Innovate UK Emerging & Enabling Technologies Roadshow, Applicant briefing, Myrddin Jones.

1. 1
Emerging and Enabling Technologies
Funding Competition
Myrddin Jones, Innovate UK
Belfast; 14th October, 2016

2. By the end of the briefing you should…
• Understand the scope and objectives of the
competition
• Understand the competition process and criteria
• Understand the application requirements
• Be clear on the timelines & deadlines

3. Innovation doesn’t just happen…
Strategic innovation doesn’t just happen. It happens as
a consequence of coordinated collaboration between
business, government and research.
This is where Innovate UK comes in.

4. We can’t stop thinking about the future…
Innovate UK works with people, companies and
partner organisations to find and drive the science
and technology innovations that will grow the UK
economy - delivering productivity, new jobs and
exports
….keeping the UK globally competitive in the race
for future prosperity.

5. Overview and Scope

6. Overview of this competition
o Our “Emerging & Enabling” aim is to inspire the new products, processes
and services of tomorrow; those with the potential to unlock billions of
pounds of value to industry and disrupt existing markets.
o £15 million to stimulate & broaden innovation activity and create new
sources of revenue
– Aim: help businesses innovate to find new revenue sources from new
products, processes or services.
– Projects from £35,000 to £2 million
– Projects should last between 6 months and 3 years.
– Stream 1 is for projects under 12 months duration and up to £100,000.
– Stream 2 is for projects longer than 12 months or £100,000 and above.
www.gov.uk/government/publications/funding-competition-emerging-enabling-
technologies

7. Scope 1
Innovation in emerging technologies that show significant
industry and commercial improvement in novel applications of:
– energy harvesting
– imaging technologies
– graphene or biofilms
– other areas of emerging technology
Also a focus on the importance of excellent design in innovation

8. Scope 2
Innovation in enabling technologies that:
– show benefits across multiple industrial sectors or markets
– provide new products and services or allow new applications for
existing products and services
– enable new data-handling capabilities or business models
– satellite applications; electronics; sensors; photonics; digital; internet
of things; data; cybersecurity; virtual or augmented reality; and
distributed ledger technology
Also a focus on the importance of excellent design in innovation

9. Encouraging proposals that address:
• systems that combine multiple technologies to deliver a focused, real-
world outcome
– for example, combining earth observation data from satellites with other
technologies to improve business performance
• smart sensor systems that allow intelligent decisions to be made by
looking at miniaturisation, low-power processing and communications
• smart technology that provides a richer and more informative output to
the end user
• photonics for manufacturing, healthcare and imaging
• digital technologies with substantial potential to change and disrupt
sectors of the economy
– for example, distributed ledgers, augmented and virtual reality.
• proposals that include user/customer perspectives or participation

10. Competition stream 1
• Project costs of up to £100,000
• If you are an SME and expect your eligible project costs to be
up to £100,000, you may deliver the project on your own.
• You may also work with other businesses or research
organisations.
• We expect to fund 40-50 projects

11. Competition stream 2
• Stream 2: Project costs of £100,000 or above
• If you expect your eligible project costs to be more than
£100,000 you must collaborate with at least one other
organisation.
• At least one company in the collaboration must be an SME.
• We expect to fund approx. 15 projects split between up to
and beyond 24m duration

12. Types of project
• Projects may focus on technical feasibility, industrial research
or experimental development. This will depend on the
challenge.
• For technical feasibility studies and industrial research, you
could get:
– up to 70% of your eligible project costs if you are a small business
– up to 60% if you are a medium-sized business
– up to 50% if you are a large business
• For experimental development projects which are nearer to
market, you could get:
– up to 45% of your eligible project costs if you are a small business
– up to 35% if you are a medium-sized business
– up to 25% if you are a large business

13. Out of Scope
• In this competition we will not fund applications in the
following areas:
– topics defined in the Innovate UK Quantum technologies competition
2016 topics defined in the Innovate UK Robotics and autonomous
systems competition 2016
– topics defined in the Innovate UK Compound semiconductor
applications competition 2016
• Note: machine learning or artificial intelligence (AI) is covered
by the Innovate UK Robotics and autonomous systems
competition and so is out of scope.

