Tsb Guidance For Applicants For Technology Strategy Board Competition

Collaborative Research & Development GUIDANCE FOR APPLICANTS Competition for Funding – September 2009 Valid for Technology Strategy Board Competition: Technology Inspired Area - Feasibility Studies Digital Britain - Feasibility Studies

Valid for Technology Strategy Board Competition: September 2009 – Technology Inspired Area - Feasibility Studies and Digital Britain - Feasibility Studies

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Contents Executive Summary – September 2009 – Collaborative Research and Development Competitions

3

1.

Introduction to the Technology Strategy Board

4

2.

Collaborative Research & Development

5

3.

Competition Outline

6

3.1. Summary of the application process

6

3.2. Timeline of the application process

8

4.

9

Funding

4.1. Sources of funding

9

4.2. Levels of funding available

9

4.3. Eligibility for funding

9

5.

The Application Form

10

5.1. Download, Upload and purpose of the Application Form

10

5.2. Completing the Application Form

11

5.3. The Assessment Process

14

5.4. Following assessment of the Application Forms

14

6.

15

Finances

6.1. Costs

15

Appendix 1 – Download and Upload of Application Form

18

Appendix 2 – Information Security & Confidentiality

22

Appendix 3 – Complaints Procedure

24

Appendix 4 – Glossary of terms

27

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Executive Summary – September 2009 – Collaborative Research and Development Competitions The Technology Strategy Board will be running a range of competitions in September 2009. There are two key documents to guide you through each competition: i.

Competition Document – this document will provide the summary, background, challenge, scope, funding allocation, research area, application process, key events and dates and the competition helpline details (go to the competition website: http://www.technologyprogramme.org.uk/site/Documents/default.cfm

ii. Guidance for Applicants – this is a comprehensive document providing the background, competition outline, funding, competition stages (depending on the type of competition), finances and further information. (go to the competition website: http://www.technologyprogramme.org.uk/site/Documents/default.cfm Each competition is different and the information provided is unique to the competition it represents, therefore, it is important for the applicant to ensure they have the correct information document for the competition they may wish to enter. Technology Strategy Board competitions are consistently being adapted in order to respond to the continual changes required to engage with UK business and to pro-actively respond to the growing demands of technology priorities. Due to this if you have previously entered into a Technology Strategy Board competition, please do not assume the process and details are the same, they are not and will require you to read through the competition information and documents and to familiarise yourselves accordingly. This Guidance for Applicants covers: 1. Technology Inspired Area - Feasibility Studies, and 2. Digital Britain - Feasibility Studies.

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1. Introduction to the Technology Strategy Board The Technology Strategy Board is a business-led, government funded organisation whose purpose is to promote and invest in technology-enabled innovation to boost UK business and prosperity. This is achieved by taking a lead in investing in new ideas, building networks and promoting the exchange of knowledge between industries, academia and society as a whole. This is made possible by the Technology Strategy Board’s belief in their role to ‘Connect and Catalyse’, which requires the following examples of interaction and leadership: Provide strategic innovation leadership and investment; Bring people together in partnership through collaboration and working across business, government and the research community; Ensure the UK has the necessary capability in key technologies; Take a global perspective; Promote the importance of innovation and technology. Focusing on business.. The Technology Strategy Board’s agenda is to address business needs. We operate in areas where there is a clear potential business benefit and where technologies can be applied in the market – helping today’s emerging technologies become the growth sectors of tomorrow. To help the UK achieve its full potential, there is a clear focus on three strategic areas:  Challenge-led innovation Treating the challenges facing society and the economy as opportunities to find ways of improving quality of life and increasing wealth.  Technology-inspired innovation Supporting core expertise and leading edge technologies will help underpin UK business growth and we will also invest in the next generation of technologies and industries.  The innovation climate A commitment to fostering national confidence in the power of innovation to create opportunities and provide economic growth. ...working with partners We work closely with other bodies, combining and focusing resources; activities are often jointly funded with research councils, government departments, regional development agencies and the devolved administrations of Scotland, Wales and Northern Ireland. Applications for funding and subsequent awards are invited through a range of competitions which address a specific area of priority identified by the Technology Strategy Board as being of critical importance to the growth of the UK economy. Research & Development competitions (which are generally Collaborative but can be single company depending on the specific competition) are directed by the Technology Strategy Board as part of a cross-Government initiative involving a range of other funders; Research Councils, Devolved Administrations and Regional Development Agencies, and other Government Departments. Further information on the Technology Strategy Board is available at http://www.innovateuk.org

