Impact case study database

The research undertaken at the University of Strathclyde between 2003 and 2008, in close collaboration with Scottish & Southern Energy Power Distribution (SSEPD), resulted in a spin-out, Smarter Grid Solutions Ltd, to commercialise the research [ S1]. From 2009, SSEPD started connecting additional wind generation to the Orkney power system under the ANM scheme with Smarter Grid Solutions, with reinforcement deferral savings of GBP30,000,000 from ANM scheme go-live. Smarter Grid Solutions Ltd continue to be at the forefront of advising power companies on ANM technology and this impact on design and investment policy is a direct result of the research. Specifically, since August 2013, the research has:

• Enabled the growth and commercial success of Smarter Grid Solutions Ltd;

• Increased the number of clean energy assets connected to the grid in globally, resulting in cheaper and greener energy available to customers and cost savings for power generation companies;

• Informed the investment strategy and planning of distribution network and system operators in the UK, further supporting the expansion of clean energy.

Enabling the growth and commercial success of Smarter Grid Solutions Ltd.

Smarter Grid Solutions Ltd (SGS) grew substantially from formation in 2008 with total revenues to the end of March 2013 standing at GBP6,100,000 [ S1]. By March 2020, the company’s annual revenue had grown to GBP10,040,000, with a total revenue since August 2013 of GBP40,200,000 [ S1]. As of 31^st July 2020, SGS employs 75 FTE staff, based in Glasgow, New York and California [ S1]. Director and Co-founder of SGS confirmed the importance of the underpinning research for the company’s business offer:

‘The ANM scheme marketed by Smarter Grid Solutions, based on the original collaboration between the University of Strathclyde and SSPED, enables our partners to design and implement solutions to enable connection of Distributed Energy Resources (DER), whilst maximising network efficiency and maintaining network reliability... We now have an enviable track record with the leading innovator companies, covering all types and sizes of DER, based on the proven value of this technology.’ [ S1]

Since August 2013, SGS has expanded its original product, AMN 100, into two products – AMN Strata and AMN Element. Both products continue to be based on the fundamental research into ANM conducted at Strathclyde and were further informed by ongoing collaboration with current Strathclyde researchers [ S1]. The Director of SGS highlights how this collaboration ‘allows us to maintain our competitiveness and continually increase our business offer.’ [ S1] SGS has invested around GBP25,000,000 in product development based on the research, and received over GBP3,000,000 in external investment to further develop the products in 2017 [ S1]. According to the Director: ‘This level of investment is further evidence of the value of Active Network Management to the renewables energy sector. The application of ANM technology in our products enables our customers to develop and operate their networks more efficiently and flexibly as required and incentivized by industry regulators.’ [ S1]

Increasing the number of clean energy assets connected to the grid globally

With SGS having proven the value of the technology since its establishment, more and more power generation and distribution companies are adopting ANM as part of their operational technology to complement existing systems. SGS’s connected generators list has grown to approximately 450MW as of July 2020, with contracts with distribution network operators to connect over 1GW in 2021 [ S1]. The operational systems list, using products with the Strathclyde IP, currently includes the UK, US and Europe [ S1]. Examples of the connections enabled by SGS, resulting in cheaper and greener energy available to consumers and cost savings for power generation companies, are presented below.

Similarly UK Power Networks (UKPN) partnered with SGS on their ‘Flexible Plug & Play’ project (2011-2014), which demonstrated the value of adopting the approach for the company, who subsequently committed to implementing an ‘industry-leading’ ANM system in their 2015-2023 Business Plan [ S3]. This commitment has recently been accelerated, such that UKPN are now deploying the system two years ahead of schedule to help facilitate flexible renewable energy generation connections. Since defining the Business Plan, UKPN has connected over 120MW of solar, wind and biofuel generators in East Anglia, England, providing energy to power approximately 120,000 homes [ S3]. UKPN’s system, powered by SGS software, was described by respected independent American consultancy group Wood Mackenzie as ‘amongst the world’s most advanced’ and has delivered over GBP70,000,000 in savings for energy generator customers [ S3]. Flexibility contracts are now being introduced as a matter of standard practice for UKPN as part of their transition to DSO, so that all suitable newly connected generators will have the opportunity to benefit from ANM [ S3]. This rollout of flexible generation connections is expected to result in 2.5GW of generation connections and is the fastest and largest enterprise rollout of this technology [ S3].

