Tame the Whirlwind

 

Ashorne Hill - The home of Ashorne Advantage

  

Tame the Whirlwind of Change

Change can build quickly.

It gathers pace. One decision creates another. A new priority shifts the plan. A change in direction creates pressure somewhere else. Before long, what looked manageable can feel like a storm.

For anyone leading a project within an organisation, that uncertainty can make planning harder, priorities less clear and progress more difficult to maintain. The challenge isn’t stopping change; it’s knowing how to respond when everything around you starts to move.

At Ashorne Hill, there is space to do exactly that.

You can’t control the storm. But you can learn how to navigate it.

Reconnect with the Beyond KTP community, share experiences with other Associates and leave with fresh thinking you can take back into your role. 

If that sounds like a day well spent, we would love to see you there. 

Join us at Ashorne Hill and secure your place: https://lnkd.in/ddFKFd88 

Project Changes: Revisions and Early completion

1.         General

1.1       Various situations may occur to a Knowledge Transfer Partnership during its lifetime.  The more challenging issues to be resolved can include the Associate leaving early and the company partner withdrawing. 

1.2       The Grant Offer Letter (GOL) requires the Partnership to take action immediately when an event occurs which will, or is likely to, result in progress towards completion of the Partnership ceasing or being delayed, for example the resignation of a KTP Associate. The Knowledge Base Partner is required to notify Innovate UK without delay, about the occurrence of the event and the action, if any; it proposes to take in order that progress is resumed. 

1.3       When notifying delays in progress and preparing the case for action, the Partnership need to bear in mind the aims of KTP in delivering benefits to all three parties – a company, a knowledge base organisation and a graduate.  The guiding principal should therefore be to take actions that maximise these aims.

1.4       Before the Local Management Committee (LMC) decides on which course of action to undertake early discussions with your nominated KTP Adviser is essential. The KTP Adviser must agree to endorse any such actions and will take in to account the following LMC Guidance.

1.5       We continue to see a significant delay in the time taken for the Partnership to come to a decision and to then make the online revision request when there is a need to replace an Associate or Finish Off. This is inconsistent with one of the main aims of KTP to provide a timely strategic solution for the business partner. Innovate UK therefore expects to receive a revision request on the Portal within two months of the associate leaving and the revised end date (the last date the Associate is deemed to be working on the project).  Please make sure the operations team are notified of any changes as soon as possible. This must be done during the notice period or before they have actually left as this enables us to ensure, when appropriate, that automated email requests for the Final Report are sent in good time.  Taking action sooner rather than later can help to avoid disappointment as late requests to replace the Associate or finish off are unlikely to be supported.

1.6       It is unlikely that Innovate UK will agree for an Associate to be replaced more than once.  The replacement Associate must have started work on the project within 9 months of the revision request being agreed by the Innovate UK.

1.7       You are reminded that existing guidance on the revisions process states that if the project has a further 12 to 36 months to run a case to appoint a replacement Associate may be made.    In these circumstances Innovate UK expects the Partnership to recruit a replacement Associate and not ‘finish off’ the project by using a member of staff from the KB.  No additional funding will be made available when replacement associates are appointed.

 

 

2.         Guidance for the LMC Requests for additional funding and/or time extensions

2.1       The approval of any additional funding or time extension to complete the Project(s) is exceptional.  If the Local Management Committee wishes to seek additional funding or a time extension for the original Partnership the following should be noted.

 Normally, additional funding will only be considered in cases where an Associate has resigned within the first 2 or 3 months of an Associateship. 

• No application will be considered within three months of the end of a Partnership.
• Additional Government funding will not be provided to enable Associates to complete their Projects after the end of their contracts.  It is expected that any funding for this will be provided totally by Company Partners. 
• Confirmation that the company is prepared to contribute to its share of the costs involved is required before a revision request is commenced.  A letter from the company is required and should be attached to the application made via the Portal.
• Any additional grant funding awarded should be complemented by additional funding from the Company Partner in a proportion at least as large as the proportion of company funding contribution provided to the original budget.
• If an Associate leaves towards the end of his Associateship, the partners may apply to ‘finish off’ the Partnership, whereby another person can be employed to do the work but he/she is not classed as an Associate. 
• Someone appointed to ‘finish off’ is expected to already have the necessary skills needed to pick up the project and get started without any delay and they are not permitted to expend funds from the Associate Development Eligible Costs.  Innovate UK is unlikely to extend the end date of the project set for the last Associate.

