Notice

Competition guidance: accelerating innovation in rail round 4

Updated 10 May 2017

This notice was withdrawn on 21 September 2017

This competition is no longer open. The rail franchising section has greater information on current funding opportunities.

1. Dates and deadlines

Competition opens	20 March 2017
Competition briefing event	21 March 2017
Final date for registration	Midday 10 May 2017
Submission of the full application including finance forms, appendices and Je-S forms	Midday 17 May 2017
Decision to applicants	By end of July 2017

Please read the full competition scope before you make your application.

2. Funding

There is up to £9 million of funding available from Innovate UK on behalf of the Department For Transport (DfT). This is for research and development projects that tackle the technical challenges described in the brief for this competition.

Projects will have total eligible costs of between £150,000 and £1 million. Project duration should last between 3 and 12 months.

Please read our funding rules guidance for more information on the different categories of funding and the rules around our state aid framework.

3. Requirements and eligibility

Application:

• if an application is unsuccessful, you can use the feedback received to reapply for the same project once more into another round of this competition or another competition within scope
• any one business may be involved in up to 3 applications to this competition but can only be the lead partner in one application. Any organisation wishing to be involved in more than 3 projects must contact Innovate UK prior to the competition deadline
• submissions using the incorrect application form will not be considered eligible
• submissions without complete or missing finance forms will not be considered eligible
• any appendices which do not align with the appendices requirements (as defined in sections 6 and 10) will result in the whole application being ineligible
• all submission documents must be submitted in the correct file format as explained in this document or they will not be sent for assessment

Project:

• you may be eligible to receive different rates of funding. This depends on the type and size of your organisation and the activity that you are doing in the project. In your application form, please select the primary type of research that you will be doing in the project and calculate the amount of grant you wish to claim. This should be in line with the Innovate UK funding rules
• all projects must be led by a UK business, be collaborative (at least 2 organisations claiming grant) and include at least one UK SME
• total project costs must be between £150,000 and £1 million
• to be considered collaborative, at least 2 organisations must be claiming grants from Innovate UK
• for all research organisations the total level of project participation is set at a maximum of 30% of total eligible project costs. If your consortium contains more than one research organisation, this maximum 30% will be shared between them
• the proposed project duration must last between 3 and 12 months
• only UK based companies and research organisations are eligible to receive funding from Innovate UK
• we can consider projects outside the ranges described above but you must contact us at least 10 days before the registration deadline to discuss further
• where a company has had previous grants as the lead or sole company, no new awards will be made to that company if no substantial efforts have been made to exploit these grants as described in the exploitation section of the application. This decision:
  • will be made by the funding organisations concerned using evidence from Innovate UK monitoring officer reports and other sources which are documented
  • will be made by at least 3 sector team members collectively
  • will be communicated in writing to the company by the innovation lead dealing with the new grant application

The decision will not be contestable and Innovate UK will not enter into subsequent correspondence.

4. The competition process

For this competition, Innovate UK may adopt a portfolio approach. This is to make sure that the strategic criteria described in the competition brief is met for all projects considered, to be above the quality threshold. This will be as a result of independent expert assessment.

• applications will be assessed by up to 5 external assessors who are experts in the area of innovation identified in your application
• assessors will score applications consistently and in line with scoring matrices. They will provide written feedback for each marked question
• applications will be ranked in descending order. Applications are scored over a quality threshold which is reviewed against Innovate UK’s strategy, to build a portfolio of projects that:
  • are high quality
  • target opportunities across a range of industrial sectors, technologies, themes and priorities
  • demonstrate sufficient innovation, potential return on investment and degree of technical risk
  • demonstrate value for money, including the potential impact of the project relative to its cost, and the cost of other projects under consideration
• the lead applicant will be notified of the funding decision
• all applications will receive assessor feedback. In addition, those projects scoring over a quality threshold but are unsuccessful will receive extra feedback from the Innovate UK portfolio review. The extra feedback will cover why the application was not funded

5. How to apply

This section explains the structure of the application form and offers guidance on what to answer in each question.

The structure is as follows:

• application details
• summary of proposed project
• public description of the project
• gateway question: scope
• question 1: need or challenge
• question 2: approach and innovation
• question 3: team and resources
• question 4: market awareness
• question 5: outcomes and route to market
• question 6: wider impacts
• question 7: project management
• question 8: risks
• question 9: additionality
• question 10: costs and value for money
• other funding from public sector bodies
• finance summary table

Please make sure that you upload the final version of your application by the deadline. It is your responsibility to ensure that you do not upload a blank or incomplete application form.