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2. Collaborative Research & Development The objective of Collaborative Research & Development is to assist the industry and research communities to work together on Research & Development projects in strategically important areas of science, engineering and technology, from which successful new products, processes and services can emerge. In all cases there must be a collaboration of at least two participants. The Technology Strategy Board supports three categories of research: Pure or Oriented Basic Research This encompasses both experimental and theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts, without any particular application or use in view. Funding support will favour Orientated Basic Research over Pure Basic Research. By Oriented Research we mean research carried out with the expectation that it will produce a broad base of knowledge likely to form the background to the solution of recognised or expected current or future problems or possibilities. Applied Research This encompasses original investigation undertaken in order to acquire new knowledge directed primarily towards a specific practical aim or objective. This type of research may involve the creation of a project to take forward the results of a Basic Research Competition. The majority of Technology Strategy Board Collaborative R&D is applied research. Experimental Development This encompasses systematic work, drawing on existing knowledge gained from research and practical experience that is directed to producing new materials, products and devices; or to installing new processes, systems and services; or to improving substantially those already produced or installed.

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3. Competition Outline Introduction This Guidance document applies to the following Competition for Funding for Collaborative Research & Development project: Technology Inspired Area - Feasibility Studies Digital Britain - Feasibility Studies The Competition for funding will comprise of 1 stage process only: Stage One – Formal application Guidance on how to complete the application form and how to respond to each section within the form is detailed in the following sections of this Guidance: Completing the Application Form – Section 5 To obtain copies of the form you must go to www.innovateuk.org and proceed as follows: -

-

At the top right hand side of the website <> You then have two options 1) Register – (if you are new to this site and have never previously registered) or 2) Log in (if you have previously registered you can complete your e-mail address and password here) If you have forgotten your previous login or are unsure whether you have previously done so, you will see below the login box an option to find out whether you have previously registered.

This is the competition area of the website where instructions for requesting an Application Form will be provided (see also section 5 and Appendix 1 in this document). Please note that if you wish to apply for funding for more than one project, you must make separate requests and submissions by downloading and completing a separate Application Form for each project application. Examples of all of the Forms are provided on the website in the Competition area concerned. However, for your submission into this competition you must download the Form in the Competition area concerned via the website which will contain the specific details of your project, including a unique reference number which will be used for the project throughout the application and assessment process. Each form is specific to each competition and you will not be able to apply with the same form for a different Technology Strategy Board competition. 3.1. Summary of the application process The competition opens on 1st September 2009, unless otherwise stated all deadlines expire at noon (midday) UK local time it is important to note that applications received after the deadline will not be accepted. Valid for Technology Strategy Board Competition: September 2009 – Technology Inspired Area - Feasibility Studies and Digital Britain - Feasibility Studies

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Applicants need to submit a fully completed Application Form by noon on the 1st October 2009. There is only one stage to this competition and noon on the 1st October 2009, is the absolute deadline. Applicants are therefore advised not to leave their deadline submission to the last minute as any technical difficulties they may face or if they identify any errors in their submissions, they will not have the opportunity to extend the competition deadline nor will the Technology Strategy Board be able to enter into any discussion regarding this. It remains the responsibility of the applicant to ensure they proceed within the competition rules and in doing so, plan to allow themselves sufficient time to enter into the competition. There will be an Optional Briefing event for this competition, as follows: Tuesday 8th September 2009 – London – the venue will be confirmed upon registration to the event. This briefing is optional although applicants are strongly advised to attend. The briefing will be followed by a workshop in the afternoon session, where you will be presented with the scope of the competition for discussion and to interact with the Technology Strategy Board competition team to discuss any aspects of the competition process and/or your application that may require additional clarity. To book a place on this event please go to the Technology Strategy Board website and proceed as follows: -

Current Competitions section <> Page down to the Application Process heading and <> <> You will then be able to proceed to register your attendance at the event, subject to availability; therefore we strongly encourage early registration to avoid disappointment.

If, for any reason, an applicant is unable to attend the optional briefing event, all the presentations made at the event are provided via the electronic facility on the Competition website within two working days of the event. There is a compulsory requirement for you to register your intention to apply into this competition (Registration of Intent is not legally binding and will not place you into any obligation of commitment to the Technology Strategy Board. It is simply to provide the Technology Strategy Board with important information about the number of applications to expect for any competition and will enable the competition team to allocate sufficient resources to manage the competition process as it progresses). You will need to register your intention via the Competition Website, by noon on the 24th September 2009. You will then need to submit your application form by noon on the 1st October 2009. The application forms submitted will then be assessed by an independent panel with the highest ranking applications recommended to the Technology Strategy Board for funding. Applicants will be informed of the outcome of their application by end of business on the 16th October 2009.

