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INSTITUTES OF TECHNOLOGYGuidance for Applicants

15 December 2017

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Contents1. INTRODUCTION.............................................................................................................................4

1.1 The Institutes of Technology competition.............................................................................4

1.2 Why do we need Institutes of Technology?...........................................................................4

1.3 What is an Institute of Technology?......................................................................................6

1.4 What will make a good Institute of Technology proposal?....................................................6

1.5 Developing a network of high-quality IoTs............................................................................8

1.6 IoT Status Award and Funding...............................................................................................9

2. THE COMPETITION.......................................................................................................................11

2.1 Public Procurement Regulations..........................................................................................11

2.2 Competition Process and Timetable....................................................................................11

2.3 Stage One............................................................................................................................11

2.4 Stage Two and completion of the IoT competition..............................................................12

3. STAGE ONE..................................................................................................................................15

3.1 Eligibility Check....................................................................................................................15

3.2 Stage One Assessment Questions........................................................................................16

3.3 Marking of the Stage One Assessment Questions...............................................................17

3.4 Notification and feedback...................................................................................................18

4. COMPLETING THE STAGE ONE APPLICATION FORM....................................................................18

4.1 Overview of the Application Form and application requirements.......................................18

4.2 Application details................................................................................................................20

4.3 Completing the eligibility requirements section...................................................................21

4.4 The Core Programme Objectives: Completing Questions 1 to 3...........................................26

4.5 The Critical Success Factors and Project Delivery: Completing Questions 4 to 11................32

4.6 Completing the Annexes and Templates..............................................................................45

5. HOW TO APPLY............................................................................................................................45

5.1 Submitting your application.................................................................................................45

5.2 Questions and clarifications.................................................................................................46

5.3 Freedom of Information......................................................................................................47

5.4 Equalities Impact Assessment..............................................................................................47

GUIDANCE ANNEX 1: Licence Agreement information on IoTs...........................................................48

Controls on Level 3 provision...........................................................................................................49

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1. INTRODUCTION

1.1 The Institutes of Technology competition1. The Department for Education (the Department) is launching a competition to establish

Institutes of Technology (IoTs) in England and is now inviting eligible organisations to put forward Stage One proposals, as part of a two-stage selection process. Applicants that qualify in Stage One can apply for funding from a £170m capital fund at Stage Two.

2. The core aim of the IoT programme is to achieve a step-change in the provision of higher-level technical education in England. This will be through the delivery of high quality applied training and teaching at new, innovative and prestigious institutions, providing the higher level technical skills that employers need. These institutions will need to be at a scale sufficient to support robust financial viability and the higher cost of teachers and facilities required for technical education. The aim is to create a network of IoTs that can help drive economic growth through the stimulus of new and additional skilled capacity within the sectors they partner.

3. This guidance is for organisations applying under the call for Stage One proposals. You should read the information and instructions in this document carefully because non-compliance with the requirements may result in your application not being accepted.

The call for Stage One proposals will open on Friday 15th December 2017 and proposals must be received by noon on Monday 1st March 2018.

4. For an application to be considered compliant, the applicant must ensure all the required documents specified in section 4.1 have been submitted in the format specified, following the instructions in 4.2 and 4.3. Any non-compliant Application may not be accepted by the Department, at its absolute discretion, at this stage and not further considered or assessed. This is at the absolute discretion of the Department. Any files or documents not specified but submitted as part of the Application will not be assessed.

5. The Department has the sole and absolute right to decide whether or not to accept an Application.

1.2 Why do we need Institutes of Technology? 6. There are gaps in higher level technical education provision in this country, particularly

in STEM (science, technology, engineering and mathematics) skills, which means that some people could be ending their education and training earlier than they need to, or pursuing a route less suited to their skills. Others do not take technical routes, as they are not perceived to be valued as highly as academic routes.

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7. We expect all IoTs to meet the following Core Programme Objectives (CPOs):

CPO1: To significantly increase the number of learners with higher level technical skills, which are crucial to national, regional and local productivity growth

8. The UK has lower levels of productivity compared to other advanced economies, and we also have considerably lower uptake of higher level professional and technical education. We need to address this and increase opportunities for young people and those already in employment to access higher-wage employment, improve their standard of living and drive social mobility.

9. In particular, we have a shortage of technicians at levels 4 and 5 (in between A levels or equivalent, and graduate level) and not enough people undertaking training at this level1. Employers tell us that this is a vital skills gap that needs to be filled.

10. Whilst there are examples of excellent provision across the country, existing providers have largely failed to meet this need for a number of reasons. These include: the higher costs of some technical training; a lack of teachers and trainers with appropriate industry experience; and a tendency for providers to focus on delivering lower level qualifications. This has led to a limit in learners’ choices due to the lack of a quality offer with a clear route to employment.

CPO2: To attract a wide range of learners to maximise the social as well as the economic impact of this new type of institution

11. By developing a new, higher level offer, we can offer people a prestigious alternative to academic education. We are looking for IoTs to attract a variety of learners: young people, those already in the workforce including those who may previously have stopped their learning at level 3 (A level or equivalent), disadvantaged and under-represented groups. This will give them the chance to progress further in their current or future career, increasing their earning potential and social mobility.

CPO3: To improve the occupational competency of learners to meet the needs of employers now and in the future

12. The future of work, and the skill sets required, are facing major disruptive change driven by new technologies, business-model innovation and the emergence of completely new industries and jobs. We need to ensure businesses and individuals have the skills they need to meet the challenges this will bring. Demand for higher level technical skills will increase. This is intensified by the loss of skills as older workers retire, the changing mix of skills needed and their shorter ‘shelf life’. At the same time, increased automation will

1 Of the 119,000 people participating in Advanced Learner Loans in 2016/17, only 9,100 were at level 4+. Source: ESFA/DfE (November 2017) FE and Skills Statistical Release.

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exacerbate the need for people to retrain and upskill. Learners also need to develop the professional competencies and behaviours that are important in the workplace.

1.3 What is an Institute of Technology? A prestigious and high-quality employer-led institution delivering higher level technical education with a clear route to high skilled employment

13. IoTs will be a new type of institution, tailored to focus on the specific technical skills needs in their area. They will be created through innovative collaborations between employers and FE and HE providers; harnessing the teaching expertise of HE and FE, research expertise of HE, and industry knowledge and expertise from employers.

14. They will specialise in technical disciplines, particularly STEM (science, technology, engineering and mathematics) at levels 3 (up to a limit of 20% of overall provision) 4 and 5, but also extending to degree level and above (level 6+) to strengthen routes into higher levels of technical education, as well as directly into employment. The cohort of an IoT would include young people, but also older learners who may be in employment already.

15. They will offer higher-level technical skills on a par with more academic routes and will achieve the same level of prestige as universities. IoTs should offer a credible alternative to people who, in the past, may have been encouraged to take a more academic route when it was not suited to them.

16. The collaborative approach should extend to working with feeder institutions such as schools, other FE Colleges and University Technical Colleges (UTCs), building on initiatives to boost the importance of technical education in learning and careers guidance, so students can develop career aspirations in this field.

17. They will operate at sufficient scale to make a demonstrable impact in meeting skills and productivity challenges today and in the future. This means operating at a regional or sub-regional level.

18. They will have a distinct physical identity that clearly identifies them as new and independent institutions. This could be created through a new build, or investment in existing estates and assets, but their identity should be separate and distinct from that of parent or partner institutions.

1.4 What will make a good Institute of Technology proposal?19. In order to deliver on the objectives of the programme, we expect all IoTs to share the

following critical success factors (CSFs):

CSF1: Strong employer engagement in governance and leadership as well as the design and delivery of the curriculum

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20. The role of employers is crucial to the success of an IoT, and we expect them to be at the heart of an IoT’s leadership and governance, to ensure the institution can focus on delivering a skilled workforce ready for employment both now and in the future. This should extend to the design and delivery of the IoT curriculum, resulting in direct links between teaching, learning and industry needs, and a learning offer that is agile and responsive to employer needs. A financial commitment will therefore be critical as this will demonstrate a key aspect of employers’ commitment to the consortia. We do not intend to mandate the level of this commitment as it could include cash, resource and time to co-design and deliver the curriculum, support of leadership and management, or access to/loan of cutting edge equipment and facilities.

CSF2: Specialise in teaching technical disciplines, particularly STEM, at level 4 and above, creating a clear technical education pathway to high skilled, high wage employment

21. IoTs should specialise in technical disciplines, particularly STEM, to meet the skills needs for the growing and diverse range of technology-enabled occupations in sectors such as advanced manufacturing, construction and the digital and creative sectors that are crucial to future national and regional growth.

CSF3: Offer high quality industry-relevant teaching, using industry standard facilities and equipment

22. IoTs will have a particular focus on teaching technical disciplines in demand by local employers who will help design and deliver the curriculum. Learners will have access to industry standard facilities and to industry professionals, who can provide real applied knowledge and business and employment skills to complement teaching expertise.

CSF4: Be responsive and agile in meeting the current and future needs of local, regional and national industries, including upskilling the current workforce

23. IoTs will need to anticipate and innovate in response to industrial change. IoTs will develop their own research capability focused on applied research, working with employers to identify relevant funding streams and prepare for the workforce challenges of the future (e.g. industrial digitalisation, automated manufacturing). They will need to demonstrate ambition in using the applied research and innovation base to inform their curriculum and learning offer, for example through building links with centres of innovation such as Catapults2.

