Funding competition SBRI: Increasing access to and capacity in Occupational Health: Phase 1

Organisations can apply for a share of £1 million, inclusive of VAT, to develop innovative solutions that increase access for small and medium sized enterprises (SMEs) and the self-employed (SE) to Occupational Health Services (OHS).

Competition opens: Monday 30 January 2023
Competition closes: Monday 20 March 2023 11:00am

This competition is now closed.

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Description

This is a Small Business Research Initiative(SBRI) competition jointly funded by Department of Work and Pension (DWP) and the Department for Health and Social Care (DHSC).

There is currently a wide variation across the UK in access to occupational health services (OHS), with Large employers five times more likely to offer services than small employers.

The aim of this competition is to increase access for micro, small and medium enterprises (SMEs), and the self-employed to occupational health services. These groups are underserved by the current OHS provision and this competitions support will allow OHS providers to better utilise the capacity they have to serve this new demand.

Expert support such as occupational health services can be a critical component in helping supporting individuals remain in and return to work. It helps in reducing unnecessary sickness absence, supporting employers to retain valuable staff, increasing productivity, and enabling individuals to live better for longer.

Innovation, particularly in relation to service models that work for SMEs and the self-employed, with greater use of technology have an important role. It can help to ensure the market has the capacity and capability to deliver these services and increase employer demand for OHS.

This is phase 1 of a potential 2 SBRI phase competition. The decision to proceed with the invitation only phase 2 will depend on the outcomes from phase 1.

Only the successful applicants from phase 1 will be invited to apply to take part in a potential phase 2.

In applying to phase 1 of this competition you are entering into a competitive process.

Any adoption and implementation of a solution from this competition would be subject to a separate, possibly competitive, procurement exercise. This competition does not cover the purchase of any solution.

This competition closes at 11am UK time on the date of the deadline.

Funding type

Procurement

Project size

Up to £1 million, inclusive of VAT.

Who can apply

Your project

Projects must:

start on 1 June 2023
end by 31 January 2024
last up to 8 months

Applicant

To lead a project, you can:

be an organisation of any size
work alone or with others from business, research organisations, research and technology organisations or the third sector as subcontractors

This competition will not fund any procurement, commercial, business development or supply chain activity with any Russian or Belarusian entity as lead or subcontractor. This includes any goods or services originating from a Russian or Belarusian source.

Contracts will be awarded to a single legal entity only. However, if you can justify subcontracting components of the work, you can engage specialists or advisers. This work will still be the responsibility of the main contractor.

Funding

A total of up to £1 million, inclusive of VAT, is allocated to phase 1 of this competition.

Phase 1 feasibility study R&D contracts will be up to £100,000, inclusive of VAT, for each project for up to 8 months.

The potential Phase 2 will be invitation only to selected successful applicants from Phase 1. Up to £1 million, inclusive of VAT is planned to be allocated for Phase 2. Phase 2 projects can have costs up to £250,000 inclusive of VAT and last up to 12 months.

The total funding available for the competition can change. The funders have the right to:

adjust the provisional funding allocations between the phases
adjust the timing between the phases
apply a ‘portfolio’ approach

The contract is completed at the end of phase 1 and the successful organisation is expected to pursue commercialisation of their solution.

Value Added Tax (VAT)

You must select whether you are VAT registered before entering your project costs.

VAT is the responsibility of the invoicing business. We will not provide any further advice and suggest you seek independent advice from HMRC.

VAT registered

If you select you are VAT registered, you must enter your project costs exclusive of VAT. As part of the application process VAT will be automatically calculated and added to your project cost total. Your total project costs inclusive of VAT must not exceed £100,000.

Not VAT registered

If you select you are not VAT registered, you must enter your project costs exclusive of VAT and no VAT will be added. You will not be able to increase total project costs to cover VAT later should you become VAT registered. Your total project costs must not exceed £100,000.

Research and development

Your application must have at least 50% of the contract value attributed directly and exclusively to R&D services, including solution exploration and design. R&D can also include prototyping and field-testing the product or service. This lets you incorporate the results of your exploration and design and demonstrate that you can produce in quantity to acceptable quality standards.