2.2       In practice there are three approaches to consider:

 

Approach 1 - Closure

The Partnership closes.

 

Approach 2 - Replacement

A case is made for a replacement Associate to be appointed and for the Partnership to run for a further 12-36 months

Approach 3 – Finishing Off

A case is made for use of some of the remaining funds to realise a large part of the Partnership objectives, and at least secure benefits to two out of the three parties.

(This might be for example by employing a research assistant to complete the work or by releasing more academic time.  Without an Associate present, this approach is less satisfactory than Approach 2 in some respects, but it may deliver the hoped for benefits to the two remaining parties and maybe some benefits to a research assistant)

 

Where an Associate leaves at a key point during the implementation phase near the end of the project a revision request can be made to ‘finish off’.  Under these circumstances the person appointed to finish off is not deemed to be the Associate, and cannot make use of the Associate Development budget.  The rules on virement and what can be expended from each budget headings remains unchanged.  In particular moving funding into or out of Employment Costs is not permitted. Someone appointed to ‘finish off’ is expected to already have the necessary skills needed to pick up the project and get started without any delay.  Innovate UK is unlikely to agree to extend the end date beyond the date set for the last Associate.

 

The case should state what work is to be done and the benefits, what funding is required, normally from within the existing budget, how many months it will take and who is going to do it (note that it cannot be a company employee).

 

Which approach to pursue depends upon each case and should take into account the circumstances and the views of the company and knowledge base partners.

 

It should not be seen as an opportunity to seek additional funding or extend the life of the project and/or to undertake new work.

 

2.3       Possible scenarios are:

The Associate leaves near the end of the Partnership, with most of the objectives realised.  Approach 1 may be preferred with perhaps just local initiatives to round things off.

An Associate leaves during the first 2 or 3 months.  Approach 2 may be favoured.

The Associate leaves at a key point during the implementation phase near the end of the Partnership.  Approach 3 may be appropriate.

The company partner withdraws.  This would normally result in the end of the Partnership, but there may be exceptional cases where a short continuance - i.e. Approach 3 - would allow the agendas of the knowledge base partner and the Associate to be more fully realised.

 

In practice, Approaches 2 and 3 will always require the case to be made to Innovate UK using the Online Revision via the KTP Portal and approved before work is commenced.  Advisers should of course use their knowledge of the particular circumstances and their judgement to decide whether either course of action is in practice desirable.  Certainly Approach 3 is not intended to be a way of “using up remaining grant money” and should be driven by the implementation of the project.

3.         Guidance for the LMC Requests for Virement

The LMC is permitted to make decisions about Virement without having to make a formal request to Innovate UK and any decisions about virement must of course have the support of the nominated KTP Adviser.  No requests for virement may be made after the end date of the last project completion.  All requests must be supported by a justification as to why the request is being made.  It is not sufficient to just state that it was agreed by the LMC and then insert the amounts and all such requests must have the support of the KTP Adviser.

• No Virement may be made from the Associate Development heading.
• The decisions made by the LMC must be formally recorded in the minutes of the meeting and a copy of the LMC Minutes should be included as an attachment to the Revision application made using the KTP Portal.
• Should the need to action a Virement fall in between LMC meetings then the KTP Adviser must make this clear in the appropriate comment box.  Please note that where this has not been agreed in the last LMC minutes, the Knowledge Base must enter the date of the last meeting.

 5.         When Academics leave

5.1       KTP grants are given to the knowledge base, not individual academics so there is no ‘right’ for academics to take projects with them if they leave the knowledge base before the project has ended.

5.2       Where an academic supervisor leaves, the knowledge base must find a suitable replacement.  This search and appointment is generally conducted by the projects lead academic supported by HR, and must comply with any KB selections processes.  The business must be consulted regarding the appointment and agree to the appointment of the new supervisor.

5.3       When the academic lead moves KB:

Option 1:  is for the KB to offer the business a replacement academic, and if the business accepts, the project stays with the KB and the academic’s change.

Option 2: is that the current KB agrees to buy the academics time from their new knowledge base, and this gets paid for out of the existing budget.