SSE Enterprise is responsible for providing SSE with innovative solutions for their energy infrastructure in the UK and Ireland, and adopted SGS’s ANM technology to support increased connection of renewable and other clean, distributed, flexible energy resources to the grid and market [ S4]. In particular, SSE Enterprise have used ANM Strata to connect their customer’s energy assets to their systems and markets [Text removed for publication] and have ongoing projects to connect generators at commercial and industrial customer sites, business and university campuses and local authority buildings [ S4]. Confirming the benefits of this technology, the Director of SSE Enterprise stated: ‘[it is] enabling us to meet our green ambitions, serve our customers well, keep our energy prices low and meet our business objectives… SGS’s expertise in control and aggregation has been invaluable to help us create a platform that operates as we need it to.’ [ S4]

AVANGRID, 3,100,000 customers throughout New York and New England, US

AVANGRID, part of the Iberdrola Group, partnered with SGS in 2015 to develop and conduct demonstration projects as part of the New York Reforming the Energy Vision policy [ S5]. The resulting project - Flexible Interconnection Solutions (FICS) – was designed to demonstrate a process for energy generation developers and AVANGRID to curtail generation (i.e. flexible capacity) rather than conventionally reinforcing the grid (i.e. firm capacity). This approach maintains the viability and benefits of renewable development while ensuring the grid remains within service requirement specifications, such as voltage and equipment thermal limits, using SGS ANM technologies [ S5]. This solution encourages the development of distributed energy resources in the New York system and market. AVANGRID is leveraging this work to help meet the Reforming the Energy Vision policy goals of increasing distributed grid connections, reducing electricity costs and improving the environment [ S5]. In the future, FICS has the potential to enable additional DER interconnections that would not be viable under the current model [ S5].

Enzen Global Solutions Energy Consultants

In 2020, SGS partnered with Enzen Global Solutions energy consultants to implement ANM in several global regions (notably Australia and India) and, in September 2020, announced a deployment project in the Southern Indian State of Tamil Nadu [ S6]. This area has a high proportion of wind and solar renewables, and ANM will be used to minimize renewable energy curtailment and improve system balancing. This project is the first of its kind in India and has a huge potential for scaling up in other parts of the country. Ultimately, this project will result in cheaper, quicker, and more flexible energy generation connections and will further advance India's clean energy goals [ S6]. Speaking in media coverage at the time, the Vice President of Enzen Global Solutions stated: ‘Enzen believes in leveraging best-in-class technology from across the globe to meet local needs, and that's why we're collaborating with Smarter Grid Solutions. The pilot is an important step in maximising renewable energy uptake by the grid, and realising the full benefit of renewable energy for electricity companies, project developers and communities.’ [ S6]

Informing the investment strategy and planning of distribution network operators

The successful deployment of ANM technology on Orkney gave confidence to power companies to invest in further deployments of this technology under innovation funding (i.e. Low Carbon Network Fund, Network Innovation Competition and Network Innovation Allowance) and to include ANM technology in their investment plans for the period 2015-2023 under the RIIO price control mechanism [ S2, S3]. This uptake of ANM was highlighted in the UK Government’s 2017 Smart Systems and Flexibility Plan as addressing the action on Distribution Network Operators to ‘make more efficient use of new technologies, providers and solutions ’ [ S7]. The Plan noted: ‘It is critical that DSO [Distribution System Operators], transmission owners (TOs) and the SO [System Operator] develop timely and appropriate reforms to the way they plan, operate and engage with one another and customers, in order to manage the networks more efficiently and minimise whole system costs… We are seeing progress now (such as growth in active network management and greater coordination), but further demonstrable progress must be made.’ [ S7]

In their recently published DSO strategies (2017-2020), all 6 UK Network Operators committed to expanding ANM as a key aspect of their development plans [ S8]. As highlighted above, SPEN and UKPN have integrated ANM into their standard practice [ S3, S4, S8a, S8b]. Scottish and Southern Electricity Networks (SSEN), as a collaborating partner in the Orkney project, specifically highlights the work of SGS and the University of Strathclyde in their DSO update: ‘SSEN pioneered flexible connections alongside Smarter Grid Solutions and the University of Strathclyde in Orkney’. [ S8c] By 2019, SSEN had made ANM available to all generator customers in SSEN distribution areas and had delivered over 200MW in flexible connections [ S8c]. Through their ANM Centralisation project, SSEN invested GBP1,800,000 in a new ANM system to support this roll-out [ S8c]. In their DSO strategy published in February 2020 [ S8d], Western Power Distribution, who have been rolling out ANM since 2016, stated their intention to ‘Roll out Active Network Management across entire network by 2021, with expanded connections options available for customers allowing them to get quicker and cheaper access to the network’ [ S8d]. Electricity North West listed ANM as an ‘enabler’ and committed to implementing a whole system ANM suite to allow dispatch of flexible resources and help manage the flow of energy, highlighting ‘whole system benefits through coordination between transmission and distribution requirements delivering efficient network solutions and striking the right balance between new build and flexible solutions.’ [ S8e] Northern Powergrid, who already have one live ANM zone in the North of England and 433MW of contracted flexibility across three other ANM zones, also included ANM as a ‘key enabler for decarbonisation’ stating: ‘through ANM, we are able to actively manage exports from generation customers in order to provide them with cost-effective connections to the distribution network. This scheme is ground-breaking for us, as it is our first replicable scheme, meaning that we now have a standardised solution that we can roll out anywhere this situation occurs on our network.’ [ S8f]