R&D does not include:

commercial development activities such as quantity production
supply to establish commercial viability or to recover R&D costs
integration, customisation or incremental adaptations and improvements to existing products or processes

Subsidy control

SBRI competitions involve procurement of R&D services at a fair market value and are not subject to subsidy control criteria that typically apply to grant funding.

Your project

The aim of this competition is to increase access for the self-employed, micro, small and medium enterprises (SMEs), to occupational health services (OHS). These groups are underserved by the current OHS provision and this competitions support will allow OHS providers to better utilise the capacity they have to serve this new demand.

Your proposal must show how you will:

increase access to occupational health services for the self-employed, micro and SMEs
improve the provision of occupational health services so that the market can better utilise their capacity to serve the needs of more self-employed, micro, and SME businesses
evaluate approaches and contribute to the existing evidence base

In phase 1 your project must:

demonstrate an understanding of the principles of occupational health (OH) service provision
engage with occupational health service providers
engage with the self-employed, micro businesses and SMEs as potential users of OH services
produce an evidence-based theory of change and demonstrate its sustainability
evaluate your proposed approach and develop metrics that contribute to the existing evidence base
identify a clear route to market
demonstrate the technical, development and market feasibility of your proposed innovation
describe how your innovation is addressing challenges in OH provision and access.
establish ongoing collaboration between all members of the project team
formalise any required ethical approvals, data sharing agreements and contracts
include a milestone at one month before the project end for submission of a costed high level plan for a potential phase 2

At this stage contracts will be given for phase 1 only.

You must define your goals in your application and outline your plan for a potential phase 2 project. This is part of the full commercial implementation in your phase 1 application.

You must demonstrate a credible and practical route to market, so your application must include a plan to commercialise your results.

Specific themes

Your project can focus on one or more of the following:

improving the take up of occupational health services by the self-employed, micro businesses and SMEs through new ways of delivering occupational health
the utilisation of new technologies

Research categories

Phase 1: technical feasibility studies

This means planned research or critical investigation to gain new knowledge and skills for developing new products, processes or services.

In phase 1 the supplier will work closely with the stakeholders to develop a solution.

Phase 2: prototype development and evaluation

The outline plan for the potential phase 2 can include prototyping, demonstrating, piloting, testing and validation of new or improved products, processes or services in environments representative of real-life operating conditions.

The primary objective is to make further improvements on products, processes or services.

Projects we will not fund

We will not fund projects that:

do not demonstrate significant support and engagement from the occupational health sector
do not demonstrate sufficient support and engagement from the self-employed or groups representing them
do not demonstrate sufficient support and engagement from micro and SME employers or groups representing them
do not comply with the eligibility requirements
would directly duplicate other UK government or EU funded initiatives you have already been funded to deliver
are covered by existing commercial agreements to deliver the proposed solutions
include clinical trials, clinical studies, or fundamental research
require regulatory approval
involve the development of early-stage technologies
do not have relevance across the OH sector including SME providers
do not evidence the potential for their proposed innovation to generate positive economic or societal impact
are at late stage design development progressing an existing product or service towards final version

30 January 2023: Competition opens
2 February 2023: Online briefing event: join at 10.30am to attend
20 March 2023 11:00am: Competition closes
18 April 2023: Feedback
18 April 2023 4:51pm: Applicants notified
19 May 2023: Phase 1 contracts awarded

Before you start

By submitting an application, you agree to the terms of the draft contract which is available once you start your application. The terms of the contract are non-negotiable and are included in the draft contract. We reserve the right to change the terms and conditions if necessary.

The final contract will include any milestones you have agreed with the funding authority and will be sent to you if your application is successful. The contract is binding once it is returned by you and signed by both parties.

When you start an application, you will be prompted to create an account as the lead applicant or sign in as a representative of your organisation. Using your account, you will be able to track your applications progress.

As the applicant you are responsible for:

collecting the information for your application
representing your organisation in leading the project if your application is successful

You will be able to invite colleagues from your organisation to contribute to the application.

What happens next

A selected panel of assessors will review and score your application. You will be notified of the outcome and feedback will be provided. Contracts for phase 1 will then be issued to all successful applicants.