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3.2. Timeline of the application process The timeline is outlined in the following table. The stated deadlines must be met or your application will be rejected. Timeline Summary 1st September 2009

Competition opens Optional Briefing:

Tuesday 8th September 2009 – London

Technology Inspired Area - Feasibility Studies Digital Britain - Feasibility Studies Registration of Intent (compulsory)

Noon – 24th September 2009

Submission of the Application Form

Noon – 1st October 2009

End of business 16th October 2009* * Please refer to Section 3.2. for the process and timeline of events post decision notification. Decision and Feedback to applicants

The diagram below (fig. 1.1.) provides the full overview of the timeline process of a single stage – Research & Development competition. The full process is conducted over 7-9 weeks from the date of the competition opening. Applicants’ Journey Typical journey for Technology Strategy Board – one stage competition 7-9 week process

Launch Activities

Application process

5 weeks

Review Period

Project Initiation

2-4 weeks

Fig. 1.1.

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4. Funding 4.1. Sources of funding As a general rule, the Technology Strategy Board is the primary funder of this competition. The Research Councils act as co-funders for specific competitions and technology priority areas where these are of direct interest to them and are in areas that meet their funding policies. Other co-funding bodies might include other Government Departments, Regional Development Agencies and Devolved Administrations. 4.2. Levels of funding available This competition is being positioned in the area of Basic Research which will attract up to 75% public sector funding – the maximum grant for this particular competition is £25k – i.e. the total project cost can be no more than £33.33k. a) For the Technology Inspired Area – Feasibility Studies there is £1m of funding available and the ONLY eligible participants are those companies or organisations that are classed as SMALL or MICRO (see Appendix 4) – the R&D does not have to be collaborative but if it is, the only partners can be small or micro companies. b) For the Digital Britain - Feasibility Studies, there is £2m of funding available and the ONLY eligible participants are SMEs, SMALL or MICRO companies (see Appendix 4). HEIs are not eligible as partners in either of these two competitions.

4.3. Eligibility for funding To be eligible for funding, your project must: Address the specific requirements of the competition as outlined in the scope of the competition document, available in PDF format on: http://www.technologyprogramme.org.uk/site/Documents/default.cfm ; Be based on research conducted in the UK; Be industry driven and present a clear case for business benefit; Address the competition criteria as noted in Section 5, of this document, which outline the questions on the application form; Demonstrate how public sector funding from the Technology Strategy Board will add value to your project (see Sections 5.2, of this document) Important note: For the Technology Inspired Area - Feasibility Studies - be a business of 50 employees or less For the Digital Britain - Feasibility Studies - be an SME of 250 employees or less;

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5. The Application Form Introduction This is a one stage competition process, which means this is the only application form and process applicable for this competition. All applications received within the deadline stipulated for this competition, will proceed through an assessment process which is transparent via an independent panel of Assessors, and is managed at arm’s length from the Technology Strategy Board funders. The Assessment Process is outline in Section 5.3. of this document. 5.1. Download, Upload and purpose of the Application Form The Application Form must be submitted on-line via the Competition’s website by noon on the 1st October 2009. Instructions on how to submit the form are provided in Appendix 1 of this guidance. Once you have submitted your Application Form to the website it is possible to update it by resubmitting it, as many times as required, up until the deadline. You are encouraged to submit your final application form well before the deadline to allow for any last minute eventualities that may occur beyond one’s control. Key Tips: Please be aware that the competition will only put forward the last submission uploaded as of the competition deadline as all previous submissions will be deleted by the overwriting of the file. It is therefore the applicants’ sole responsibility to ensure you upload the application form you intend the competition Assessors to receive. It is the applicants’ responsibility to check they do not upload a blank or incomplete application form. One Application Form must be submitted for each application by the lead organisation. Failure to submit this Form by the deadline will mean that your application will be rejected. Refer to section 5.2 on ‘how to complete the Application Form’ and Appendix 1 on how to download and upload the form. The lead partner of the application is required to register their formal intent to submit an application form into this competition; this must be done by noon on the 24th September 2009. Failure to submit a registration of intent (ROI) could result in your application being rejected. (However, it must be noted that by registering your intention to submit an application does not carry any legally obliging liability; it is purely an administrative requirement of the competition process and applies to all applicants.)