Through the commercialisation of ANM products sold by SGS, the Strathclyde research developing ANM has been picked up by leading distribution network operators to provide cleaner and more efficient energy, and has enabled them to adapt to Government regulations and recommendations. Summarising the benefits of partnering with SGS, Head of Smart Grid Development at UK Power Networks stated:

‘By increasing the connection of renewable energy resources, we are able to meet our network development, customer connections and clean energy goals, improve the flexibility and efficiency of our network, and reduce the costs of network connection for energy generators as well as our customers… we consider ‘efficient and effective’ networks and being ‘net zero ready’ to be key innovation themes that support our business offer and Smarter Grid Solutions enables that.’ [ S3]

Research findings were implemented through a KTP, a series of industrial fellowships, projects funded by RUK Global Challenges and the UK Space Agency, industry collaboration and knowledge exchange via the Scottish Centre of Excellence in Satellite Applications (SoXSA). Strathclyde research directly led to and supported the following benefits:

• Sustained commercial success and economic benefit for Clyde Space Ltd. This company, together with Spire Global, became a driver for the expansion of satellite manufacture in Scotland, with Glasgow becoming a global centre of space and satellite innovation.

• Satellite data provided by Glasgow-built spacecraft, and the data companies they enable, now serve a global customer base in the private sector and government, providing efficient mapping and monitoring of the Earth’s resources, ecosystems, and events.

• The research has also been applied to support international expansion of ‘New Space’ technology in Low to Middle Income countries, and research-based expertise has informed policy and planning by organisations such as NASA.

Expansion of Clyde Space following success of UKube-1

With research translation through a KTP and industrial PhD projects supervised by Macdonald in collaboration with Clyde Space, UKube-1 was designed and built as an advanced micro-spacecraft suitable for a range of applications, including Earth observation. Launched from Kazakhstan in July 2014, the mission aimed to attract and train future generations of engineers, encourage collaboration across sectors and institutions, and accelerate the development of space technology. Following the successful completion of the 14-month UKube-1 mission, the UK Space Agency stated that UKube-1 is ‘one of the most advanced CubeSats ever built… UKube-1 has also helped maintain the UK’s leading position in the CubeSat sector. Participation in the mission places Clyde Space in an excellent position to capitalise on the fast-growing global nanosatellite market. The company has experienced 100% year on year growth, both in turnover and employees, as a direct result from involvement in UKube-1 and is firmly established as a global leader’ [ S1].

The CTO of Clyde Space confirms that ‘the KTP with Strathclyde was a fundamental building block that led to the development of UKube-1’ [ S2]. UKube-1 established Clyde Space as a spacecraft manufacturer, and secured follow-on spacecraft orders for the company, with significant growth since 2014, as the company transitioned from a sub-system supplier to a spacecraft system integrator and service provider. By 2017, Clyde Space was a market leader with more in-orbit heritage than any other supplier and supporting around 30-40% of all CubeSat missions [ S2]. In January 2018, the Swedish company ÅAC Microtec AB completed a share sale and purchase agreement to acquire 100% of the shares in Clyde Space [ S2]. The acquisition was paid for with 30,500,000 newly issued shares in AAC, and GBP2,000,000 in cash to create the company now known as AAC Clyde Space. The merger of the two companies established a strong commercial presence in Europe, the US and Asia, and by the end of 2020, AAC Clyde Space employed over seventy staff in Glasgow [ S2]. From January-September 2020 alone, AAC Clyde Space net sales amounted to GBP6,130,000 and the company is now an established leader in the global space sector. A Framework Agreement has also been in place since late 2019 with the University of Strathclyde to support and develop further collaboration. This resulted in the EUR19,700,000 (11-2020) xSPANCION project with the European Space Agency to manufacture ten spacecraft for a North American customer from December 2020, with University of Strathclyde as a project partner to apply research on novel inter-satellite data routing, and on constellation management and ground station selection [ S2].