For the potential phase 2, assessors can also take into account the high level cost plan for phase 2,required as a milestone one month before the end of phase 1 and the end-of-phase report. They might ask a number of finalists to attend an interview or give a demonstration.

What we will ask you

The application is split into 3 sections:

1. Project details.

2. Application questions.

3. Finances.

You must read the guidance on applying for a competition on the Innovation Funding Service before you start.

Before submitting, it is the lead applicant’s responsibility to make sure:

that all the information provided in the application is correct
your proposal meets the eligibility and scope criteria
all sections of the application are marked as complete

You can reopen your application once submitted, up until the competition deadline. You must resubmit the application before the competition deadline.

Accessibility and inclusion

We welcome and encourage applications from people of all backgrounds and are committed to making our application process accessible to everyone. This includes providing support, in the form of reasonable adjustments, for people who have a disability or a long-term condition and face barriers applying to us. Read more on how we have made our application process accessible and inclusive to everyone.

You must contact us as early as possible in the application process. We recommend contacting us at least 15 working days before the competition closing date to ensure we can provide you with the most suitable support possible.

You can contact us by emailing support@iuk.ukri.org or calling 0300 321 4357. Our phone lines are open from 9am to 5pm, Monday to Friday (excluding bank holidays).

1. Project details

This section provides background for your application and is not scored.

Application details

Give your project’s title, start date and duration.

Who made you aware of the competition?

Select a category to state who made you aware of the competition. You cannot choose more than one.

How long has your organisation been established for?

Select a category to state how long has your organisation been established for. You cannot choose more than one.

What is your organisation’s primary area focus?

Select a category to state your organisation’s primary focus area. You cannot choose more than one.

Project and scope summary

Please provide a short summary of your project.

Describe your project briefly. Be clear about what makes it innovative and how it relates to the scope of the competition. How does it tackle different aspects of the challenge and how will it provide an integrated solution?

Give details of the lead organisation. Before you submit, we expect you to have discussed your application within your organisation.

Your answer for this section can be up to 800 words long.

This section is not scored, but we will use it to decide whether the project fits the scope of the competition. If it does not, it may be rejected.

Public description

Please provide a brief description of your project. If your application is successful, we will publish this description. This could happen before you start your project. This question is mandatory, but we will not assess this content as part of your application.

Describe your project in a way that you are happy to see published. Do not include any commercially sensitive information. We have the right to amend the description before publication if necessary but will consult you about any changes.

Your answer can be up to 400 words long.

Applicant location

You must state the name of your organisation along with your full registered address.

You must also state the name and full registered address of any potential or confirmed subcontractors.

We are collecting this information to understand the geographical location of all participants of a project.

Your answer can be up to 400 words long.

2. Application questions

The assessors will score all of your questions except question 1 which is not scored.

Your answer to each question, apart from question 1, can be up to 400 words long. Do not include any URLs in your answers unless we have explicitly requested a link to a video.

Question 1. Themes (not scored)

Select one or more themes from the specific themes for this competition:

improving the take up of occupational health services by the self-employed, micro businesses and SMEs through new ways of delivering occupational health
the utilisation of new technologies

Your answer to this question can be up to 50 words long

Question 2. Proposed idea or technology

How does the project meet the challenge described in the competition scope?

Why is your proposed approach an impactful and innovative solution?

Provide a description of your proposed idea or technology

Include a description of the current state of development or readiness of the idea.

You can submit a single appendix as a PDF containing images and diagrams to support your answer. It can be no larger than 10MB and up to 2 A4 pages long. The font must be legible at 100% zoom.

This question will be scored against this assessment criterion: ‘How well does the proposal meet the challenge?’.

Question 3. Technical or Societal project summary

What are the main technical or societal challenges you are addressing?

Explain:

how you will address the challenge
what the innovation is
the main technical or societal deliverables
the research and development that will prove the scientific, environmental and commercial merit of the project
what might be achieved by deploying the innovation to address the selected challenge
any challenges or opportunities relating to equality, diversity and inclusion arising from your project

This question will be scored against this assessment criterion: ‘How valid is the technical approach?’.

