NERC Innovation Follow-on Call:
Enabling innovation in the UK
and developing countries
How to Apply
Applications must be received by NERC via the Je-S system before the
deadline of 4pm (local UK time) 12 July 2017, in order to be considered for
funding.
Step 1: Log in with your Je-S account, click on Documents and
create a new Document
Step 2: Complete Add a Document:
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Select Council: NERC
Select Document Type: Standard Proposal
Select Scheme: NC&C
Select Call/Type: Innovation Follow on July 2017
Step 3: Complete the Je-S application:
Applications should be prepared and submitted by the lead research
organisation (RO), but should be co-created with input from all investigators
and project partners, and should represent the proposed work of the entire
consortia.
Applications should largely be completed in the normal way, following the
guidance in the NERC Research Grants Handbook and the Je-S Handbook,
and noting the following additional information specific to this call:
• Clearly state as a prefix to your project title either “UK” (if your project falls
into the enabling innovation in the UK category) or “International” (if your
project falls into the enabling innovation in developing countries category).
•
Joint proposals: Joint proposals are not permitted for this call. Applications
may involve eligible co-investigators at other eligible ROs, but this should be
included on a single application, submitted by the lead RO.
•
Other Support: Please complete this section in the normal way, also
ensuring that you include details of:
o The NERC-funded or Research Council-funded research activity
which this application builds on.
o Any relevant NERC Pathfinder award or other similar awards from
other Research Councils.
•
Project Partners: All projects should have project partners from stakeholder
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organisations (i.e. business, policy or civil society). Please complete this
section for each project partner involved in the project providing details of
the contributions and support (both cash and in-kind) which the partner will
make to the project. Cash and in-kind contributions from the project partner
should be carefully costed to ensure there is no double counting. Access to
data already freely available in the public domain cannot be counted as inkind support and care should be taken so as not to over-value in-kind
contributions.
As an exception to the standard NERC guidance, for this particular call
overseas project partners for applications under the “enabling innovation in
developing countries” category may request travel and subsistence costs,
and exceptionally other incidental costs (such as consumables, material
costs, etc) directly relating to their involvement in the project (see resources
note below). These costs should not represent the majority of the resources
requested, and may not include any staff costs or overheads.
•
Resources: A maximum project cost of £125,000 can be requested per
project, inclusive of any resources requested to support the involvement of
the overseas project partner(s). Costs should largely be requested at 80%
fEC in the normal way, with the following exception:
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Travel and subsistence costs, and exceptionally other incidental costs (such
as consumables, material costs, etc) to be incurred by overseas project
partners may, if required, be requested at 100% fEC. These costs should be
included within the appropriate section of the resources section, with the
“Exception” box ticked against these items. Beneficiary Countries: for
applications under the “enabling innovation in developing countries”
category please ensure that you select the relevant country from the DAC
list of ODA recipients which your project proposes to work with. Please
ensure that you only select countries from the DAC list.
Step 4: Complete and upload attachments:
As well as the Je-S application proforma, a number of attachments, containing
information to support your application and further demonstrate how the
application meets the call assessment criteria, must also be uploaded and
submitted with your application. All attachments must comply with the NERC
standard requirements as listed in NERC Research Grants Handbook (in
particular, please note the formatting rules for attachments under Section F,
point 181).
The following attachments must be uploaded to your application before
submission to NERC:
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CVs
A CV for each applicant and named research
staff involved in the project (up to 2 sides A4 per
CV).
2
Case for
Support
A case for support, including previous track
record (up to 2 sides of A4) and a description of
the proposed work (up to 8 sides of A4).
3
Justification of
Resources
A full justification of the resources requested
within the proposal, including, for applications
under the “enabling innovation in developing
countries” category, any resources requested for
the overseas partners (up to 2 sides of A4).
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Project
Partners
Letters of
Support
A letter of support from each project partner, (up
to 1 side of A4 per partner). These are attached
as attachment type ‘Project Partner Letter of
Support’ within the Project Partner section in
JeS.
