How to enter
Winning entries will be selected following the assessment process outlined below. The two-stage entry process aims to ensure that entrants can develop proposals that have the greatest chance of being awarded funding.
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.
Please note, Ofwat has chosen to invite specific entries from the Water Breakthrough Challenge round 2 direct to Stage 2 of Breakthrough 3. 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 3.
The steps of the entry process, detailed below, are:
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
J. Stage 2 Feedback
Stage 1 – Screening entry period
Stage 1 opens for entries on 3 October 2022 at 12 noon (BST) and closes on 9 November 2022 at 12 noon (GMT).
We set out the questions that should be answered, together with guidance on how to complete stage 1 of the entry process in the Entrant Handbook. In stage 1, we are looking for a high-level narrative summary in response to each of these questions.
We will ask you to register for a recording slot (Zoom call) where a five-minute pitch from the entry team will be recorded. This will be used to aid the understanding of our assessors when reviewing your entry and should be the same presentation that you would use if invited to present to judges. You will need to register for a recording slot no later than 5 pm (GMT) Friday 28 October.
All entries must be submitted by 9 November 2022 at 12 noon (GMT) using the stage 1 online entry form. The lead entrant will need to submit this form. The entry form for both stages is available as a Word document 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.
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 four 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 3. 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 criteria as set out in the Entrant Handbook.
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 categories:
1. Positive impact for water customers, society, and the environment;
2. Innovation enablers and innovative solutions;
3. Capacity, capability, and commitment to deliver.
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 Entry questions, assessment criteria, weighting, and guidance in the Entrant Handbook.
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 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. We hope to deliver this to entrants no later than early February 2023.
E. Stage 2 – Full entry period
We will open stage 2 to invited entries on 8 December 2022 at 12 noon (GMT) and will close for entries on 2 February 2023 at 12 noon (GMT).
We set out in Entry questions, assessment criteria, weighting, and guidance in the Entrant Handbook the questions that should be answered, together with guidance on how to complete the questions.
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 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 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 3. For more information on how we use your data, please see the 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 categories:
1. Positive impact for water customers, society, and the environment; and
2. Innovation enablers and innovative solutions; and
3. 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 are set out in 0 Stage 2 Assessed questions and assessment criteria.
A moderation meeting will be held to ensure that all opinions from the assessors are captured and that 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 shortlisted entries, in terms of entry themes, types, entrants and geographic location, is put forward to the judge.
G. Judging
An independent panel of judges will review the shortlisted 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.
This round, we are trialling live pitches to judges in the entry process. Entries that are shortlisted will be invited to repeat their submitted pitch recording live during the judging days between 9 am and 5.30 pm (BST) on 19 or 20 April 2023.
Following the live pitch, judges will have the opportunity to ask questions to the entry partners relating to their entries. Pitch slots to judges will be allocated to shortlisted entries no later than 18 April 2023, but where possible, we will endeavour to provide as much notice as possible.
If teams are not able to attend the live pitch, their submitted pitch recording will be shown to judges in its place. Entrants are also welcome to opt out of delivering their pitch live. No other opportunities for questions and answers will be provided, with the exception of clarifying conflicting entry answers.
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 mid-May 2023.
Entries that are successful will receive a copy of their draft winner’s agreement when they are notified. This winner’s agreement will be based on the standard template available here. Please note this template is being provided for information purposes only at this time and may be subject to changes. Winning teams will need to sign these agreements no later than 5 pm (BST) 16 June 2023 in order to be paid by early July 2023.
J. Stage 2 feedback
After winners have been announced, feedback will be provided to the lead entrants of those entries that did not win funding at 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. Feedback will not be provided to winning entries.