Growth and relocation of satellite and data analytics companies in Glasgow

With the success of Clyde Space, and the research expertise available locally, Glasgow came to be seen as an important global centre of space and satellite innovation, attracting investment from international satellite and data analytics companies. In July 2019, the CSO of AAC Clyde Space said: ‘ I can't say enough how important UKube-1 was to not only Clyde Space, but also to the Scottish space industry. I believe it was one of the most important catalysts to the fantastic growth we have since seen to the Scottish space sector - 13 years ago there was practically no industry and now we have one of the fastest growing space sectors in the world’ [ S5]. Examples of this growth and relocation include:

• In 2015, Spire Global, a Silicon Valley start-up founded in 2012, opened its first European office in Glasgow, with the co-founder and CTO confirming: ‘ the relationship between Spire and the University of Strathclyde has been, and continues to be, strong ever since the company located to Glasgow in 2015. The availability of talent with local high-quality universities and the proximity of supply chain were key factors for Spire locating in Glasgow, and these continue to be significant motivators for the expansion plans’ [ S3]. Spire designs and builds nanosatellites to collect data from space to identify, track, and predict the movement of the world's aviation, shipping and weather systems. Spire launched their 100^th Glasgow-built spacecraft into orbit in April 2019, and in September 2019 the company announced that Glasgow office would expand to 320 staff over the following five years. By December 2019 Spire’s Glasgow office was operating the world’s third largest private constellation of spacecraft, behind Planet and SpaceX, and by end 2020 had launched a total of 110 Glasgow-built spacecraft [ S3].

• Bird.i, a global real estate data analytics company, relocated to Glasgow in 2016, recognising that ‘Glasgow was becoming the space capital of Europe’ [ S4].

• In 2019, Orbital Micro Systems (OMS) Inc., based in Boulder, CO, partnered with AAC Clyde Space to locate staff in the central belt of Scotland [ S2], with Macdonald joining the company in 2020 as an Independent Non-Executive Director to support the company’s growth plans.

• In 2014 the University of Strathclyde won the bid to host SoXSA, which was 1 of 5 centres opened by the Satellite Applications Catapult. The remit was to accelerate the development of the Scottish space sector, and broker links between academia and industry. Since 2014 there has been engagement with over 500 organisations, more than 100 workshops and events, over 60 collaborative projects [ S6]. The iconic Tontine building in the centre of Glasgow was transformed into a tech start-up hub as part of the Glasgow Region City Deal, a GBP1,130,000,000 infrastructure funding agreement between the Westminster and Holyrood Governments. In 2016, SoXSA received funding from the UK Space Agency to work with Glasgow City Council and the Tontine incubator to support the creation of new space-related companies [ S6]. By 2020, this incubator had supported the creation of 12 new space sector businesses. An average start-up in Tontine increases turnover by GBP126,000, and 2 employees, in contrast, Strathclyde-supported space start-ups in Tontine on average increase turnover by GBP274,000 and four employees [ S6].

The combination of new space companies coupled with the expertise at Strathclyde provides Glasgow with an exceptional, end-to-end capability, rarely found elsewhere in the world, to take an idea from concept, through development and build, into operations in space, and data or service exploitation. This ultimately provides easier access to and more cost-effective space-enabled data and services for existing and future customers. As a consequence of the success of AAC Clyde Space and Spire, more spacecraft are built in Glasgow than anywhere else in Europe [ S4].

Improved nanosatellite design, and commercial products underpinned by satellite data

Glasgow-built spacecraft enable the creation and improvement of a wide range of data applications, notable examples are:

• Based on the UKube-1 design and with project review support from Macdonald, AAC Clyde Space developed the SeaHawk CubeSat for the University of North Carolina, to monitor the health of the Earth’s oceans. SeaHawk is 130 times smaller, 45 times lighter, has a ground resolution 7-15 times better, and has a Signal/Noise Ratio approximately 50% better than the spacecraft it replaces. This provides the University of North Carolina greater accuracy to measure ocean colour data, which plays a critical role in marine ecosystem monitoring [ S2].

