How to write a successful KTP project application guide

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TOP TIPS GUIDE HOW TO WRITE A SUCCESSFUL KNOWLEDGE T R A N S F E R PA R T N E R S H I P (KTP) PROJECT APPLICATION An easy-to-read guide to help you identify, scope and apply for your KTP project. This guide is intended primarily for academics but may also provide useful pointers for business partners.



CONTENTS What is KTP

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Why do KTP

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What makes a good KTP

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KTP Case-studies

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How do I apply for a KTP? 1.

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Partnership formation & relationship building

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2. Identification & scoping or a strategic project

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3. Completion of the outline document & engagement of the KT Adviser

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4a. Completion of the workplan

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4b. Completion of the main KTP application

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5. Signed collaboration agreement & commencement of Associate recruitment

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6. Award of grant offer letter & commencement of KTP project

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Talk to the Enterprise Programmes team

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W H AT IS A KTP? A Knowledge Transfer Partnership (KTP) is a mechanism to connect forward-thinking businesses with the UK’s world-class universities to deliver innovation projects led by inspired graduates or postgraduates. KTPs provide the structure to translate your research into business innovations that help shape the future. They have been helping businesses to innovate and grow for over 45 years.

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KTP enables the business to acquire new skills and the latest academic thinking to deliver a specific, strategic innovation project. KTP is: A unique, mutually beneficial, 3-way partnership between a business, at least 2 academics and a recent graduate or postgraduate. A strategic project that can last between 12 and 36 months, depending on the time required to deliver real outcomes. A project that addresses the business-critical needs of an organisation. A co-created collaboration that enables you to apply and transfer your knowledge and expertise to the ‘real world’. Led by a suitably qualified graduate or postgraduate (known as the KTP Associate) who is jointly recruited, employed by the University, based within the business, and supported by the academics. Supported by a dedicated Knowledge Transfer Adviser who is there at every stage to support and help the project succeed. KTPs are funded by a grant from UKRI through Innovate UK and the business partner. The typical total cost for a 24m KTP project is circa £180,000. For small and medium-sized businesses the grant rate is 67% of the project cost and for large businesses 50%. The remainder of the project costs are paid by the business partner. Innovate UK is the UK’s innovation agency. They help UK businesses to grow through the development and commercialisation of new products, processes and services to stimulate innovation in the UK economy.

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WHY DO A KTP? KTPS ARE TRUE PARTNERSHIPS, DESIGNED TO BENEFIT ALL THREE PARTNERS The University of Surrey success rate for KTP applications over the last 10 years is 100%.

ACADEMIC BENEFITS:

KTP ASSOCIATE BENEFITS:

Research income (£70-100k per year/project).

Fast-tracked career.

Business-relevant teaching & research.

Lead a project, delivering positive change.

REF impact case study.

A role that bridges academia and industry.

3/4* Publications (high-impact journal/ conference papers).

Apply academic knowledge to a real-life challenge.

Apply knowledge and expertise to solve real-world problems.

Dedicated development budget for personal training and professional qualifications.

Identify new research themes. Rewarding and ongoing collaboration with industry. Potential research commerciallisation opportunity (IP, patents, licensing, royalties). Opportunity for student projects & work-based activities.

BUSINESS PARTNER BENEFITS: Embed expertise, generate new knowledge, and expand capabilities.

Each year, Innovate UK invests in excess of £30 million towards funding KTP projects

Competitive advantage through accelerated innovation and the possibility of creating IP. Privileged and cost-effective access to academic expertise and university resources. Increase revenue/profits through access to new markets, new products or services, increased productivity and better processes. Strategic input from a highly experienced Knowledge Transfer Adviser.

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Source: https://www.ktp-uk.org


W H AT M A K E S A GOOD KTP PROJECT? A KTP project that tackles one or more challenges faced by the business partner. A KTP can be any kind of project but must show: How it helps the business meet a real need. How it fits the strategic aims of the business. A genuine market opportunity and a viable route to market. How the new knowledge will be embedded and exploited by the business. What makes the project innovative. At least 2 academics must jointly commit 10% of their time to a KTP. The Academic team is determined by the knowledge gap of the business partner and may be from the same department or multi-disciplinary. A KTP is a mechanism to grow a partnership with a UK business, providing opportunities for ongoing collaboration. The Enterprise Programmes team provide full support to help to develop or grow your industry collaborations; whether you wish to renew an old relationship, energise an existing connection, or kick-start a new one, we are here to support you through your KTP and beyond. The following pages provide a few examples of the University of Surrey’s KTP projects.

