Newton-Ungku Omar Fund Grand Challenge 2019 Phase 1

Applicant Briefing

Tuesday 16th July 2019

15/07/2019

Julie Brown – Portfolio Manager

Anna Munn – Innovation Lead

Noran Wahida – Programme Manager

Welcome and Introductions

Innovate UK

Malaysian Industry-Government Group for High Technology

Newton Fund

Competition Scope

Scope Q&A

Eligibility Criteria

Application process

Funding Rules

Application finances:

• Project costs

• Academic partners

Submitting your application and the way forward

Q&A

Agenda

Innovate UK

We can’t stop thinking about

the future

Innovate UK – the UK’s innovation agency

Innovate UK drives productivity and growth by supporting businesses to realise the potential of new technologies, develop ideas and make them a commercial success.

To stay competitive as an advanced economy, we need to do things that others cannot do, or to do things in different and better ways.

Knowledge Transfer Partnerships bring together academic expertise and growing businesses, developing skills

The infocus Women in Innovation funded 15 female entrepreneurs, the campaign received coverage through the BBC and the FT, and exhibited at the Getty Gallery

Driving innovation by developing talent

N. Ireland

Scotland

East Midlands

East of England

South East

North West

West Midlands

Wales

South West

North East, Yorkshire &

Humber

Place is key to innovation. We fund businesses throughout the UK and work closely with stakeholders in the regions and nations.

Regional managers based across the UK

Innovate UK funding portfolio by postcode

Wave 1 Innovate UK investment-ready Industrial Strategy Challenge Fund awards

As the UK’s innovation agency, we work with 75 countries

© MIGHT 2019. Proprietary & Confidential 10

www.might.org.my @MightMalaysia MightMalaysia

Prime Minister’s Department

© MIGHT 2019. Proprietary & Confidential 11

MIGHT is formed to prospect

for business opportunities for

Malaysia through strategic

exploitation of technology for

attainment of Vision 2020

objective

Tun Dr Mahathir Mohammad

Prime Minister of Malaysia

22 February 1993

PATRON OF MIGHT

© MIGHT 2019. Proprietary & Confidential 12

“To serve the nation in advancing

competency in high technology

through partnerships towards

sustainable development”

VISION

GOALS

MIGHT was established in 1993 as a technology think tank

under the purview of the Prime Minister’s Department

Supporting The Science Advisor In Carrying National

S&T Agenda

Partnering For Delivery Impact

Nurturing Techno Business Innovation

Setting Common Direction For High Technology Industry

Development

Developing Capability & Competency for High

Technology Industry

1

2

3

4

5

© MIGHT 2019. Proprietary & Confidential 13

Facilitation & Implementation through our Multi-faced Roles

STRATEGIC ADVISOREnhanced Malaysian competitiveness at firm-level

and push for leadership position of niche products

and services

INTERMEDIARYNew ways of connecting and

problem-solving for companies –

Technology, Policy, Funding & Talent

CONTENT DEVELOPERMore competencies in data generation

and analytics, building experts

systems and corporate profiling

© MIGHT 2018. Proprietary & Confidential 14

The Focus Areas to Deliver Impact of Implementation

Foresight & Futures Thinking

The 4th Industrial Revolution

Sustainable Cities

Mobility Partnership

© MIGHT 2019. Proprietary & Confidential 15

Strong Partnership with Local & Global Organisations

90+MIGHT members

www.newtonfund.ac.uk

What is the Newton Fund?

Turkey

Vietnam

South Africa

Brazil

Mexico

Colombia EgyptIndia

Chile

Indonesia

Malaysia

Philippines

ThailandKenya

Jordan

Peru

China

• UK Government Fund, managed by Department of Business, Energy and Industrial Strategy

• £735m UK government contribution over 7 years, 2014-2021. Match funded in cash, kind or effort by the partner countries

• It is HMG Official Development Assistance money, i.e. part of UK’s 0.7% GNI spend on aid to other countries, reported and monitored by the OECD.

How does this fit our development assistance goals?

Newton Fund activities need to demonstrate that they are aiming to contribute to a reduction in

poverty, and aim to further sustainable development (development that is likely to generate

lasting benefits for the population of the country to which it is provided) and improve the welfare

of the population of Newton Fund countries.

More about development assistance rules: http://www.newtonfund.ac.uk/about/what-is-oda/

How does the Newton Fund work?