• Orbital Micro Systems’ Global Environmental Monitoring Satellite (GEMS), using AAC Clyde Space’s CubeSat platform, launched in July 2019, provides actionable weather data to a markets including aerospace and maritime transportation, who use the data to plan routes that optimize real-time weather conditions, reducing delays, fuel consumption and emissions while operating with greater safety. By July 2020 the GEMS satellite had been operational for one year, delivering ‘ precise, unique datasets that translate into highly reliable weather intelligence’ [ S7].

• Data generated by Spire’s Glasgow-built spacecraft is being used by partners around the world to track global shipping and trade patterns to help identify illegal fishing, and to better understand global weather patterns [ S3]. This data supported a change in policy from the US Government’s National Oceanic and Atmospheric Administration (NOAA), who assessed Spire’s data and ‘concluded that the commercial sector is capable of providing the quality of data needed to help support NOAA’s operational weather forecasting needs’, finding that the data improved the accuracy of one- and three-day weather forecasts [ S3]. As a result, in November 2020 NOAA placed a two-year indefinite delivery-indefinite quantity contract with Spire worth up to USD23,000,000 (11-2020) to procure commercial data for operational use for the first time [ S3].

International expansion and capacity building in ‘new space’ technology

Macdonald and Lowe have directly supported the development of satellite technology and regional expertise in low- and middle-income countries, with UK Space Agency GCRF funding for these collaborations. Macdonald has also held several advisory roles, which influenced wider national and international level approaches and policy on small satellites and new space.

• Between 2015 and 2017, Lowe and Macdonald collaborated with MX-Space, Universidad Autónoma de Chihuahua, Mexico, and commercial partners in Glasgow to develop mission design software for the NANOBED Missions Laboratory [ S8]. The resulting NANOBED was the first of its kind to be deployed in Latin America and significantly accelerated the validation process of the Mexican-built AzTechSat-1 nano-satellite [ S8]. From 2017, Strathclyde researchers supported the development of a Globalstar CubeSat terminal for the AzTechSat-1 [ S8]. This terminal allows CubeSats to send data to Globalstar, a constellation of satellites used for phone and low-speed data communications, enabling CubeSat data to be downloaded continuously, rather than 2 - 3 times daily when the CubeSat itself passed overhead. This led to the first collaboration between the Mexico Space Agency and NASA on a spaceflight project, which saw AzTechSat-1, with the Globalstar CubeSat terminal on-board, deployed from the international space station in February 2020 [ S8].

• Building on this collaboration and funded by the UK Space Agency, Clyde Space led the FireSat project in collaboration with Macdonald and Lowe, alongside Government and University partners in South Africa, Namibia and Kenya, to support the deployment of the ZACube-2 spacecraft by South Africa [ S2]. Launched in December 2018, the ZACube-2 serves as a technology demonstrator for remote sensing applications such as ocean colour monitoring, large fire tracking, and ocean vessel detection.

• On the basis of his research expertise and support to the ‘new space’ sector, Macdonald was invited to advise on Ireland’s first national space strategy and supported University College Dublin’s successful submission for funding in June 2019 to Science Foundation Ireland. The prestigious Frontiers for the Future grant (EUR1,000,000 (06-2019)), together with Macdonald’s continued input, will support the development of a new Centre for Space Research and growth of Ireland’s space sector from 2020 onwards [ S9].

• From 2015 - 16, Macdonald was technology lead on the US National Academies of Sciences, Engineering, and Medicine committee on ‘Achieving Science Goals with CubeSats’ [ S10]. The subsequent report, commissioned by NASA, made a number of recommendations, including how NASA should better structure itself to embrace this form of disruptive innovation. In 2018, as a direct result of the committee’s recommendations, NASA created a new role of Special Advisor for Small Spacecraft Missions [ S10]. According to the Special Advisor, ‘the University of Strathclyde’s research on nano-satellite technology and space mission analysis, conducted by Prof Malcolm Macdonald and his team, has been instrumental in informing NASA’s approach to small spacecraft.’ [ S10]

Through sustained collaboration with the IMO and the maritime industry, both during the research process and in disseminating the research outcomes, Strathclyde researchers have contributed to significant improvements to maritime safety and innovative legislation and practice. In particular, the researchers’ participation in IMO Working Groups (for the original SOLAS 2009 regulations and bi-annual amendments from January 2014 onwards) and their promotion of collaborative working in the maritime industry through Centres of Excellence (including the Maritime Safety Research Centre, Maritime Human Factors Centre, and Safety and Risk Doctoral Training Centre) have been key drivers in these changes. The researchers also established University spin-out companies, Safety at Sea Ltd (1999-2014) and Maritime Safety Innovations Ltd (2017-present), with maritime industry leaders to provide consultancy and training, and promote innovative safety solutions with emphasis on life cycle risk management. They have organised and participated in international industry-academia conferences and workshops to transfer knowledge from the research. In this way, the following demonstrable impacts have been achieved:

