Green Home Finance Innovation FundApplication FormPlease read the Competition Guidance Notes carefully before completing this form and provide sufficient information to demonstrate compliance with the Eligibility Criteria and the Evaluation Criteria.
Applicants are encouraged to write self-contained responses, using the guidance provided to limit the size of the application. Applicants may annex additional material if it is relevant to the evaluation criteria and materially strengthens the application. Applicants are requested to maintain the structure of the application form.
Completed forms should be sent to [email protected] by 17:00 on Monday 14 October 2019.
This application has the following sections:
(a) Summary Information
(b) Eligibility criteria
(c) Proposal details
(a) Summary information
Summary information
Name of bidder
This should be the lead organisation for the proposed project
Project Title
Project summary
The public description of the project should be a brief non-confidential description of the project that BEIS may use in online or printed publications; please describe the project objectives and key deliverables and the expected project benefits
Estimated start date
Estimated end date
Total eligible project costs £
Total match funding contribution £
Total BEIS GHFIF Grant applied for £
Is this a collaborative application?
If Yes please provide contact and business details for all partners in Annex 1.
List of Annexes / Appendices Annex 1 – Partner information (for Collaborative projects only)Annex 2 – Declarations (mandatory)Annex 3 – GHFIF competition workbook (mandatory)Annex 4 – GHFIF competition finance form (mandatory)
Bidder Contact Details:
Name
Position
Organisation
Address
Telephone
Organisation Type Choose type
If type of organisation is ‘other’, please describe here:
Lead Organisation Details:
Number of employees (including directors)
Business Registration Number
Turnover (in most recent annual accounts) £ year end
Balance Sheet Total, in stated Turnover year (total assets net of depreciation)
£ as at
Business maturity Choose maturity
Does the business have a parent company? Choose an item
How is the business currently funded? (Choose all that apply)
No Funding Founders (including bank loans)
Friends and Family
Public Sector Grants
Angel Investment
Venture Capital Private Equity Stock Market Floatation
Other UK or EU public sector funding: With respect to this project or the technology it is based on, please list briefly the source and amount of any public-sector support you are receiving or have received in the past 10 years, or
which is currently being sought (please add further details in a separate annex if necessary).
Undertakings in difficulty: Does your company or any other company in your consortium meet the ‘undertaking in difficulty’ definition set out in the General Block Exemption Regulation 2014 (GBER). Please see Annex 3 of the GHFIF Guidance Document for the undertaking in difficulty definition.
Mandatory Exclusion Grounds: Does your company or any other company in your consortium meet any of the ‘mandatory exclusion grounds’ set out in Annex 2 of the GHFIF Guidance Document?
If yes, please state what criteria you meet.
Discretionary Exclusion Grounds: Does your company or any other company in your consortium meet any of the ‘discretionary exclusion grounds’ set out in Annex 2 of the GHFIF Guidance Document?
If yes, please state what criteria you meet.
Additional Exclusion Grounds: Does your company or any other company in your consortium meet any of the ‘additional exclusion grounds’ set out in Annex 2 of the GHFIF Guidance Document?
If yes, please state what criteria you meet.
Parent Company Details (if applicable)
Organisation name
Address
County
Postcode
Turnover (in most recent annual accounts)
£ year end
Balance Sheet Total, in stated Turnover year (total assets net of depreciation)
£ as at
Company maturity Choose an item.
(b) Eligibility Criteria
To be eligible to for the GHFIF competition, projects must comply with the following minimum requirements:
1. Eligibility QuestionsEligibility Questions (Pass/Fail) Evidence
1.1 Please confirm the location of the project.
1.2 Please confirm your organisation type and that you have previously lent to UK homeowners.
1.3 Please confirm the organisation and contact details of the lead applicant. Please list all project partners.
1.4 Please confirm the total amount of funding requested from BEIS (bids should not exceed £1.8m).
(c) Proposal details
2. Addressing the competition objectivesWorth 45% of the total marks – Word limit: 2,000 for each question.
2.1 Credibility of the chosen approach, and ability to achieve the competition objectives (15%).
2.1.1 Describe your proposed financial product.
Answer:
2.1.2 Explain how your product will achieve the competition objectives (as set out in the competition Guidance Document).
Answer:
2.1.3 Explain the activities that you plan to undertake to develop and pilot the financial product.
Answer:
2.1.4 Explain what method you plan to use to verify the energy efficiency works have been effective in increasing the overall energy efficiency of the properties involved in the pilot trial. Justify your selection of this method.
Answer:
2.2 Degree of innovation of the proposal, and the market gap it is filling including the added value compared to the existing activities (10%).
2.2.1 Outline what innovations will be applied within the project. Explain the current status of the product, and the expected outcome of the innovation activities.