Source: https://apply-for-innovation-funding.service.gov.uk

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P L A S T I PAC K PROJECT TITLE:

To develop new high performance water cover products and enhance existing products using light-matter interactions and to enable bespoke product design for new and existing markets.

2 published scientific papers.

BUSINESS PARTNER:

Created new jobs.

Plastipack is a Hastings-based specialist manufacturer of energy and resource saving water covering products for swimming pools and water storage solutions. ACADEMIC EXPERTISE:

Expertise in optical properties and product characterisation from the Department of Physics and the ATI was provided by Professor Stephen Sweeney, Dr Steve Clowes, and Dr Marian Florescu.

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KEY OUTCOMES:

REF 2021 Impact Case Study. PTY placements and MSc student projects. Patented new product and licensing agreement. Entered new countries and markets through the design of bespoke products. Increased profitability. Won Institute of Physics Business Innovation Award. Built new testing facility. PARTNERSHIP:

Prior to the KTP project Plastipack undertook a 12 month KTP project and an Impact Acceleration Account project with the University of Surrey. During the KTP project Plastipack employed a PTY placement student and they have continued to recruit a PTY placement student each year. Further opportunities for collaboration are in discussion.


P L A S T I PAC K “As a result of the research and innovations achieved, we have been able to increase the sales share of our premium performance products. This has, in no small part, been due to the development of the unique testing facility designed in collaboration with the KTP partnership with the University of Surrey. We have been able to focus our efforts on the creation, promotion and growth of better-performing, longer-lasting and more sustainable materials.” Tim Fielder, Product Development Manager, and the team at Plastipack Ltd

“Working with industry has been incredibly interesting and it was rewarding to see the work of the partnership lead to real benefits for the company and the development of new products.” Dr Steven Clowes, Department of Physics

“I believe the KTP is the best funding scheme for innovation that truly benefits all parties. As an Associate you are exposed to an exciting field environment with access to top knowledge and facilities at the University while being simultaneously strongly stimulated by market driven applications and business related situations.” Dr Remi Wache, KTP Associate

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AT M E D I C S PROJECT TITLE:

To Plan, develop and implement the Primary Care Quality Dashboard (PCQD) system to measure performance, evaluate innovation and expansion opportunities in a leading medical provider company. BUSINESS PARTNER:

AT Medics were London’s largest primary care provider, caring for over 270,000 patients through 37 Primary Care Sites in 16 London regions. AT Medics was taken over by Operose Health, a UK subsidiary of US health insurance group Centene Corp, in early 2021, creating the largest private supplier of GP services in the UK, with 58 practices covering half a million patients. ACADEMIC EXPERTISE:

This KTP provided an opportunity for academics to come together from the departments of Clinical & Experimental Medicine, Computer Science, and Surrey Business School. It provided an opportunity to work with, and appreciate, at first hand, the challenges faced by a leading primary care provider and apply academic expertise to solve real-world problems.

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KEY OUTCOMES:

REF 2021 Impact Case Study. Significant Business transformation. Creation of a primary care quality dashboard to improve patient care. Commercialisation of the new solution via a spinout company. Dashboard capable of helping to inform business decisions. Business operations improvements that aided the expansion from 15 to 37 sites across London. PARTNERSHIP:

The KTP provided an opportunity for the academic team to work closely with the business and to gain valuable insights to inform university teaching and research and produce publications in key medical journals. The Associate took part in the Surrey Executive MBA programme and delivered a colloquium. Other company staff also undertook professional development and contributed to the programme. The company employed the Associate as the Head of Business Intelligence.