Question 4. Current state of the art and intellectual property

Are similar products currently available in the market?

How is your proposed project differentiated from them?

You must include details of:

any existing intellectual property (IP)
its significance to your freedom to operate
novel concepts you develop or employ
new approaches or technologies you use
new tools or technologies
any existing know-how or unique access to a specific population

This question will be scored against these assessment criteria: ‘How innovative is this project? How much does the project develop or employ novel concepts, approaches, methodologies, tools or technologies for this area?’.

Question 5. Project plan and methodology

Describe your project plan and identify the main milestones.

The plan for phase 1 must be comprehensive. For the potential phase 2 only an outline plan is required. The emphasis throughout should be on practicality.

The emphasis throughout should be on practicality. You must provide evidence that the service or technology will work, can be made into a viable and scalable service or product and can achieve the proposed benefits.

You must:

describe resources that will be needed to deliver the project
describe what the main success criteria will be
identify the project management processes that will ensure you achieve the milestones
provide a clear plan for establishing technical and commercial feasibility
describe the main technical, commercial and environmental risks and what you will do to mitigate them
provide a clear plan for development of a working prototype
include a milestone at one month before the project end for submission of a costed high level plan for a potential phase 2

You must explain how you would handle any intellectual property (IP) issues which might arise during the project.

Include details of how you will maintain freedom to operate and fulfil the IP requirements detailed in the contract if you are working with subcontractors.

You must upload a project plan or Gantt chart as an appendix in PDF format no larger than 10MB and up to 2 A4 pages. The font must be legible at 100% zoom.

Your milestones must:

be clear
be defined using SMART (specific, measurable, achievable, realistic and time-bound) criteria
be associated with the appropriate deliverables and payments
indicate your payment schedule by month

This question will be assessed against these assessment criteria:

does the proposal show a clear plan for establishing technical and commercial feasibility and the development of a working prototype
is there a clear management plan
what are the main technical, commercial, societal and environmental risks to the project’s success
how will these be effectively managed
are the milestones, success criteria and evaluation procedures appropriate

Please note information from the finances section will be used to support the assessment of this question. Proposed milestones and associated payments stated in this section must match those entered in the finance summary on your application.

Question 6. Technical team and expertise

Who is in the technical team? What expertise do they offer?

Provide a brief description of your technical team, including any subcontractors.

Describe:

how each organisation has the skills, capabilities, and experience to deliver the intended benefits
how much of their time will be spent on the project

This question will be scored against this assessment criterion: Does the applicant have the skills, capabilities and experience to deliver the intended benefits?

Question 7. Costs and value for money

How much will the project cost for phase 1? How does it represent value for money for the team and the taxpayer?

Describe:

the total costs inclusive of VAT (If applicable) you are requesting in terms of the project goals
how this project represents value for money for you and the taxpayer
your expected overall costs for the potential phase 2

Proposed costs stated in this section for phase 1 must match those entered in the finance summary.

All costs quoted must reflect actual costs at a ‘fair market value’ and not include profit.

You can submit a single appendix as a spreadsheet in PDF format, no larger than 10MB and up to 2 A4 pages long to support your answer. The font must be legible at 100% zoom.

Indicate your potential costs for phase 2.

Progression to the potential phase 2 depends on your success in phase 1.

Please note that all payments are made monthly in arrears on submission of an invoice for completed milestones. The invoice must be submitted within 30 days of the end of each monitoring period for all completed milestones.

Full Economic Cost (FEC) calculations are not relevant for SBRI competitions. SBRI is a competitive process and applications will come from a variety of organisations. Whatever calculation you use to arrive at your total eligible project costs your application will be assessed against applications from other organisations. Bear this in mind when calculating your total eligible project costs. You can include overheads but remember that this is a competitive process.

The assessors are required to judge the application finances in terms of value for money. They will score your finances against this assessment criterion: ‘Are the budget and costs realistic, justified and appropriate for the aims and methods?

Please note information from the finances section will be used to support the assessment of this question. Proposed costs stated in this section must match those entered in the finance summary on your application.

