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Applicant Briefing - Sharon McHugh, Innovate UK

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Presentation from the briefing event for ISCF Digital Security by Design competition: Technology Enabled Business-Led Demonstator Stage 1 Expression of Interest

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Applicant Briefing - Sharon McHugh, Innovate UK

  1. 1. ISCF Digital Security by Design: Technology enabled business-led demonstrators - EOI Applicant briefing Date: 25 March 20
  2. 2. 1 Welcome and introductions 2 Part 1 The Innovation Funding Service, application finances, academic partners 3 Part 2 Submitting your application, assessment, project setup for successful applicants Agenda
  3. 3. • Sharon McHugh – Portfolio Manager, Competitions Team Welcome and Introductions
  4. 4. Introduction to Innovate UK and UKRI
  5. 5. We work with the government to invest over £7 billion a year in research and innovation by partnering with academia and industry to make the impossible, possible. Through the UK’s nine leading academic and industrial funding councils, we create knowledge with impact.
  6. 6. Eligibility
  7. 7. Resubmission Not a resubmission A resubmission is: an application Innovate UK judges as not materially different from one you've submitted before (but it can be updated based on the assessors' feedback) A brand new application/project/idea that you have not previously submitted into an Innovate UK competition OR A previously unsuccessful or ineligible application: ✓ has been updated based on assessor feedback ✓ and is materially different from the application submitted before ✓ and fits with the scope of this competition Resubmissions This competition does not allow resubmissions.
  8. 8. EOI FULL STAGE Project eligibility ✓ Lead must be a UK registered business ✓ Must be collaborative ✓ You must carry out your project in the UK ✓ Exploit the results from / in the UK Project cost Must be greater than £5 million but no more than £25 million Total grant Up to £5.8m Project length Must start by 1 October 2020 and end January 2024 (min 24mths) Eligibility criteria
  9. 9. • Business – Small/Micro, Medium or Large (EU definition) registered in the UK • Research Organisation (RO): • Universities (HEIs) • Non profit distributing Research & Technology Organisation (RTO) including Catapults • Public Sector Research Establishments (PSRE) • Research Council Institutes (RCI) • Public sector organisations and charities doing research activity • Check out the EU definition of a business (it may affect the grant you are able to claim) http://ec.europa.eu/growth/smes/business-friendly-environment/sme-definition_en • If you are 100% owned by a large parent company as a small subsidiary this means by EU rules you are classed as a large company and will only be entitled to the relevant grant Types of organisations we fund
  10. 10. Eligibility for State Aid • Innovate UK is offering funding for this competition under the General Block Exemption Regulation. This is available to eligible UK businesses. • We are unable to grant funding to limited liability companies meeting the condition known as ‘undertakings in difficulty’. • This is where more than half of a company’s subscribed share capital has disappeared as a result of accumulated losses. • This test only applies to companies that are more than 3 years old. • If you have a parent company the test can be performed on your parent or holding company. • When submitting an application you must certify that you are eligible for state aid. If you are unsure, please take legal advice before applying. • Should you be successful, we will apply this test as part of our viability checks before confirming the grant offer. • Further information is available on our website in the general guidance under state aid
  11. 11. State Aid – Article 25 • Funding for R&D projects split in to 3 categories; Feasibility studies, Industrial research & Experimental development. • Applies to almost all sectors of the economy and has a wide range of eligible costs. Pre-approved state aid covers: o Aid for research and development and innovation, o Regional aid o Aid to SMEs in the form of investment aid, operating aid and SMEs access to finance, o Aid for environmental protection, o Training aid, o Recruitment and employment aid for disadvantaged workers or workers with disabilities. o Aid to make good the damage caused by certain natural disasters, o Social aid for transport for residents for remote regions, o Aid for broadband infrastructures, o Aid for culture and heritage conservation, o Aid for sport and multifunctional recreational infrastructures, o Aid for local infrastructure. • Special rules apply to: o Fisheries, agriculture, o Companies in difficulty, o Companies undergoing a state aid recovery order.
  12. 12. • 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 • Typically at least 70% of total eligible project costs must be incurred by business Participation Rules
  13. 13. In all collaborative projects there must be: • at least two organisations claiming grant within the application (including the lead) • For this competition it must be a business led consortium • evidence of effective collaboration • we would expect to see the structure and rationale of the collaboration described in the application. What is collaboration?
  14. 14. Making more than one application • any eligible business can lead or participate only in one application • a named individual at any academic institution, RTO, public sector organisation or charity cannot collaborate on more than 2 applications
  15. 15. Other Innovate UK projects • If you have an outstanding final claim and/or Independent Accountant Report (IAR) on a live Innovate UK project, you will not be eligible to apply for grant funding in this competition, as a lead or a partner organisation. • If you applied to a previous competition as the lead or sole company and were awarded funding by Innovate UK, but did not make a substantial effort to exploit that award, we will award no more funding to you.