AT M E D I C S “KTP is a unique and exciting opportunity to lead a strategic project in an industrial setting whilst maintaining connections with academia. I received invaluable support from the company, the KT Adviser and, importantly, the University team who helped aid my development and accelerate my career path.” Dr Alireza Ettefaghian, KTP Associate

“This collaboration was a unique opportunity to engage in high-impact research and develop new approaches in practice-based data analytics. We are delighted that this research helped to deliver real transformation in primary care practice, management, and decision making; resulting in significant benefits for both AT Medics and patient care.” Prof Lampros Stergioulas, Department of Business Transformation

“Our business intelligence solution has become the nucleus of our business. It is used to help inform decision making, whilst drawing attention and a national reputation as a solution for GPs and providers everywhere. Working with Surrey has been a great pleasure and very useful.” Dr Aumran Tahir, GP Director & Founder, AT Medics

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V I S TA F O L I A PROJECT TITLE:

To Establish a UK R&D base and develop a bio-based polymer with measurable ultraviolet stability and fire-retardant qualities while still allowing for injection moulding to create artificial foliage. The new polymer will have recyclable qualities for a better end of life use and to reduce plastic waste. BUSINESS PARTNER:

Vistafolia is an SME based in Surrey. The company designs, manufactures and supplies unique and versatile ultra-realistic lush artificial green wall systems which are sold globally. The systems offer a sustainable alternative to living green walls, reducing water, fertiliser, pesticide, energy, and carbon usage, through its low maintenance solution. ACADEMIC EXPERTISE:

This 2-Associate KTP required a multidisciplinary approach combining expertise in product characterisation, synthesizing polymers, materials science and engineering design from Professor Jhuma Sadhukhan, Centre for Environment & Sustainability, Dr Peter Roth, Chemistry, and Dr Iman Mohagheghian, Mechanical Engineering Sciences.

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KEY OUTCOMES:

Plan to publish at least three 4* journal/ conference papers. Provide case studies for teaching, and final year projects and PhD/EngD topics. Sustainability theme and potential REF Impact case study. Establish a new R&D facility. Develop new and improved environmentally friendly formulations. Develop ultra violet stability and fire-retardant qualities. Transform the Business to enable it to enter new markets. Increase profitability. PARTNERSHIP:

The KTP has provided the opportunity to bring three disciplines together in one project and support two KTP Associates; one being a Surrey postdoc. The Business Partner produced a short video to promote the start of the KTP. The filming was undertaken in the University of Surrey labs to showcase the partnership and the work being undertaken. The two Associates have participated in University run modules engaging with our students. The partners are also looking for additional ways to work together.

KTP can be suited to any academic expertise. There are many more examples available.


V I S TA F O L I A “We’re delighted to be working in conjunction with the University of Surrey on a project that will greatly expand our R&D process and help us continue to be the leaders in the industry, pushing the boundaries of what is possible. To become the first and only manufacturer moving to a bio-based polymer will represent a huge step forward for the future of artificial plants and will serve to strengthen our position as a UK-led global business.” Paul Alder, Managing Director from Vistafolia

“This KTP will be complementary to the University of Surrey’s strategic sustainability research theme and the special interest group on Plastics in the Environment. It is an example of how the University is helping to achieve the UK’s zero-waste strategy and of the success of the University’s Enterprise Programmes Team, in particular, Dan Bance, in actively engaging with industry.” Dr Jhuma Sadhukhan, Centre for Environment & Sustainability

“I am very excited to be a part of a multidisciplinary academic team working with Vistafolia to establish the knowledge and technology for manufacturing high performance and sustainable products.” Dr Iman Mohagheghian, Mech Eng.

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TOP TIPS GUIDE

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H O W D O I A P P LY FOR A KTP An easy-to-read guide to help you apply for a KTP.

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HOW DO I A P P LY FOR A KTP? A KTP application must be led by the University, completed jointly with a business partner and supported by a Knowledge Transfer Adviser. The Enterprise Programmes team are the point of contact for all of the University of Surrey’s KTP-related matters, including the applications. We are here to support you throughout your KTP, managing the whole process from partnership formation to project closure. We support you to develop your relationship with the business partner beyond the KTP project.

KTP is an open call, applications can be submitted at anytime. However, there are application deadlines every two to three months.

