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Background
Competition scope (2 of 3)
Your proposal must:
• Focus on cyber security for IoT systems
• Include artificial intelligence, including machine learning, among the
demonstrator’s objectives
• Include a plan to test near-to-market interventions and experiments in
real environments
• Show how the product or products, industrial process or service can be
commercialised
• Show a balance between technical, social and economic impact
Up to £4 million for collaborative R&D projects
addressing major cyber security challenges in the Internet of Things
Security of Digital Technologies at the Periphery (SDTaP)
Delivery streams:
• Research Centre (£14M) - EPSRC
• PETRAS 2.0 / National CoE for IoT
Systems Cybersecurity
• Demonstrators (£10M) - IUK
• Round 1 (2019) – Round 2 (2020)
• Commercialisation
• Research to market
• International
SDTaP Demonstrators – Round 1 (2019)
Competition results:
• i-TRACE - IoT Transport Assured for
Critical Environments
• Securing constraint devices in distributed and
dispersed networks
• CyberStone: Collaborative Secure IOT
Gateway
• Securing end-points across heterogeneous IOT
devices and networks
• The world’s first on-chip and in-life
monitoring solution to rapidly detect
cyber security threats in Connected
and Autonomous Vehicles (CAVs)
• ‘In-life’ system-on-chip monitoring in safety-
critical applications
Competition Round 2
Scope
Competition scope (1 of 3)
Why this investment?
• Solve major industry-focused cyber security-related challenges in the
Internet of Things
• Transfer world-leading knowledge from the UK research base to the UK
industry
• Develop a new product or products, industrial process or service, and
intellectual property, which must be proven as part of a demonstrator
• Address challenges that span across technological societal and business
dimensions
Up to £4 million for collaborative R&D projects
addressing major cyber security challenges in the Internet of Things
Competition scope (3 of 3) – specific themes
Your project must focus on one of the following 2 themes:
1. Cyber resilient IoT systems for critical national infrastructures
2. Secure and energy-efficient IoT systems in resource-constrained environments
Remember: you must include AI into the work plan for the demonstrator
Your project could include complementary technologies such as distributed
ledger technologies or applications of 5G mobile networks
Up to £4 million for collaborative R&D projects
addressing major cyber security challenges in the Internet of Things
IoT Systems – Different viewpoints
ISO/IEC 30141 IoT-RA (2018)
IIC IoT-RA (2019)
IoT Market Categorisation Framework (Japan, 2017)
Theme 1: Cyber resilient IoT systems for critical
national infrastructures
• Cyber-threats are growing, evolving, changing fast,…
• Multi-tier vulnerabilities: known, unknown, adversary-created, …
• Being secure vs. being resilient
• Secure by protection (the ‘castle’ approach)
• Systems that can withstand and survive potential adversity, including cyber-attacks
• Resilience as part of system architecture and system design
Remember:
• To define/describe your IoT system and specify your project’s focal point(s)
• To explain what’s ‘critical’ and why as part of your use-case(s)
Theme 2: Secure and energy-efficient IoT systems
in resource-constrained environments
• Human and machine-generated useable data exceed data centre traffic per year
• Energy consumption-wise, transmission, processing and storage of data on the
cloud is unsustainable
• AI applications require staggering amounts of computing power - and energy!
• Deployment at the edge could offer great advantages, albeit with great challenges
• Security and energy-efficiency as a multi-objective optimisation approach
Remember:
• To define/describe your IoT system and specify your project’s focal point(s)
• Secure system operation within inherent resource constraints
What’s NOT in scope?
We are not funding projects that cover:
• the use or development of quantum technologies, including quantum key
distribution
• the development of new network infrastructure such as 5G
• the creation of new facilities
Eligibility criteria
Project eligibility
ü Lead must be a UK-based business
ü At least one UK SME
ü Must be collaborative with other businesses, research organisations,
public sector organisations or charities
ü You must carry out your project in the UK
ü Exploit the results from / in the UK
Project cost Between £2m and £4m
Project length between 18 to 24 months
Eligibility criteria
• 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
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
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.
• 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
Participation Rules
In all collaborative projects there must be:
• at least two organisations claiming grant within the application (including the lead)
• a business or RTO-led consortium, which may involve both business and the research base
and
• evidence of effective collaboration
• we would expect to see the structure and rationale of the collaboration described in the
application.
What is collaboration?
Making more than one application
• Any one business may be involved in up to 3 applications to this competition, but can only be the lead
partner in one application
• A research and technology organisation cannot lead an application in this competition but can be a
collaborator in any number of applications.
