How to enter
We have worked to ensure the entry process is as efficient and practical as possible, allowing for ease of access for all water companies, in particular smaller companies. The two-stage entry process aims to ensure that entrants can develop proposals that have the greatest chance of being awarded funding.
Please note, Ofwat has chosen to invite specific entries from the first round of the Water Breakthrough Challenge direct to Stage 2 of Breakthrough 2. Reasons for this are set out in Ofwat’s decision document for the Water Breakthrough Challenge. This approach will not disadvantage any other entries as there is no limit on the number of entries that may progress to Stage 2 of Breakthrough 2.
The steps of the entry process are detailed below:
- A. Stage 1 – screening entry period
- B. Eligibility screen
- C. Stage 1 assessment
- D. Stage 1 feedback
- E. Stage 2 – Full entry period
- F. Stage 2 Assessment
- G. Judging
- H. Ofwat Decision
- I. Award
- J. Stage 2 Feedback
A. Stage 1 – Screening entry period
Stage 1 opened for entries on Monday 11 October 2021 at 9 am (BST) and will close on Tuesday 16 November at 12 noon (GMT).
Entries must be submitted online by the lead entrant via Submittable. An editable version of the entry form can also be downloaded (DOCX, 137KB) to help you to develop and collaborate on your answers ahead of completing the online form. If entrants wish to work on more than one draft on the online entry form during the entry period, please contact [email protected] for assistance.
At stage 1, we are looking for a high-level narrative summary in response to each of these questions. Guidance on how to complete stage 1 of the entry process is provided in section 5.3.3 of the Transform Stream Entrant handbook (PDF, 2.7MB).
We will ask you to register for a recording slot (Zoom call) where a four-minute pitch from the entry team will be recorded. This will be used to aid the understanding of our judges and assessors when assessing your entry. You will need to register for a recording slot no later than Friday 5 November 2021 at 5 pm (GMT).
Before submitting your entry, please ensure that:
- You and your partners have read and understood the Challenge terms and conditions and privacy policy, including the Ofwat privacy policy.
- Your entry is aligned with one or more of the five Ofwat strategic innovation themes.
- You have followed good procurement principles, performed your due diligence on your partners and accept any risk and liability from going ahead with them.
- You and your entry partners have set out in your entry how a 10% minimum financial contribution will be provided for (at least 10% of total entry financial costs will be funded from sources other than the Fund). Information you provide in your entry may be shared with our partners (including the judges and any due diligence providers) for the purpose of administering Breakthrough 2. For more information on how we
Information you provide in your entry may be shared with our partners (including the judges and any due diligence providers) for the purpose of administering Breakthrough 2. For more information on how we use your data, please see the privacy policy and the terms and conditions.
B. Eligibility screen
Entrants are required to meet the eligibility. When entries close, an eligibility screen will be conducted to ensure entries all meet the eligibility criteria.
C. Stage 1 assessment
During Stage 1, all eligible entries will be assessed by assessors against each of the following three assessment criteria:
- Positive impact for water customers, society, and the environment;
- Innovation enablers and innovative solutions;
- Capacity, capability, and commitment to deliver.
Assessors will assess and score answers to all assessed entry questions against set assessment criteria. Scoring will be between 1 and 5 (5 being the highest). These scores are then weighted. The assessed entry questions, assessment criteria and weighting is set out in section 5.2.3 of the Transform Stream Entrant Handbook (PDF, 2.7MB).
A moderation meeting will be held to discuss and recommend entries to put forward to stage 2. This moderation meeting will ensure that all assessors opinions have been captured and a consistent view on the merits of each entry is provided.
Whilst scoring will form part of this process, in making its decision on whether to put forward an entry to stage 2, Ofwat will also consider the opinions of the assessors and will seek to ensure that a diverse portfolio of entries, in terms of entry themes, types, entrants and geographic location. Entrants should note that there is no guarantee of funding even if the entry reaches stage 2.
D. Stage 1 feedback
Feedback will be provided to the lead entrant for all entries. For those being invited to stage 2, entries will receive up to three points of feedback from assessors to support them in developing their stage 2 entry. It is up to entrants to determine if they want to take this feedback into account.
For those entries which are not being invited to stage 2, we will provide high-level information about why the entry has not been successful.
E. Stage 2 – Full entry period
We will open stage 2 to invited entries on Wednesday 15 December 2021 at 09:00 (GMT) and will close for entries on Tuesday 8 February at 12 noon (GMT).
We set out the questions that should be answered, together with guidance on how to complete the questions in section 5.2.5 of the Transform Stream Entrant Handbook (PDF, 2.7MB).
The entry must be submitted via the online entry form. At stage 2, we will be looking for a fuller, evidenced and referenced narrative, as well as the completion of our entry costs and delivery plan template. Entrants will be able to update their stage 1 entry form and re-record their pitch if they wish. The entry form for both stages is available here as a Word document (DOCX, 137KB) to help you to develop and collaborate on your answers ahead of completing the online form.
Entries invited directly to stage 2 will need to complete the full entry form, including stage 1 and stage 2 questions.
Information you provide in your entry may be shared with our partners (including our judges and any due diligence providers) for the purpose of administering Breakthrough 2. For more information on how we use your data, please see the Breakthrough 2 privacy policy and the terms and conditions.
F. Stage 2 Assessment
The stage 2 process will consist of a more detailed assessment of entries against each of the three assessment criteria:
- Positive impact for water customers, society, and the environment;
- Innovation enablers and innovative solutions;
- Capacity, capability, and commitment to deliver.
Assessors will review and score answers to all assessed stage 1 and stage 2 entry questions against set assessment criteria. Scoring will be between 1 and 5 (5 being the highest). These scores are then weighted. The assessed entry questions, assessment criteria and weighting is set out in section 5.2.5 of the Transform Stream Entrant Handbook (PDF, 2.7MB).
A moderation meeting will be held. This moderation meeting will ensure that all assessors opinions have been captured and a consistent view on the merits of each entry is provided. Whilst scoring will form part of this process, Ofwat will consider the opinions of the assessors and will also seek to ensure that a diverse portfolio of entries, in terms of entry themes, types, entrants and geographic location, is put forward to the judges.
G. Judging
An independent panel of judges will review the entries put forward through the Stage 2 assessment. The judging panel will review the entries individually, scoring the entries using the same criteria as the stage 2 assessors. The judging panel will then convene to discuss entries and recommend to Ofwat which entries they agree best meet the assessment criteria and offer a diverse portfolio for funding.
H. Ofwat Decision
Ofwat will make the final decision on which entries should receive funding. In making its decision, Ofwat will consider the views of assessors and judges on which entries best meet the assessment criteria and offer a diverse portfolio for funding.
Ofwat intends to publish this decision and its reasons for awarding funding. Ofwat will take account of entrants’ preferences in relation to the confidentiality of their entries.
I. Award
Entries should expect to be notified if they have been successful in being awarded funding by the end of April 2022.
J. Stage 2 feedback
After winners have been announced, feedback will be provided to the lead entrants of those entries that went through to stage 2, outlining why their entry has not been successful.
Feedback will be given against each of the three assessment criteria and, where relevant, provide guidance on areas of improvement against each of them. Scores provided by the assessors and the judging panel will not be included in the feedback. As mentioned above, scoring forms only a part of the overall assessment process.