Informing legislation adopted by and promoted through the IMO

The IMO’s rules are the most important international instrument addressing maritime safety in the global merchant fleet, covering areas such as ship design, construction and equipment, subdivision and stability, fire protection, radio-communications, safety of navigation, carriage of cargoes (including dangerous cargoes), safety management and maritime security. The merchant fleet also includes all passenger ships (carrying more than 12 passengers) on international voyages, with millions of passengers travelling on such ships each year.

Vassalos and Boulougouris have provided expertise and input from research projects to various regulatory working groups through the UK Government delegation to IMO, (including Formal Safety Assessment Group, Environmental Impact Group and Safety of Domestic Ferries Group) [ S1]. They have influenced bi-annual amendments to the SOLAS 2009 regulations, which were in force until December 2019, and a series of important amendments introduced from January 2020. The Director of IMO’s Maritime Safety Division confirms that: ‘Strathclyde-led projects … provided the inspiration and supported the development of several maritime safety-defining initiatives that paved the way to complete modernisation of maritime safety. Noteworthy are also a number of technical presentations at IMO by Strathclyde to nurture wider understanding and support a fast-pacing regulation process over the recent past’ [ S1].

Principal to these contributions is the introduction of the ‘design for safety’ approach, based on the Strathclyde research, which led to the adoption of goal-based standards (GBS) within all SOLAS regulations. The importance of this approach is confirmed on the IMO website: ‘IMO Member Governments have started approaching safety from a completely new perspective – one that is goal and performance oriented, in lieu of the traditional prescriptive-based approach, taking into account the sophisticated nature of the maritime industry’ [ S2a]. The GBS approach continues to influence the regulation process of the IMO. The latest IMO instruments using the GBS approach to monitoring safety are the Polar Code (which came into force from January 2017), the International Code of Safety for Ships Using Gases or Other Low-flashpoint Fuels (IGF Code; adopted June 2015), and ship construction standards for bulk carriers and oil tankers of 150m in length and above (adopted in 2012, came into force for vessels with a building contract placed on or after 1st July 2016) [ S2a].

Amendments to SOLAS regulations on subdivision and damage stability were adopted from June 2015, to update rules for international cargo and passenger ships [ S2b]. Damage stability failure represents 90% of the risk to human lives in maritime accidents, and as a ship is subdivided into compartments, it must be able to withstand flooding in one or more compartments without sinking. Revisions were based on findings from Strathclyde led EU funded collaborations, such as GOALDS (Goal Based Damage Stability) and FLOODSTAND (Integrated Flooding Control and Standard for Stability and Crises Management) [ S1].

Further amendments on damage stability regulations came into effect in January 2020, relating to subdivision of passenger ships [ S2b]. IMO’s involvement in regulation of domestic ferry safety began with the Manila Conference in the Philippines in 2015, based on the work undertaken by Strathclyde and World Maritime University, Sweden, with Vassalos acting as lead consultant on behalf of IMO [ S1, S2c]. This led to the adoption of the ‘Manila Statement’, which acknowledged the urgent need to enhance the safety of domestic ferries and urged States to review and update national regulations in relation to their passenger ferries [ S2c]. While domestic ferry operations are not required to comply with SOLAS, the IMO notes that now ‘many countries base their regulations on the IMO standards’ and the IMO has issued a set of standards comprising regulations and model national legislation applicable to non-SOLAS ships [ S2c].

Embedding a safety culture in maritime industry

The adoption of the ‘design for safety’ approach and subsequent changes to the regulatory process has overcome previous resistance to safety improvements in the industry, as the regulations are no longer saturated with risk-control. Maritime safety was once treated as a costly, damage limiting exercise, with design changes and safety regulation made in response to disasters at sea such as the sinking of the Estonia in 1994 when 852 people died. The risk-based approach to ship design enabled regulators such as IMO to set the right level of safety, designers to plan for requisite safety margins and ship owners to manage impending risks, all parties achieving this cost-effectively. The Director (2001–2016) of the Directorate for Mobility and Transport (European Commission) confirms that ‘ Strathclyde have more often than not acted in a co-ordinator role in many maritime safety initiatives’ and this research has ‘ defined the evolution and direction of maritime safety’ [ S3]. Similarly, the Senior Vice President DNV GL, a Classification Society which offers knowledge-based services to ship owners, shipyards, system suppliers and other stakeholders in the maritime industry, comments that ‘one of the key developments in these [Strathclyde] projects was methods, tools and data leading to estimation of the safety level of ships, a distinct revolutionary change in maritime safety … that has helped transform both the evolution of safety as well as the focus, opening the door to innovation and facilitating technological breakthroughs’ [ S4].