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5.2. Completing the Application Form This section will guide you through the completion and requirements of the application form. Key tips Please note the following technical requirements for the application form are: You may only use the Application Form Application Form provided to you which will contain specific information on your application including a unique reference number (also referred to as the TP Number). The Application Form contains specific fields and it is important that you complete each field and present a fully completed form. Incomplete Application Forms risk being rejected. The Application Form must not be altered, converted or renamed. The space provided in each field of the Form is fixed and you must restrict the content of your responses in each of the fields to the space provided. The typeface, font size and colour are predetermined and cannot be changed. Illustrations and graphics cannot be included in the Application Form, although they may be included in the Appendices. The fields shaded light grey are completed automatically from other information entered on the Form, e.g. the total columns of a table. These cannot be overwritten. When completing the Application Form it is important to take into account that the space provided is to enable the applicant to provide the specific amount of information for each question as they feel appropriate for the application. It is important that the applicant addresses and responds to each question clearly. The approach to this is not prescriptive and the applicant should adopt the most appropriate approach for their application. Key tips: Numbering the answers to each question; Using headings for the answer to each question.

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Front page – page one of the Application Form Full Application Form – Guidance Field

Guidance

Technology priority

This field will show the full name of the Technology Strategy Board Competition of which the form applies. It is not possible to change this information. You are required to select one or more technologies which apply to your proposed study project or categorise your project. Enter the full title of your project.

Technology Areas

Study title Project timescales

Study Finances

Reference code

The required start date for projects in this competition is December 2009. Enter the estimated start date and its planned duration in months. Complete the total project costs and the grant requested, noting that limits apply (as stated in this section of the form). Projects in this competition are expected in the Basic Research Area. From the drop down list provided select the appropriate code for your project noting it must start with BAS and end with either S2B or B2B.

Field

Guidance

Lead organisation name

Enter the full name of the lead organisation for the project. Note: The project must demonstrate that it is industry driven and has industry commitment and therefore the lead partner will ideally be an industrial organisation. The lead organisation will be the main point of contact between the Technology Strategy Board and the project consortium. Enter the name, postcode, e-mail address and telephone number of the main point of contact between the Technology Strategy Board and the consortium. A drop down is available for the applicant to select which applies to them.

Lead organisation contact details

Business Sector

Competition for Funding reference or TP number

This is completed automatically before the form is downloaded

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Page one and two of the Application Form The next section of the Application Form contains four questions: Question 1: Question 2: Question 3: Question 4:

The idea and its potential market What the applicant proposes to do in the study The deliverable Why the applicant needs this grant; i.e. what is the added value of public sector support

Each of these sections has specific questions; the first two sections have four questions and the third has two. These are listed in the following tables with Guidance notes, per question. When the applicant submits their Application Form, it will be assessed according to its ability to meet these requirements. Each of the questions will be scored by the Assessors out of 10 points = 100 points in total. The guidance notes are not intended to be exhaustive; the applicants are expected to develop their own responses based on their own skills, knowledge and experience. The Questions

(10 points per question = 40 points in total)

Question

Guidance

1. The idea and its potential market impact.

Applicants should state what idea they wish to develop and what they believe is needed to successfully address the issue.

2. What the applicant proposed to do in the study, naming organisations or individuals that the applicant intend to work/contract with.

Applicants should describe the size of the market opportunities that subsequent development of this idea might open up. Applicants should: provide an overview of the work they propose; provide a descriptive plan provide a brief description of any organisation(s) they wish to work with.

3. The deliverable

Applicants should state what it is they will deliver; whether it is a report, presentation, demonstration etc?

4. What the applicant needs this grant for; i.e. what is the added value of public sector support?

Applicants should state why public funding is necessary for this project; i.e. why they cannot fund it themselves. Applicants should state how public sector funding will enable them to undertake this project differently.

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5.3. The Assessment Process A common assessment process applies to all applications. Applications are not forwarded to Assessors until after the closing date for submission of all applications. Each application is assessed by up to five Assessors East Assessor is required to complete and submit a score-sheet for each application they are assigned to assess. A review panel is convened to receive the collective scoring and identify ranked order of the assessment. The comments provided by the Assessors noted on the score sheets forms part of the official feedback provided to the applicants. The conclusion of the meeting is recorded in a Panel Report, which recommends a ranked list of applications that the assessment panel considers could be funded by the Technology Strategy Board. The report forms part of the audit process utilised for the competition. All panel reports and final ranking sheets are confidential and will not be available to anyone other than the Technology Strategy Board, their co-funders and their contractors.