  16. 16. Timeline Dates Competition Opens 16 March 2020 Briefing Event 25 March 2020 Submission Deadline 15 April 2020* Interviews 27-29 April 2020* Applicants informed 4 May 2020* Key Dates *dates may be subject to change
  17. 17. Innovation Funding Service (IFS)
  18. 18. Search for a funding competition and review criteria
  19. 19. Applicant: create an account To create your account: UK based businesses - Use Companies House lookup as it speeds up our checks by providing your company number and your are unable to enter it at a later date Research organisations, academics & Universities - Enter your information manually so you’re not listed as a business on IFS and ensure you receive the correct funding
  20. 20. Project Details • Application Team - Collaborators: Invite organisations who you are working with on the project - Contributors: Invite colleagues from your own organisation to help you complete your application • Application Details - Title, Timescales, Research Category, Innovation Area • Project Summary - Short summary and objectives of the project including what is innovative about it • Public Description - Description of your project which will be published if you are successful • Scope - How does your project align with the scope of this competition? - If your project is not in scope, it will be ineligible for funding
  21. 21. Application form Question 1 Project outline Question 2 Project team Question 3 Project resources Appendix Q3 Appendix Q2 Application Questions Phase 1 Detailed Guidance Available on IFS
  22. 22. Application form Question 1 Need or challenge Question 2 Approach and innovation Question 3 Team and resources Question 4 Market awareness Question 5 Outcomes and route to market Question 6 Wider impacts Question 7 Project management Question 8 Risks Question 9 Added value Question 10 Costs and value for money Appendix Q3 Appendix Q7 Appendix Q8 Appendix Q2 Application Questions Phase 2* Detailed Guidance Available on IFS *questions may be subject to change
  23. 23. Application Finances
  24. 24. To claim funding: Your business does not have to be UK registered with Companies House when you apply but it must be registered before you can receive funding. You are unable to claim funding if: • You are an overseas organisation so your company number begins with FC • You organisation is setup as a branch so your company number begins with BR • Your company is based in Jersey so your company number begins with JE
  25. 25. Ineligible: • Dividends • Bonuses • Non productive time Eligible: • Staff working directly on project • Paid by PAYE • NI, pension, non- discretionary costs Labour
  26. 26. Overheads Innovate UK’s definition: additional costs and operational expenses incurred directly as a result of the project. These could include additional costs for administrative staff, general IT, rent and utilities Indirect (administration) overheads • please ensure they are additional and directly attributable to the delivery of the project Direct overheads • E.g. office utilities, IT infrastructure, laptop provision not covered by capital usage • must be directly attributable to the project • Provide detailed breakdown together with methodology/basis of apportionment
  27. 27. Material costs Please be clear on what the materials are, just putting consumables doesn’t provide enough detail and we will request more information should you be successful
  28. 28. Capital equipment usage Eligible: • Used in the project or shared with day-to-day production Calculations will need to be in line with your accounting practices. Even if the equipment is depreciated fully over the life of the project this must be added under capital equipment.
  29. 29. Subcontractors Eligible: • Justified and quantified • If using non-UK sub-contractors are being used you will need to provide strong justification on why an UK-based sub-contractor is not being used • If you’re sub-contracting to a parent or sister company, please ensure you list at cost and do not include profit.
  30. 30. Travel & subsistence Eligible: Costs must be directly linked to the project Please breakdown your costs as follows: • Travel • Accommodation • Subsistence If you have an annual trip to visit the parent company this is not an eligible cost
  31. 31. Other costs Eligible: • Costs that could not be added under previous headings. • Do not double count • Patent filing costs for new IP – SMEs up to £7,500
  32. 32. Funding • Funding rules • The level of funding awarded will depend upon the type of organisation and the type of research being undertaken in the project • Funding is calculated by project participant • IFS will advise the maximum grant % you can request based upon your answers to: • Type (and size) of organisation • Research category defined by the lead applicant in the Application Details section of the application
  33. 33. Under new laws within the State Aid scheme we are required to ask you whether you are planning to undertake commercial or economic activities (‘selective advantage’) as part of your project. • This will be asked every time you apply to any competition even on multiple applications within the same competition • Applies to all organisation types • Will affect the amount you are able to claim Define your activities within a project
  34. 34. Organisation / type of activity Technical feasibility studies and industrial research Experimental development Business & research organisations undertaking Commercial / economic activity Micro/Small – 70% Medium – 60% Large – 50% Micro/Small – 45% Medium – 35% Large – 25% Research Organisation (non-economic activity) Universities – 100% (80% of Full Economic Costs) Other research organisations can claim 100% of their project costs Other research organisations must: • be non-profit distributing and • disseminate the project results & • explain in the application form how this will be done Public Sector Organisation or Charity (non-economic activity) 100% of eligible costs Must be: • Be performing research activity & • disseminate project results & explain in the application form how this will be done • ensure that the eligible costs do not include work / costs already funded from other public sector bodies Grant % rates Grants are awarded to each individual organisation in a consortium. The amount of funding depends on the type and size of organisation and the activity they are doing on the project.