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.
Timeline Dates
Competition Opens 27TH January 2020
Briefing Event 4th February 2020
Submission Deadline 15th April 2020 Noon
Interviews 8th June 2020
Applicants informed 19th June 2020
Key Dates
Innovation Funding
Service (IFS)
Search for a funding competition and
review criteria
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
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, Resubmission (y/n)
• 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
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
Detailed Guidance
Available on IFS
Application finances
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
Ineligible:
• Dividends
• Bonuses
• Non productive time
Eligible:
• Staff working directly on
project
• Paid by PAYE
• NI, pension, non-
discretionary costs
Labour
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
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
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.
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.
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
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
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
Organisation /
type of activity
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
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 (cannot exceed 30%) 30.00%
Academic partners
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
• 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
Je-S application elements
Not just the financials
• E.g. Justification of resources
• E.g. Pathways to impact
Full details on the Je-S system
Queries about Je-S via the Je-S Helpdesk
• JeSHelp@rcuk.ac.uk
• 01793 444164
Submitting your
application
Project cost summary
All organisations can see a
summary of project costs
Ensure the highlighted costs
fits the criteria for this
competition (£2m to £4m)
Checking your finances are complete
IFS checks
• all organisations have marked
their finances as complete
• research organisation participation
is no greater than 30% of the total
project costs
Submit your application early!
Be aware of the
potential for last
minute technical
issues!
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:
ü has been updated based on assessor feedback
ü and is materially different from the application
submitted before
ü and fits with the scope of this competition
Resubmissions
This competition does allow resubmissions.
Assessment
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!
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.
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.
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.
• 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
Assessor feedback
Interviews
If you are invited to progress to interview:
• You can bring up to five 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
• You will have an opportunity to respond to the assessor feedback so the panel can read it prior to
interview
• The response to feedback, presentations and presenters’ names have to be provided ahead of the
interview
Project setup for
successful applicants
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
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)
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.
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
Project Change Requests (PCR)
• 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 and apply into the next round of the competition
• PCRs will only be agreed and authorised by Head of Operational Delivery
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
@InnovateUK Innovate UKInnovate UK
www.ktn-uk.org @KTNUK
Lunch
Back at 13:20
www.ktn-uk.org @KTNUK
Case Study Slides
www.ktn-uk.org @KTNUK
KTN support and writing a good proposal
Simon Yarwood
Knowledge Transfer Manager – ICT and Energy Harvesting
www.ktn-uk.org @KTNUK
The Innovate UK Family
Fund
Connect
Collaborate
www.ktn-uk.org @KTNUK
Finding valuable
partners
-
Project consortium
building
-
Supply Chain
Knowledge
-
Driving new
connections
-
Articulating
challenges
-
Finding creative
solutions
Promoting
Industry needs
-
Informing policy
makers
-
Informing
strategy
-
Communicating
trends and market
drivers
Intelligence on trends
and markets
-
Business Planning
support
-
Success stories /
raising profile
Navigating the
innovation support
landscape
-
Promoting coherent
strategy and
approach
-
Engaging wider
stakeholders
-
Curation of innovation
resources
Supporting NavigatingInformingFundingConnecting
Awareness and
dissemination
-
Public and private
finance
-
Advice – project scope
-
Advice – proposal
mentoring
-
Project
follow-up
What we do
www.ktn-uk.org @KTNUK
How do I do that?
People
Products
Pounds
www.ktn-uk.org @KTNUK
AI and Data
Economy
Healthy
ageing
Clean
growth
Future of
mobility
Industrial Strategy
www.ktn-uk.org @KTNUK
Why invest?