Answer:
2.2.2 Describe the market gap that the financial product is addressing. Provide
evidence that the green finance product development activities supported by GHFIF would not be taken forward (or would be taken forward at a much slower date) without public sector funding.
Answer:
2.3 Saleability of the financial product, including number of agreements bidders expect to enter into by March 2021, the overall size of the market for the proposed product and the quality of evidence provided to underpin these assertions (15%).
2.3.1 Explain the planned size of your pilot trial. Please include your customer recruitment approach, your assessment of what constitutes an appropriate number of homeowners to trial the financial product and justify this number in terms of your typical lending rates for new products, and your own internal requirements for proof of viability of financial products.
Answer:
2.3.2 Estimate the potential scale of the financial product if it were to be offered as a standard product in your lending portfolio. What is the overall size of the market, and how much of that market could your product access? Please support your answer with evidence where possible.
2.4 Quality and credibility of the plan for continued operation of the product or service after March 2021 (5%).
2.4.1 Explain your planned approach for continued operation of the financial product after March 2021 if the pilot trial proves to be a success. Outline the necessary steps to roll out or integrate the new financial product into your current portfolio of financial products.
Answer:
3. DeliverabilityWorth 25% of the total marks. Word limit: 1,000 per question.
3.1 Appropriateness and credibility of the project work plan, milestones, and deliverables (15%).
3.1.1 Outline the project milestones and deliverables. This should include a detailed delivery plan with associated timelines (including a Gantt chart provided in Annex 3A) which identifies various activities and milestones and invoice values. (Note: The March 2021 deadline is for signed-up participants in the trial. Actual implementation of energy efficiency measures using the financial product is expected to take place during the rest of 2021)
Answer:
3.1.2 Describe why the identified project plan is structured as it is and any key dependencies within it.
Answer:
3.1.3 Please describe the current development status of the project (e.g.in relation to consortium formation, procurement needs and procedures, technical development) and show how the project plan will advance it to completion.
Answer:
3.1.4 Are there any external factors that may influence your ability to deliver the project within the timescales outlined in the competition guidance document?
Answer:
3.2 Appropriateness of project management structure and partners roles (5%).
3.2.1 Please provide a description of your project management approach, explaining how you will deliver the project to the identified timescales.
Answer:
3.2.2 Please provide a management diagram summarising the structure you are proposing and the roles of any partners.
Answer:
3.2.3 Describe any necessary partner, stakeholder and supply chain relationships appropriate for the delivery of this project.
Answer:
3.3 Detailed understanding of the project risks and their management (5%).
3.3.1 Key risks and dependencies along with a proposed mitigation plan are to be presented in the table provided (Annex 3B) along with plans for ongoing risk management.
Answer:
4. DisseminationWorth 5% of the total marks. Word limit: 1,000 per question
4.1 Detailed plans to disseminate the learnings from the project.
4.1.1 Describe your plans to disseminate the learnings from the project.
Answer:
5. Skills and expertiseWorth 10% of the total marks. Word limit: 1,000 per question
5.1 Evidence of track record of project delivery (5%).
5.1.1 Demonstrate the organisation is able to deliver the project. Give examples of
previous projects in this and related topic areas.
Answer:
5.2 Capacity, experience and capability of the proposed project team members (5%).
5.2.1 Explain how the project team has the appropriate skills and experience to deliver the project with clearly defined roles and responsibilities and time committed to the project. You should present evidence of the skills and experience of the team working on the project in the form of short single-paragraph biographies of key team members.
Answer:
6. Costs Worth 15% of the total marks
6.1 Credibility and robustness of detailed project costing, including justification of the costs and leverage of other funding sources (15%).
6.1.1 Please complete the costing annex detailing all relevant project costs for each of the cost categories. Use the space provided to explain why the costs are appropriate (e.g. why a certain level of staff/expertise is required for a given task, why specific purchases are required etc).
Answer:
6.1.2 Please confirm the matched funding you have in place to cover the total project costs that are not being provided by the GHFIF grant funds and provide evidence of how this matched funding has been secured. Append any necessary supporting information to your application.
Answer:
6.1.3 Complete the State Aid table (Annex 3C), outlining any uplifts you wish to claim, and providing evidence as to why they are applicable to your project. Enter the
summary information from Annex 3 below.
Total eligible project costs: £______
Amount of grant requested from GHFIF competition: £______
Overall grant intensity being applied for: ____%
7. Application ApprovalPlease ensure a suitable representative from the lead applicant business and for a formal collaboration project, a representative from each of the project partners who are seeking BEIS funding, checks and signs this application before returning it to BEIS to indicate their knowledge and approval of the application.
Name of organisation
Name of signatory & position in
organisation
Signature Date
Please add rows for additional project partners, if needed.