People Research TranslationImproving capacity in research and science, individually and institutionally

Improving research collaborations on critical socio-economic development challenges

Creating collaborative solutions to socio-economic development challenges and strengthening innovation systems

Competition Scope

Competition in a nutshell Scope:Urban MobilityWaste to Wealth

Total budget: Phase 1: £200,000 and RM 1.1million (Phase 2: £800,000 and RM 5.5million)

Project total size: Phase 1: £30,000 and RM 165,000 (Phase 2: £350k and RM 1,165,000)

Minimum consortium (UK & Malaysia): UK: 1 business Malaysia: 1 business

Project duration: up to 3 months (starting 1st March 2020)

ODAble!

Application deadline: 23rd October 2019

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The Grand Challenge process explained

We are looking for UK and Malaysian businesses to collaborate on a solution to a societal challenge, and for that solution to be demonstrated on the ground in Malaysia.

To support this process we are running the competition in 2 phases.

Phase 1: Funding and 3 months to provide that initial support to determine where the synergies are between the UK and Malaysian innovations and prepare for what a demonstration project would look like, during this time they will be connected to service providers who will provide the testbed during phase 2. This will allow them to understand end user needs.

Phase 2: 4 successful project will progress to phase 2 where they will be given access to a testbed in a real life setting in Malaysia for them to demonstrate their collaborative solution during a 1 year project. Due to the demonstration we would expect projects to be at the stage of development to be demonstrated in a real life enviroment (dependent on the type of technology but likely TRL 6 and above).

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What we expect at the end of Phase 1

• a clear plan for how the UK and Malaysian innovations could work together to

provide a solution for the challenges outlined in this brief

• a plan for how innovations from the UK and Malaysia will be demonstrated together

• an understanding of the end user and the consumer needs in Malaysia

• a results framework for the project on how it will positively affect the social and

economic welfare of the Malaysian population, including how it will contribute to

poverty reduction in a way which can reduce inequality between different genders

within Malaysia

• definitions of the roles of both the UK and Malaysian partners during the

demonstration phase

• the route to commercialisation and identification of any market barriers

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Challenge 1: Waste to Wealth

Improving waste separation: municipal solid waste separation with a focus on plastic and food. Examples include: encouraging waste separation at source (households and industrial sites) and collection centres (such as community-led initiatives) and improving the efficiency of waste separation at source and/or facilities.

Encouraging recycling: solutions that encourage recycling and/or upcycling at source and/or facilities.Examples include: innovative business models targeting citizen uptake and affordable technologies that make recycling more convenient.

Changing public perception: improving the public’s perception of using secondary materials in the manufacture of new products and creating innovative business models and/or technologies that create increased value for recycled content in new products and/or direct by-products from food and plastic waste. This could include, but not be limited to, increasing the affordability of recycled products.

Development of appropriate circular economy approaches for durable goods and products. This could include, but not be limited to, servitisation or ‘pay-per-use’ models.

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Challenge 2: Urban Mobility

Improving service delivery. Examples include: increased ridership as a result of innovative business

models, more convenient ticketing solutions and better provision of

information to citizens (such as real time forecasting of bus or train

arrivals).

First and last-mile connectivity. Examples include: alternative modes of connecting people and

communities to transit points and improving the commuter’s journey

experience (such as weather-proofing or improved safety).

Multi-modal transport connectivity. Examples include: solutions that bridge gaps between transit points, in

particular e-hailing services, and enabling commuters to identify the best

routes and transit.

Demonstration site: Prasaranahttps://www.myrapid.com.my/corporate-informationMalaysia’s leading public transportation company

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What are we looking to fund

ODA: You must clearly explain in the application why UK aid budget should be used to fund your project by highlighting the wider social, environmental and economic benefits that your project brings to the Malaysian population.

Country adapted: Applications need to show us that the consortium has understood the specific market and the Malaysian context well.

True partnerships: each application needs to demonstrate that the work is jointly developed and delivered by the UK and Malaysian partners, with a balanced approach to budget and WPs.