5.4. Following assessment of the Application Forms Following completion of the assessment of the Application Forms the applicant will be informed whether their application has been successful, subject to the final agreement of the Offer Letter. Important Note: Offer letters must be returned by the 30th November 2009 and projects must be completed by the end of February 2010. There will be an event for applicants to present their findings in London in mid-March 2010. Final payments will be made on completion of this presentation.

Note: In the event of any complaints regarding the competition process (not the competition decision); there is a formal complaints procedure which is outlined in Appendix 3.

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6. Finances Introduction It is a requirement for the Application Form to be supported with the submission of a finance table. The information below is the detailed description applicable to all Technology Strategy Board competitions and is in rather more depth than is needed for either of these Feasibility Study competitions. However, applicants will be able to refer to the detail below for completion of what is a “light touch” financer page on Page 3 of the application form. For details on the allowable funding limits please refer back to section 4.2. of this document on Funding. 6.1. Costs A range of different components make up the overall costs related to a project that are considered, the following table outlines key areas: Eligible Costs

If you are unclear how to record your likely costs you should contact the Competition Helpline. The cost estimate must include the costs for the total project, i.e. all collaborators and participants involved in the project. Technology Strategy Board funds are paid on the basis of audited actual eligible costs incurred and defrayed.

Industry Participants: The following headings show the main costs that the Technology Strategy Board is prepared to support: Labour Costs

Overheads

This includes the costs of personnel working directly on the project. You should provide the total man-days effort and cost required for your staff to work on the project, briefly describe the role of each person within the project and provide their gross salary and the total labour effort in man days for each role within the project, together with the total number of working days per year for your organisation (365 days less weekends and holidays etc.). In calculating the labour costs, reasonable overheads can be included. The overheads must exclude the costs of land, buildings, and other operational costs not directly attributable to the project. Reasonable overheads can be included, as stated above. Two methods of providing information on overheads are available. You can either complete the overhead calculator worksheet provided with the Industry Partner Finance Form or you may submit your own overhead rate. If you choose the latter option, include a summary showing the calculation method of overheads that your auditors will use when verifying your grant claims including a full list of the items believed to be included as indirect or overhead costs. Note that if you quote previously agreed overheads rates; you must still describe the methodology and include references to the previous project(s).

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Materials Consumed

Capital Equipment

Sub-contracts, Consultancy Fees (including Fees for Trial and Testing)

Travel and Subsistence

Other Costs

These will be the materials to be consumed on the project, not included in the overheads, purchased from third parties. Materials supplied by subsidiaries or associated companies should exclude the profit element of the value placed on that material. If waste or scrap material has a significant residual / resale value the figures should reflect this. Foreseen cost increases, such as on specific materials, may be considered by the Technology Strategy Board. You should provide details of capital equipment and tools to be bought or consumed on the project, giving the purchase cost (or value at the start of the project if you already own the equipment), its expected residual value at the end of the project and utilisation within the project. You should show any work that is essential to the success of the project where the expertise does not exist in the collaborative group. For example, you may wish to demonstrate that it would not be cost-effective to develop in-house skills for this one project. The same rules governing the use of subsidiaries and associated organisations with regard to supply of materials apply here. Attention will be paid to the size of this contribution when assessing eligibility and level of support. You should only include reasonable costs that are justified and will be incurred exclusively for progressing this project. Note that if any general travel and subsistence is included in your overhead calculations, this proportion should be subtracted from the Travel and Subsistence expenditure during the claims process. Other costs should include costs not accounted for in the above sections. Some examples follow. You should ensure that a case is made for the other costs within your Application Form. Training Costs These costs are eligible for support where they are specific to and necessary for the project. The Technology Strategy Board may consider support for management training specific to the project but will not support ongoing training. Preparation of Technical Report(s) For example, where the main objective of a project is the support of standards or technology transfer. Market Assessment / Feasibility Studies There is some scope for support, in exceptional circumstances, of “state of the art” studies in areas that will affect the nature and likely outcome of a project. Support may also be given for underpinning research leading to development of a Competition, i.e. a suite of projects. Licensing in New Technologies Exceptionally, the Technology Strategy Board may consider support where it makes sense to do so, for example, to avoid “reinventing the wheel”. Where imported technology makes up a large part of a project (where technology is valued at more than £100,000) then it will be expected that there is development of that technology as part of the project.