CSF5: Create a prestigious and distinct identity for both the institution and the offer to learners

2 https://catapult.org.uk/

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24. IoTs should develop a learning offer that is new and distinctive, which complements and does not duplicate existing or proposed provision in the area. Quality and innovation in the provision of higher level technical skills training, offered in partnership with employers should be the hallmarks of these institutions and will be key to ensuring prestige and attracting learners.

CSF6: Work collaboratively to harness the assets, resources and expertise of employers and FE and HE providers

25. IoTs will benefit from collaboration, which can add value and drive innovation by harnessing each partner’s strengths, whether these are assets such as facilities and equipment, or relationships or resources, so that the overall delivery model is greater than the sum of its individual parts. Collaboration is key in developing the IoT proposal, and working with other providers to ensure the IoT offer adds to high-quality provision already available.

CSF7: Be financially viable and resilient

26. IoTs may benefit from a diverse range of funding streams, such as the apprenticeship levy3, relevant funding through the ESFA and the Office for Students (OfS), tuition fees and Advanced Learner Loans and we expect proposals to show how they intend to ensure financial viability. This can be supplemented by commercial income such as bespoke courses for local employers.

27. Applicants should be aware that, if an IoT is seeking to receive grant funding for taught HE provision directly (rather than through a franchise agreement), it will need to register with the OfS in the Approved (Fee Cap) category. This may have implications for the corporate form, finances and governance of the institution. Details of eligibility and the requirements for registration and information on the proposed OfS regulatory framework is available here: https://consult.education.gov.uk/higher-education/higher-education-regulatory-framework/. We expect that OfS will publish its final regulatory framework in spring 2018.

1.5 Developing a network of high-quality IoTs28. Our aim is to develop a network of high-quality IoTs throughout England within the

capital funding budget of £170m. We anticipate establishing around 10-15 IoTs. However, this number may rise over time, and we also reserve the right to establish fewer IoTs in this competition if there are insufficient bids of high quality. We expect the capital requirement of bidders to vary considerably depending on the nature of the proposal and the local context. From the Expressions of Interest, we can see some strong proposals taking shape across England which is encouraging.

3 If a levy-paying employer chooses to deliver training to its apprentices through an IoT.

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29. We will engage will applicants during the competition. We will hold an IoT Conference for applicants. We will answer questions and help ensure proposals align with the IoT programme requirements.

30. We are not being prescriptive about the geographical distribution of IoTs. This is

because any geographical criteria would need to be structured around clearly defined and recognisable boundaries (e.g. LEP areas or English regions) which may not map well to the collaborations that applicants wish to form. For example, some LEP areas may be too small in scale while existing regional boundaries may not fit neatly to functional economic areas nor travel to learn catchment areas.

31. The Stage One assessment will identify clustered proposals (proposals that are too close together). Applicants who submit proposals which fall into this category will be provided with feedback so that they may engage with applicants developing adjacent proposals to discuss how best to proceed to achieve the IoT programme objectives in their area and to ensure maximum value for money. Applicants are encouraged to engage with neighbouring institutions to form consortia and reduce the risk of clustering.

32. We also recognise that IoTs are novel and that proposals in some areas of the country may take longer to mature than in other areas and that as a result it may be that there are no proposals made in some areas of the country which meet our quality standard in this competition. We therefore reserve the right to consider a further competition targeted around gaps in provision, for which we would reserve some of the £170m capital funding. We may also need to reflect on the issues that are inhibiting a good proposal coming forward from those areas before any future competition. We reserve the right to alter the selection criteria in any further competition.

1.6 IoT Status Award and Funding33. Proposals that are successful at Stage Two will receive the right to use the Government’s

Institutes of Technology brand. We expect that successful Stage Two applicants will develop an application for capital funding as part of the Stage Two assessment, in order to deliver an IoT of the required scale and impact. As stated in paragraph 28, we also expect that the capital requirement to vary significantly between proposals, given, for example, whether there is a need for investment in new buildings and the differences in prior investment across the country.

34. Proposals that are successful in the competition will enter into a licence agreement with the Department. This will be in the form of a licence to use the associated IoT branding, which will be granted to a single legal person representing all of the parties to the proposal. The performance of the IoT will be closely monitored according to the agreed Key Performance Indicators (KPIs) including controls on level 3 provision (see Annex 1, paragraph 84 for further details.) The Department reserves the right to revoke the IoT licence4 if the provisions of the licence are not complied with (including where outcomes stated in the business plan or if the quality of provision is below the expected standard). Please see Annex 1 for further details. There will be a project delivery phase to manage

4 Expected to be up to 5 years to get to steady state of operation

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the capital spend within the first licence period. There will be an Account Manager appointed by and accountable to the Department who will support and monitor progress.

35. Capital funding will be awarded for investment in high quality, industry standard facilities and equipment to support the delivery of the business plan. This can cover new build or investment in existing estates and assets. We will assess how proposals demonstrate employer commitment through sharing of the capital risk associated with the IoT. The project delivery plan must ensure that the capital funding will be spent by 31 March 2021.

36. For the purpose of this competition, applicants should assume there is no revenue funding provided. Therefore, potential applicants should carefully consider their assumptions underpinning the IoT learner number forecasts, including progression routes into the proposed IoT from feeder institutions to ensure the institute will be financially viable. We will ask you to complete a spreadsheet at Stage One providing details on the assumptions underpinning your learner numbers forecast and indicating the main income and expenditure streams.

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2. THE COMPETITION

2.1 Public Procurement Regulations37. The Department considers that the Public Contracts Regulations 2016 do not apply to

the arrangements between it and an IoT. The competition is designed, however, to comply with the principles of equal treatment and transparency to ensure applicants are treated fairly.

2.2 Competition Process and Timetable38. The Competition will consist of a two-stage selection process in order to ask for

information in Stage One that enables us to give meaningful feedback to applicants ahead of their preparation of a detailed business plan for submission at Stage Two. This is described below and summarised in Figure 2 on page 14. The Competition timetable is set out in Figure 1:

Figure 1: Competition timetableDATE ACTIVITY

15 December 2017 Call for proposals opens16 January 2018 IoT Conference for applicants 1 March 2018 Deadline for submission of proposalsEarly May 2018 Notification of outcome of Stage One June 2018 Stage Two competition launchedSummer 2018 Stage Two business plans submittedBy end 2018 Announcement of successful proposalsSeptember 2019 First IoTs established 31 March 2021 Capital fund spend deadline

2.3 Stage One39. At Stage One, applicants will be asked to complete the application form and supporting

annexes and templates. The Stage One assessment will consist of an eligibility check, a readiness check and a quality assessment.

40. Eligibility check: This is to ensure the proposal meets the description of an IoT and that applicants are eligible to apply. To pass the eligibility check, a proposal must meet the eligibility criteria set out in section 3.1.

41. Readiness check: Proposals will then be assessed in terms of their readiness to do well at Stage Two of the competition. For example, in Stage Two we will be assessing a full financial plan, and in order to ensure that a proposal will be ready for this we will assess whether it meets a minimum standard for financial viability at Stage One. To pass the readiness check, proposals must pass the assessment criteria set out in section 3.2.

42. Quality assessment: This is to score the quality of the proposals in order to determine a

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quality ranking. We will do this by scoring proposals on a sub-set of the criteria. A sub-set of the criteria is used because these are the criteria we have identified that will most strongly underpin a proposal’s ultimate contribution to the IoT programme and success and we do not expect responses to all criteria to be fully developed at this stage. More detail on the scoring is given in section 3.3.

43. Ranking: Proposals (having passed the eligibility and readiness checks) will be ranked according to their score in the quality assessment.

44. Threshold: A quality threshold will be applied to the ranked proposals. This threshold will be set by Ministers on the recommendation of an Expert Panel. Proposals which score above this threshold will be invited to participate in Stage Two of the competition. The Department reserves the right to set this threshold to take forward to Stage Two only the number of proposals that can be funded, including the potential need to reserve some of the £170m capital funding should a future competition to address gaps be judged necessary.

2.4 Stage Two and completion of the IoT competition45. Stage Two of the competition will be launched after the Stage One notification of

outcome and will require a detailed business plan, annexes and templates and an initial application for capital funding (if applicable). Scores from Stage One will not be carried forward to Stage Two. In Stage Two, we will score across a wider number of the Stage One criteria and add a value for money criterion. Thus, we will be spreading the weighting more widely than in Stage One and so weights of questions may be different to Stage One. Where criteria are checked, but not scored, in Stage Two, the standard required to pass may be set higher.

46. The detailed business plan will further test the proposals made at Stage One. Applicants will have an opportunity to supplement information provided at Stage One. They will be asked for further, more detailed information, and we will carry out greater testing of the evidence. This will include:

full curriculum plan and research plan; full staffing, estates and facilities plans; full financial plan including the overall viability of the business model and full

stress testing5 of assumptions; greater detail of employers’ commitments and contributions including funding,

equipment/facilities, staff resource; the risk sharing model; and the full project delivery plan.

A value for money criteria will also be added. Where the quality of any criteria is diluted under the impact of being part of a cluster of proposals, quality scores will then be evaluated in this context. Applicants will have received Stage One feedback as to: which criteria are at risk, and from which clustered proposals. Stage Two may include bids that

5 The process of testing how robust certain outputs are under less favourable input assumptions

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merge some Anchor institutions6 from clustered proposals if they are a credible response to this feedback. Financial, capital and legal due diligence will also be carried out at this stage.

