1. A4B Project Management Seminar January 14 th 2010

2. Agenda 1.Background to A4B 2.Applying to A4B 3.Collaborating with Industry 4.A4B Project Management 5.A4B Book

3. Introduction DRI Ceri Jones – Deputy Director of DRI Ali Parker – Knowledge Transfer Officer Sarah Haynes – External Contracts Officer WAG Julie Cunnington Hill – Centres Manager Richard Griffiths - Regional Project Development Manager Leanne Richards – A4B Case Officer Raelene Orton - A4B Funding Officer

4. Reasons for A4B To develop 3M activity To support academia/industrial collaboration To improve competitiveness of Welsh SMEs WAG + Convergence Funds = A4B/Eligibility Issues

5. A4B Aims Fund audits of Intellectual Property held by academic institutions to pinpoint projects with the best potential for commercialisation; Evaluate potential projects of strategic value to Wales Fill the funding gap between basic early research and the start of the market exploitation Provide revenue funding for commercial managers & technology specialists Provide capital funding to invest in new technology / markets Encourage collaborative industrial research

6. Story so Far – £18.3m allocated – Jan 09

7. Projects in Swansea - £6.6m allocated - Jan 10

8. Calls issued in November 2009 Deadline February 26 th 2010 Projects to start June 1 st 2010 KTC and CIRPS only Only 2 submissions allowed per institution Key priority areas only ICT, Low Carbon, health and Biosciences, Advanced Engineering and Manufacturing Applying to A4B – the Competitive Calls See A4B booklet Section 2

9. Applying to A4B – the process

10. General Advice in Writing Applications  Read guidance notes and copy key points into application form  Be market driven – what is the ECONOMIC IMPACT!  Find out what other HEIs are doing – avoid duplication  Don’t overestimate outputs / results – these are measured!  Don’t front load as far as targets, costs etc  Look at risk register guidelines for risk and mitigation  Be succinct – the right amount of detail  Get support from Head of School – uniqueness  Involve the business in helping to write the application  Seek best practice advise through DRI / WAG early on  What A4B is not about – EDUCATION, TRAINING, SKILLS

11. Ensure that your project has realistic economic impact Ask business to supply market share & size information Refer to latest Government policies Refer to WAG policies – http://www.swan.ac.uk/research_innovation/ResearchandProjectSupport/Academiaforbusiness/ http://www.swan.ac.uk/research_innovation/ResearchandProjectSupport/Academiaforbusiness/ - WAG Science Policy – WAG One Wales Policy – WAG Spatial Plan – WAG Wales a Vibrant Economy – WAG priorites Developing Economic Impact & Meeting Policy

12. What happens after you apply? DRI WAG Swansea Eligibility Check / State Aid WAG Technical, Policy, Regional Assessment WAG Swansea Application Scores (1-5, minimum 3) Strategic, Economic, Viability, Value 4 Money Panel DRISigned hard copies, confirm start date WAGContract to DRI

13. Developing projects with business Invite all partners to join the project Get a 3 way NDA signed (seek advise from DRI) Discuss the project with all partners present Invite DRI along to this meeting to provide Collaborative agreement example Examples of paperwork Guidance on Applications Get letters of support from partners confirmiing in kind investment (PDF) Manage Expectations !! Before you start to write the proposal………… See A4B booklet Section 3

14. Make sure all partners are aware of the project detail and output Get companies to sign the Collaboration agreements before the start Confirm kick off meetings Make sure they are aware of paperwork and state aid obligations Developing projects with business Before you start the project………… Manage Expectations !!

15. Role of The Project Manager Ensure all related paperwork is complete, and maintained in the Project File. Company Enrolment Form Collaboration Agreements Participant Forms Staff Timesheets (where applicable) SME Logbooks (where applicable) Minutes of Meetings Quarterly Reports Tender Documents (where applicable) Participate in A4B Quarterly Monitoring

16. As project manager you must ……. Know what expenditure has been approved Know the dates when claims are due in Consult with A4B before any changes to the project Know the start and end date of your project – Payments Outside This Period Are Ineligible Keep all records for 8 years after the final payment

17. The A4B Contract Details the financial allocation Details the agreed targets Profiled to WAG quarters ONLY A4B CAN AUTHORISE AMENDMENTS and reprofile! Failure to adhere to this basic rule will result in lost funding! DRI to liaise with A4B on the PM’s behalf The A4B Funding Agreement (contract) See A4B booklet Section 4

18. All partners should sign and return a sub-contract Partners must claim within the prescribed time periods – failure to do so will result in non-payment Must claim to profile (within 15%) SU will only pay partners once WAG pays us! Maintain delivery of outputs and spend Back-up information is needed to verify all claims Most HEIs understand the brief! Partnership Arrangements

19. DRI Monitoring & Evaluation Provide Advice & Guidance (Ali and Sarah) Arrange Kick Off Project Meeting (Sarah) Attend Steering group meetings (Ali) Co-ordinate Quarterly Claims (Sarah) Update IPM System (Sarah) DRI Monitoring and Evaluation – DRI Role See A4B booklet Section 5