Option 3: if the KB cannot agree with the new KB to buy the academics time, cannot offer a replacement academic, or if the business doesn’t think the new academic team has the required skills, then it is possible for the project to be moved to another institution.  The current KB and new KB must agree to the move as there are financial implications for both.  The budget stays the same which can cause issues if overheads are higher at the new KB and if travel costs are increased.  The new KB also has to find appropriate supervisors.  The whole project is transferred including the associate.  The programme manager requires letters from each KB and the business agreeing to the move.

Project team

  

SELECTION OF ACADEMIC STAFF TO SUPPORT  

 

1.         Individual academic staff who have expertise valuable to a Partnership and work either full or part time are permitted to join as members of the project team It must be clear, however, that all individuals have sufficient capacity to support the needs of the project team.

 

2.         Clearly such an individual must be able to demonstrate that they have sufficient time available to meet the commitments made by the university to the Company Partner, and the time required to make regular visits to the company premises, to support the needs of the project team and the Associate(s).  Equally important is the capacity to feed back the experience into the wider teaching of the university.  It would not be considered acceptable if an individual was contracted part time to deliver on a taught MSc or short course and was included in the academic team, but clearly had limited capacity to deliver these requirements.

 

Should you require further advice on the appointment of academic staff to Partnerships, please contact your local KTP Adviser.

 

THE ROLE OF THE FACILITATOR

 

1.         The Facilitator in a KTP has a key role in ensuring that the Partnership has the maximum possible impact on the company or organisation. This may be through support for the Associate, ensuring that company facilities are made available, communicating the objectives and importance of the Partnership to the wider company or protecting the Associate’s time from the demands of ‘non-project’ work.

 

2.         The Facilitator’s role is quite separate from that of Company Supervisor or LMC Chair and the partners should be strongly encouraged to involve someone with the appropriate status within the company.

Document Retention

The grant offer letter contains a requirment for knowledge bases to keep proper records.  below are examples of the type of documents to be held.

Innovate UK retains programme documents for 10 years.  Knowledge Bases should keep KTP records for 10 years or inline with thier own document retention guidelines, which ever is greater.

Information required to be held:

 

• Copies of documents relating to the application
• Information relating to the recruitment of the associate including job advert, location and duration of advertisement, HR and recruitment policies, certificates of training for recruitment panel, interview questions and notes.  These may be held securely by the knowledge base HR department but should be available for audit.
• The grant Offer Letter, signed acceptance and any amendments to the Offer Letter that may be made during the life of a project.
• Copies of the Local Management Committee (LMC) minutes and papers relating to the management of the project considered by the LMC.
• Copies of the grant claims made together with a signed copy of Schedule 3 (Auditors of the Offer Letter).
• Records relating to the financial contribution made by the Company Partner.
• A spreadsheet setting out the project expenditure over the life of the project.
• The Final Report by the Knowledge Base Partner and Company Partner.   The Associate Final Report, if lodged with the Knowledge Base Partner.

 

Academic and secretarial support:

 

Evidence of Academic time spent on the project, such as timesheets and wage extracts for all wages and salaries, or contracts stating that they worked fully (or for a specified 10% of their time, i.e. the Joint Commitment Statement) on the project.  

 

Associate employment costs:

 

Evidence of payments for the Associates/graduates.

 

Travel and subsistence/equipment, consumables and other costs:

 

Evidence that the expenditure was incurred and defrayed, i.e. invoices for any direct costs on the project and evidence of payment made.  

 

Overheads:

 

Any evidence for the overheads claimed on the project.

 

Outputs of the Programme:

 

·        Associate registration form, showing their name and address, their ethnic origin and their employment status.

·        Where qualifications are claimed in the Final Report, evidence of qualifications achieved.

·        Company registration form, showing the registered name, trading address and number of employees. 

·        Evidence of training, guidance and support given to the Associate during the life of the project.

·        Evidence of any additional professional and technical training undertaken by the Associate.

·        Knowledge that the company, on project completion, employed the Associate.

 

Additional Partnership Information

The following information is sent out with the Grant Offer Letter to the KB Administrator linked to the Partnership application and should be disseminated to the Academic and Company Supervisor.

Supervisor Support
Academic supervisors are required to attend the supervisors workshop with the business supervisors, for each successfully funded project.