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3

Partnership formation & relationship building

Identification & scoping of a strategic project that meets the KTP criteria

Completion of the outline document & engagement of the KT Adviser

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5

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Completion of the work plan & main KTP application

Signed Collaboration Agreement & commencement of Associate recruitment

Award of Grant Offer Letter & commencement of KTP project

If you are interested in finding out more about KTP, or in applying for a KTP project, contact the Enterprise Programmes team at collaborate@surrey.ac.uk

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PA R T N E R S H I P F O R M AT I O N & R E L AT I O N S H I P B U I L D I N G IDENTIFY A SUITABLE BUSINESS PARTNER The business partner must be: A UK-registered company. Financially capable of making the required contribution to the cost of running a KTP. Able to demonstrate a commitment to carry out the project and ensure senior management buy-in and direction. Able to demonstrate that they have the capacity to support the project and the Associate. Willing to provide additional resources from their own workforce/facilities. Able to make significant use of the new embedded capability to transform the business. Able to commercially exploit the outcomes of the KTP project. Finding a partner and building a relationship takes time and patience. Networking is key to finding a business partner. You may have to reach out to several businesses and participate in many meetings before you find the one that is right for you and for KTP.

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For further support and top tips on how to find a business partner refer to the “How to collaborate with SMEs” guide and contact the Enterprise Programmes team at collaborate@surrey.ac.uk

INTRODUCTORY MEETING The Enterprise Programmes team will schedule and facilitate an introductory meeting with at least 2 academics and the business partner to discuss the business needs, the academic expertise, and the KTP Programme. Further scoping sessions, as required, will be scheduled and facilitated by the Enterprise Programmes team to identify a project that meets the KTP criteria. A KTP is a relationship. It is a journey that requires regular, meaningful, open dialogue, the sharing of ideas, and collaborating within a trusted relationship.


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I D E N T I F I C AT I O N & S C O P I N G O F A S T R AT E G I C P R O J E C T The Business should have a strategic project in mind, though might not necessarily know how to deliver it. Open discussions are encouraged to define a project that benefits all partners. Each partner plays a specific role in the support and delivery of the KTP. The Enterprise Programmes team will help facilitate these scoping discussions.

KTP CRITERIA The project must be of strategic relevance to the business, with high impact, innovation and challenge. Project objectives must be clearly defined and agreed by all parties. There must be a sound business case delivering transformation, return on investment and productivity gains. Realistic expectations of what can be achieved. Background Intellectual Property and expectations on Arising Intellectual Property must be clear. The team must be committed to developing the relationship, being flexible in sharing knowledge in the delivery of the project. The project should be intellectually challenging with quantifiable benefits and impact for all 3 partners.

There must be a clear need for the academic input. The business must be capable of making significant use of the knowledge, skills and/or capability to be transferred. The team must provide support to motivate the Associate who works within the business. All partners should demonstrate ownership of the project - this is a partnership. The academic team must provide a joint weekly commitment of at least 10% of their time, including weekly virtual meetings with the Associate. The partners must commit to: Supporting and guiding the Associate. Monthly technical/operational meetings between all partners, held face-to-face at the business premises. Quarterly Local Management Committee (LMC) progress meetings between all partners and with the KT Adviser.

Once the Enterprise Programmes team are satisfied that the proposed project meets the KTP criteria, the team will be invited to complete the outline document.

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COMPLETION OF THE OUTLINE DOCUMENT & ENGAGEMENT OF THE KT ADVISER The outline document summarises the proposed project and ensures that the team take full consideration of the KTP criteria before starting the main application journey. Key questions for the partnership to address include: What are the partners’ (in particular the business partner) trying to achieve? What is the scope and the objectives of the project and how is it innovative? How does the project fit the strategic aims of the business? What is the knowledge transfer? What knowledge/capability is the business missing and how does the academic input fill this gap? Why can’t the business partner undertake that work by recruiting an individual or by consultancy? What will be the legacy of the KTP? What will the business be able to do at the end of the KTP that they can’t do now? What is the quantifiable financial benefit and return on investment over a 5-year period to the business partner? What is the benefit and potential impact for each of the 3 parties?

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ENGAGING THE KNOWLEDGE TRANSFER ADVISER The Enterprise Programmes team are experienced in supporting Knowledge Transfer Partnerships, having maintained a 100% success rate over the last 10 years. Each KTP project is also supported by a dedicated Knowledge Transfer Adviser (KTA) who is employed by Innovate UK KTN. The KTA helps to facilitate the development of new partnerships and guide the team through the application process. Once a KTP is approved, they monitor and support progress throughout the life of the KTP. The Adviser is there at every stage to support and help the project succeed. They support the academics to ensure that their objectives are met; provide mentoring and guidance to the Associate and consultancy to the business. The KTA also provides access to the body of KTP experience and encourages best practice in knowledge transfer. The Enterprise Programmes team have close working relationships with the KTAs, and we will liaise with the assigned KTA once we are satisfied that there is potential for a fundable project, i.e. the project has been articulated well in the outline document. In order to get the adviser on board, we require: A clear and complete outline document. A full set of the business partner’s most current financial accounts to demonstrate affordability for the KTP.

