industrial research CRD project. Under the previous scheme: The total grant would have been at 50% to give £375K The university share was £200k The balance of the grant £175k would have been shared between the two business partners. *80% FEC **20% FEC not to be shown as a contribution

69 Funding criteria for both competitions
Collaborative…UK business led Overall project must sit typically in the category of preparatory to Industrial Research (up to 75% funding for business) Total project costs– up to £150k (indicative) Projects are expected to last 6-18 months So in summary for this competition.. (read out slide)

70 Project costs Business & non-academic partners Academics
Eligible Project Costs Partner Finance Form Academics Je-S Academic Finance Form Next we move on to project costs. This is a single stage competition and so there is a requirement for you to submit a finance form showing your project costs along with your application. We are going to split this into two Business and non-academic research organisations as partners – you will need to use the finance form Academics (Je-s)

71 Eligible project costs (applicants / non-academic partners)
Labour Costs Overheads Materials Capital Equipment Usage Sub-Contracts Travel & Subsistence Other Costs Other eligible direct costs not included in the above headings Contributions in kind IP filing costs up to £5,000 (SME only) These are the eligible costs – we will be going through these on the finance form anyway shortly but important to differentiate them from the ineligible project costs on the next slides.

72 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 The value of existing assets such as IPR, data, software and other exploitable assets that are contributed to the project by any collaborator Independent Accountant’s Report Fees Here are some costs that you can’t claim for

73 Eligible overheads Indirect labour costs Recruitment costs
Board & senior management – the percentage of their time where they are involved in your projects but are not included as individuals in the direct labour costs Admin and support staff – where not included in direct labour costs Recruitment costs General supplies and IT – not linked to production or service delivery Corporate fees and expenses – IPR maintenance, insurance, photocopying Site expenses – building rental, taxes, security and cleaning Utilities – careful not to include production equipment energy or supply costs Moving on to Overheads. There is an overheads calculator available on our secure FTP site (once you have registered) you can use to help you calculate your overhead rate. If you don’t use this, you will need to justify in your form how you have calculated your overheads. If they appear excessive, and your project is successful, our finance teams will be scrutinising them and asking you to reduce them.

74 Ineligible overheads Production or service delivery costs – any costs associated with the way in which the company makes its money. This would include all items used to calculate gross margin and cost of sale. Marketing and sales costs – these again count in the cost of sales Non-bookable R&D time – non productive time or non-chargeable time of technical or support personnel Entertainment and hospitality New IP protection costs Any headings that are being charged for directly within the project – such as training, T&S Ineligible overheads – these are all listed in the guidance under “your project costs” on our website, which you can actually download as a PDF, so when it comes to calculating your costs, it’s a good idea just to download and refer to the guidance.

75 Partner finance forms Each applicant or non-academic partner claiming a grant must complete a Partner Finance Form. Figures on the individual Partner Finance Forms must total the same as those shown on the Finance Summary Table on the application form. The form includes a tab for each cost category which needs to be completed. The figures in each cost category tab populates the summary/total fields. Form must show the status as “complete” before submitting. All of the eligible costs we have just gone through, then need to be entered into a Partner Finance Form. So this is for all business and non-academic partners. Will go through the cost category tabs in the next few slides If the figures on different forms do not total to the same figure you risk disqualification It’s a tabbed form and you need to complete each tab, even if its to say, not applicable as when you have completed your entire form it should mark as “Complete” (in green)

76 Labour costs If no costs on that category need to chose no from drop down box in order for form to show as complete So for labour, enter the position, the salary, the number of staff and the days to be spent on the project. The rate and the total costs are auto-calculated.

77 Material costs Material Costs
Just enter and describe what materials you intend to use, the volume and the cost

78 Capital equipment costs
Describe how you using it, new or existing, the new purchase cost, how long you are depreciating it over, and the residual value at the end

79 Sub-contract costs Sub-contractors. If this cost is going to be significant, then you will need to justify who, why and what you need them for, both here and in your application form. Remember the assessors only see the application form, not the finance form.

80 Travel & subsistence costs
Travel & Subsistence. Any essential meetings that need to happen during the project. No sales and marketing activity as this is ineligible.

81 Other costs Any other costs which don’t fit the previous categories.

82 WBBA costs RTOs only. WBBA costs apply to Research Organisations who are disseminating information as part of the project.

83 Grant claims & payments
All grants are claimable quarterly in arrears Claims can only be made for costs incurred and paid between the project start and end dates Claims may be subject to an independent audit (including all academic partners) according to grant size Claims are only paid once quarterly reporting and necessary audits are complete Projects are monitored according to project size – on a quarterly basis for CR&D including a visit from the appointed Monitoring Officer The monitoring will be carried out against a detailed project plan and financial forecast Finally – you have entered your costs. If you are successful and start your project with grant funding, you need to be aware of the fact that we pay your claims quarterly in arrears. So if you are a small organisation, be wise to manage your cashflow. This can catch small companies out as some projects can incur significant costs upfront! The pattern of claim payments can impact on cash flow as paid quarterly in arrears. Another thing to bear in mind is that all costs have to be incurred and paid between the start and end date of the project. You cannot claim for costs before the project has received confirmation to start, or after it has finished.