Question 8. Commercial potential and scalability

What is the commercial potential of your project? You must focus on your proposed customer’s needs.

Describe your:

timescales
projects commercial potential for a marketable product, process or service
delivery plan
expected route to market

Describe the competitive advantage that your project has over existing or alternative technologies that meet market needs.

Describe any existing commercial relationships relevant to the project.

With the focus on your proposed customer’s needs, you can also mention the future commercial potential across the public or private sector and international markets.

This question will be scored against these assessment criteria:

is there a clear commercial potential for a marketable product, process or service
is there a clear plan to deliver that and a clear route to market
how significant is the competitive advantage of this technology over existing technologies that meet the market’s needs

Question 9. Business model

What is the proposed business model for driving forward the support and development of your solution after the project period?

Describe or explain how your solution will be supported after the project period.

This question will be scored against the assessment criterion: ‘Is there a sustainable business model proposed to scale the use, support and development of the proposed solution?’

3. Finances

Enter your phase 1 project costs, organisation details and funding details.

You must select whether you are VAT registered before entering your project costs. We advise you answer the VAT registered question first before entering your costs. Your total project costs must not exceed £100,000.

If you select you are VAT registered, you must enter your project costs exclusive of VAT. As part of the application process VAT will be automatically calculated and added to your project cost total.

VAT is the responsibility of the invoicing business. We will not provide any further advice and advise you to seek independent advice from HMRC.

For full information on what costs you can claim, see our project costs guidance.

Background and further information

About Small Business Research Initiative competitions

SBRI provides innovative solutions to challenges faced by the public sector. This can lead to better public services and improved efficiency and effectiveness.

The SBRI programme:

supports economic growth and enables the development of innovative products and services through the public procurement of R&D
generates new business opportunities for companies
provides a route to market for their ideas
bridges the seed funding gap experienced by many early-stage companies

SBRI competitions are open to all eligible organisations that can demonstrate a route to market for their solution. Under current regulations, SBRI contracts are open to applications from organisations registered in the UK, European Union (EU) and the European Economic Area (EEA).

The SBRI scheme is particularly suited to small and medium-sized businesses, as the contracts are of relatively small value and operate on short timescales. Developments are 100% funded and focused on specific identified needs, increasing the chance of exploitation.

SBRI is a procurement of R&D services. If successful, you will receive a contract to deliver the proposed activity. Costs quoted must reflect actual costs at a ‘fair market value’ and not include profit.

You must submit an invoice for the work undertaken. All payments are made in arrears on submission of an invoice. Invoices must be submitted within 30 days of the end of each monitoring period for all completed milestones.

If you are VAT registered, your total costs are expected to include VAT that you would charge as a service provider. VAT is the responsibility of the invoicing business, and applications are expected to list total costs inclusive of VAT.

Suppliers for each project will be selected by an open competition process and retain the intellectual property generated from the project, with certain rights of use retained by the contracting authority. This is an excellent opportunity to establish an early customer for a new technology and to fund its development.

Broader Information

The Work and Health Unit (WHU) is a government unit which brings together officials from the Department for Work and Pensions (DWP) and the Department of Health and Social Care (DHSC). The WHU will lead the government’s strategy supporting working age disabled people, and people with long term health conditions enter, and stay in, employment.

There is currently a wide variation in access to occupational health (OH) services. Large employers are five times more likely to offer OH than small employers.

Innovation, particularly in relation to service models that work for micro, small and medium sized enterprises (SMEs) and the self-employed, with greater use of technology have an important role. It can help to ensure the market has the capacity and capability to deliver these services and increase employer demand for OHS.

A key goal of the WHU is to increase access to quality occupational health (OH) support, particularly for SMEs and the self-employed.

The Health is Everyone’s Business (HiEB) consultation and subsequent response set out a range of measures. These aim to increase employer demand for and access to OH services, with a focus on SMEs and the self-employed.

Increasing access to OH services (OHS) can contribute to reducing ill-health related job loss, alongside other parts of the system.

Keeping disabled people and people with health conditions in employment is critical to support in closing the disability employment gap.