  35. 35. Worked example – £500k total cost project: Project costs for 5 partners (2 SME, 1 University, a Catapult and 1 large), doing industrial research. Consortium example Total Eligible Project Costs Maximum % of eligible costs which may be claimed as a grant Innovate UK Grant Project Contribution Business Medium £130,000 60% £78,000 £52,000 Business Medium £90,000 60% £54,000 £36,000 Business Large £130,000 50% £65,000 £65,000 University HEI (80% FEC) £75,000 100% £75,000 nil** Catapult RTO £75,000 100% £75,000 nil Total £500,000 £347,000 £153,000 ** 20% FEC not to be shown as a contribution Research Base Costs £150,000 Research base % of Total Eligible costs 30.00%
  36. 36. Academic Partners
  37. 37. Why Je-S? • We use the Research Councils’ Joint Electronic Submission System (Je-S) to collect academic finances • 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 • 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 • Using Je-S means that Innovate UK follows standard Research Council guidelines on funding universities and enables Research Councils to easily co-fund Innovate UK projects
  38. 38. • Enter the TSB reference number here • Enter the TSB Contribution column figures from your J-eS output document into the project costs section of the application • Upload the Je-S with council status form as a PDF at the bottom of the screen Project costs – academic partners
  39. 39. 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@je-s.ukri.org • 01793 444164
  40. 40. Submitting your application
  41. 41. Project cost summary All organisations can see a summary of project costs Ensure the highlighted costs fits the criteria for this competition £5m to £25
  42. 42. Checking your finances are complete IFS checks • all organisations have marked their finances as complete
  43. 43. Submit your application early! Be aware of the potential for last minute technical issues!
  44. 44. Assessment
  45. 45. Application assessment All applications are assessed by independent assessors 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 • A proposal that presents a viable opportunity for growth, a level of innovation that necessitates public sector investment and has the right team and approach to be successful Keep your assessors engaged and interested in your proposal. You want them to be fascinated and excited by your idea!
  46. 46. Note on feedback • The feedback is compiled using the written comments of the independent assessors who review and assess the applications. • It is intended to be constructive in nature and to highlight both the strong as well as the weak areas of your application. • Please bear in mind that because applications are assessed by a number of assessors, you may receive information which appears to be conflicting. This may reflect their different interpretations of the proposal that you submitted. • It must also be noted that some proposals may appear to have been favourably assessed based on their comments, in such instances it could be that your proposal simply fell below the funding threshold, with others achieving a higher merit score overall.
  47. 47. Scoring We review scores and feedback to check assessors are adhering to our guidelines and scoring fairly. In some cases, where we feel a score is unjust and not supported by feedback, we may remove that score as an outlier and update the total score for the application. Please be aware that both low and high outliers may be removed and as a result scores may increase or decrease. If outliers are removed we are unable to reflect this change in the scores you receive as part of your feedback due to this decision being completed outside the system
  48. 48. Application assessment • The score spread shows the difference between the top and bottom scores • If score spread is 30 or more we will look to see if an outlier is apparent • If there is a 3 or more appear in either the two columns Count of No Scope or Count of No Recc’d we review the applications feedback and if justified, the application will not be eligible for funding.
  49. 49. • The green box = particular assessors scores on an application • The purple box = set of scores for a particular question • The red box = at first glance this looks like an outlier Identifying outliers
  50. 50. Assessor feedback
  51. 51. Interviews If you are invited to progress to interview: • You can bring up to three people to attend the interview • You will have 20 minutes to present a maximum of 20 PowerPoint slides, with no videos or embedded links • There is a 30 minute Q&A session lead by members of the panel • The presentations and presenters’ names have to be provided ahead of the interview
  52. 52. Project setup for successful applicants
  53. 53. IFS for successful applicants Project Set up: 8 steps to complete • Applicable to all grant claiming partners • Must be completed within 30 days - projects must start within 90 days or funding may be withdrawn • Confirmation of your bank account is required to ensure we are paying the correct organisation you may/will be asked to provide a redacted bank statement to confirm this • Project change requests cannot be submitted before the project starts
  54. 54. Project set up All grant claiming project partners will be required to complete project set up. To avoid delays you should consider: • Who will be the project manager? • Who will be the finance contact for each consortium member? • How will your consortium be set up? (if applicable)
  55. 55. Collaboration agreement 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 Negotiating a Collaboration Agreement can be complex and time consuming. Start work on this at an early stage in the process.
  56. 56. Grant claims and 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 over 6 months are monitored on a quarterly basis including a visit from the appointed Monitoring Officer. Anything outside of this will be discussed on a case by case basis. • The monitoring will be carried out against a detailed project plan and financial forecast
  57. 57. Project Change Requests • We are unable to process any PCRs before the Grant Offer Letter is issued • If a member of your collaboration has failed UiD and is unable to resolve you will be advised to withdraw • PCRs will only be agreed and authorised by Head of Operational Delivery
  58. 58. Customer Support Services: 0300 321 4357 (Mon-Fri, 9am-5:30pm) support@innovateuk.ukri.org Knowledge Transfer Network: www.ktn-uk.co.uk Innovate UK: https://www.gov.uk/government/organisations/innovate-uk Q&A

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