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Patent Costs (SMEs only) Project Management

Software

Certification Receipts and Residual Values for Energy Projects

Legal and accounting costs Wider Business Benefit Activities (WBBA)

Ineligible Project Costs

The Technology Strategy Board may support some of the costs of protecting foreground Intellectual Property Rights (IPR) for SMEs up to a total of £5,000 per partner. The costs of project management by a ‘lead organisation’ on behalf of the consortium are eligible and should be included with the labour totals. In cases where management is sub-contracted, a strong case should be made for the necessity and benefits of this approach. The provision of software licences by members of the project consortium must only reflect the true costs of supplying that software to the project and not the commercial rate, the inclusion of any profit element or the amortisation of previous development costs. The preparation of disks, manuals, installation, customisation, training and lost opportunity costs may be eligible. For EUREKA projects only, reasonable certifications may be eligible for support where it will improve market acceptance. Receipts from electricity generation and residual values of prototype plant will be addressed by the Technology Strategy Board under standard Treasury rules whereby a proportion of the revenue or displaced electricity costs will be recovered and a discounted residual value of a generating plant will be calculated similarly. The legal costs of setting up the project or the collaboration and costs associated in conducting audits or making grant claims are ineligible and must not be included as an ‘Other Cost’. Research and Technology Organisations (RTOs) may include WBBA costs which can attract up to 100% funding. Note that this is only available to RTO collaborators that satisfy that definition and only their WBBA costs can attract this level of funding. The following costs are ineligible and should be excluded from any part of the project costs and any overhead calculations: Input VAT. Interest charges, bad debts, profits, advertising, entertaining. Hire purchase interest and any associated service charges. Advertising and marketing costs or activities. Profit earned by a subsidiary or by an associate undertaking work subcontracted out under the project. Inflation and contingency allowances expressed as an overall arbitrary percentage, additional to eligible costs. However, reasonable inflation rates can be included in labour and material cost estimates. The value of existing assets such as IPR, data, software programmes and other exploitable assets that any of the collaborators contribute towards the project. Project audit or legal fees. Any of the remaining 20% of FEC costs from academic collaborators.

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Appendix 1 – Download and Upload of Application Form – Competition Website All entries for this competition must enter through the Competition website on: www.innovateuk.org All submissions for submission must be made through the Project Lead, on behalf of the consortium, which will warrant registration.

Driving Innovation

Go to www.innovateuk.org

To obtain your Application Form you must first log on to the Extranet. To do this, click on this link.

Driving Innovation

In the pop-up window, click on ‘Login’.

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Driving Innovation

Enter your email address and password.

Driving Innovation

Next, click on ‘Competitions’.

Note ‘https’ in the Note ‘y ‘Padlock’ web address and the security ‘Padlock’.

Driving Innovation

Note the deadline for submission of your Application.

To view the competition documents click on ‘Documents’

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Driving Innovation

... . . . download download the the Competition Competition Description and and Guidance Guidance Documents. Documents.

Driving Innovation

Click on the relevant competition to download your blank Application Forms.

Driving Innovation

Then click on ‘Download Blank Forms’.

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Driving Innovation

Please read the notes.

The blank application form and finance summary are located here. Click on the appropriate button to download.

Driving Innovation

Make sure you click on ‘Save’ and save the file onto your PC

This is a guide to assist the applicant in locating the correct page and to familiarise the applicant on what the page will look like. This is an overview and not the complete process for uploading and downloading of the application form. To obtain the full details, you must register onto the competition website as shown in this Appendix. If you experience any difficulties or wish to seek additional clarification, you will need to contact the Competition Helpline on: [email protected] or Tel: 01355 272155.