Supporting innovation in ship design and operation

All new merchant ships built worldwide must comply with SOLAS 2009 regulations and all subsequent amendments. The European Maritime Safety Agency (EMSA) reports that in 2018 there were 12,048 ‘new’ merchant ships in the global fleet between 0 and 4 years of age, ranging from cargo and container ships, bulk carriers, oil, chemical and gas tankers, passenger ships and fishing vessels [ S5] all designed and then constructed under SOLAS regulations.

Safety assessment at the design stage affects the maritime industry in many ways apart from safety of operation. It provides safety assurance for novel concepts, fostering and supporting innovative designs such as megaships and battery-driven ships. It has facilitated the introduction and growth of innovations such as digital and autonomous ships, and enabled integration of novel concepts in ship design, such as safety centres and developments in life-saving equipment.

The Head of Engineering at Meyerwerft, one of the most innovative shipyards in the world, comments that he promotes ‘the full positive impact of these advances in ship design, particularly the design for safety, among the industry’ and confirms the now industry-wide application of Strathclyde research to assess safety at the design stage, in particular ‘advanced simulation tools addressing damage stability and risk of flooding in daily design of passenger ships’ [ S6].

The new Royal Caribbean Cruise Line (RCCL) Icon megaships currently under construction can accommodate 10,500 people on board. They are described as the ultimate lifeboat, demonstrating through direct assessment that the ship can survive any realisable flooding accident scenario. The Executive Vice President of RCCL highlighted that the ‘new holistic approaches to safety, inspired by Strathclyde, are enabling us to raise the safety bar in all our ships with ingenious ways never thought possible before .... mega ships are a product of partnerships .. with Strathclyde as strategic partner’ [ S7]. The RCCL website notes that ‘All of our ships are designed and operated in compliance with the strict requirements of the International Maritime Organization, the UN agency that sets global standards for the safety and operation of cruise ships, codified in the Safety of Life at Sea (SOLAS) Convention. Safety-related regulations are rigorous – and we often go above and beyond what is required; for example, carrying backup mechanical, navigational and safety provisions’ [ S8].

Reduction in loss of vessels, life and injuries at sea

The Allianz Review of Global Shipping (2019) reports annual total loss of vessels over 100GT has fallen substantially from 207 reported in 2000 to only 46 vessels in 2018 [ S9]. The review confirms that annual losses are now at their lowest level this century, and since 2009, when SOLAS regulations first came into force, shipping losses have declined by 65%. The Allianz report highlights that ‘improved ship design and technology, stepped-up regulation and advances in risk management and safety are driving the sector’s long term loss improvement. More robust safety management systems and procedures on vessels is also a factor in preventing breakdowns, accidents and other mistakes from escalating into total losses’. [ S9]

Passenger safety in the European shipping sector has also improved. The European Maritime Safety Agency (EMSA) recorded a 57% drop in the number of fatalities between 2014 and 2019 from 114 to 49, and a 26% reduction in injuries to passengers and crew from 1239 to 917 over the same period (data based on statistics gathered from the accident investigation bodies of the EU) [ S5]. The Director of the Directorate General for Mobility and Transport (European Commission) confirms that with support from Strathclyde research the ‘development of regulations for passenger ships has helped the European Community to take a leading position in the process and .. help crystallise probabilistic regulations with emphasis on passenger ships, leading over the years to sustained improvement in maritime safety and a continuing downturn in loss of life at sea’ [ S3].

Economic benefits to global maritime and UK insurance sectors

The continued safe operation of commercial shipping is essential for the economic success of the global maritime sector. By 2019, the total value of the annual world shipping trade had reached more than 14 trillion US Dollars (International Chamber of Shipping data). The Director of Safety at DNV GL states that ‘through collaboration with Strathclyde we have developed a series of unique scientific methods and tools… to enhance our service offerings to the satisfaction of our customers, adding value to the whole maritime value chain’ [ S4]. Reductions in losses reduce claims on and economic loss to the insurance sector. This is particularly significant for the UK, which has a 35% share of global marine insurance premiums, 60% of protection and indemnity insurance and 26% of total global shipbroking. Analysis by Allianz Global of 230,000 marine insurance industry claims, with a value of almost USD10,000,000,000 (07-2018), between July 2013 and July 2018 [ S9] shows that ship sinking/collision incidents are the most expensive cause of loss for insurers, accounting for 15% of the value of all claims – equivalent to more than USD1,500,000,000 (07-2018) over this period.