Once the KTA is engaged, we can move forward to the main KTP application and workplan.

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4a C O M P L E T I O N

OF THE WORKPLAN

The Enterprise Programmes team run a mandatory workshop with both partners to provide guidance on the completion of the workplan and main application. We will facilitate further meetings/workshops, as required, to support you to complete the application. These may involve the KT Adviser.

Describe what tasks need to happen, detailing for each task when, where, and with whom.

A detailed workplan forms part of the application, it is essentially a step-by-step guide for the project. A template will be provided by the Enterprise Programmes team. The workplan should be completed first, by the academics in conjunction with the business staff. This will then help the team to clearly describe the project within the main application. Don’t start to develop the workplan until the business case has been fully developed and the project outcomes needed for commercial success and creation of a legacy have been identified, understood and agreed.

Include references to (strategic) decision points, reporting points, publications, and conferences.

The work plan should: Be broken down in to work packages and tasks (each task should be for a minimum duration of 0.25 months and a maximum duration of 2 months).

Describe the outputs of each task, linking them to the delivery of the business case. Demonstrate clear and continuous transfer and embedding of new knowledge, including regular meetings.

There are standard activities that should not be changed, including: KTP Associate inductions. 10% of the project is ring-fenced for Associate Development. The Associates annual leave entitlement which is in line with the business partner’s. A mandatory mini-project (1-2 weeks). Project planning and management. A completed workplan should confirm a realistic timeline (duration) for the KTP project which should be between 12 and 36 months.

There must be cohesion and consistency between the workplan and the main application.

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4b

COMPLETION OF THE M A I N K T P A P P L I C AT I O N Completing the main application is an iterative process which should be undertaken jointly by the business and academics. The Enterprise Programmes team facilitate workshops and provide support to help guide you through the questions. The KT Adviser also provides support. Attendance by both the business team and academic team at the workshops and commitment to the application reduces the time it takes to complete the application. The costing is completed by the Enterprise Programmes team. The academic should submit an Intention to Bid Form and discuss the application with their Head of Department.

TOP TIPS FOR COMPLETING THE APPLICATION: A KTP application is different to a research grant application - the project should be business-led and present a sound business case.

The Enterprise Programmes team will provide you with a Word template of the application which will include essential ‘tips’ to help complete each question.

It’s really important to understand what Background IP each party is bringing to the project, what Arising IP may be generated and what the partners’ expectations are around ownership of IP.

Avoid the use of very technical language, define acronyms and assume that your application will be assessed by a non-specialist.

We recommend that the business partner completes the market awareness sections of the application first as these can be the toughest questions to address.

Write a coherent, compelling, simple story - Be as clear and as concise as possible. Read each question carefully and ensure that you only answer what is needed. Try to respond to each of the bullet points in turn.

If the application is in scope, the assessors will score it holistically, using four key criteria: IMPACT, CHALLENGE, INNOVATION & COHESIVENESS Each area will be scored out of 10 marks. Assessors will also consider the viability of the overall project including consideration of project affordability and commercialisation of outcomes.

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4b The first good-quality draft of the application should be ready at least one month before the planned submission month. The Enterprise Programmes team and the KT Adviser will review and provide feedback on the application. This is an iterative process. Once the application is considered near completion by the KTA, the Enterprise Programmes team will upload the application onto the Innovation Funding Service portal (IFS). As part of this process, all LMC members will be invited to register on the IFS where they will be able to review and contribute to the main online application.

Before the application can be submitted: All team members must have registered and have completed an EDI survey. The Business Partner must complete company specific information sections and declarations. The Joint Commitment Statement, signed by an authorised signatory of the University Innovation Directorate and the Business Partner, must be uploaded. Once, and only when, we are satisfied with our application, the Enterprise Programmes team will submit the application via the portal.

The Enterprise Programmes team are the only recognised party who, with the support of a KT Adviser, can submit a University of Surrey KTP application. The results are typically announced 8 to 10 weeks after the call has closed during which time (due to the high success rate of applications) we start progressing the collaboration agreement and the recruitment of the Associate.