Expert support from OH services can be vital in supporting individuals to remain in, return to, and thrive in work, reducing unnecessary sickness absence, increasing productivity and enabling individuals to live better for longer.

It can also generate significant savings for the state Exchequer.

Occupational health services can include:

fitness for work assessments
health surveillance
advice on return to work and reasonable adjustments
vocational rehabilitation
case management
biopsychosocial approaches
signposting to services that treat specific conditions

Research commissioned by DWP identified:

innovation often needs to be justified by the potential to achieve operational efficiencies
smaller OH providers often lack the available finance to innovate and are therefore unable or unwilling to take the economic risk associated with innovation
smaller OH providers lack the qualified personnel and formal structures to stimulate innovation
difficulty justifying taking staff time away from service delivery, as a barrier to innovation
that a contributor to innovation constraints is a lack of understanding of OH’s benefits among SMEs and the self employed

Data sharing

This competition is jointly operated by Innovate UK, the Department for Health and Social Security (DHSC) and the Department for Wok and Pensions (DWP) (each an ‘agency’).

Any relevant information submitted and produced during the application process concerning your application can be shared by one agency with the other, for its individual storage, processing and use.

This means that any information given to or generated by Innovate UK in respect of your application may be passed on to DHSC or DWP and vice versa. This would include, but is not restricted to:

the information stated on the application, including the personal details of all applicants
scoring and feedback on the application
information received during the management and administration of the grant, such as Monitoring Officer reports and Independent Accountant Reports

Innovate UK, DHSC and DWP are directly accountable to you for their holding and processing of your information,

Innovate UK, DHSC and DWP are directly accountable to you for their holding and processing of your information, including any personal data and confidential information. Data is held in accordance with their own policies. Accordingly, Innovate UK, DHSC and DWP will be data controllers for personal data submitted during the application. Innovate UK’s Privacy Policy is accessible here.

Innovate UK complies with the requirements of GDPR, and is committed to upholding the data protection principles, and protecting your information. The Information Commissioner’s Office also has a useful guide for organisations, which outlines the data protection principles.

Next steps

If you are successful with this application, you will be asked to set up your project.

You must follow the unique link embedded in your email notification. This takes you to your IFS Set Up portal, the tool that Innovate UK uses to gather necessary information before we can allow your project to begin.

You will need to provide:

the name and contact details of your project manager and project finance lead
a redacted copy of your bank details

In order to process your claims, we need to make sure that the bank details you give to us relate to a UK high street bank that is regulated by the Prudential Regulation Authority (PRA). The account must have a BACS clearing facility and be in the same company name as your application.

If you have any doubts that your bank account will not meet Innovate UK's funding criteria, you can use the sort code checker. If you input the sort code and find a tick next to the ‘BACS Direct Credit payments can be sent to this sort code’, this will give you an indication that the bank account you hold is acceptable.

Finance checks

We will carry out checks to make sure you are an established company with access to the funds necessary to complete the project.

You must check your IFS portal regularly and respond to any requests we have sent for additional information to avoid any delays. We will also review your milestones, which, if not suitable, will need to be amended during project setup.

Failure to complete project setup may result in your contract being withdrawn.

Your Contract

Once you have successfully completed project setup, we will issue your contract.

The contract will be made available on your IFS portal. You will need to sign and upload this before you start your project, and this must be completed within 30 days of being notified your application was successful.

Your contract will show the start date for your project, do not start your project before this date. Any costs incurred before your start date cannot be claimed as part of your contract.

If your application is unsuccessful

If you are unsuccessful with your application this time, you can view feedback from the assessors. This will be available to you on your IFS portal following notification.

Sometimes your application will have scored well, and you will receive positive comments from the assessors. You may be unsuccessful as your average score was not above the funding threshold or your project has not been selected under the portfolio approach if this is applied for this competition.

Further help and guidance

If you want help to find an organisation to work with as a subcontractor, contact the Innovate UK KTN.

If you need more information about how to apply or have any questions about the scope requirements, email support@iuk.ukri.org or call 0300 321 4357.

Our phone lines are open from 9am to 5pm, Monday to Friday (excluding bank holidays).

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