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Finding partners

In the UK:

Knowledge Transfer Network:https://www.ktn-uk.co.uk/

Enterprise Europe Network:http://een.ec.europa.eu/

In Malaysia:

Contact MIGHT:nuof@might.org.my

Pitch your solution at brokering webinars hosted by 100%Open

Thursday 25th July 8.30 – 10.30 UK time/ 15.30 –

17.30 Malaysia time

Friday 26th July 8.30 – 10.30 UK time/ 15.30 – 17.30

Malaysia time

Eventbrite registration link

Q&A - Scope

Eligibility Criteria

Project Eligibility

There must be a lead business in UK or Malaysia (one must be nominated to submit the application)

Consortium must contain at least one UK and one Malaysia based business of any size

You must comply with Official Development Assistance requirements throughout the lifetime of the project

Project cost Up to £30,000 or RM165,000

Project length No more than 3 months

Eligibility criteria

• Business – Any size

• Research and Technology Organisation (RTO):

• Academic Organisation

• Public Sector Organisations

• Charities

Types of organisations we fund

• 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

For phase 1 we will only be supporting feasibility studies. In both the UK and Malaysia you could get funding for your eligible project costs of:

• up to 70% if you are a micro or small business• up to 60% if you are a medium-sized business• up to 50% if you are a large business

In both the UK and Malaysia, research organisations in your consortium can share up to 30% of the total eligible project costs. If your consortium contains more than one research organisation, this maximum is shared between them

Participation Rules

In all collaborative projects there must be:

• evidence of effective collaboration

- we would expect to see the structure and rationale of the collaboration described in the application.

In the Newton Fund, collaboration is key.

• Because projects are bilateral, they must demonstrate equivalence in effort from the Malaysian and UK partners. Your project must have one common work plan with both the Malaysian and UK partners having main roles and responsibilities, equating to the equivalent time and costs accrued in both countries

What is collaboration?

Making more than one application and resubmissions

• Any one business may be involved in up to 3 applications to this competition, but can only be the lead partner in one application

• If a research and technology organisations can be a partner in up to 3 applications

• If an application is unsuccessful, you can use the feedback received to reapply for the same project into either another round of this competition or another competition. A project proposal can only be submitted twice

Other Innovate UK projects

• If you have an outstanding final claim and Independent Accountant Report (IAR) on any 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

Phase 1 Opens Monday 8th July 2019

Briefing Event Tuesday 16th July 2019

Registration deadline Wednesday 16th October 2019 12pm UK time

Submission Deadline Wednesday 23rd October 2019 12pm UK Time

Applicants informed Friday 6th December 2019

Phase 2 Opens Monday 15th July 2020

Key Dates

Application process

Feedback

Notify applicants

Assessment and portfolio selection

Scope check

Complete and submit documents

Download finance form

Register for the competition

Application process

Via competition website – application form will be emailed

Finance Form 2016 – for all non-academic partners claiming grant

Applications that are in scope will be sent for assessment. We will assign appropriate assessors to each application

Applications will be assessed by independent assessors. Innovate UK and MIGHT will liaise to exchange details and decide on successful projects

By date provided

Within 4 weeks of receiving your notification

Use all of the space provided. Upload documents to the FTP site. Don’t leave submission until the last minute!

The Application Form

Please refer to theCompetition

Guidance

Application form

Application details

Summary of proposed project

Public description of the project

Gateway Question Official development Assistance (ODA) and International Development (Gender Equality) Act (GEA)

Question 1 Project motivation and objectives

Question 2 Project Activities and outputs

Question 3 Team and resources

Question 4 Risks

Question 5 Additionality

Question 6 Costs and Value for Money

Other funding from public sector bodies

Finance summary table

Appendix Q2

Appendix Q3

Risk Register

Project Details

• Application Details

- Title, Timescales, Research Category, Innovation Area

• Project Summary

- Short summary and objectives of the project including what is innovative about it

• Public Description

- Description of your project which will be published if you are successful

• Scope

- How does your project align with the scope of this competition?

- If your project is not in scope, it will be ineligible for funding and not sent for assessment

42

Official Development Assistance (ODA) and International Development (Gender Equality) Act (GEA)

Gateway question : Official Development Assistance (ODA) and International Development (Gender Equality) Act (GEA)

• What beneficial outcomes is the project expected to deliver to those inside and outside of the consortium in Malaysia, including economic development and social welfare improvement? Over what timescale?

• How is the project likely to contribute to poverty reduction in a way which can reduce inequality between persons of different gender within Malaysia, and over what timescale?

• Describe the benefits to those inside (project partners) and outside the consortium (Malaysian people, particularly poorer and underserved groups) and make a clear distinction between them. Be clear about what stakeholder groups you expect to benefit from this project, and avoid making generic statements.

Please support your ODA eligibility and gender equality justifications by providing further information in the appendix D of which a template is provided within the FTP site. You can use a maximum of 2 sides of A4. It must be legible in 100% zoom.

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What problem, challenge or opportunity do you plan to explore through this feasibility project?

Question 1: Project motivation and objectives

• What high-level objectives do you expect to achieve through this project?