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Appendix 2 – Information Security & Confidentiality Electronic submission of application documents The electronic submission of applications uses https, which encrypts and decrypts the requests and information between the applicant’s browser and the server to which applications are submitted, using a Secure Socket Layer (SSL). SSL allows an SSL-enabled server to authenticate itself to an SSL-enabled client and vice versa, enabling the machines to establish an encrypted connection. Assessor confidentiality and potential conflicts of interest Assessors are required to accept confidentiality agreements and to declare any potential conflicts in interest. They are required to treat applications in strict confidence. Assessors are engaged as individuals, not as representatives of their employer or any other entity. They are required to carry out the assessments themselves and not ask someone to assess an application in their place. They must not ask anyone to give another opinion of their assessment. Their names are kept confidential at all times including under any Freedom of Information Requests. Open Government and Freedom of Information Access to information held by or on behalf of the Technology Strategy Board and the Research Councils is governed by the Freedom of Information Act. Any requests for information received by the Technology Strategy Board in relation to the Competition will be administered accordingly. Under Exemptions Sections 43 and 44 of the Act, certain information will be exempt from disclosure for reasons of commercial confidentiality, unless there is an overriding reason why it is in the public interest to disclose it. Data Protection Act 1998 The information that Applicants provide on the Application Forms will be used in the processing of all aspects of the relevant application. This will include recording on the in-house and the Competition Manager’s processing computer and management information systems, and in the preparation of material for applicants and for use by the assessment panels. In addition, information may be used in the generation and collation of output and performance indicators and other management statistics. It may also be used in policy and strategy studies to inform management in carrying out the business of the Technology Strategy Board and in improving the business processes. Any queries on issues relating to the Data Protection Act should be addressed to: Technology Strategy Board, North Star House, North Star Avenue, Swindon, Wiltshire, SN2 1UE.

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Information provided to other co-funding bodies Information provided to the Competition as part of the application process will be passed to co-funding bodies, as appropriate. All co-funding bodies will treat this information in strict confidence. Information released into the public domain by the Technology Strategy Board on confirmation of project funding The project title and abstract of all projects that are funded will be placed in the public domain. The names of the project participants or collaborators, project costs and amount of grants and key contact details would be expected to be included also, but the Technology Strategy Board will respect the wishes of participants and collaborators if they notify the Technology Strategy Board that they do not want all information disclosed. Additional information submitted in the applications is not made public at this time. Information released into the public domain during, on completion and after the project lifecycle The sponsors of the Competitions are keen to see academics publishing the findings of their research. However, this must be done in the manner agreed in the project’s Collaboration Agreement. The Technology Strategy Board reserves the right to use any project case study to publicise the Competition and the benefits of collaborative working. Projects will be required to provide publicity material during the life of the project, at the request of the Technology Strategy Board. Additionally, The Technology Strategy Board will require all projects to provide a non-commercially confidential summary, at the start and the conclusion of the project, for dissemination. The Technology Strategy Board frequently publicises the results of competition calls and this activity includes engagement with the media. All applicants will be given a chance during the competition process to opt-out of any publicity. Willing applicants will be asked to provide an agreed form of words for use in publicity material. Any queries or points for clarification on media enquiries, publicity or public relations must be directed in writing, for the attention of the Media Representative via the Competition website at: [email protected]

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Appendix 3 – Complaints Procedure Please note: Complaints relating to disagreements about scientific judgements and any matters that are the subject of legal proceedings are excluded from the complaints procedure. Compliments and general feedback will also be dealt with outside of this process. Introduction The Technology Strategy Board is committed to providing a high quality, responsive and accessible service. However, there may be times when you feel unhappy about the service you receive or wish to make a suggestion about how we might improve. We also hope that you might want to tell us when you have been particularly happy with the service you have received. Your complaints, suggestions and compliments are important to us because they help us improve our services. The following sets out the formal process for making a complaint. Please note that complaints relating to disagreements about scientific judgements and any matters that are the subject of legal proceedings are excluded from this complaints process (see section on Scientific Judgements at the end of this document). Compliments and general feedback will also be dealt with outside of this process.

Definition of a complaint Complaints submitted through this procedure should be concerned with the way in which a decision has been made or an action taken, rather than objections to the merits of the actual decision or action. Examples include: When we have said we would do something and it has not happened; When the quality of our process was not as expected e.g. we took too long, lacked consistency or were unclear; When a member of our staff or someone working on our behalf acts in an inappropriate or discourteous way.