20. All Claims processed by DRI Attend a short meeting to verify financial and non-financial progress prior to claims submission. Project manager to prepare progress report and forward to DRI for inclusion with claims. Claims submitted quarterly via an internet Project Monitor - iPM Three part claims (Expenditure, Activity & Quarterly Progress Report) Claims due in one month after the quarterly claim period. Project Costs must be defrayed before they can be included in the claim Claims must be accompanied by a a Quarterly Progress Report Claims not fully completed will be rejected. Please check all claim entries before you produce the claim as errors can only be rectified by your A4B Case Officer once the claim has been submitted. The DRI Claims Process

21. Web based data collection & monitoring tool, remote access, A4B control Multi passwords available & Read Only or Read/Write access DRI process financial data, projects teams can update non financial data Progress report includes fields for notifying A4B of any good practice / potential PR opportunities, for the A4B Case Officer to make comments and for WAG Claims Executive to note the date the claim has been passed for payment giving an indication of when you can expect payment. Budget Reports - detailing original contract profile, amended profiles and actual data. Useful for budget management. Resource Area - includes iPM User Guidance, A4B Procedural Guidance, example documents such as Company Enrolment Forms, Staff Timesheets, Cost Category lists etc Contacts area - includes A4B Team contact details & an area for you to add your contact details if you wish to for networking / sharing purposes. IPM

22. One visit per project, could be ad hoc Purpose - to ensure claims paid are fully evidenced, activity and expenditure is eligible and complies with contract and guidelines. Key personnel to be available (not necessarily present) i.e.: project manager, administrator, claims/finance input. Original documents to be retained and produced for audit, signed & authorised. Good methodical record keeping; signposting where necessary. Publicity and Case Studies- correct logos, brand@wales.gsi.gov.uk brand@wales.gsi.gov.uk Retention dates currently 2025. Post Completion Monitoring and Evaluation - to measure project impact, additional outputs, evolution of the original project, value for money and assessment of the delivery of the project in line with the cross cutting themes included in original application (e.g. Sustainability) Ensure you have a robust audit trail - everyday an audit day! Consult with DRI if in doubt A4B Compliance Monitoring

23. Maintain Accurate Project File Ensure robust project management system and audit trail Don’t move funding without A4B permission Revisit Milestones and Cashflow in contract Verify Eligibility of Expenditure with DRI Focus on Targets – convergence v non convergence Keep on Top of Paperwork – company evidence, data collection, timesheets No Nasty Surprises - Keep DRI Informed Good Practice Guide for A4B projects

24. Collaborative R&D Enterprises Assisted Products registered Products Launched JobsInvestment Induced Extra Funding Environ mental Transfer Welsh Composites Centre 206010 7£250k£900k Simulated Based Product Design SBPD 127842215£1.4m Print FM245821810£1.18m Mimo test Bed310333£257k2 Cyro SEM825£66k£1.7m4 Welsh Ultra Efficient Lighting 51523 Membrane and Surface Technologies 2038358£320k£800k13 Algal Technology CSAR1530325£685k£60k9 Summary of Knowledge Transfer Centre Outputs TOTAL 107314276348 £ 4.15m £ 3.46m 43

25. Collaborative R&D Enterprises Assisted Products registered Products Launched JobsInvestment Induced Environment al Transfer Sienz – Rapid Injection Moulding 633115£360K4 Sienz – Contour5(2) 123£377K2 Claypole – Printing Antibodies 4624£1M Guy – PV Solar45464£390K6 Brown - EMOC23114£337K2 Hassan – Insufficieny Fracture 332£290k Kingsley – Responsive Lung Control 33112£234k MinChen – Sports Visualisation 273210£62 Summary of CIRP Outputs TOTAL 2935132732 £ 3m 14

26. Summary of KEP Outputs Seminars held Scoping Discussions Projects Identified Network meetings Enterprise s Assisted Environment al Transfer Jones – Global Connect7537839 Claypole - GAIM330337154 Min Chen - Visualisation6505620 TOTAL 161334521744

27. Over 150 Collaborative R&D Over 420 Enterprises Assisted Over 130 New Products / Services registered or launched!!! Over 80 Jobs created or safeguarded Summary of Outputs

28. A4B File Please use as a guidance File will be updated as necessary Section 1 – Presentation and summary of projects Section 2 – Guidance and Application Forms Section 3 – Information for Business partners Section 4 - WAG funding agreement & procedural guidance Section 5 – Reporting and Monitoring Documentation

29. Conclusion and Contact Details Record Keeping is very IMPORTANT Auditing should be straightforward if records are kept Keep DRI in the loop Ali Parker 01792 602630, a.c.parker@swansea.ac.uka.c.parker@swansea.ac.uk Sarah Haynes 01792 295435 s.e.haynes@swansea.ac.uks.e.haynes@swansea.ac.uk Involve A4B team Richard Griffiths 01792 485718 richard.griffiths@wales.gsi.gov.uk Leanne Richards 01792 222435 leanne.Richards@wales.gsi.gov.ukleanne.Richards@wales.gsi.gov.uk Raelene Orton 01792 222469 raelene.orton@wales.gsi.gov.ukraelene.orton@wales.gsi.gov.uk Julie Cunnington Hill 029 2036 8492 julie.cunnington-hill@wales.gsi.gov.ukjulie.cunnington-hill@wales.gsi.gov.uk