• You should describe or explain:

• the context and motivation for the project

• the innovations that the UK and Malaysian partners are bringing to this project. Including what stage of development those innovations are at.

• the main aims and objectives of the project

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

Question 2: Project activities and outputs

How will you conduct the project to achieve the aims set out in question 1? You should outline a concise, step-by-step project plan for phase, broken down into individual sections of work. For each section, explain:

• what will be done

• who will do it

• what the outputs will be

• how those outputs will help towards fulfilling the overall project objectives including your ambitions to progress this feasibility project to demonstration stage

You can submit one appendix as a PDF to support your answer. It can be up to 2 A4 pages and no larger than 1MB. The font must be legible at 100% zoom.

45

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

Question 3: Team and resources

• Describe the roles, skills and relevant experience of all members of the project team

• State the resources, equipment and facilities required for the project and how you will access them

• Provide details of any key external parties, including sub-contractors

• the relationship between the UK and Malaysian partners, whether this is an established or newly formed partnership and how this feasibility stage will enable the strengthening of the relationship and a subsequent application into phase 2

• Are there any gaps in the team that will need to be filled?

You may upload an appendix PDF document (max 1MB, 4 A4 pages) to describe the skills and experience of the main people who will be working on the project

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What are the main risks for this project?

Question 4: Risks

• Identify the key risks and uncertainties of the project, including the technical, commercial, managerial and environmental risks

• Explain how these risks will be mitigated

• List any project inputs on the critical path to completion (such as resources, expertise, data sets)

• Are the outputs likely to be subject to regulatory requirements, certification, ethical issues, etc.? If so how will you manage these?

You may upload a risk register in PDF format (max 1MB, 2 A4 pages) as an appendix

47

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

Question 5: Additionality

Describe or explain:

• if this project could go ahead in any form without public funding and if so, the difference the public funding would make, such as a faster route to market, more partners or reduced risk

• the likely impact of the project on the businesses of the partners involved

• why you are not able to wholly fund the project from your own resources or other forms of private-sector funding, and what would happen if the application is unsuccessful

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

Question 6: Costs and value for money

• Justify the total project cost and the grant being requested, in line with the project goals

• How will the partners finance their contributions to the project?

• Explain how this project represents value for money for you and the taxpayer.

• Justify the balance of costs and grant across the project partners

• Describe any sub-contractor costs and why they are critical to the project

Finance summary table (on application form)

Finance summary table

Organisation name

Company registration

number

Enterprise category

Postcode where majority of work

will be done

Contribution to project by

each organisation

(£)

Funding sought from Innovate UK

(£)

Other funding

from public sector bodies

(£)

Total(£)

Lead org. 0 0 0 0

Partner 1 0 0 0 0

Partner 2 0 0 0 0

Partner 3 0 0 0 0

Partner 4 0 0 0 0

Partner 5 0 0 0 0

Partner 6 0 0 0 0

Partner 7 0 0 0 0

Partner 8 0 0 0 0

Partner 9 0 0 0 0

Partner 10 0 0 0 0

Total (£) 0 0 0 0

Project cost summary(for each project participant)

1. Organisation name2. Organisation registration number3. Enterprise category4. Postcode where the majority of the work will be done5. Contribution to project by each organisation6. Funding sought from Innovate UK7. Other funding from public sector bodies8. Total

Funding rules

Funding dependent upon type of organisation

Organisation /Type of Activity

Technical Feasibility Studies and Industrial

ResearchNotes

Business(economic activity)

Micro/Small – 70%Medium – 60%

Large – 50%

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

• Each applicant (both UK and Malaysian) or non-academic partner claiming a grant must complete a Partner Finance Form.

• Please use version “Partner finance form Sept 2016” – is this still called this?

• IMPORTANT: Figures on the individual Partner Finance Forms must total the same as those shown on the Finance Summary Table on the application form.

• The form includes a tab for each cost category which needs to be completed. The figures in each cost category tab populates the summary/total fields.

• Form must show the status as “complete” before submitting.

Partner finance forms

Project costs

Eligible project costs (applicants / non-academic partners in both Malaysia and UK)

Labour costs

Overheads

Materials

Capital equipment usage

Sub-contracts

Travel & subsistence

Other costs

Other eligible costs not included in the above headings

IP filing costs up to £7,500 (SME only)

Labour costs

Eligible:-Staff working directly on project.-Paid by PAYE-NI, pension, non-discretionary costs.