84 Academic partners & Je-S
All academic partners should use Je-S to calculate their costs Then transfer their costs to the Academic partner finance form 84

85 Why Je-S? The Research Councils Joint Electronic Submission System (Je-S) 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 Validates costs for us. Academics should be familiar with. RCs use. We don’t have access to the Je-S system to extract information ourselves, needs to be sent to us.

86 Technology Strategy Board
Je-S submission Research Office HoD Submitter Pool Je-S Acceptance R.O Submission to meet deadline P.I. Technology Strategy Board We need the Je-S output form to be sent to us when it has gone through all of the stages, so will show the ‘with council’ status. You need to consider the timescales involved early on and allow enough time for all the stages to be complete before the full stage submission date. Je-S Output Form ‘with Council’ status

87 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. Once you have your Je-S with Council submission, transfer the amounts to the academic partner finance form.

88 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 Summary Fund Heading Fund Heading Full Economic Cost (FEC) Percentage Tech Prog Grant Sought (% of FEC) Grant Sought Staff Role Months Directly Incurred Staff 80% £0 Investigator Travel & subsistence Researcher Equipment Technician Other Costs Project Students Sub-total Visiting Researchers Directly Allocated Investigators Other Estates Costs Total Other Directly Allocated Indirect Costs Research Council Facilities Exceptions 100% Travel & Subsistence Available on FTP site. Figures transferred from JeS output document to Academic Partner Finance Form. Again make sure these figures match those shown on the finance summary table on the application form.

89 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 Any questions on Je-S then please call or the Je-S helpdesk.

90 Submitting your application & the way forward
90

91 The application submission process
Last part – how to submit your application. Our new look guidance now relays the process in these 6 steps, so we thought we would use them in our slides to be consistent.

92 Guidance for Applicants
Competition page Guidance for Applicants In order to enter the competition you need to register on our website.

93 If you intend to make an application, you must first REGISTER for the competition. (Remember: Registration ends 1 week prior to the competition close) You will receive an with your username and password along with a link to the secure upload area. This will also contain your application form with unique application number. For multiple projects: please contact the support team after your first registration for additional unique application forms. Step 1 – Register for the competition. If you are applying for more than project in the same competition then you need to register once and then contact the business support group to ask for other application forms for each project.

94 Click Login to access the Secure area
Public area In the public area there are some standard documents – the finance forms, a sample collaboration agreement and also a standard offer letter So login to the site and download your finance forms and send to your collaboration partners for them to complete. Work on your application form and your appendices Click Login to access the Secure area

95 Check: your application number matches your login username number.
Naming Your documents should contain your unique application number (e.g.: App12345.docx) Appendices begin with APPENDIX and supplied in PDF format. Format Application Form submitted as a Word file (.doc /.docx) Finance Forms submitted as Excel file (.xls /.xlsx) Appendices submitted as PDF file When you have completed your, please check your naming conventions and file formats. If you have the wrong format, there is a danger it will get loaded into the wrong directory and not get assessed! We need all appendices to be in PDF format please so the assessors can view them easily. Check: your application number matches your login username number.

96 Secure area Enter your login details and accept the T and Cs. Click the Login button at the bottom. Click Upload and follow the on-screen instructions.

97 Technology Strategy Board
Successful Applicant Conditional offer letters will be issued approximately 3-4 weeks after notification Financial project cost review and viability checks undertaken Issue Grant Confirmation Letter 2. Return of various documents within the timescales stated on the offer letter to validate the grant offer sent. Submit a financial forecast and detailed project plan 5. Sign & return Grant Confirmation Letter. The Project may not start until the organisation has received and returned signed acceptance of the Grant Confirmation Letter

98 Uploaded to your secure area
Issued for both successful and unsuccessful applicants within 4 weeks of receiving your notification Word document Uploaded to your secure area The offer letter will contain various sections as shown on this slide, including the amount of grant and conditions you need to meet. Is an example offer letter on the secure site with other competition documents for you to refer to. Not issued via

99 Conditional Offer Letter
Project lead organisation Total grant amount Project title Terms & Conditions of offer Payment terms Changes affecting the Project Publicity State Aid Obligations Role of the Lead and project management Confidentiality and Intellectual Property Exploitation Acceptance of Offer Dispute Resolution

100 Collaboration agreement
To be returned within the deadlines stated within the offer letter Original agreement signed by all participants Key Features: Who is in the Consortium? What are the aims, and how is the work divided up? Ownership of IPR Management of consortium Note: Negotiating a Collaboration Agreement can be complex and time consuming. Start work on this at an early stage in the process, ideally before submitting your full application. We have a template that you can use. Refer to website

101 New projects workshop Requirement for successful projects (CR&D and larger feasibility studies) 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

102 Questions & answers 102


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