47. Proposals will be re-scored and re-ranked at Stage Two, after which the Expert Panel will

provide recommendations to Ministers on the quality threshold above which proposals

will be judged successful. The final quality threshold will set which proposals will be eligible for IoT status and capital funding (where applicable), subject to final assurances and due diligence plus acceptance of the relevant funding and licence agreements. Post Stage Two, the Department reserve the right to negotiate the engrossment of the capital award.

6 Anchor partners: these are employers, FE providers or HE providers who will be play a key part in the formal collaboration.

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Figure 2: The IoT competition

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Proposalsmade

Department for Education engagement to ensure good understanding of IoT requirements and to encourage scale, quality and geographic spread. Applicants complete and submit the application (form, supporting annexes and templates).

Stage One

Assess eligibility, readiness and quality. Ministers approve proposals to take forward based on Expert Panel recommendations. All proposals notified of Stage One result and given feedback.

Clustered proposals

CLUSTERED PROPOSALS ONLY: address feedback and may submit modified proposals passing to stage two.

Stage Two

Submission of business plan and application for capital funding Stage Two assessment with value for money assessment criteria added Financial, capital and legal due dilligence. Ministers approve proposals eligible for IoT status and initial capital funding (where applicable) based on Expert Panel recommendations

Completion of IoT competition

Final due diligence on legal, financial and commercial aspects and negotiation of licence and completion of final capital assurance. Successful applicants informed of decision, subject to [agreement of] relevant funding and licence agreements. Announcement of successful proposals.


3. STAGE ONE

3.1 Eligibility Check47. To be eligible, a proposal must meet the following eligibility conditions. Proposals that

do not meet the eligibility conditions will be rejected and not assessed further. Applicants will be given feedback as to why they failed to meet the eligibility conditions and if, in future, there are further IoT competitions will be able to reapply.

Geographical Location: The IoT must be located within England.

Geographical Scale: The IoT must cover at least one complete LEP area7.

Size of provision: The projected total number of learners (as calculated in the data template) must reach at least 1,000 learners by the 5th academic year of operation (AY5).

Level of provision: in AY5:o the majority of provision (i.e. >80% of the projected number of learners) must

be at Level 4 and above: in all circumstances if there is any Level 3 this should be capped at 20% of total learners, this will be subject to further controls on Level 3 provision set out in Annex 1 paragraph 84;

o while we anticipate some Level 6+ provision, the focus (i.e. > 50% of the projected number of learners) must be on Level 4 to 5.

Type of provision: in AY5 the majority of provision (i.e. > 80% of the projected number of learners) must be in the technical disciplines defined in section 4.3

Sectoral Specialism: The IoT must specialise in meeting the higher technical skills needs of at least two of the sectors listed in section 4.3.

The collaboration must contain at least the following anchor partners:a) One FE provider (FE College or independent training provider); andb) One HE provider8 (Higher Education Institution (HEI) or Alternative Provider); andc) Two employers relevant to the IoT’s sectoral specialisms,Section 4.3 sets out the commitment required to be an anchor partner. The collaboration may have more than the minimum number of anchor partners. It may also have additional partners that do not reach the standard of commitment to be an anchor partner.

7 https://www.gov.uk/government/publications/local-enterprise-partnerships-map8 We expect that, if an IoT is seeking to receive grant funding for taught HE provision directly (rather than as a franchised agreement), it will need to register with the Office for Students (OfS) in the Approved (Fee Cap) category. More information on the proposed OfS regulatory framework is available from here: https://consult.education.gov.uk/higher-education/higher-education-regulatory-framework/

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https://consult.education.gov.uk/higher-education/higher-education-regulatory-framework/


The anchor FE and HE providers must meet the standard for their record of achievement set out in section 4.3.

If the HE provider does not have relevant applied research capabilities the collaboration must also include an Applied Research Centre. The terms in bold are defined in section 4.3.

48. Applicants should note that these are eligibility criteria that demonstrate the intention of applicants to develop a proposal that would meet the required standard and definition of an IoT; they do not necessarily indicate the coverage and scale needed for a successful proposal. Applicants based in geographically smaller LEP areas are strongly encouraged to develop proposals with adjacent LEP areas where the economic geography supports such an approach. Applicants will need to demonstrate the benefit of the offer (including sector specialism, level and type of provision) as part of the assessment against the Core Programme Objectives and Critical Success Factors at Stage One and Stage Two.

3.2 Stage One Assessment Questions49. The readiness check and the quality assessment will be based upon an applicant’s

answers to the Stage One assessment questions. There are 11 questions covering the three core programme objectives (CPO1 to CPO3), the Critical Success Factors (CSF1 to CSF7) and project capacity and capability.

50. Each question (labelled 1,2…etc.) has one or more criteria (labelled a, b, c … etc.) Figure 3 below sets out these out and which criteria will be assessed in the readiness check and in the quality assessment, it also shows how much each criterion will contribute to the quality assessment.

Figure 3: Stage One assessment criteria use and weighting

CPO/CSFs QuestionNo.

Criteria name and number Readiness check

Quality assessment

Core programme objectives

CPO1: Evidence of Need

1 1a Support regional and national economic growth

√ 10%

1b Employer demand √ 15%

CPO2: Learner Numbers

2 2a Increase in Learner Numbers 10%

2b Innovative and Additional approach √ 10%CPO3: Wider Social Benefits 3 3 Widening Participation √ 10%

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Critical Success Factors and project delivery

CSF1: Employer Engagement

4 4a Employer engagement (Breadth) √ 5%

4b Employer engagement (Depth) √ 10%

CSF2: Curriculum Approach

5 5a Relevance to occupational skills needs √ -

5b Enhancing employability √ -

CSF3: Teaching and Facilities

6 6a Quality industry relevant teaching √ -

6b Facilities and equipment √ -

CSF4: Research and agility

7 7a Research function √ -

7b Responsiveness to feedback √ -

7c Agility √ -

CSF5: Identity and communications

8 8 Identity and communications √ 10%

CSF6: Collaboration

9 9a Collaboration synergies √ 5%

9b Legal structures √ -

CSF7: Financial plan

10 10a Viability and resilience √ -

10b Capital requirement credibility √ -

Project Delivery 11 11a Capability and capacity of the Applicants

√ 15%

11b Project governance √ -

11c Project timeline and project management

√ -

11d Risk management √ -

3.3 Marking of the Stage One Assessment Questions 51. Under each question, the guidance in sections 4.4 and 4.5 sets out, for each criterion,

the set of information assessors are expecting to see addressed as a list of bulleted ‘elements’. With the exception of criterion 2a, the assessors will be looking at whether all of the ‘elements’ have been covered in conjunction with the level of assurance provided that the criteria will be met. The guidance, therefore, also describes the standards they will be looking for in assessing this level. The approach taken for criteria 2a is set out in section 4.4.

52. Criteria assessed in the readiness check can be marked as either ‘fail’, ‘incomplete’ or ‘pass’; criteria that are being assessed in the quality assessment can also be marked as

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“exceeds”. For the quality assessment only, each mark has an associated score which is set out in Figure 4 below. The overall score for each proposal will be determined by summing the scores for the applicable criteria, weighted as in Figure 3.

Figure 4: Marking schemeDescription Mark Score9 Most elements have not been covered to the standard set out as a pass

Fail N/A

Most elements have been covered to the standard set out as a pass but with some omissions

Incomplete N/A

Most elements have been covered to the standard set out as a pass

Pass 1

Most elements have been covered to the standard set out as exceeds7

Exceeds 3

53. As part of the readiness check, if a proposal is marked as ‘incomplete’ on up to three of the criteria and passes all other criteria, applicants will receive feedback setting out the omissions that must be addressed within five working days. Providing the revised proposal then passes the readiness check, the proposal will be scored as part of the Quality Assessment. The inclusion of the ‘incomplete’ mark is designed to ensure that proposals are not rejected due to a technicality; applicants are strongly encouraged to ensure they fully address all criteria.

54. The assessment of proposals will be moderated to ensure consistency and the assessment reviewed by an Expert Panel. As set out in Section 2.3, proposals which score above the quality threshold will be invited to participate in Stage Two of the competition.

3.4 Notification and feedback 55. Following completion of the assessment of proposals, applicants will be informed of the

outcome by an email from the Department. Applicants will be given feedback on their proposals. The decision will be final.

56. The results may be publicised by the Department and this activity may include engagement with the media. Any applicant that wishes to publicise their project at this stage must seek permission from the Department in writing before doing so.

57. Any clustered proposals (paragraph 31 refers) which progress to Stage Two will be given feedback to help applicants to decide how best to proceed before developing their detailed business plan. This will include sharing the executive summaries (see section 4.2) of the other proposals with which they are clustered. Applicants are expected to undertake their own research on the risk of clustering to inform their decision on whether to proceed with developing a Stage 2 Application.

9 Applies to criteria assessed as part of the quality assessment only

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4. COMPLETING THE STAGE ONE APPLICATION FORM

4.1 Overview of the Application Form and application requirements58. The Application Form and Templates can be accessed at the Bravo Solutions e-Tendering

Portal, where the application is online. For further information, please see Section 5.1.

59. The guidance below provides an explanation of what is required in preparing the answer to each question. The guidance notes are not intended to be exhaustive; you are expected to develop your own responses based on your own knowledge and expertise.

60. When completing the Application Form, it is important that you address and respond to each question clearly, succinctly and keep to the point. You should focus on content over style. You must limit your responses to the word limits set out in Figure 5 below. This will enable you to focus on providing the specific and most relevant information to each question. If you submit an application that includes answers to each question or annexes outside the length specified, the text over the limit may not be assessed.