Ineligible:-Dividends-Bonuses-Non productive time

Labour costs

Overheads

Overheads are 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

In calculating the value of these costs we offer 2 methods:

• 20% of labour costs

• calculate overheads

Calculate Overheads

• 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

Once ‘Yes’ is selected from the drop down option, the table will appear

Eligible:Directly used in the project

Material costs

Capital equipment usage Eligible:-Used in the project or shared with day-to-day production-Re sale value

Capital equipment usage

Sub-contract costs Eligible:Justified and quantified

Sub-contract costs

Eligible:Directly linked to the project

Travel and subsistence costs

Once ‘Yes’ is selected from the drop down option, the table will appear

Costs that could not be added under previous headings.

Do not double count

Other costs

UK Ineligible project costs

Χ Recoverable input or output VAT

Χ Interest charges, bad debts, profits, advertising, entertainment

Χ Hire purchase interest and associated service charges

Χ Profit earned by a subsidiary or by an associate undertaking work sub-contracted out under the project

Χ Inflation and contingency allowances

Χ The value of existing assets such as IPR, data, software and other exploitable assets that are contributed to the project by any collaborator

Χ Independent Accountant’s Report Fees

UK 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

Eligible costs (academic partners)

• Eligible costs are based on FEC calculation

• RC Contribution is the total eligible cost of academic partners.

• The 20% difference between this and the FEC total DOES NOT represent a contribution to the project and should not be included anywhere within the application.

Normal 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 and the way forward

Public area

Click Login to access the Secure area

Add new screenshot of the shared area for your competition

Check: your application number matches your login username number

Naming

a) Your documents should contain your unique application number (e.g. App12345.docx)

b) Appendices begin with APPENDIX and should contain your unique application number

Format

a) Application Form submitted as a Word file (.doc /.docx)

b) Finance forms submitted as an Excel file (.xls / .xlsx)

c) Appendices, including Je-S form (where applicable) submitted as PDF file - check the guidance for page limits

COMPLETE documents

Secure area

Enter your login details and accept the T and Cs. Click the Login button at the bottom.

Click Upload and follow the on-screen instructions.

UPLOAD documents

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!

What happens if you are successful

Innovate UK Successful Applicant

The Project may not start until the organisation has received and returned signed acceptance of the Grant Confirmation Letter

Conditional offer letters will be

issued 3 – 4 weeks after notification

Return documents stated in

conditional offer letter

Submit financial forecast and

detailed project plan

Financial cost review and

viability checks

Issue Grant Confirmation

Letter

Sign & return Grant

Confirmation Letter with project

start date

NOTIFICATION received

UK Project finance

Overview

• Looking after the public purse

• Ensuring monies are appropriated to legitimate/valid enterprises- Applicant viability checks, reviewing; audited accounts, management accounts, cash

flow forecast, working capital, current ratios, etc. - to ensure that the company legally exists, and to assess whether it can meet its financial obligations for the project.

• Ensuring costs meet eligibility/State Aid/competition rules- Project cost eligibility checks involve reviewing an applicant’s project costs - labour

costs, administration overhead rates, materials, sub-contactors, travel, capital equipment, other costs and overall project costs - and intervention rates, to check that the project costs meets the published eligibility criteria.

UK Conditional Offer Letter

• Project lead organisation

• Total grant amount

• Project title

• Terms & Conditions of offer

• Payment terms

• Changes affecting the Project

• Publicity

• State Aid Obligations

• Role of the Lead and project management

• Confidentiality and Intellectual Property

• Exploitation

• Acceptance of Offer

• Dispute Resolution

Issued for both successful and unsuccessful applicants within 4 weeks of receiving your notification

Word document

Uploaded to your secure area

Not issued via email

FEEDBACK received

Collaboration Agreement

• To be returned within the deadlines stated within the offer letter

• Original agreement signed by all participants

• Key Features:₋ Who is in the Consortium?₋ What are the aims, and how is the work divided up?₋ Ownership of IPR₋ Management of consortium

Note: Negotiating a Collaboration Agreement can be complex and time consuming. Start work on this at an early stage in the process, ideally before submitting your full application.

UK 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

Q&A – Application process and finances

Contact us:

Customer Support Services: 0300 321 4357 (Mon-Fri, 9am-5:30pm)

support@innovateuk.gov.uk

Knowledge Transfer Network:

https://ktn.innovateuk.org

Innovate UK:

https://www.gov.uk/government/organisations/innovate-uk

MIGHT:

nuof@might.org.my

Thank You