Each £1 in grant
Multiplier in value by 12
After 5 years projects value is £50 for each £1 invested
www.ktn-uk.org @KTNUK
Innovate UK funding portal
https://apply-for-innovation-funding.service.gov.uk/competition/search
www.ktn-uk.org @KTNUK
Current funding
SDTaP – Securing Digital Technologies at the Periphery. Briefing London 4th Feb, Manchester 20th
Feb, Cardiff 25th Feb
The competition covers themes such as cyber-resilience in the context of critical infrastructures
and secure capabilities in resource-constrained environments. https://ktn-uk.co.uk/events/sdtap-
demonstrators-phase-2-cyber-security-challenges-in-the-internet-of-things-london-briefing
HVT – High Volume Transport, key themes are Climate Change and Inclusivity
https://transport-links.com/
Smart – a call with no topic scope, £25k to £2m projects, upto 70% funding
https://apply-for-innovation-funding.service.gov.uk/competition/515/overview

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SDTaP Demonstrators Phase 2: Cyber Security Challenges in the Internet of Things

  • 2. Competition scope (2 of 3) Your proposal must: • Focus on cyber security for IoT systems • Include artificial intelligence, including machine learning, among the demonstrator’s objectives • Include a plan to test near-to-market interventions and experiments in real environments • Show how the product or products, industrial process or service can be commercialised • Show a balance between technical, social and economic impact Up to £4 million for collaborative R&D projects addressing major cyber security challenges in the Internet of Things
  • 3. Security of Digital Technologies at the Periphery (SDTaP) Delivery streams: • Research Centre (£14M) - EPSRC • PETRAS 2.0 / National CoE for IoT Systems Cybersecurity • Demonstrators (£10M) - IUK • Round 1 (2019) – Round 2 (2020) • Commercialisation • Research to market • International
  • 4. SDTaP Demonstrators – Round 1 (2019) Competition results: • i-TRACE - IoT Transport Assured for Critical Environments • Securing constraint devices in distributed and dispersed networks • CyberStone: Collaborative Secure IOT Gateway • Securing end-points across heterogeneous IOT devices and networks • The world’s first on-chip and in-life monitoring solution to rapidly detect cyber security threats in Connected and Autonomous Vehicles (CAVs) • ‘In-life’ system-on-chip monitoring in safety- critical applications
  • 6. Competition scope (1 of 3) Why this investment? • Solve major industry-focused cyber security-related challenges in the Internet of Things • Transfer world-leading knowledge from the UK research base to the UK industry • Develop a new product or products, industrial process or service, and intellectual property, which must be proven as part of a demonstrator • Address challenges that span across technological societal and business dimensions Up to £4 million for collaborative R&D projects addressing major cyber security challenges in the Internet of Things
  • 7. Competition scope (3 of 3) – specific themes Your project must focus on one of the following 2 themes: 1. Cyber resilient IoT systems for critical national infrastructures 2. Secure and energy-efficient IoT systems in resource-constrained environments Remember: you must include AI into the work plan for the demonstrator Your project could include complementary technologies such as distributed ledger technologies or applications of 5G mobile networks Up to £4 million for collaborative R&D projects addressing major cyber security challenges in the Internet of Things
  • 8. IoT Systems – Different viewpoints ISO/IEC 30141 IoT-RA (2018) IIC IoT-RA (2019) IoT Market Categorisation Framework (Japan, 2017)
  • 9. Theme 1: Cyber resilient IoT systems for critical national infrastructures • Cyber-threats are growing, evolving, changing fast,… • Multi-tier vulnerabilities: known, unknown, adversary-created, … • Being secure vs. being resilient • Secure by protection (the ‘castle’ approach) • Systems that can withstand and survive potential adversity, including cyber-attacks • Resilience as part of system architecture and system design Remember: • To define/describe your IoT system and specify your project’s focal point(s) • To explain what’s ‘critical’ and why as part of your use-case(s)
  • 10. Theme 2: Secure and energy-efficient IoT systems in resource-constrained environments • Human and machine-generated useable data exceed data centre traffic per year • Energy consumption-wise, transmission, processing and storage of data on the cloud is unsustainable • AI applications require staggering amounts of computing power - and energy! • Deployment at the edge could offer great advantages, albeit with great challenges • Security and energy-efficiency as a multi-objective optimisation approach Remember: • To define/describe your IoT system and specify your project’s focal point(s) • Secure system operation within inherent resource constraints
  • 11. What’s NOT in scope? We are not funding projects that cover: • the use or development of quantum technologies, including quantum key distribution • the development of new network infrastructure such as 5G • the creation of new facilities
  • 13. Project eligibility ü Lead must be a UK-based business ü At least one UK SME ü Must be collaborative with other businesses, research organisations, public sector organisations or charities ü You must carry out your project in the UK ü Exploit the results from / in the UK Project cost Between £2m and £4m Project length between 18 to 24 months Eligibility criteria
  • 14. • 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
  • 15. 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
  • 16. 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.
  • 17. • 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 Participation Rules
  • 18. In all collaborative projects there must be: • at least two organisations claiming grant within the application (including the lead) • a business or RTO-led consortium, which may involve both business and the research base and • evidence of effective collaboration • we would expect to see the structure and rationale of the collaboration described in the application. What is collaboration?
  • 19. Making more than one application • Any one business may be involved in up to 3 applications to this competition, but can only be the lead partner in one application • A research and technology organisation cannot lead an application in this competition but can be a collaborator in any number of applications.