Figure 5:Question Information Required Max word

limit Document and format

Essential Information n/a Application form (Word doc, Arial 12) Public Summary 250 Application form (Word doc, Arial 12)Eligibility Requirements n/a Application form (Word doc, Arial 12)Additional information n/a Application form (Word doc, Arial 12)The Core Programme Objectives

1 Evidence of Need 1,500 Application form (Word doc, Arial 12)Plus Market Assessment Annex

2 Scale and Impact 1,500 Application form (Word doc, Arial 12)Plus Market Assessment Annex

3 Widening Participation 750 Application form (Word doc, Arial 12)Plus Market Assessment Annex

The Critical Success Factors and Project Delivery4 Employer Engagement 1,250 Application form (Word doc, Arial 12)5 Curriculum Approach 750 Application form (Word doc, Arial 12)6 Teaching and Facilities 500 Application form (Word doc, Arial 12)7 Research and Agility 750 Application form (Word doc, Arial 12)8 Identity and Communications 750 Application form (Word doc, Arial 12)9 Collaboration 750 Application form (Word doc, Arial 12)

Plus Legal Annex 10 Financial Plan 500

TemplateApplication form (Word doc, Arial 12)Plus Data Template

11 Project Delivery 1,000 (exc. Diagram and Annexes)

Application form (Word doc, Arial 12)Plus Governance diagram Plus Capability Statement AnnexesPlus Project Template

AnnexesMarket Assessment Annex 2,500 Application form (Word doc, Arial 12)

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(Supporting Q 1, 2 & 3) Must include map and may include up to 5 A4 Diagrams

Legal Annex(Supporting Q9)

750 Application form (Word doc, Arial 12)

Capability Statements Annex (Supporting Q11)

500 (per Anchor Partner) 250 (per other partner)

Application form (Word doc, Arial 12)

TemplatesData Template(Supporting Eligibility and Q2 and Q10)

n/a Excel Document

Project Template (Supporting Q11)

n/a Excel Document

Declarations Lead applicant n/a Application form (Word doc)

Submit on own letterheadIoT Anchor partners n/a Application form (Word doc)

Submit on own letterheadIoT Partners n/a Application form (Word doc)

Submit on own letterhead

4.2 Application details 61. All applicants need to complete this part of the form.

Essential InformationProject Title Enter the name of the proposed IoTLead Applicant Name Enter the name of the Lead Applicant.Lead Applicant Contact Details Enter the full name, postcode, email address and telephone

number of the main point of contact between the Lead Applicant

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1. You should make full use of the permitted Annexes to provide evidence to support your answers to the questions in the Application Form. You should supplement the narrative answer to Questions 1 to 3 (i.e. the Core Programme Objectives) by referencing additional factual evidence of your assessment of the market in the relevant area in the Market Assessment Annex. You must provide a map of the geographical catchment area of the proposed IoT, showing the local authority and LEP administrative boundaries together with the location of the main campus and other sites. You are permitted to include up to five additional diagrams up to A4 size maximum. Please note any supporting illustrations and graphics may be photocopied in black and white, so colour should not be used as the sole method of conveying important information. The Annexes should not be used to extend the length of the responses to the questions. In addition the Data Template will be used to supplement your response to the Eligibility, questions 2 and 10; whilst the Project Template will be used to support your answer to question 11.


and the DepartmentFinancialTotal project value (£) Enter value from the Data Template Grant amount requested (£) Enter value from the Data Template Capital build starts Enter date from Project Template Capital build complete Enter date from Project Template

Public Summary Provide an overview of the proposed IoT including its key features (location, sector specialisms, physical aspects10). This is not marked but provides a summary of your proposal for the benefit of the assessors. Should your proposal be judged to be part of a cluster, it will also be made available to other applicants.

4.3 Completing the eligibility requirements sectionThis section on eligibility requirements will be used to carry out the eligibility check, as described in section 3.1.

Geographical Location Will the IoT be wholly located in England? Enter Yes/No

Geographical Scale What complete LEP area will the IoT cover? Enter the Name of LEP area

Size of provisionIn AY115, what is the projected total number of learners?

Enter the projected total number of learners as calculated in the data template.

Level of provision In AY5, what percentage of the projected total number of learners will be at Level 3?

Enter the percentage of learners at Level 3 as calculated in the data template.

In AY5, what percentage of the projected total number of learners will be at Level 4 to 5?

Enter the percentage of learners at Level 4 to 5 as calculated in the data template.

Type of provision In AY5, what percentage of the projected total number of learners will be in technical disciplines?

Enter the percentage of learners in technical disciplines as calculated in the data template.

The template will ask you to specify whether each programme entered is a

10 Physical aspects include area of new build, refurbishments, acquisition, and value of specialist equipment.11 Academic Year

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technical discipline, as defined below. Technical disciplines are defined as follows:

Prescribed HE provision: all courses included in the HESA JACS 3.0 principle subject codes12 for the STEM subject areas i.e. Engineering and Technology and Computer Sciences Biological Sciences, Mathematical Sciences, Physical Sciences and relevant courses in Agriculture & related subjects and subject allied to medicine (ie medical technology and pharmacology, toxicology and pharmacy) given their technical focus and functions.

FE provision: all technical courses with a career pathway to a broad range of occupations at higher-grade technician in the sector specialisms of the IoT. These will typically be aligned with the new technical routes in Engineering and Manufacturing; Construction; Digital; Creative and Design and Health and Science. Those in Childcare and Education, Hair & Beauty; Management & Administration, Protective Services and Sales, Marketing & Procurement are out of scope.

Higher and degree Apprenticeships: provision will need to be aligned to higher-grade technical and graduate level jobs in the sectors set out in the list of sector specialisms below. Leadership and management apprenticeships will not be counted as a technical discipline.

You should note that the relevance of the curriculum to the sectoral specialisms of the IoT will be assessed as part of question 5.

Sectoral specialismsIn which sectors will the IoT specialise? Specify at least two sectors from the list

below. Agri-tech Bio-processing Bio-technology Care Sector Chemicals Construction Creative Industries Cyber Security

Digital Sector Energy Engineering Financial Technology Food manufacturing ICT Infrastructure

Life Sciences Logistics Manufacturing Medical Technology Pharmaceuticals Process Industries Professional & Business

Services* Transport Utilities

You should note that:

Any sector not listed above will need to be justified with evidence of the sectors importance to productivity growth and wealth creation in the area as part of question 1

Labour markets dominated by the public sector including clinical medicine (eg doctors and dentists) and allied health professionals (eg nurses); and teaching are out of

12 https://www.hesa.ac.uk/support/documentation/jacs/jacs3-principal

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scope. Enabling digital capabilities should be a key underpinning element of most sectoral

specialisms (e.g. industrial digitisation in advanced manufacturing) and an essential element for the care sector (ie supporting the “ageing society” Grand Challenge set out in the Industrial Strategy:

IoTs will be expected to focus on specific technology based occupations in broadly defined sectors such as Creative and PBS.

Anchor FE partnerProvide the name of the anchor FE partner(s):

The anchor partner must meet the definition given below.

An ‘anchor’ FE partner, must contribute the following minimum requirements to the IoT collaboration:

A governance or leadership role in the project delivery of the IoT; A leadership role in the design, delivery and assessment of provision; A resource commitment: this could be ‘in-kind’ support (e.g. equipment, facilities

or teaching staff) or a financial contribution or joint investment;

In addition, they must contribute at least one of the following: establish relationships with relevant feeder institutions to the IoT such as schools,

UTCs and other colleges; and establish relationships with other FE providers in the area to ensure IoT

complements existing provision.

Details of the contribution of the Anchor FE partner should be set out further in your answer to question 9 and a signed Declaration included in the application form.

Anchor HE partnerProvide the name of the anchor HE partner(s)

The anchor partner must meet the definition given below.

An anchor HE partner, must contribute the following minimum requirements to the collaboration:

a governance or leadership role in the project delivery of the IoT; a leadership role in the design, delivery and assessment of provision; a resource commitment: this could in-kind support (e.g. equipment or teaching

staff) or a financial contribution or joint investment.

In addition, they must contribute at least one of the following:

validation of degrees or other relevant qualifications; and establish relationships with other HE providers in the area to ensure the IoT

complements existing provision.

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Details of the contribution of the Anchor HE partner should be set out further in your answer to question 9 and a signed Declaration included at the end of the application form.

Anchor employer partnerProvide the names and relevant sectoral specialisms of at least two anchor employer partners.

The anchor partner must meet the definition given below as well as the sectoral specialisms listed as eligible above.

An anchor employer partner must contribute the following minimum requirements to the collaboration:

a governance or leadership role in the project delivery of the IoT; a role in the design, delivery and assessment of provision; a resource commitment: this could in-kind support (e.g. equipment, facilities or

teaching staff) or a financial contribution or joint investment.

Details of the contribution of the anchor employer partner should be set out further in your answer to question 4 and a signed Declaration at the end of the application form.

Applied Research CapabilityDoes the anchor HE provider have an applied research capability?

Please state [yes/no], with reference to the definition below.

If no, please provide the name of the Applied Research Centre partner

Please state the name, with reference to the definition below.

Applied research capabilities are defined as facilities or functions in disciplines relevant to sector specialisms of the IoT at higher technology readiness levels.

Applied Research Centres are defined as facilities dedicated to research, examples of which may include independent technology and innovation centres like Catapults, Research and Technology Organisations, some Public Sector Research Establishments and other centres which may be associated with universities.