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Technology
Transfer Office
Letter of
Support (if
applicable)
Commercial projects only:
A letter of support from the PIs technology
transfer office or equivalent (up to 1 side of A4)
to be added as attachment type ‘Letter of
Support’
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Pathways to
Impact
A project-specific articulation of the potential
outcomes (up to 2 sides of A4)
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Market
Assessment
Report (if
applicable)
Commercial projects only (non-mandatory):
A relevant market assessment report, which
should be uploaded as attachment type “Other
Attachment” (no page limit).
ODA
Statement (if
applicable)
Projects in the “enabling innovation in developing
countries” category only:
An ODA compliance statement, demonstrating
that the application’s primary purpose is to
promote the economic development and welfare
of developing countries on the DAC list. This
should be uploaded as an attachment type of
‘Non-UK Components’ (up to 1 side of A4).
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Please refer to the NERC Research Grants Handbook and the Je-S Handbook
for standard NERC guidance on how to complete the documents above, as
well as to any additional guidance specific to this call below:
a) Case for Support:
As well as following the standard NERC guidance, applicants are also
encouraged to consider the following call-specific points when putting together
their case for support:
Section 1 (Previous track record):
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•
Recent translation/KE activity, research and funding in the science area
covered by the proposal
•
Information about previous work which has achieved significant academic or
socio-economic impact, contributed to a country’s competitiveness or
improved quality of life and/or public good.
•
Existing relationship with the proposed project partners.
Section 2 (Description of the proposed work):
•
Specific reference to the NERC-funded or Research Council-funded
research activity which this application builds on.
•
Why the work is needed and how beneficiaries and end-users will benefit
from the outcomes of the work.
•
Clear definition (through a workplan/gantt chart) of which elements of the
proposed work programme will be conducted by the project partners, project
teams, etc, and how end-users/stakeholders will be engaged.
For commercial projects, applicants are also strongly encouraged to include
the following within the “description of proposed work” section:
i.
A Commercial Development Plan, outlining the commercial logic and
rationale that underpins the project, including the market need and
opportunity, competitors, consideration of possible barriers or risks, and the
route to market and funding strategy (see Annex 1: Commercial
Development Plan guidance for further details).
ii.
A Technology Development Plan, including background and context to the
project, the current status of your solution (including IP status) and strategy,
a work plan and strategy for further development, and identification and
strategy for managing/mitigating key risks (see Annex 2: Technology
Development Plan guidance for further details).
Both of the above sections should be included within the standard 8 page limit
of the proposed work section within the case for support.
b) Letter of Support:
Project Partner letters of support
Letters of Support, written by project partners, should be on headed paper,
and provide contact details of, and be signed by, the Project Partner
representative. Letters of Support establish the strength of the relationship
between the applicant(s) and the project partner and will be taken into account
in the assessment process.
You should encourage your partners to include the following in their Letters of
Support:
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How the proposed activity will benefit the partner and their organisation (eg:
organisational drivers for involvement in the proposal, project partner
objectives that the proposed activity will help achieve, likely outcomes/
impacts of the activity, etc.).
•
The nature of the collaboration, how the project partner will be involved in
the work and provide added value to the project.
•
Contributions (both cash and in-kind support) which the project partner will
make and an assurance that the project partner is committed to the project
for its duration and that those contributions will be made.
Technology Transfer Office (TTO) Letter of Support:
Applications with a focus on enabling commercial application should also
submit a letter of support from the lead Research Organisation’s technology
transfer office or equivalent.
The letter of support should include a statement confirming that the application
has been developed in conjunction with the TTO. Successful
commercialisation demands skills and perspectives that are different from
those needed to run academic research projects. You are therefore strongly
advised to discuss your application with your TTO at the earliest opportunity.
The Assessment Panel will look for evidence of meaningful intellectual
engagement in, and commitment of resources to, your project by the TTO on
an on-going basis both during, and where relevant, beyond your Innovation
Follow-on project. Examples include the funding of patent costs and market
assessment exercises, the facilitation of exploratory discussions with thirdparty stakeholders, involvement in devising and regularly reviewing your
commercial strategy, handling discussions and negotiations with third parties,
where required, and so on.