  • 20. 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.
  • 21. Timeline Dates Competition Opens 27TH January 2020 Briefing Event 4th February 2020 Submission Deadline 15th April 2020 Noon Interviews 8th June 2020 Applicants informed 19th June 2020 Key Dates
  • 23. Search for a funding competition and review criteria
  • 24. 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
  • 25. 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, Resubmission (y/n) • 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
  • 26. 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 Detailed Guidance Available on IFS
  • 28. 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
  • 29. Ineligible: • Dividends • Bonuses • Non productive time Eligible: • Staff working directly on project • Paid by PAYE • NI, pension, non- discretionary costs Labour
  • 30. 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
  • 31. 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
  • 32. 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.
  • 33. 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.
  • 34. 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
  • 35. 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
  • 36. 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
  • 37. Organisation / type of activity 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
  • 38. 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 (cannot exceed 30%) 30.00%
  • 40. 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
  • 41. • 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
  • 42. Je-S application elements Not just the financials • E.g. Justification of resources • E.g. Pathways to impact Full details on the Je-S system Queries about Je-S via the Je-S Helpdesk • JeSHelp@rcuk.ac.uk • 01793 444164
  • 44. Project cost summary All organisations can see a summary of project costs Ensure the highlighted costs fits the criteria for this competition (£2m to £4m)
  • 45. Checking your finances are complete IFS checks • all organisations have marked their finances as complete • research organisation participation is no greater than 30% of the total project costs
  • 46. Submit your application early! Be aware of the potential for last minute technical issues!
  • 47. 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: ü has been updated based on assessor feedback ü and is materially different from the application submitted before ü and fits with the scope of this competition Resubmissions This competition does allow resubmissions.
  • 49. 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!
  • 50. 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.
  • 51. 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.
  • 52. 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.
  • 53. • 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
  • 55. Interviews If you are invited to progress to interview: • You can bring up to five 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 • You will have an opportunity to respond to the assessor feedback so the panel can read it prior to interview • The response to feedback, presentations and presenters’ names have to be provided ahead of the interview
  • 57. 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
  • 58. 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)
  • 59. 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.
  • 60. 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
  • 61. Project Change Requests (PCR) • 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 and apply into the next round of the competition • PCRs will only be agreed and authorised by Head of Operational Delivery
  • 62. 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
  • 66. www.ktn-uk.org @KTNUK KTN support and writing a good proposal Simon Yarwood Knowledge Transfer Manager – ICT and Energy Harvesting
  • 67. www.ktn-uk.org @KTNUK The Innovate UK Family Fund Connect Collaborate
  • 68. www.ktn-uk.org @KTNUK Finding valuable partners - Project consortium building - Supply Chain Knowledge - Driving new connections - Articulating challenges - Finding creative solutions Promoting Industry needs - Informing policy makers - Informing strategy - Communicating trends and market drivers Intelligence on trends and markets - Business Planning support - Success stories / raising profile Navigating the innovation support landscape - Promoting coherent strategy and approach - Engaging wider stakeholders - Curation of innovation resources Supporting NavigatingInformingFundingConnecting Awareness and dissemination - Public and private finance - Advice – project scope - Advice – proposal mentoring - Project follow-up What we do
  • 69. www.ktn-uk.org @KTNUK How do I do that? People Products Pounds
  • 70. www.ktn-uk.org @KTNUK AI and Data Economy Healthy ageing Clean growth Future of mobility Industrial Strategy
  • 71. www.ktn-uk.org @KTNUK Why invest? Each £1 in grant Multiplier in value by 12 After 5 years projects value is £50 for each £1 invested
  • 72. www.ktn-uk.org @KTNUK Innovate UK funding portal https://apply-for-innovation-funding.service.gov.uk/competition/search
  • 73. www.ktn-uk.org @KTNUK Current funding SDTaP – Securing Digital Technologies at the Periphery. Briefing London 4th Feb, Manchester 20th Feb, Cardiff 25th Feb The competition covers themes such as cyber-resilience in the context of critical infrastructures and secure capabilities in resource-constrained environments. https://ktn-uk.co.uk/events/sdtap- demonstrators-phase-2-cyber-security-challenges-in-the-internet-of-things-london-briefing HVT – High Volume Transport, key themes are Climate Change and Inclusivity https://transport-links.com/ Smart – a call with no topic scope, £25k to £2m projects, upto 70% funding https://apply-for-innovation-funding.service.gov.uk/competition/515/overview