• you can only use the application form provided. It contains specific information including a unique reference number for your project
• the application form contains specific fields. It is important that you complete each field and submit a fully completed form. Incomplete forms will be rejected
• the application form must not be altered, converted or saved as a different version of Microsoft Word
• the space provided in each field of the form is fixed. You must restrict 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.
• the light grey shaded fields are completed automatically from other information entered on the form, such as the total columns of a table. These cannot be overwritten
• you should be able to see your total answer to the question when looking at the application form in print view. Any text that cannot be seen in this view or when the form is printed will not be assessed

As part of our objective to stimulate and support UK innovation, we have established a close network of affinity partners. This list is made up of organisations that can help Innovate UK fund and support innovative businesses. Our joint aim is to speed up sustainable economic growth for the UK.

In some cases, we may share the public description of your project with other potential funding bodies, for example, agencies of Scotland, Wales and Northern Ireland. These bodies may wish to contact you about providing funding or other support for your proposal.

Field	Guidance
Competition name	This field will show the full name of the Innovate UK competition to which the form applies. You do not need to enter anything here.
Document ID	This field is completed automatically.
Applicant number	This field is completed automatically and is the reference that you should use on all correspondence (this is the 5 or 6 digit number after the dash).
Application details
Project title	Enter the full title of the project.
Project timescales	Enter the estimated start date and its planned duration. These are indicative at this stage and are not guaranteed.
(Lead) organisation name	Enter the full registered name of the (lead) organisation for the project. If you are not in a consortium application, these will be your organisation details. Please note that the lead organisation will be the main point of contact between Innovate UK and the project team.
(Lead) organisation contact details	Enter the full name, postcode, email address and telephone number of the main point of contact between Innovate UK and the project.

5.1 Summary of proposed project (not scored)

Guidance

Please provide a short summary of the content and objectives of the project including what is innovative about it.

This summary is not scored but provides an introduction to your proposal for the benefit of Innovate UK staff and assessors only. It will not be used for any public dissemination. It should cover, in brief:

• need or challenge: the business need, technological challenge or market opportunity to be targeted
• approach and innovation: the approach to be taken and how this will improve on current state-of-the-art
• outcomes: the difference the project will make to the competitiveness and productivity of the partners involved
• keywords: in order to help Innovate UK select the most appropriate assessors for your application please provide up to 3 keywords or phrases that best describe your project. They should clearly define the problem area you are addressing and the nature of the solution

5.2 Public description of the project (not scored)

Guidance

To comply with government practice on openness and transparency of public-funded activities, Innovate UK has to publish information relating to funded projects. Please provide a short description of your proposal in a way that will be understandable to the general public. Do not include any commercially confidential information, for example intellectual property or patent details.

Please describe your project. Funding will not be provided to successful projects without this.

5.3 Gateway Question: Scope

Guidance

How does this application align with the specific competition scope?

• all applications must align with the specific competition scope criteria as described in the relevant competition brief
• to demonstrate alignment, you need to show that a clear majority of the project’s objectives and activities are aligned with the specific competition

6. Competition questions

All questions apply to all project partners and are scored out of 10 marks.

6.1 Question 1: Need or challenge

What is the business need, technological challenge or market opportunity behind your innovation?

• describe the main motivation for the project; the business need, technological challenge or market opportunity
• describe the nearest current state-of-the-art (including those near-market/in development) and its limitations
• describe any work you have already done to respond to this need. For example is the project focused on developing an existing capability or building a new one?
• identify the wider economic, social, environmental, cultural and/or political challenges which are influential in creating the opportunity (for example, incoming regulations) with our Horizons tool
• your answer to this question should be no longer than one page using font Arial 11

6.2 Question 2: Approach and innovation

What approach will you take and where will the focus of the innovation be?

• explain how you propose to respond to the need, challenge or opportunity identified
• explain how it will improve on the nearest current state-of-the-art identified
• indicate where the focus of the innovation will be in the project (application of existing technologies in new areas, development of new technologies for existing areas or a totally disruptive approach) and the freedom you have to operate
• explain how this project fits with your current product/service lines/offerings
• explain how it will make you more competitive
• describe the nature of the outputs you expect from the project (for example, report, demonstrator, know-how, new process, product or service design) and how these will take you closer to targeting the need, challenge or opportunity identified
• your answer to this question should be no longer than one page using font Arial 11

In a separate appendix named ‘AppendixQ2(application number)’ you may submit in pdf format up to 2 pages to provide a graphics/diagrams/image to explain the technology/product/service innovation.