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How to make a complaint Stage 1 The people who dealt with your enquiry, application or project are probably best equipped to deal with the complaint. A simple misunderstanding may have arisen and we would therefore hope to be able to resolve it quickly and informally. Please contact the member of staff who has been dealing with your enquiry, proposal or project initially. Stage 2 If this is not possible you can make your complaint in writing, by letter or email to the Complaints Officer, Technology Strategy Board, North Star House, North Star Avenue, Swindon, SN2 1UE [email protected] You will receive an acknowledgement within 3 working days and a written response within 10 working days. If this is not possible, you will be given an explanation of the reasons for the delay and a timescale by which you will receive a full reply. The Complaints Officer will co-ordinate the handling of the response in conjunction with the Programme Manager or senior officer with responsibility for the area to which the complaint refers. The process will generally include the following activities: Gathering of all relevant information; Agreeing the issues and facts with the complainant; Assessing the validity of the complaint in the context of stated procedures and, if applicable, published service standards; Informing the complainant of the outcome and, if applicable, any remedial action to be taken. Stage 3 If you remain unhappy with the outcome, you can ask for the complaint to be referred to a Director of the Technology Strategy Board. We would normally appoint a Director who did not have direct responsibility for the area in which the complaint resided so that a fresh review can take place. If this is not possible then this review may be undertaken by our Chief Executive. As we escalate our part of the process we would expect a reciprocal escalation on the part of the complainant e.g. involvement of an executive at a higher level in the organisation than the complainant.

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Stage 4 If your complaint has gone through all our internal processes and you are still dissatisfied with the outcome, you have the right to refer the matter to the Parliamentary Commissioner for Administration (the Parliamentary Ombudsman). Further information on how to go about this is available from http://www.ombudsman.org.uk/ Data Protection and Recording of Complaints As a public body we have a duty to record and track any complaints we receive. This requires us to keep information concerning complaints and to evaluate our responses in order to improve our services. Information about complaints will be stored on our electronic data storage systems but access will be restricted to staff dealing with the complaint and our professional advisors. Personal information is stored in accordance with The Data Protection Act. Scientific Judgements Competitions for Research and Development funding are regularly issued by the Technology Strategy Board. Please note the following points regarding judgements made in these competitions. Ultimately a Research & Development Competition is precisely that, i.e. a competition where an application is judged in relation to other applications. The Technology Strategy Board employs a panel of independent assessors to review, assess and make recommendations as to suitability for funding. The panel operates under a confidentiality agreement with the Technology Strategy Board and names of panelists are not disclosed, to allow full and thorough judgements to be expressed freely. The panel assesses applications using its skills and experience and is charged with creating a ranked ordered list which includes a recommendation or otherwise for funding. The Technology Strategy Board does not change the ranked ordered list provided by the panel, and uses it to finally agree the list of successful applicants according to the funding available for that particular competition. Feedback is offered to applicants that aim to provide some understanding of why they might have been unsuccessful. Unless an issue arises which falls into the complaint definition described above, it is not Technology Strategy Board practice to reconsider applications after the panel has made its decision. For decisions on the continuation of funding the Technology Strategy Board may use a single assessor to make recommendations.

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Appendix 4 – Glossary of terms Academic Collaborators This can be either a University or in some situations an RTO undertaking academic work as part of the project Application Form This is the formal document to be completed by the applicant for submission (within stipulated conditions) into the competition Assessment This refers to the process by which the Application Forms are reviewed and marked by an independent panel of experts Collaboration Agreement This refers to the legal document between the various different participants and collaborators in the project Collaborators This refers to all of the participants within the project and can be a mix of Industry with Industry or Industry with academia Competition This refers to the specific Competition for funding Competitions website http://www.innovateuk.org Criteria These are the reference points for review and assessment as outlined in Sections 5 & 6 of this document Gateway Question Gateway questions are questions which must be passed in order the application to be considered for success in the competition Industry This refers to the active participation of both business and industry Je-S The Joint Electronic Submission (Je-S) system used for the calculation and submission of Academic Collaborators costs Micro Company An organisation with fewer than 10 employees and whose annual turnover does not exceed €2M or whose annual balance sheet total does not exceed €2M. Offer Letter This refers to the contract issued to the lead participant of the project, which forms the formal legal terms and conditions under which a grant is awarded RTO Research and Technology Organisation (see Appendix 3) Scope This refers to the specific aims and project objectives of the particular Competition. Details of the scope of each of the Competitions can be found within the relevant competition outline documents which can be found on the Competitions website Small Company An organisation with fewer than 50 employees and whose annual turnover does not exceed €10M or whose annual balance sheet total does not exceed €10M. SME An organisation with fewer than 250 employees and whose annual turnover does not exceed €50M or whose annual balance sheet total does not exceed €43M. The Technology Strategy Board have adopted the EU Commission definition for an SME and the document of reference is: http://ec.europa.eu/enterprise/enterprise_policy/sme_definition/sme_us er_guide.pdf

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