Annex 1 – Partner Information (for Collaboration Projects only)
Contact Details – Partner 1
Title Name
Position
Telephone Mobile
Organisation name
Address
.
.
Town/City
Postcode
Organisation Type Choose type
If type of business is ‘other’, please describe here:
Organisation Details – Partner 1
Number of employees (including directors)
Business Registration Number
Turnover (in most recent annual accounts)
£ year end
Balance Sheet Total, in stated Turnover year (total assets net of depreciation)
£ as at
Business maturity Choose maturity
Does the business have a parent company?
Choose an item
How is the business currently funded? (Choose all that apply)
No Funding
Founders (including bank loans)
Friends and Family
Public Sector Grants*
Angel Investment
Venture Capital
Private Equity
Stock Market Floatation
*With respect to this project or the technology it is based on, please list any public-sector support received in past 10 years, or currently being sought (please add further details in a separate appendix if necessary)
Parent Company Details (if applicable)
Organisation name
Address
County
Postcode
Turnover (in most recent annual accounts)
£ year end
Balance Sheet Total, in stated Turnover year (total assets net of depreciation)
£ as at
Company maturity Choose an item.
(Repeat both tables above as required for each partner organisation)
Annex 2 - Declarations
Declaration 1: Statement of non-collusion
To: The Department for Business, Energy and Industrial Strategy
1. We recognise that the essence of competitive tendering is that the Department will receive a bona fide competitive tender from all persons tendering. We therefore certify that this is a bona fide tender and that we have not fixed or adjusted the amount of the tender or our rates and prices included therein by or in accordance with any agreement or arrangement with any other person.
2. We also certify that we have not done and undertake not to do at any time before the hour and date specified for the return of this tender any of the following acts:
(a) communicate to any person other than the Department the amount or approximate amount of our proposed tender, except where the disclosure, in confidence, of the approximate amount is necessary to obtain any insurance premium quotation required for the preparation of the tender;
(b) enter into any agreement or arrangement with any other person that he shall refrain for submitting a tender or as to the amount included in the tender;
(c) offer or pay or give or agree to pay or give any sum of money, inducement or valuable consideration directly or indirectly to any person doing or having done or causing or having caused to be done, in relation to any other actual or proposed tender for the contract any act, omission or thing of the kind described above.
3. In this certificate, the word “person” shall include any person, body or association, corporate or unincorporated; and “any agreement or arrangement” includes any such information, formal or informal, whether legally binding or not.
……………………………………………………………………………….….Signature (duly authorised on behalf of the tenderer)
……….………………………………………………………………………….Print name
…………………………………………………………….…………………….On behalf of (organisation name)
…………………………………………………………………….…………….Date
Declaration 2: Form of Bid
To: The Department for Business, Energy and Industrial Strategy
1. Having considered the grant funding opportunity and all accompanying documents(including without limitation, the terms and conditions of the grant opportunity and the Specification) we confirm that we are fully satisfied as to our experience and ability to deliver the goods/services in all respects in accordance with the requirements of this competition.
2. We hereby bid and undertake to provide and complete all the services required to be performed in accordance with the terms and conditions of the agreement and the Specification for the amount set out in the Pricing Schedule.
3. We agree that any insertion by us of any conditions qualifying this grant proposal or any unauthorised alteration to any of the terms and conditions of grant agreement made by us may result in the rejection of this bid.
4. We agree that this proposal shall remain open to be accepted by the Department for 8 weeks from the date below.
5. We understand that if we are a subsidiary (within the meaning of section 1159 of (and schedule 6 to) the Companies Act 2006) if requested by the Department we may be required to secure a Deed of Guarantee in favour of the Department from our holding company or ultimate holding company, as determined by the Department in their discretion.
6. We understand that the Department is not bound to accept the lowest or any proposal it may receive.
7. We certify that this is a bona fide proposal.
…………………………………………………………………………........Signature (duly authorised on behalf of the tenderer)
…………………………………………………………………………………Print name
………………………………………………………………………….On behalf of (organisation name)
………………………………………………………………………….Date
Declaration 3: Conflict of Interest
I have nothing to declare with respect to any current or potential interest or conflict in relation to this research (or any potential providers who may be subcontracted to deliver this work, their advisers or other related parties). By conflict of interest, I mean, anything which could be reasonably perceived to affect the impartiality of this research, or to indicate a professional or personal interest in the outcomes from this research.
Signed …………………………………….
Name …………………………………….
Position …………………………………….
OR
I wish to declare the following with respect to personal or professional interests related to relevant organisations*;
X X
Where a potential conflict of interest has been declared for an individual or organisation within a consortium, please clearly outline the role which this individual or organisation will play in the proposed project and how any conflict of interest has or will be mitigated.
X X
Signed …………………………………….