6.3 Question 3: Team and resources

Who is in the project team and what are their roles?

• describe the roles, skills and relevant experience of all members of the project team in relation to the approach you will be taking
• describe the resources, equipment and facilities required for the project and how you will access them
• provide details of any vital external parties, including sub-contractors, who you will need to work with to successfully carry out the project
• (if collaborative) describe the current relationships between the project partners and how these will change as a result of the project
• highlight any gaps in the team that will need to be filled
• your answer to this question should be no longer than one page using font Arial 11

In a separate appendix named ’AppendixQ3(application number)’ you may submit in pdf format up to 4 pages to describe the skills and experience of the main people who will be working on the project.

6.4 Question 4: Market awareness

What does the market you are targeting look like?

• specify the markets (domestic and/or international) you will be targeting in the project and any other potential markets
• for the target markets, describe:
  • the size of the target markets for the project outcomes, backed up by appropriate references where available
  • the structure and dynamics of the market (such as customer segmentation), together with predicted growth rates within clear timeframes
  • the main supply/value chains and business models in operation (and any barriers to entry)
  • the current UK position in targeting this market
• for highly innovative projects, where the market may be unexplored, explain:
  • what the route to market could or might be
  • what its size might be
  • how the project will seek to explore the market potential
• for other markets, briefly describe the size and main features of those
• your answer to this question should be no longer than one page using font Arial 11

6.5 Question 5: Outcomes and route to market

How do you propose to grow your business and increase your productivity into the long term as a result of the project?

• describe your current position in the markets and supply/value chains outlined (will you be extending or establishing your market position?)
• describe your target customers and/or end users, and the value proposition to them (why would they use/buy it?)
• describe your route to market
• tell us how you are going to profit from the innovation (increased revenues or cost reduction)
• explain how the innovation will impact your productivity and growth (in the short and long-term)
• describe how you will protect and exploit the outputs of the project, for example through know-how, patenting, designs, changes to business model
• outline your strategy for targeting the other markets identified during or after the project
• for any research organisation activity in the project, outline your plans to disseminate project research outputs over a reasonable timescale
• if you expect to use the results generated from the project in further research activities, describe how
• your answer to this question should be no longer than one page using font Arial 11

In the ‘projected growth’ tab of your partner finance form, please complete the following for each business and non-academic partner:

• show your current annual turnover, profit, exports and research and development (R&D) spend (as a percentage of turnover if appropriate) and employment (in full time equivalent or FTE). Tell us what proportion of this relates to the project area
• show your forecasts for annual turnover, profit, exports and R&D spend (as a percentage of turnover if appropriate) and employment (in FTE) for 1, 3 and 5 or more years after project completion. Tell us what proportion of this relates to the project area

6.6 Question 6: Wider impacts

What impact might this project have outside the project team?

• identify, and where possible measure, the economic benefits from the project to those outside the project (customers, others in the supply chain, broader industry and the UK economy) such as productivity increases and import substitution
• identify, and where possible measure, any expected social impacts, either positive or negative on, for example:
  • quality of life
  • social inclusion/exclusion
  • jobs (safeguarded, created, changed, displaced)
  • education
  • public empowerment
  • health and safety
  • regulations
  • diversity
  • any expected impact on government priorities
• identify, and where possible measure, any expected environmental impacts, either positive or negative
• identify any expected regional impacts of the project
• your answer to this question should be no longer than one page using font Arial 11

6.7 Question 7: Project management

How will you manage the project effectively?

• outline the main work packages of the project, indicating the relevant research category and lead partner assigned to each, and the total cost of each one
• describe your approach to project management, identifying any major tools and mechanisms that will be used to ensure a successful project outcome. Highlight your approach to managing the most innovative aspects of the project
• outline the management reporting lines
• outline your project plan in sufficient detail to identify any links or dependencies between work packages or milestones
• your answer to this question should be no longer than one page using font Arial 11

In a separate appendix named ’AppendixQ7(application number)’ you can submit a project plan/Gantt chart up to 2 A4 pages in length in pdf format.

6.8 Question 8: Risks

What are the main risks for this project?