 

The Supervisors Workbook is available to download.  

 

Appointment of a KTP Associate  

Partnerships must advertise Associate vacancies at locations specified within the Grant Offer Letter and comply with their knowledge bases recruitment policies.

 

The recruitment process must be demonstrably open and fair

 

How to register KTP Associates

As soon as an Associate has accepted the job offer, they should be registered on IFS. Registration is a

multi-stage process:

1. The person at the KB who has Project Manager (PM) permissions initiates the registration

process by providing the name and the personal email address of the Associate on IFS.

2. The Associate will then receive an email from IFS asking them to create an account and provide

EDI information. Completion of the EDI survey is mandatory, and Associates are encouraged to

answer as fully as possible.31

3. 4. 5. 6. 7. 8. Once the email address of the Associate has been verified, the IUK Team assign the Associate to

the relevant project and the project details become available to the Associate, not including the

application.

The Project Manager is then sent an email requesting that they provide the start date and end

date for the Associate which is done via the “projects” section of IFS.

Once this has been done, the supporting KTA is sent a ‘new Associate’ email providing the

Associate details.

The internal IUK Team informs Ashorne Hill of a new Associate registration

The internal IUK Team check the Associate start date and set the project to go live.

Associates are encouraged to create or update their LinkedIn profile reflecting their new status

as a KTP Associate and then join the KTP Associates’ group.

https://www.linkedin.com/groups/8920558/

All queries related to Associate registration issues, Associate start date issues and projects not

showing as live should be sent to ktpqueries@iuk.ukri.org

 

Associate Development Course

All KTP Associates must undertake the current Associate Training package.  This residential training is organised by staff at Ashorne Hill on behalf of Innovate UK at no cost to the Partnership budget.  Further information on what is being offered is made available to the Associate once they have registered online. Associates will be contacted directly by staff from Ashorne Hill.

 

All KTP Training related communications should be sent directly to staff at ktp.office@ashornehill.co.uk

Ashorne Hill, Leamington Spa, CV33 9QW
Tel: 01926 488004 | Fax: 01926 488005
Website: www.ashornehill.co.uk

Associate Conferences

All KTP Associates should attend the first available KTP Associates Conference after they start working on their project.  Attendance is funded from the Development budget, Travel from T&S.  Attendance at subsequent associate conferences is optional, but if budgeted for it is expected that they will attend.

Final Reporting: Overview

1.         Each Partnership Final Report, including those submitted by Associates, is sent to a minimum of two External Assessors for grading.  These External Assessors are independent of the KTP Stakeholder community and are drawn from a mixture of academic, public service and business backgrounds.  All Final Reports submitted are managed through the KTP Portal as part of our on-line processes.

2.         As well as copies of the Final Reports, each Assessor is also sent a copy of the KTP Advisers’ Commentary.  The Commentary is compiled from reports made throughout the lifetime of the Partnership after each LMC and, in addition, provides further comments on the Final Reports.

3.         Partnerships are reminded that in the event of a Final Report not being submitted, the Partnership will not be graded.  Even if the Partnership Final Report is received, non-receipt of an Associate's Final Report may be reflected in the overall final grading awarded by the External Assessor.  It is particularly important to inform Innovate UK without delay when an Associate leaves the Partnership prematurely. 

4.         Every time a Partnership fails to submit a Final Report on the Partnership, KTP loses valuable information that is used to accurately measure the outputs gained from the project(s).  A condition of the grant offer letter is that the Knowledge Base Partner shall, no later than one month after the last date on which a KTP Associate was deemed to be engaged on the Partnership, submit a final report on the Partnership.

5.         The Knowledge Base Partner is reminded that Innovate UK is under no obligation to agree to the payment of the final claim if a satisfactory Final Report is not received.

6.         Best practice would be to inform Innovate UK without delay when an Associate leaves the Partnership prematurely.  

Report grading 

The current process for the preparation and submission of a Partnership Final Report is to be completed using the online portal process.  Those responsible will be notified by automated email when reports are due.  The submission of hard copy is not permitted.