Records of achievementAll anchor FE or HE partners must meet the following minimum requirements in their latest inspections as at 15 December 2017 as applicable. Prescribed HE Provision Meets requirements (APR, HEFCE)

FE Provision At least “Good” Overall (Ofsted)13

13 If the last Ofsted inspection was more than 5 years ago, the provider must demonstrate in their Capability Statement that the quality of provision is not on a downward trajectory and not subject to any concerns relating to minimum standards.

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Apprenticeships Provision At least “Good” (Ofsted)

Note: Where the anchor FE partner has merged since the last Ofsted inspection, at least one of the FECs in the new College must have achieved “Good” in its most recent inspection prior to the merger.

Please note that after the eligibility check, there is a section in the application form entitled ‘Additional IoT partners’ to be completed if applicable.

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4.4 The Core Programme Objectives: Completing Questions 1 to 3

Q.1 How will the proposed IoT meet the skills needs of employers now and in the future?Things you need to know:

This is your opportunity to demonstrate the economic impact and employer demand for the proposed IoT. Your answer to this question will be assessed against the following criteria:

o 1(a) the extent to which it will support regional and national economic growth in line with the priorities set out in the Industrial Strategy: building a Britain fit for the future14; and

o 1(b) the extent to which the proposed IoT will meet a significant unmet demand for higher technical skills from employers now and in the future. You will be required to achieve a pass for each of the criteria associated with this question. You will also be scored on both criteria in the quality assessment, with 10% weighting for 1(a) and 15% weighting for 1(b) (as set out in section 3.2) We will re-assess how well you meet these criteria should your proposal go through to Stage Two, with greater testing of the assumptions. You

should note that significant changes in your proposal between Stage One and Stage Two may impact confidence in the assumptions and therefore reduce your Stage Two score.

You have 1,500 words to answer this question. You can use the Market Assessment Annex to provide further evidence to support your narrative answer.

In answering 1(a) you should address the following elements:

In assessing whether the element is of a pass standard, the assessor will expect to see:

In assessing whether the element is of an exceed standard, the assessor will expect to see:

Explain how the IoT will support national economic growth.

Good alignment with the global trends and opportunities that will be vital to the UK’s future economic growth, as identified by HMG in the Industrial Strategy.

Strong alignment with the Grand Challenges set out in the Industrial Strategy White Paper.

Explain how the IoT will support regional economic growth and how you have consulted with LEPs/CAs/Mayor CAs.

Good alignment with a critical mass of employers located in the area having a key role in driving future economic growth in the area as identified by LEPs and CA/Mayor CAs,

Strong alignment with a critical mass of employers located in the area having a key role in driving future economic growth in the area as identified by LEPs and CA/Mayor CAs

14 https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/664563/industrial-strategy-white-paper-web-ready-version.pdf

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for example in local Strategic Economic Plans, Science and Innovation Audits and emerging local Industrial Strategies.

which are of strategic importance to the delivery of the Industrial Strategy Grand Challenges.

In answering 1(b) you should address the following elements:



Define the occupations and specific skills needs that will be addressed by the IoT and why these are considered priorities for driving future productivity and economic growth in the area.

The scope of the IoT is well-defined with a clear focus on the occupations and skills that will drive improvements in productivity and economic growth in future.

The scope of the IoT is very well-defined and with a strong focus on the occupations and skills that will drive significant improvements in productivity and economic growth in future.

Provide evidence as to why there is genuine unmet demand from employers in the area for the skills the IoT will provide. For example, you could reference a market assessment or other surveys in the Market Assessment Annex, and/or draw on other sources such as local skills strategies or area reviews.

Good market assessment from a range of independent sources, including employers themselves.

Compelling market assessment evidence from a wide range of robust, independent data sources including employers themselves.

Set out how you expect the skills needs of employers in the area to change in the future.

Good understanding of future skills needs based on clear assumptions about the economic, technological, demographic and political drivers of future demand.

Strong understanding of the expected change in the skills mix employers will need to keep pace with technological change, especially the transition to the digital economy, over 5 and 10 year horizons.

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Q.2 How will the proposed IoT significantly increase the number of learners with higher level technical skills? Things you need to know:

This is your opportunity to demonstrate the robustness of your learner number forecast; Your answer to this question will be assessed against the following criteria:

o 2(a) the significance of and evidence for the increase in the numbers of learners at Level 4 and above in technical disciplines; and o 2(b) the extent to which the IoT will take innovative approaches and demonstrates it will provide additional provision.

2(a) will not from part of the readiness check. You will be required to achieve a pass for criterion 2(b). You will be scored on both criteria in the quality assessment, with 10% weighting for 2(a) and 10% weighting for 2(b) (as set out in section 3.2). You have 1,500 words to answer this question (as well as inputs into the data template). This is a desk-based assessment, there will be greater testing of the assumptions and evidence provided at Stage Two. You should note that if the

data provided cannot be substantiated at Stage Two or if there are significant unjustified changes between Stage One and Stage Two this will impact the Stage Two assessment scoring.

In answering 2(a) you should address the following elements: In scoring the standard of this element, the assessor will:Complete the “historic” and “forecast IoT” pages in the data template which asks you to provide historic baseline data15 and a forecast of the learners that the IoT will serve. The baseline is the learner numbers on existing similar courses offered by institutions in the collaboration.

Provide a narrative and supporting evidence in the Application Form: Baseline: to justify the inclusion or exclusion in the baseline data of

similar courses at the parent institutions and set out any future anticipated changes in the baseline provision which would have taken place without the IoT.

Give a weighting factor based on their assessment of how well the narrative and evidence support the forecast increase in learner numbers for the IoT. This will be: zero (no evidence); 0.33 (inadequate on narrative and evidence); 0.67 (pass on narrative and evidence) or 1.0 (exceeds on narrative and evidence).

Calculate the increase in L4+ forecast learner numbers in technical disciplines, over the historic baseline data provided, and multiply it by the weighting factor. This will be done over a ten-year period (flat-lining AY05 numbers for AY06 to AY10).

15 This baseline will relate to relevant provision by the IoT partner institutions only. Criteria 1.2b will assess the evidence of overlap and/ or displacement of relevant provision by other institutions in the vicinity of the proposed IoT.

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Forecast increase: to justify the forecast increase in learners in terms of where they will come from i.e. by demonstrating that there are sufficient learners in the area with the required qualifications to take up the courses offered by the IoT, and that they will be within reasonable travel to learn distances, distinguishing school/college leavers from adult learners.

All proposals that have passed the eligibility and readiness checks will then be ranked on the weighted increase. The top third will be awarded 3 marks; the middle third 1 mark and the bottom third zero marks.




Provide evidence that the IoT will primarily attract new learners who would not have taken a similar course in an alternative institution. For example, drawing on current progression pathways of potential learners in the area.

Good evidence that current providers in the area are not (and are not planning) to meet the skills needs identified in Question 1 which demonstrates that the IoT will complement existing provision in the area with only limited displacement from existing provision expected and that the IoT is aligned with the implementation of the Area Based Review.

Strong evidence that current providers in the area are not and are not planning to meet the skills needs identified in Question 1 which demonstrates that the IoT will strongly complement existing provision in the area with only limited displacement from existing provision expected and that the IoT is aligned with the implementation of the Area Based Review.

Explain what will be new about the IoT’s provision compared to that of the area

Good evidence that the IoT curriculum provides some new L4+ provision beyond what is already available in the area,

Good evidence that the IoT curriculum provides a significant level of new L4+ provision beyond what is already available in the area.

Explain what innovative approaches you will take in: creating and developing the IoT (including in attracting learners) and in building partnerships beyond the immediate area of the IoT.

Good evidence that the IoT will take an innovative approach in creating and developing the IoT (including in attracting learners) and in building partnerships beyond the immediate area of the IoT.

Strong evidence that the IoT will take an innovative approach in creating and developing the IoT (including in attracting learners) and in building partnerships beyond the immediate area of the IoT and compelling evidence in at least one of these.

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Q.3 How will the proposed IoT attract a wide range of learners to maximise the social as well as the economic impact of this new type of institution?Things you need to know:

This is your opportunity to demonstrate how the IoT will widen participation and increase social mobility Your answer to this question will be assessed against the following criterion:

o 3: The extent to which the IoT will widen participation in higher technical education at L4 and above (using a whole life cycle approach i.e. from access (attainment and outreach); success (retention and completion); and progression (into further study and employment)

You will be required to achieve a pass for this criterion. You will also be scored on this criterion in the quality assessment, with 10% weighting (as set out in section 3.2) You have 750 words to answer this question. We will re-assess this at Stage Two, with greater testing of the assumptions. You should note that significant changes in your proposal between

Stage One and Stage Two may impact confidence in the assumptions and therefore reduce your Stage Two score.

In answering 3 you should address the following elements:



List the target groups [see note 1 below] the IoT will prioritise for widening participation in L4+ technical disciplines, particularly STEM; explain the rationale for prioritising these groups; and describe the key barriers they face to participation, including financial barriers.

Good understanding of barriers for the target groups based on robust data about current disparities in entry to, completion of and progression from higher technical courses in the area.

Strong understanding of barriers for the target groups based on robust data about current disparities in entry to, completion of and progression from higher technical courses in the area

Describe [see note 2 below] current best practice among the IoT delivery partners to widen participation among the target groups; and explain how these approaches will be incorporated and built upon in the IoT.