• identify the main risks and uncertainties of the project, including the technical, commercial, managerial and environmental risks, highlighting the most significant ones (providing a risk register if appropriate)
• explain how these risks will be mitigated
• list any project inputs on the critical route to completion (such as resources, expertise, data sets)
• is the output likely to be subject to regulatory requirements, certification, ethical issues? If so how will you manage this?
• your answer to this question should be no longer than one page using font Arial 11

In a separate appendix named ’AppendixQ8(application number)’ you can submit a risk register of up to 2 A4 pages in length in pdf format.

6.9 Question 9: Additionality

Describe the impact that an injection of public funding would have on this project.

• tell us if this project could go ahead in any form without public funding and if so, the difference the public funding would make (such as faster to market, more partners, reduced risk)
• describe the likely impact of the project on the business of the partners involved
• tell us why you are not able to wholly fund the project from your own resources or other forms of private sector funding (what would happen if the application is unsuccessful)
• explain how this project would change the nature of R&D activity the partners would undertake (and related spend)
• your answer to this question should be no longer than one page using font Arial 11

6.10 Question 10: Costs and value for money

How much will the project cost and how does it represent value for money for the team and the taxpayer?

• justify the total project cost and the grant being requested in terms of the project goals
• explain how the partners will finance their contributions to the project
• explain how this project represents value for money for you and the taxpayer. How does it compare to what you would spend your money on otherwise?
• justify the balance of costs and grant across the project partners
• justify any sub-contractor costs and why they are critical to the project
• your answer to this question should be no longer than one page using font Arial 11

6.11 Other funding from public sector bodies

If you have included one or more entries in column 7 of the finance summary table (on the following page), please provide:

• the names of the bodies
• the name of the programme or scheme from which the funds are provided
• the fund amounts

7. Finance summary

This table lists the total eligible project costs by participant. Please note that only certain project costs are eligible for grant funding under UK State Aid rules. See our project costs guidance for information on eligible project costs and how to complete the finance forms.

Column 1 Organisation name	Please provide the full names of the (lead) organisation and any participants in the project consortium (organisation names as noted in Companies House)
Column 2 Organisation registration number	Companies should provide the Company Registration Number (as noted in Companies House). Universities/HEIs should enter their RC number/charitable status/legal entity registration number etc
Column 3 Enterprise category	Please select your enterprise category. SME definition is based on the EU definition Medium sized: Headcount <250: Turnover <=50 million euros or balance sheet total <=43 million euros Small: Headcount <50: Turnover <=10 million euros or balance sheet total <=10 million euros Micro: Headcount <10: Turnover <=2 million euros or balance sheet total <=2 million euros
Column 4 Postcode where majority of work will be done	Please provide the postcode of each organisation participating in the project.
Column 5 Contribution to the project by each organisation (£)	Please list the total contribution to be made to the project by each organisation.
Column 6 Funding sought from Innovate UK	Please enter the funding sought from Innovate UK for each participant organisation for this competition.
Column 7 Other funding from public sector bodies	Please include any funding applied for separately for the project from any other public sector bodies and not as part of this competition. Funding from other public sector bodies might include other applications to research councils, other government departments, devolved administrations, other public sector organisations and some charities. The purpose of this column is to provide Innovate UK with information on the total public funding for the project.
Column 8 Total (£)	The total cost of the project for each participants. This is the sum of columns 5, 6 and 7 and will be entered automatically.
Bottom row Total (£)	The total of each column will be entered automatically.

8. Finance form

Each non-academic participant in your project must provide a finance form using the template ‘Project finance form Jan 2017’ which is available on the FTP site. This must be submitted with the application form by the lead applicant. Each finance form provides a detailed breakdown on each participant’s total eligible project costs listed in your finance summary table.

9. Project appendices

You may include appendices for questions 2, 3, 7 and 8 as described in the guidance to those questions. Submission of any additional documentation not described in this document will result in your application be judged as ineligible and not sent for assessment. Applications submitted with incorrect appendices, with regard to content or naming convention, will be ineligible and not sent for assessment.

In order that assessors can open and read the appendices, each appendix must:

• conform to the maximum length specifications stated for each question
• be submitted in portable document format (pdf)
• be legible at 100% zoom/magnification
• display prominently the ‘application number’ as in the filename of the application form, for example ‘AppendixQ2(application number)’.

Please do not submit appendices longer than the specified lengths. Assessors are instructed to only read appendices to the lengths specified in the guidance.