 

The grading process, which applies to all Partnerships involves a five-point scale: 

 

A Outstanding

B Very good

C Good

D Satisfactory

E Unsatisfactory

A guide has been developed for Advisers and Assessors that illustrates the particular features of Final Reports and the resultant benefits from KTPs that are commensurate with each of the above grades.  It is not intended to provide a tick-box approach to grading - individual assessment and evaluation of Final Reports is still paramount.  The guide itself is confidential to the Advisers and Assessors. However, below are highlighted the type of issues that they will be looking for in the Partnership Final Report and the Associate Final Report in order to arrive at their decisions on grading.

 

Overall 

Have the Partnership Final Report and Associate Final Report been submitted, are they well written and concise, do they all contain real substance with benefits fully quantified, and do they present a clear and consistent message?  Have the objectives for the Partnership been met or exceeded?  Have the expectations of all three participants in the KTP - Company Partner, Knowledge Base Partner and Associate - been met or exceeded?  Have all three participants achieved outcomes that are tangible and in line with or in excess of reasonable expectations?  Have the Company Partner and Knowledge Base Partner achieved common goals through the KTP and are they continuing to develop their relationship?

Business Partner benefits

Has the KTP led, or will it lead, to changes in the way the company does business?  How significant are the measurable benefits that the company has seen or will see relative to its size/turnover?  Will all the benefits be fully realised within a reasonable timescale, and does the company have the ability and commitment to sustain the changes embarked upon?  What evidence is there of these benefits, e.g. increased sales turnover and profit derived from improved market penetration, growth in investment in plant and machinery, staff recruitment and training and/or research and development, and/or improved management practice or operations or productivity?  Has the company gained new knowledge/skills, new products/technologies/systems and/or new strategic/business/marketing plans?  

Associate benefits

Has the KTP enabled the Associate(s) to ‘grow’ professionally?  Has the Associate(s) gained management and technical experience and developed academically?  What evidence is there of these benefits, e.g. the Associate(s) has been offered employment in the Partner company or has achieved employment in a relevant field, the Associate(s) has completed the KTP training programme in full, the Associate(s) has gained higher academic qualifications?

 

and Finally...

The guide to grading Final Reports is confidential to Advisers and Assessors.  It is up to the KTP Partners to ensure the KTP achieves best results and the Final Reports reflect what has been achieved.

Advisers’ Commentaries and Assessors’ Grading Forms will continue to remain confidential to Innovate UK, Regional KTP Advisers and Funding Organisations, and we will not enter into debate over the final grading decision on a completed KTP.

 

 

Role of KTA, LMCs and Associate Mentoring

1.         Role of KTP Advisers

Nominated KTP Advisers try to ensure that KTP Partnerships make progress towards agreed Partnership objectives and report to the KTP Programme Manager after each Local Management Committee (LMC) meeting.  They advise on the implementation of KTP training and development policy and give support to Associates, especially with regard to their professional development.

 

KTP Advisers can be particularly useful in ensuring that the lines of communication between all members of the project team are working properly.  They advise on the rules and procedures relevant to KTP and the conditions governing continual payment of the Government grant for a KTP Programme.  They provide access to Innovate UKs, corporate experience and encourage best practice in knowledge transfer to optimise benefits for all participants.

 

The Partners should be encouraged to seek advice from Advisers, as appropriate, at any time throughout the project.

  

2.         Associate Mentoring

The Adviser will usually meet the Associate(s) immediately prior to or after each LMC meeting for mentoring and coaching purposes, and to provide support to the Associate.   

 

 3.       LMC meetings

 

The LMC should follow the format recommended in the Management Handbook for Supervisors, including reserved business.  

 

 LMCs should:

 

·       Encourage all reports to be made in a timely manner and with a format and content appropriate to the meeting.

·       Review the project management arrangements being used by the team, consider their effectiveness and agree any changes.

·       Discuss progress towards the target objectives in detail.  It is likely that some variation is required.  This may be due to unforeseen problems, technical difficulties or opportunities such as emerging trends within the industry.  The Adviser will facilitate the discussion including a risk assessment on any proposal, achievable targets, resource implications and commonality of understanding.

·       Agree the work plan for the next three months.

·       Allocate the necessary resources to the project team including agreement to any training needs and the involvement of additional specialist input.

·       Encourage the Associate to take ownership of the project.

·       Explore possibilities to widen the collaboration, such as student projects.

·       Encourage ambitious but realistic targets.

·       Encourage a wide participation in KTP activities.

·       Encourage best practice.