Letters of Support from both project partners and the Technology Transfer
Office (TTO) should be submitted as attachments to your proposal via Je-S.
c) ODA Statement:
Detailed programme-level data on ODA is reported, scrutinised and published
by the OECD via DFID. As a requirement of funding, UK PIs on applications
falling into the “enabling innovation in developing countries” category are
required to demonstrate that their project is ODA-compliant, and has the
primary purpose to promote the economic development and welfare of
developing countries on the DAC list, by providing an ODA compliance
statement as part of their proposal.
You should consider using the questions below when preparing this statement:
1. Which country/countries on the DAC list will directly benefit from this
proposal and are these countries likely to continue to be ODA eligible for the
duration of the research?
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2. How is your proposal directly and primarily relevant to the development
challenges of these countries?
3. How do you expect that the outcome of your proposed activities will promote
the economic development and welfare of a country or countries on the DAC
list?
There are various guidance documents which have been published to assist
with ensuring that proposals submitted under the Research Councils ODA
schemes are ODA compliant. Applicants are encouraged to read the available
RCUK ODA Guidance and the OECD ODA Guidance before writing their ODA
compliance statement.
Step 5: Submit application to NERC
Applicants must ensure that their proposal is received by NERC by 4pm (UK
local time) on 12 July 2017. The Je-S system will close at 4pm and proposals
to this call will not submit to NERC after that time.
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Annex 1: Commercial Development Plan
Commercial applications should include within the “description of proposed
work” section of the case for support (within the standard 8 page limit), a
commercial development plan. This must explain the commercial logic and
rationale that underpins the project. In essence, it serves as the commercial
foundation upon which your technical development plan is built. It therefore
follows that you are very unlikely to secure funding if there is a disconnect
between your Commercial Development Plan and your Technical Development
Plan.
The key points your Commercial Development Plan should address include:
a) Market Need
•
Who is the customer/end-user and what issue do they need to address?
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Describe what engagement with potential users you have had. A
commercialisation plan and technology development plan that are fit for
purpose cannot be produced in a vacuum. Prior engagement with
representatives of the user community (including regulators, where relevant)
is therefore essential. Their views and requirements are vital in identifying
the features and functionality that they need, and which your offering must
provide if it is to achieve successful commercial uptake.
•
Key risks associated with your proposed work programme and your strategy
for managing and mitigating them.
•
Your application should therefore be supported by evidence of substantive
dialogue and engagement with you target market. Letters of support from
potential users or commercial partners are particularly valuable if they:
o Indicate a genuine understanding of, and interest in, the project and
its potential outcomes;
o Confirm there is a market need for your proposed offering and that it
appears to offer benefits over competing solutions; and ideally;
o Offer substantive assistance in helping you develop your solution.
Proposals that lack substantive engagement with relevant stakeholders
will be rejected.
b) Market Opportunity
•
Where firm information is unavailable, provide an estimate explaining the
assumptions on which it is based. It may not be possible to provide reliable
estimates of market value at this stage, but you should be able to provide
reasonably reliable alternative metrics, for example, number of potential
buyers, operating sites and the like.
•
Focus on the addressable market for your technology. For example, the
overall sector may well be worth tens of billions overall, but how big is the
market for the specific service/product that you envisage?
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•
Explain the rationale that lies behind the selection you have made. This may
be a fairly straightforward task if your solution is reasonably well developed
or there is a clearly defined market for your offering. However, it may be
difficult if your solution is still at an early stage, it has potential across a wide
range of sectors, or the market opportunities are relatively immature. In this
case, you should identify and explain the criteria that will be used in order to
prioritise in due course.
c) Your Competitors
•
Include both existing and potential competitors – who could compete with
you if they chose to enter this space?