14. Portfolio selection
• External, independent experts assess the quality your
application
• We will then select the projects to be funded, to build a
portfolio of projects that are:
- high quality
- reflect a portfolio range as described in the scope
- address opportunities across a range of industrial sectors
- reflect the potential for short, medium and long term return
on investment for the company and the UK

15. Competition eligibility
Project Lead Must be a UK-based business
Project Composition - if less than £100k
If project costs are less than £100,000 then an
SME can work alone on the project or with
partners
Project Composition - if more than
£100k
If the project costs are £100,000 or more then
the project must include at least two partners
working collaboratively
Project length Between 6 months and 3 years
Application form 10 marked questions
Appendices Yes – for Q3, Q7 & Q8
J-eS output document (if applicable) Yes

16. Key dates
Timeline Dates
Briefing Event 30th September 2016
Competition Opens 3rd October 2016
Registration Closes Noon 30th November 2016
Submission Deadline Noon 7th December 2016
Decision to applicants By 10th March 2017

17. Application process and forms

18. Application process
Feedback
Notify applicants
Assessment and portfolio selection
Scope check
Complete and submit documents
Download finance form
Register for the competition
Use all of the space provided. Upload documents to the FTP site.
Don’t leave submission until the last minute
Finance Form September 2016 – for all non-academic partners
claiming grant
Applications that are in scope will be sent for assessment. We will
assign appropriate assessors to each application
Applications will be assessed by independent assessors. Innovate
UK will select a portfolio from the highest quality applications
Within 4 weeks of receiving your notification
Via competition website – application form will be emailed
By date provided

19. Please refer
to the
Competition
Guidance
Application form
Application details
Summary of proposed project
Public description of the project
Gateway Question Scope
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 Additionality
Question 10 Costs and value for money
Other funding from public sector bodies
Finance summary table

20. An example page from the application form…
Guidance notes:
Try to cover all these
points in your
answer…
But, there isn’t a lot of space
available and you cannot
shrink the text size!

21. Categories
• To help us assign the right assessors to your application, we
ask you to choose the main area of your innovation.
• This is purely indicative but will help us to speed the process
up
• Please consider the type of expertise an assessor would need
to immediately understand the context of your idea
• Focus on the main area of innovation and risk

22. All applications are assessed by
independent assessors drawn from
industry and academia
Application assessment
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 (team) has presented a
viable opportunity for growth, a level of
innovation that necessitates public sector
investment and an appropriate team and
approach to take it forward

23. Forms required for upload
• Application form
• Industry partner finance form
• Appendices (Optional)
• JeS output document confirming
“With Council” status (for each
academic partner)

24. Types of organisation
• Business – Small/Micro, Medium 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

25. Grant dependent upon type of research and type of participant
Organisation /
Type of
Activity
Technical Feasibility
Studies and
Industrial Research
Experimental
Development
Notes
Business
(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 – see note:
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

26. 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

27. Worked example – £500k total cost project:
Project costs for 5 partners (2 SME, 1 University, a Catapult and 1 large), doing
industrial research.
Total funding limits
Total Eligible
Project Costs
Maximum % of
eligible costs
which may be
claimed as a grant
Innovate UK
Grant
Partner
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 (cannot exceed 30%) 30.00%

28. Project costs
• Business & non-academic partners
– Eligible Project Costs
– Partner Finance Form
• Academics
– Je-S

29. Partner finance forms
• Each applicant or non-academic partner claiming a grant must
complete a Partner Finance Form.
• Please use version “Partner finance form Sept 2016”
• IMPORTANT: 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.