Proposal adopts a credible approach based on both:o Good track record of achievement in

improving social mobility within a geographic region and/or for specific group(s) of disadvantaged individuals;

Proposal adopts an approach that represents a significant enhancement to current best practice among the IoT delivery partners for widening participation, including the commitment of additional resources to be used on improving access and outcomes for

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ando Good awareness of different approaches

to raising attainment which are fully embedded into the proposal.

the targeted groups

Provide targets for the IoT in increasing participation and successful outcomes among these groups; set out how progress will be monitored; and the effectiveness of activities evaluated.

Credible incremental targets underpinned with plans for robust performance monitoring and evaluation.

Credible stretching targets underpinned with plans for robust performance monitoring and evaluation.

Notes: 1. You should use the following the following OFFA definitions for target groups (see link for full list: https://www.offa.org.uk/glossary/#targetgroups ):

Women People from neighbourhoods where higher education participation is low People from low income backgrounds (defined as up to £42,875 per year household income) Ethnic groups or sub-groups, including White males from economically disadvantaged backgrounds Mature and Part-time Learners Other priority groups being targeted using OFFA definitions.

2. You should use a whole life cycle approach i.e. from access (attainment and outreach); success (retention and completion); and progression (into further study and employment)

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https://www.offa.org.uk/glossary/#targetgroups


4.5 The Critical Success Factors and Project Delivery: Completing Questions 4 to 11

Q.4 How will the proposed IoT demonstrate strong employer engagement in governance and leadership as well as the design and delivery of the curriculum?Things you need to know:

This is your opportunity to show us the strength of employer engagement in the proposed IoT. Your answer to this question will be assessed against the following criteria:

o 4(a) the breadth of engagement with employers (including how representative they are of the geographic area and sector specialisms); ando 4(b) the depth of employers’ engagement in governance, leadership and the curriculum and the extent of their resource commitment.

You will be required to achieve a pass for each of the criteria associated with this question. You will also be scored on both criteria in the quality assessment, with 5% weighting for 4(a) and 10% weighting for 4(b) (as set out in section 3.2) You have 1,250 words to answer this question. We will reassess this area in more detail in Stage Two, at which point greater detail of the employers’ commitment including around funding,

equipment/facilities and staff placements will be required. This question focuses on your proposed employer engagement; question 8 covers your development of a distinct brand and identity which is

attractive to employers and students to maintain and develop future engagement.In answering 4(a) you should address the following elements:



Provide details on the range of employers that will be engaged in the IoT. This should include both the “anchor employers” (employers who will be part of the formal collaboration) and those that will be engaged more widely. You should demonstrate how the employers represent: Breadth of coverage of sector specialisms,

including how they can contribute positively across other sectors.

Anchor and wider employers represent chosen sectors and unmet demand from employers as defined in question 1 b) and link to other related sectors where appropriate to enhance the learning offer.

Employers are representative of the full breadth of the chosen sector specialisms with compelling evidence of how they can link to other related sectors to enhance the learning offer.

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Breadth in type of employers engaged in terms of size, position in supply chain (e.g. prime contractors, Tier 1 Integrator, SMEs) market position, levels of R&D.

Good evidence of range of anchor and wider employers in terms of size, position in supply chain, market position, levels of R&D.

Wide range of employers covering a comprehensive breadth of sizes and positions in supply chain including market leaders at national level, with robust evidence of high levels of R&D.

The geographical area of the IoT. Anchor and wider employers are located in the geographical area.

Robust evidence that employers are representative of the local labour market, supported by labour market data.




You should provide details of how both anchor employers and wider employers will be engaged in the IoT: How anchor employers will engage in

governance and leadership along with the design, delivery and assessment of provision.

Good evidence of anchor employer engagement in governance and leadership roles and advising on and delivering the curriculum.

Compelling evidence of strong representation from senior level employer representatives in key governance roles; employers with appropriate operational skills and expertise represented in leadership teams; compelling evidence of how employers will shape and deliver the curriculum (e.g. through industry staff teaching courses or training modules).

How wider employers can influence the IoT’s offer.

Good evidence of plans setting out how wider employers can input views and have meaningful influence over IoT’s offer.

Compelling evidence of how wider employers can have genuine influence over the IoT’s offer on long-term basis.

Details of how anchor and wider employers plan to risk share up front capital funding and investment (e.g. in-kind support of equipment/staff, through to financial contribution or joint investment in the IoT).

Good evidence of risk sharing on capital funding from anchor employers and wider employers.

Evidence of significant and binding resource commitment from anchor and wider employers.

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Q.5 How will the proposed IoT specialise in teaching technical disciplines, particularly STEM, at Levels 4+, creating a clear pathway to high-skilled, high wage employment?Things you need to know:

This is your opportunity to show us your plans for the curriculum of the proposed IoT. Your answer to this question will be assessed against the following criteria:

o 5(a) The relevance of the curriculum to providing occupational skills needs; ando 5(b) How agile and responsive the curriculum can be.

You will not be scored on this question but will be required to achieve a pass for each of the associated criteria. You have 750 words to answer this question. You can use the data template to provide evidence to support your narrative answer. This question focuses on the curriculum and its development. The capability of the applicants to develop and deliver the curriculum is assessed in

Q.11. This area will be assessed in more detail in Stage Two, where a full curriculum plan will be required.

In answering 5(a) you should address the following elements: In assessing whether the element is of a pass standard, the assessor will expect to see:

Provide narrative to explain the forecast given in the Data Template : Breadth to meet the higher-technical skills of a broad range of

occupations; Offer qualifications with high levels of employer recognition and

demand from the local and national labour market; equip learners with professional competences and behaviours

important in the workplace; A balance between classroom learning and apprenticeships; Provision aimed both at school leavers and the current workforce; and Align where appropriate to the requirements of professional

registration, (e.g. EngTech, RSciTech or RITTech), registered scientist (RSci), or chartered engineer (CEng).

A clear rationale with a justification of how the provision will link to high-skilled, high wage employment. Outline curriculum should show good breadth of provision, both classroom learning and apprenticeships, and provision for current workforce and for part-time students.

A good explanation of how the IoT will enhance employability and a good description of the steps that will be taken to ensure the IoT provides a clear pathway to high-skilled, high wage employment.

In answering 5(b) you should address the following elements: In assessing whether the element is of a pass standard, the assessor will expect to see:

Use of new technology and innovative modes of delivery for a flexible Good evidence, illustrated with examples, of how technology and

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delivery offer which means part-time students can access teaching and learning e.g. compressed modules, evening or virtual delivery of courses.

innovative delivery approaches can be effectively utilised to support flexibility in the business model.

Flexibility in staffing and curriculum. Clear plans which demonstrate how staff can be flexed and curriculum adapted in efficient and timely fashion in response to change, including how these changes would be communicated.

Q.6 How will the proposed IoT offer high quality industry relevant teaching, using industry standard facilities & equipment?Things you need to know:

This is your opportunity to show us your plans for teaching and facilities in the proposed IoT Your answer to this question will be assessed against the following criteria

o 6(a) The extent to which the proposed IoT will offer high quality industry relevant teaching; and o 6(b) The extent to which the proposed IoT will provide access to industry standard facilities and equipment

You will not be scored on this question but will be required to achieve a pass for each of the associated criteria. You have 500 words to answer this question. You will be asked to provide information in relation to the capital cost of your proposal in answering Q10 This area will be assessed in more detail in Stage Two, where a full staffing and estates and facilities plan will be required.

In answering 6(a) you should address the following elements: In assessing whether the element is of a pass standard, the assessor will expect to see:

Provide a narrative which outlines: An understanding of the importance of having high quality staff

(including dual-professionals* and access to industry professionals). Good demonstration of how a staffing plan will be developed with

what the staffing requirements are for high quality technical provision. How the IoT will develop a staffing plan to ensure it can offer high

quality industry relevant teaching e.g. working with employers to develop dual-professionals and industry secondees, visiting lecturers, contracting staff etc.

Good demonstration of how a staffing plan will be developed.

Broad consideration of the practical aspects of staffing (e.g. recruitment and availability of staff including where extra capacity and capability will need to be developed, and possible pension and TUPE implications).

Good evidence that consideration has been given to practical considerations in relation to recruiting and retaining staff.

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Dual-professionalism: the combination of technical subject knowledge and good pedagogyIn answering 6(b), you should address the following elements: In assessing whether the element is of a pass standard, the assessor will

expect to see:Explain how you will ensure that the IoT has access to appropriate high quality industry standard facilities to support delivery of the curriculum either through upgrading existing facilities or through the delivery of a new build facility. Demonstrate how your overall capital requirement given in question 10 will: Provide access to industry standard equipment and facilities, including

to simulated workplace environments and where feasible, applied research facilities.

Good demonstration that appropriate estates options for delivery of the IoT have been explored, including making good use of existing high quality estates and equipment.

Appropriately utilise existing estates and equipment in the area, demonstrating scope to leverage any existing high quality facilities

Good demonstration of the potential to provide access to industry standard equipment and facilities.

Demonstrate how the proposal complements and does not duplicate any existing specialist facilities currently provided by UTCs, National Colleges or FE/HE providers.

Consideration given to any potential duplication with other specialist facilities.

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Q.7 How will the proposed IoT be responsive and agile in meeting the current and future needs of local, regional and national industries.Things you need to know:

This is your opportunity to show us the strength of the IoT’s plans to access and deliver applied research and how it will be responsive and agile Your answer to this question will be assessed against the following criteria

o 7(a) the strength of the IoT’s applied research access and function; o 7(b) its responsiveness to learner and employer feedback.