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S I G N E D C O L L A B O R AT I O N AGREEMENT & COMMENCEMENT OF A S S O C I AT E R E C R U I T M E N T Whilst the outcome of the KTP application is awaited, the Enterprise Programmes team will help you to put in place the KTP collaboration agreement and start the recruitment of the Associate.

KTP COLLABORATION AGREEMENT The University of Surrey has a standard template for the KTP Collaboration Agreement. This sets out clauses covering IP ownership, confidentiality, publications, Associate management, commitment to the project, payment of the company contribution, etc. Once the partners’ expectations around Arising IP have been discussed and ownership agreed, the Enterprise Programmes team will send the collaboration agreement to the business partner for review and signature.

Once the collaboration agreement has been signed by both parties we are able to start the Associate recruitment process. Due to the high success rate of our KTP applications, we may be in a position to advertise the KTP Associate role “subject to funding”. We will not interview potential candidates until we receive the Grant Offer Letter from Innovate UK.

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5 KTP ASSOCIATE RECRUITMENT The Associate is formally employed by the University of Surrey but is based within the business. The Enterprise Programmes team will initiate, manage, and advise on the recruitment process, we will support the academics and business partner to draft a job advert and job profile to ensure it is appealing to a broad range of candidates and that we attract the best talent. The recruitment channels, selection, Associate salary and conditions of service will be agreed by both partners. The decision on which candidate to appoint rests with the partnership. The Enterprise Programmes team are experienced in Associate recruitment and are here to ensure we recruit a person with Associate qualities. It is important to ensure that the Associate: Fits the company environment in which they will carry out the project. Has the appropriate attitude to work harmoniously with all members of the project team. Has the aptitude to further develop the skills necessary to deliver a successful KTP project and build a successful career in a commercial environment. Has the essential communication skills to facilitate the transfer and embedding of knowledge. From receipt of the Grant Offer Letter, the partnership has 9 months to recruit a recent graduate or postgraduate (or postdoc) into the post of KTP Associate. The KTP project will start on the day on which the Associate commences work and will end on the last day of the Associate’s employment.

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AWARD OF GRANT OFFER LETTER & COMMENCEMENT OF KTP PROJECT The Enterprise Programmes team provide post-award project management support to ensure the successful delivery of the KTP project. Our role includes but is not restricted to the following: Inductions: we have produced handbooks for the company, academics and Associate comprising key information and tips to help you to manage your KTP project. We schedule induction meetings with each partner to run through the handbook. Relationship management: we provide support, advice and guidance to the partnership to ensure a successful project delivery and to identify and resolve any potential issues at an early stage. Associate support: we provide support to the Associate to help them understand their role and lead the project effectively. Progress meetings: we monitor and support the project progress and act as the secretariat to take the minutes of the quarterly Local Management Committee (LMC) meetings. Grant claims: we manage all grant claims and act as a central point of contact for Innovate UK. Partnership development: we encourage the partnership to consider and identify other opportunities for collaboration throughout and after the KTP project.

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TA L K TO T H E ENTERPRISE PROGRAMMES TEAM In addition to the support already outlined in this guide for KTP projects, please contact the Enterprise Programmes team if you: Would like to find out more about KTP, or hear about similar projects in your subject area.

Are seeking funding to support a collaboration with industry.

Need a business partner to proceed with your research and innovation project.

Need support to scope and develop your innovation funding application, e.g. an Innovate UK application.

Have been approached by a business who is interested in your research and wants to collaborate or hire you as a consultant.

Require help to informally negotiate a collaboration.

Are looking for support to facilitate meetings or workshops with business partners.

Would like someone to visit your Department and present a seminar on collaboration or, more specifically, on SME Innovation Vouchers, Knowledge Transfer Partnerships, Innovate UK funding or the SETsquared Scale-Up Programme.

collaborate@surrey.ac.uk


OTHER GUIDES F O R I N N OVATO R S INCLUDE: Collaborator Guide Inventor Guide Protocol on Student Intellectual Property

Top tips guides include: How to collaborate with SMEs How to write a successful Innovate UK Grant application How to set-up your Enterprise Programmes project (Pre-Award) How to successfully manage your Enterprise Programmes project (Post-Award)

collaborate@surrey.ac.uk


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