30. Projected Growth Status: This worksheet Incomplete Whole form: Incomplete
Current 1 Year 3 Years 5+ years
Proportion related to
project (%)
Annual Turnover (£) **
Annual Profit (£) **
Annual Exports (£) **
R&D Spend (as a percentage of Annual Turnover) **
R&D Spend Value (Auto Calculated) £ - £ - £ - £ - 0%
Employment (FTEs) **
New finance form requirement

31. Eligible project costs
(applicants / non-academic partners)
 Labour Costs
 Overheads
 Materials
 Capital Equipment Usage
 Sub-Contracts
 Travel & Subsistence
 Other Costs
- Other eligible costs not included in the above headings
 IP filing costs up to £7,500 (SME only)

32. Ineligible project costs
Χ Recoverable input or output VAT
Χ Interest charges, bad debts, profits, advertising, entertainment
Χ Hire purchase interest and associated service charges
Χ Profit earned by a subsidiary or by an associate undertaking work sub-
contracted out under the project
Χ Inflation and contingency allowances
Χ The value of existing assets such as IPR, data, software and other exploitable
assets that are contributed to the project by any collaborator
Χ Independent Accountant’s Report Fees

33. The application submission process
Take your time, use all space providedCOMPLETE
documents
Partner Finance Form Sept 2016 – for all non-academic partners
claiming grant
DOWNLOAD
documents
Don’t leave it to the last minute. Do it early!UPLOAD documents
On date providedNOTIFICATION
received
Within 4 weeks of receiving your notificationFEEDBACK received
REGISTER Via competition website

34. Public area
Click Login to access the Secure area

35. Check: your application number matches your login username number
Naming
a) Your documents should contain your unique application number
(e.g. App12345.docx)
b) Appendices begin with ‘APPENDIX QUESTION NUMBER’ and
should contain your unique application number i.e.
XXXXXXAPPENDIXQ3
Format
a) Application Form submitted as a Word file (.doc /.docx)
b) Finance forms submitted as an Excel file (.xls / .xlsx)
c) Appendices, including Je-S form (where applicable) submitted as
PDF file - check the guidance for page limits
COMPLETE documents

36. 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.
UPLOAD documents

37. Innovate UK Successful Applicant
The Project may not start until the organisation has received and returned
signed acceptance of the Grant Confirmation Letter
Conditional offer
letters will be
issued 3 – 4 weeks
after notification
Return documents
stated in
conditional offer
letter
Submit financial
forecast and
detailed project
plan
Financial cost
review and viability
checks
Issue Grant
Confirmation Letter
Sign & return Grant
Confirmation Letter
with project start
date
NOTIFICATION received

38. Issued for both successful and unsuccessful applicants within 4 weeks of
receiving your notification
Word document
Uploaded to your
secure area
Not issued via email
FEEDBACK received

39. Project finance
Overview
• Looking after the public purse
• Ensuring monies are appropriated to legitimate/valid enterprises
• Applicant viability checks, reviewing; audited accounts, management accounts,
cash flow forecast, working capital, current ratios etc. - to ensure that the
company legally exists, and to assess whether it can meet its financial obligations
for the project.
• Ensuring costs meet eligibility/State Aid/competition rules
• Project cost eligibility checks involve reviewing an applicant’s project costs -
Labour costs, overhead rates, materials, sub-contactors, travel, capital
equipment, other costs and overall project costs - and intervention rates, to
check that the project costs meets the published eligibility criteria.

40. 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

41. 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.

42. 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

43. Summary

44. Submission summary
Stream 1 Stream 2
Project Composition
Single SME or
Collaborative
Collaborative
Project Size (indicative) Up to £100k (£35k minimum) Up to £2m (£35k minimum)
Anticipated Project length 6 to 12 months 12 to 36 months
Application form 10 marked questions 10 marked questions
Appendices Yes Yes
J-eS output document (if
applicable)
Yes Yes

45. Key dates
Timeline Dates
Briefing Event 30th September 2016
Competition Opens 3rd October 2016
Registration Closes Noon 30th November 2016
Submission Deadline Noon 7th December 2016
Decision to applicants By 10th March 2017

46. Contact us:
support@innovateuk.gov.uk
Competition Helpline: 0300 321 4357
www.innovateuk.gov.uk
_connect Network:
https://ktn.innovateuk.org

47. Competitions Helpdesk
Tel: 0300 321 4357 (Monday-Friday, 9am-5:30pm)
E-mail: support@innovateuk.gov.uk