You will not be scored on this question but will be required to achieve a pass for each of the associated criteria. You have 750 words to answer this question. This area will be assessed in more detail in Stage Two, where a full research plan will be required. In answering 7(a) you should address the following elements: In assessing whether the element is of a pass standard, the assessor will

expect to see:Set out your proposed approach to accessing and developing the capability to deliver applied research. This should include: Nature of the research themes you plan to access and relevance to

sector specialisms of IoT. Clear identification of relevant research themes to your chosen sectors

How you will apply insights from research to continuously refresh the curriculum and revise provision.

Good plans for how you would translate research findings effectively into curriculum

How you will develop your Stage Two research plan, so that it will evidence a relevant current applied research gap in these themes and describe whether and how you would develop an in-house research capability within the IoT (including timescales, how employers can test and refine their ideas and potential funding sources).

Clear steps for how you will develop your Stage Two research plan including evidence of an applied research need and how you would develop an in-house applied research capability that does not duplicate HE research provision, and identification of potential researchers and funding sources.


Describe how you will ensure that the IoT is responsive to feedback from both learners and employers. This should include: A process for capturing learner and employer feedback and how that

feedback will improve teaching delivery and the curriculum Robust plan to capture feedback on regular basis, with good

understanding of different approaches required for students and employers.

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Clear process for evaluating feedback and translating that into teaching and curriculum improvements

How you will monitor improvements and ensure changes are relayed to learners/employers

Regular monitoring process set out with effective communications plan for relaying changes, tailored to each audience

Q.8 How will the proposed IoT create a prestigious and distinct identity for both the institution and the offer to learners?Things you need to know:

This is your opportunity to show us how you propose to create a distinct identity for the proposed IoT. Your answer to this question will be assessed against the following criterion: the ability to communicate a clearly differentiated and high quality

offer that will raise the prestige of higher-technical education in the area and reach and attract learners. You will be required to achieve a pass for the criterion associated with this question. You will also be scored on this criterion in the quality assessment, with 10% weighting (as set out in section 3.2) You have 750 words to answer this question. We will reassess this at Stage Two, where we ask for more detailed marketing plans, and plans to reach and attract learners. In answering 8, you should address the following elements:



Explain how you will clearly differentiate the IoT from existing provision, in particular from that of the collaboration partners. This should cover:o Physical changes to facilities etc so that

the IoT has a clear physical identity as an independent institution;

o Changes to the culture and ways of working of the anchor partners to create the new IoT working;

o How the IoT will communicate with students, parents and employers; and

o How all the above align with and reinforce the overarching vision for the

Good evidence that learners will be able to differentiate the IoT from existing provision and estates, with clear boundaries. Where the IoT is to be based in existing facilities and estates, there should be a clear plan to transfer those facilities to the new IoT, with clear demarcation from provision owned and used by parent or partner institutions and a clear, separate identity for the IoT estate

Compelling evidence that there will be clear differentiation of the IoT demonstrated through the physical identity of facilities, changes in culture driven by the leadership with commitment and investment in the IoT brand and strong evidence of comprehensive approaches, including longer-term thinking (e.g. around plans for the alumni)

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IoT. Explain how you will be able to market an

attractive offer to learners that builds on the IoT brand. For example, this could draw on career pathways, career earnings and outreach activity to feeder institutions.

Good evidence that the IoT has a high quality offer that it will be able to draw on to market the IoT to learners.

Strong evidence that the IoT will have a high quality offer that will reach and attract learners, parents and employers, such as innovative ideas to leverage the existing reputation of applicants and build on this to develop a distinct reputation for the IoT

Explain how you will be able to market an attractive offer to new and future employers, which builds on the IoT’s brand. For example, this could draw and build on the reputation of the applicants.

Good evidence that the IoT has a high quality offer that it will be able to draw on to market the IoT to new and future employers.

Strong high-level engagement plans to reach a wide range of prospective learners, including career learners.

Q.9 How will the proposed IoT work collaboratively to harness the assets, resources and expertise of employers and FE and HE providers?Things you need to know

This is your opportunity to show us how the proposed IoT will add value through working collaboratively. Your answer to this question will be assessed against the following criteria:

o 9(a) the synergies and added-value that will be gained through the IoT’s proposed collaboration model; ando 9(b) whether its legal structures (as set out in the Legal Annex ) meet the criteria and conditions for FE and/or HE provision16, grant funding and

student support. You will scored on criterion 9(a) in the quality assessment with 5% weighting (as set out in section 3.2); you will be required to achieve a pass for

criterion 9(b). You have 750 words to answer this question. You can use the ‘Legal Annex’ to provide evidence to support your narrative answer. This area will be assessed in more detail in Stage Two, where full due diligence of the legal structures will be carried out.




Explain the approach you will take to working

16 See the consultation on the Office for Students regulatory framework at: https://consult.education.gov.uk/higher-education/higher-education-regulatory-framework/

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https://consult.education.gov.uk/higher-education/higher-education-regulatory-framework/


collaboratively and how this will enable synergies and added-value. This should include: Definition of the roles of the respective

collaborative partners including the level of commitment from HE and FE anchor partners (NB Employer anchor partner commitment assessed in question 4).

Clear and unambiguous definition of the roles of each partner. Good level of commitment.

Detailed and unambiguous definition of the roles of each partner. Strong level of commitment.

How collaboration will be practically managed on an ongoing basis

A description of robust practical arrangements for managing collaboration.

Clear demonstration of the value added by each partner and how the collaboration will be effectively managed and monitored.

How the quality of skills provision will be enhanced in ways that could not be achieved by the individual parties acting alone

Good demonstration of how collaboration will deliver improvements in provision above the standard that could be achieved by the parties acting alone.

The collaborative approach is greater than sum of its parts. An articulation of how economies of scale will be achieved by extending geographical reach and through pooling assets and facilities within and beyond the IoT.


Complete the Legal Annex That the legal model, (which will be assessed in further detail at Stage Two), is likely to be tenable, for example, providing sufficient and appropriate accountability, effectiveness, assurance of delivery, management/distribution of risk, efficiency and clarity.

Q.10 How will the proposed IoT be financially viable and resilient?Things you need to know:

This is your opportunity to show us how you plan to ensure the financial viability of the proposed IoT. Your answer to this question will be assessed against the following criteria:

o 10(a) Whether the proposed IoT is financially viable based on realistic and robust assumptions and is resilient to changes in the assumptions;o 10(b) Whether the proposed anchor partners are financially credible based on historic performance information; o 10(c) Whether the proposed capital requirement is reasonable and credible.

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You will not be scored on this question but will be required to achieve a pass for each of the associated criteria 10 (a), (b) and (c) above. The Stage One Data Template should be the primary source of data collection to answer this question. Further narrative should be provided as explanatory evidence to support your answers. The financial viability and resilience of the proposed IoT will be assessed in more detail in Stage Two. Assessment at this stage would include

initial analysis of the proposal’s income and expenditure forecast, and capital requirement. Formal diligence on the financial model, including operational and capital assumptions and outputs will be carried out at Stage Two.

In answering 10(a),(b) and (c) you should address the following elements: In assessing whether the element is of a pass standard, the assessor will expect to see:

You will need to have completed the following pages in the Data Template: o ‘forecast Assumptions IoT’ tab; o ‘I&E’ tab.

Details on how to complete the template is under ‘Instructions for Completion’.

A fully completed Stage One Data Template. Good evidence of the financial credibility of the proposed IoT. This will be analysed from data extracted from the Stage One Data Template (Forecast assumptions IoT page and I&E page).

For all ‘anchor’ applicants in the collaboration, please confirm their financial credibility by:

Confirming they have not been rated inadequate by ESFA in their financial health assessment in the last year17;

Confirming they have not had any financial concerns raised by the HEFCE if applicable.

If none of the above apply to the collaboration applicant, (i.e. employer18) then please complete the ‘anchor bidders’ tabs in the data template as instructed on the key finance ratios.

Good evidence of the financial viability of the anchors in the collaboration including no applicants rated either as ‘inadequate’ in their financial health ratings by ESFA or with financial concerns by HEFCE. This will be analysed from data extracted from the Stage One Data Template and the supporting narrative.

To confirm the capital requirement, please complete the ‘capital’ page in the data template to provide a high-level break down of the capital requirements. Please use the space provided to explain in narrative form:

What the capital funding will be used for (i.e. whether this is to

Good evidence of the overall capital requirement and sources of funding. The provision of relevant supplementary information and evidence necessary to support and/or justify the capital requirement.

17 https://www.gov.uk/government/publications/financial-planning-handbook and https://www.gov.uk/government/publications/esfa-financial-health-assessment

18 If the anchor employer is a multi-national corporation, we would only want the lowest subsidiary legal entity involved in the IoT, not the parent company.

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https://www.gov.uk/government/publications/esfa-financial-health-assessment

https://www.gov.uk/government/publications/financial-planning-handbook


upgrade existing facilities/equipment or to fund a new build); Why it is necessary for the success of IoT; How the capital programme will be delivered, including

information on the capacity and capability to deliver it; How long it will take before the investment is fully operational; How you calculated the capital costs and The likely nature and source(s) of the external funding that will be

sought.

Q.11 How will you ensure that the proposed IoT is delivered successfully and fully realises the identified benefits?Things you need to know:

This is your opportunity to show us how you plan to successfully deliver the proposed IoT. Your answer to this question will be assessed against the following criteria:

o 11(a) the capability and capacity of the project applicants; o 11(b) the project governance arrangements;o 11(c) the credibility of the project timeline and the project management arrangements; ando 11(d) the risk management arrangements for the delivery of the project.