Name …………………………………….
Position …………………………………….
Please complete this form and return this with your ITT documentation - Nil returns are required.
* These may include (but are not restricted to);
A professional or personal interest in the outcome of this research
For evaluation projects, a close working, governance, or commercial involvement in the project under evaluation
Current or past employment with relevant organisations
Payment (cash or other) received or likely to be received from relevant organisations for goods or services provided (Including consulting or advisory fees)
Gifts or entertainment received from relevant organisations
Shareholdings (excluding those within unit trusts, pension funds etc.) in relevant organisations
Close personal relationship or friendships with individuals employed by or otherwise closely associated with relevant organisations
All of the above apply both to the individual signing this form and their close family / friends / partners etc.
If your situation changes during the project in terms of interests or conflicts, you must notify BEIS straight away.
A DECLARATION OF INTEREST WILL NOT NECESSARILY MEAN THE INDIVIDUAL OR ORGANISATION CANNOT WORK ON THE PROJECT; BUT IT IS VITAL THAT ANY INTEREST OR CONFLICT IS DECLARED SO IT CAN BE CONSIDERED OPENLY.
Declaration 4: The General Data Protection Regulation Assurance Questionnaire for Bidders
The General Data Protection Regulation Assurance Questionnaire for Contractors
Name of Organisation:
Name:
Position:
Email:
Declaration: SelectI certify that this questionnaire has been completely accurately on behalf of the organisation.
Documentation: Information you hold Select StatusYour business has conducted an
information audit to map data flows.Not yet implemented or
planned to be implementedPartially implemented
Successfully implementedNot applicable
Your business has documented what personal data you hold, where it came
from, who you share it with, and what you do with it.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicableNOTE: You may be required to make these records available to the Information
Commissioner's Office (ICO) on request.
Accountability & Governance Select StatusYour business has an appropriate data
protection policyNot yet implemented or
planned to be implementedPartially implemented
Successfully implementedNot applicable
Data Protection Officer (DPO) Select StatusYour business has nominated a data
protection lead or Data Protection Officer (DPO).
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Management Responsibility Select StatusDecision makers and key people in your business demonstrate support for data
protection legislation and promote a positive culture of data protection compliance across the business.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Information Risks & Data Protection Impact Assessments
Select Status
Your business manages information risks in a structured way so that management
understands the business impact of personal data related risks and manages
them effectively.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Data Protection by Design Select StatusYour business has implemented
appropriate technical and organisational measures to show you have considered and integrated data protection into your
processing activities.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Training & Awareness Select StatusYour business provides data protection
awareness training for all staff.Not yet implemented or
planned to be implementedPartially implemented
Successfully implementedNot applicable
The use of Sub-Processors Select StatusYour business has sought prior written
authorisation from BEIS before engaging the services of a sub-processor.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Operational Base Select StatusIf your business operates outside the EU,
you have appointed a representative within the EU in writing.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Breach Notification Select StatusYour business has effective processes to identify, report, manage and resolve any personal data breaches. BEIS must be
notified within 48 hours about any breaches involving personal data being
processed on our behalf.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Individual Rights: Right of Access Select StatusYour business has a process to respond
to a data controllers request for information (following an individuals'
request to access their personal data).
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Right to Rectification & Data Quality Select StatusYour business has processes to ensure that the personal data you hold remains
accurate and up to date
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Right to Erasure including Retention & Disposal
Select Status
Your business has a process to routinely and securely dispose of personal data that
is no longer required in line with agreed timescales as stated within your contract
with BEIS.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Right to Restrict Processing Select StatusYour business has procedures to respond to a data controllers’ request to supress the processing of specific personal data.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Right of Data Portability Select StatusYour business can respond to a request from the data controller for the supply of
the personal data you process in an electronic format.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Data Security: Security Policy Select StatusYour business has an information security policy supported by appropriate security
measures.
Not yet implemented or planned to be implemented
Partially implementedSuccessfully implemented
Not applicable
Declaration 5: Consent for Information Sharing
By submitting a proposal, you agree to the information provided in your application, including personal data, being used as described in the Privacy Section of the Storage at Scale Competition Guidance, and as indicated in this form.
Do you agree that the UK Department for Business, Energy & Industrial Strategy (BEIS) may access the information included in this document [required for consideration in the Competition]:
YES ___
Do you agree that the UK Department for Business, Energy & Industrial Strategy (BEIS) may share any information provided for the purposes of the Storage at Scale Competition with other funding entities of the:
● Government of the United Kingdom● Provincial, territorial, or municipal governments
YES ___
Full Name: ________________________________________________________________________
Address: ________________________________________________________________________
________________________________________________________________________
Signature: ____________________________________
Date: ____________________________________
Please complete and attach this form to your submission in order for information to be shared.