•
Identify their comparative strength, relative to you. Remember that the
quality of their technology is just one element to consider. Factors such as
strength of brand, distribution strength, market reputation, breadth of product
and IP portfolio, quality of customer service and technical support can be far
more significant sources of competitive advantage than technology. Any of
them can be a major barrier to entry for new players, so it is vital to
recognise this, and plan accordingly, at this stage of the project. Great
technology that lacks a route to market has little value. Lesser technology
with excellent channels to market can however be immensely valuable and
prevent far better solutions being adopted.
d) Benefits and Advantages of your Offering
•
Confirmation of the benefits and advantages of your offering over competing
solutions should be provided via letters of support from Project Partners.
e) Legislative or Regulatory Requirements
•
You need to identify any legislative or regulatory requirements which may
limit the use of your proposed product or service. For example, will your
invention need to be approved by the EU? Will your instrument deliver
sufficiently robust data to demonstrate compliance with environmental
pollution legislation? Is the product likely to be a therapeutic or medical
device for human use?
f)
Identifying and Mitigating Key Commercial Risks
•
What are the key commercial risks your solution faces, and how will you
seek to mitigate them? It may not be possible to speak with certainty on
some of the commercial challenges that may arise in due course. However,
there are likely to be some that can be identified and considered at this
stage. For example, if you are developing a new monitoring/diagnostic
approach will its adoption by industry depend upon regulatory approval, if
so, what will this entail? Your Technology Transfer Office should be able to
advise on potential risks that need to be considered.
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g) Route to Market
•
There are various options, including licensing, forming a spin-out company,
collaborative development and marketing with a commercial partner, and
outsourcing elements of manufacture, sales and distribution. You should
explain why your proposed strategy is fit for purpose. The Assessment
Panel needs to be convinced that your proposed approach is likely to
maximise the commercial uptake and impact that flows from your project.
•
The Panel welcomes proposals to commercialise via an existing spinout
company provided it has access to the necessary commercial skills,
expertise and resources – financial and otherwise – to achieve this. You
are urged to take a realistic view on this issue. If the company falls short
in this area your plan should explain how this shortcoming will be overcome.
A licensing or collaboration deal with a commercial partner better placed
to exploit your technology may be the most appropriate solution in such
circumstances.
You are strongly advised to discuss this aspect of your Commercial
Development Plan with your Technology Transfer Office
h) Funding Strategy
•
If your technology is likely to require more than £125k to develop it to a point
where commercial interest can be secured how will you fund that additional
work? There is a wide range of potential funding sources and your
Technology Transfer Office should be able to work with you to outline a
credible funding plan, post Innovation Follow-on funding, to get your
technology to market, should this be required.
Annex 2: Technology Development Plan
Commercial applications should include within the “description of proposed
work” section of the case for support (within the standard 8 page limit), a
technology development plan, including:
•
The background and context of your project;
•
The current status of your solution;
•
Your intellectual property position and strategy;
•
The work plan for further developing you solution;
•
Key risks associated with your proposed work programme and your strategy
for managing and mitigating them.
You should explain the scope of any granted or filed patent applications, or other
intellectual property protection enjoyed by your invention, and your proposed
strategy for further strengthening your IP position. In addition, your application
should note any granted patents related to your invention that is owned by third
parties.
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Any weaknesses in your IP position should be identified, in particular freedom to
operate issues, along with how you plan to address them. For example, will it be
possible to put your solution into practice in your chosen market without
recourse to third party intellectual property? Or will you need to license-in
additional intellectual property such as databases or patented technology? A
granted patent gives the owner a monopoly on the use of patented technology in
manufacturing a product or in performing a service. Your plan therefore needs to
explain what access rights to additional intellectual property, if any, you will need
in order to have a marketable product.
The workplan should clearly identify your technical objectives, along with the
corresponding milestones and activities for each one. You may find the following
structure useful for this purpose:
Description of
technical
objective
Rationale
(technical and
commercial
Milestones to
be achieved
Work to be
carried out
Identify any significant technology risks, along with your strategy for mitigating
them, including key ‘stop-start’ decision points.
You should also explain your fallback position if the project does not
progress as anticipated – in other words, what is your ‘Plan B’?
The workplan should be supported by a Gantt chart or similar, showing the
key milestones, activities and target dates for the project. This workplan
should also be included within the “description of proposed work” section of
the case for support (within the standard 8 page limit).
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