You will be required to achieve a pass for each of the criteria associated with this question. You will also be scored on criterion 11(a) in the quality assessment with 15% weighting (as set out in section 3.2). You have 1,000 words to answer this question. You should complete the capability statement annex to support answer 11(a); you must provide a

governance structure diagram for 11(b); you must complete the Project template provided for 11(c) and 11(d). This area will be assessed in more detail in Stage Two, where a full set of project plan documents will be required.




Set out the relevant skills and experience of the leadership team of the proposed IoT and how they will be able to dedicate their time to establishing and operating a high performing IoT.

Good relevant experience of setting up new enterprises. If the experience of the leadership team is outside of technical education provision, there is a clear demonstration of relevant applicable experience.

Good evidence of skills and experience from

Strong evidence of the right skills and experience of the leadership team with a proven relevant track record and a high level of capacity within the leadership team to devote to the IoT.

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the leadership team (e.g. principal, vice-principal, etc) in providing high quality technical provision and engaging with employers, as well as participating in a collaboration of institutions.

Good level of time commitment from the leadership team.

Set out in the capability statements in the application form how all anchor partners and other partners within the collaboration are equipped with the relevant skills and experience for establishing and operating a high performing IoT.

Good evidence of relevant combined experience of setting up new enterprises and higher-level technical provision.

Compelling and wide-ranging evidence across the proposed consortia of relevant skills and experience, including strong evidence and examples of applicant(s) group relevant experience of setting up new enterprises.


Explain how the proposed project governance structure will enable effective decision making to set up the IoT.

Good evidence that the governance structure will enable effective decision making, with reference to established best practice principles.19

Provide a diagram as part of your response showing the proposed governance structure indicating lines of accountability and decision-making processes of the project board.

Clear lines of accountability and decision making processes.

In answering 11(c) you should address the following elements: In assessing whether the element is of a pass standard, the assessor will expect to see:

Set out, using the project plan template, a high-level project timetable explaining how you will effectively manage and deliver your proposal within the proposed timescales.

Clear set of key milestones and high-level project management arrangements that provide good evidence that the project timetable is credible.

In answering 11(d) you should address the following elements: In assessing whether the element is of a pass standard, the assessor will expect to see:

19 Association of Colleges Code of Good Governance Principals: mission and strategy, collectively accountable, effective underpinning policies and systems with student voice, exceptional teaching and learning, responsive to workforce trends, financial strategy and funding plans, effective control and due diligence, equality and diversity, clear governance and management, and review of governance (Code of Good Governance Link: https://www.aoc.co.uk/sites/default/files/Code%20of%20Good%20Governance%20for%20English%20Colleges%20FINAL.pdf)

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https://www.aoc.co.uk/sites/default/files/Code%20of%20Good%20Governance%20for%20English%20Colleges%20FINAL.pdf

https://www.aoc.co.uk/sites/default/files/Code%20of%20Good%20Governance%20for%20English%20Colleges%20FINAL.pdf


Set out, using the risk register template, the key risks of the proposal and the proposed mitigating actions. You must have considered risks resulting from the collaboration structure.

Clear identification of the key project risks with mitigating actions and contingency measures using the risk register template.

Good evidence of thinking around the risks of potential legal structures and partners withdrawing.

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4.6 Completing the Annexes and TemplatesGuidance for the annexes is below except for the Legal annex which has details on how to complete within the legal annex itself. Guidance for the templates is also included within the templates themselves.

Market Assessment Annex You should use this section to provide detailed evidence to support your answers to the Core Programme Objectives (i.e. Q1 2, 3). This should include evidence covering:

The demand side i.e. quantitative and qualitative evidence of the skills gaps and shortages together with their economic impact on employers and economic growth.

The supply side i.e. current provision and the barriers to increasing the supply of higher technical skills in the area. This should draw on evidence from the Area Review as well as other sources and include maps.

The economic impact i.e. how the proposal will support regional and national economic growth strategies including quantitative data on target sectors in area (e.g. proportion of GVA, exports, firms, employment).

You must provide a map of the geographical catchment area of the proposed IoT, showing the local authority and LEP administrative boundaries together with the location of the main campus and other sites.

Capability Statements Annex You should provide Capability statements from all parties to the proposal. It should state as clearly as possible what each partner is contributing to the project, including any conditions on investments and any issues on timing with 500 words per anchor partner and 250 words per other partner).

5. HOW TO APPLY

5.1 Submitting your application

62. You will need to register to Bravo Solutions to access the application form. Please go to the following link to register to Bravo Solutions e-Tendering: https://education.bravosolution.co.uk/web/login.shtml.

63. Applications should be uploaded to the Bravo e-Tendering Portal by noon on Thursday 1 March.

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https://education.bravosolution.co.uk/web/login.shtml


64. Please use the following naming convention for the attachments: IoT; Name; Subject eg Application Form.

65. You will receive a notification confirming receipt of the documentation.

66. Should this not be received, it is your responsibility to check your application for errors and contact the [email protected] to clarify any issues.

5.2 Questions and clarifications

67. You may raise questions or seek clarification regarding any aspect of this competition. You should only contact DfE by using the online message board attached to the specific Call for Proposals on the e-Tendering portal. This is to ensure that DfE can maintain the integrity and robustness of the Call for Proposals process and guarantee that answers given are consistent. Questions must be submitted no later than Friday 16 February, and should be submitted via the e-Tendering portal.

68. If at any time during this Call for Proposals process you experience technical difficulties or require technical assistance, you should contact the e-tendering helpdesk at, [email protected], supplying a “screen dump” depicting any error messages you have received. Candidates should note that this email address will not be able to answer policy and/or questions regarding the competition.

69. To ensure that all Applicants have equal access to information regarding this Competition, we will publish all responses to questions raised in a Frequently Asked Questions document which will be published at regular intervals.

70. It is your responsibility to monitor the FAQ document for any responses to questions, general clarifications or other important information issued by the Department which may contain important information that may affect how you should complete your Application.

71. We will not enter into exclusive discussions with you regarding this competition.

72. In addition, we will hold an IoT Conference for applicants on Tuesday 16 January in Central London to provide briefing on the competition and address queries from potential applicants. If you wish to nominate an attendee for this conference, please email [email protected] with the subject line “IoT Conference” by Wednesday 10 January. You can submit questions ahead of the conference for clarification at the event; please do so by Wednesday 10 January.. Attendance is restricted to one per IoT proposal.

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mailto:[email protected]

mailto:[email protected]


5.3 Freedom of Information 73. Please note that the information you provide may be subject to publication and

disclosure in accordance with access to information legislation, primarily the Freedom of Information Act 2000.

5.4 Equalities Impact Assessment74. It is for applicants to judge whether or not their proposal should be accompanied by an

Equalities Impact Assessment and, if so, to provide such assessment and, if not, an explanation as to why not.

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GUIDANCE ANNEX 1: Licence Agreement information on IoTs75. We will hold IoTs to account for delivering quantifiable outcomes through the licence

agreement for the award of IoT status and capital funding (where applicable). IoT status and capital funding (where applicable) will need to be awarded to an accountable body, which in most cases would be the newly formed IoT or lead applicant as accountable organisation.

76. Successful applicants will agree a business plan with the Department, including KPIs to be achieved by the end of the business-planning period i.e. over a 5-year time horizon and then periodically thereafter over the life of the IoT. Progress towards achieving the KPIs will be reviewed monthly for the first 2 years of set-up and then periodically thereafter.

77. Underperforming providers would be required to submit action plans and take remedial action. Continuing IoT status is contingent on achieving an impact through these quantifiable outcomes. Ultimately if they do not improve, the licence to use the IoT status could be revoked.

78. The following outcomes will be used to measure the success of IoTs: increase the number of people achieving L4/5 qualifications in technical

disciplines, particularly STEM, over and above current levels; increase the number of people from disadvantaged and under-represented

groups participating in higher-level technical disciplines, particularly STEM, and increase the proportion of these learners who progress to employment in the

relevant occupations.

79. In the longer-term, we will also use learner destination and earnings data to measure each IoT’s impact in successfully equipping people with the practical skills and know-how to improve productivity, increase opportunity and widen access to well-paid careers, including by people from disadvantaged and under-represented groups. Before this data becomes fully available, we will use proxies including employer and learner perception surveys and increases in applications and apprenticeship starts to measure impacts.

80. The agreement will set out: the criteria that those seeking to use the IoT logo must comply with based on

the expectation that IoTs will be employer-led institutions that deliver high quality, higher-level provision in technical disciplines, particularly STEM.

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specific terms and conditions designed to push providers towards excellence and continual improvement.

81. The criteria will stipulate: the expectations regarding for example the legal and governance

arrangements, scope of the curriculum, learner numbers, quality, staffing, resources and investment;

the criteria for sub-contracting provision to third parties to ensure quality of provision;

The requirement for applicants to consider and put in place contingency plans for the risk of parties of the consortia pulling out or insolvency of a provider;

the requirement to submit regular monitoring reports on performance against the delivery of an agreed business plan and KPIs;

other notifiable circumstances to protect the reputation of the overall IoT brand;

82. Breach of any of these criteria would lead to action and support and could ultimately be grounds to remove IoT status.

Controls on Level 3 provision83. Level 3 provision will need to meet the following requirements:

Applicants must show why they could not draw on existing L3 provision in their area and why it could not be grown

Applicants need to demonstrate why L3 provision was necessary to create a coherent pipeline of learners to progress into their core L4 curriculum

The IoT must not be reliant on ongoing L3 provision to remain viable We would expect L3 provision to be needed in the set-up phase only (first 5 years of

operation) and would review it once at steady state.

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