Improvements in maritime safety - stemming from regulations informed by Strathclyde-led research and tools developed by Strathclyde to support ship design and operation practices – have resulted in fewer vessels lost and fewer fatalities, representing a significant benefit to the global economy and to the safety of passengers and crew.

Research led by Dyśko and Bell, implemented through technical advisory roles and collaboration with key stakeholders in Great Britain and Europe, has led to improvements and benefits affecting:

• National Grid Electrical System Operator, the organisation which operates the high voltage electric power transmission system for Great Britain, the European Network of Transmission System Operators for Electricity and ELIA, the electricity system operator in Belgium.

• Ofgem, the Office of Gas and Electricity Markets, a non-ministerial government department with a remit to encourage competition between energy providers and protect consumers, and which oversees legal obligations, industry codes and engineering standards including the Security and Quality of Supply Standard, the Distribution Code and associated Engineering Recommendations, the Grid Code and Transmission Network Use of System charging methodology.

• All renewables operators who provide low carbon power to the GB system, and consumers who gain from lower costs in electricity transmission networks, stable and secure supplies of electricity, and an increasing mix of low carbon energy from renewables.

Improved decision making on expenditure and long-term investment in power networks

The Security and Quality of Supply Standards (SQSS) sets out legal obligations on the transmission network licensees for planning and operating the GB transmission network. The Head of Networks (NG ESO) confirms that Bell’s research [ R2] led to the split of ‘economy driven’ from ‘reliability driven’ planning criteria in the SQSS in November 2011 [ S1]. From August 2013 these standards continued to define the legal obligations on the transmission network licensees and guide the level of capital expenditure by network owners. This is estimated by Ofgem to be over GBP6,300,000,000 in the period 2014 – 2021. The SQSS also dictates what the Electricity System Operator (ESO) must spend on ‘balancing services’ to ensure stable operation (more than GBP1,200,000,000 in 2019-20).

Bell’s contribution to SQSS revision, with ‘an associated clearer focus on economic appraisal’ [ S1] led to the institution of a new process, the ‘Network Options Assessment’ (NOA), to determine the ESO’s long term investment plans for the GB transmission network. In 2016, ESO implemented software to model GB and European energy markets (including growth in renewable generation), and in 2017 Bell was appointed to review the modelling tool’s configuration and benchmarking. NG ESO Head of Networks [ S1] states that ‘the expert advice and challenge by Bell and team to review the system set-up, assess and validate assumptions, and critique a back-casting report has provided the ESO with confidence to not just implement the software but to expand its use through … projects which are key to enabling the GB energy system to run carbon free. ’ Following Bell’s review, the NOA process in its most recent iteration has been used to assess the benefits of potential investments across a broad range of demand/supply scenarios, to justify GBP183,000,000 spend in FY21/22 and inform plans for a potential spend of GBP13,900,000,000 across the next decade [ S1].

Research by Bell and Bukhsh [ R3] was applied in the Network Innovation Allowance (NIA) project with NG ESO from October 2019 onwards to further enhance the NOA process and ‘to assess significantly more future scenarios for generation and demand than currently feasible using existing tools and techniques ’ and allow ‘more informed investment and operational decisions to ensure a secure, economic and efficient electricity grid’ [ S1]. NIA project activities have enabled NG ESO to plan with greater flexibility ‘as the network is moving away from historic ‘Winter Peak’ concerns to lightly loaded summer periods providing greater reactive needs; this has been exacerbated during the COVID pandemic with lower than average demands. For context, the ESO spent ~£70m on voltage related constraints since April 2020.’ [ S1]. Bell’s research and advice on network innovation were also instrumental in persuading the Gas and Electricity Markets Authority (GEMA, the governing body of Ofgem) to make a GBP600,000,000 package of innovation funding available to the sector in December 2020 for the period 2021 to 2026 [ S3].

The Head of Power System Planning for the Belgian transmission system operator, Elia [ S2], confirms that a research partnership with Strathclyde was used in 2017 to ‘improve Elia’s investment strategy, helping to ensure the consumers have a reliable supply of electricity and increasing the hosting of new, low carbon sources of electricity in the grid’ with improvements to their system development and investment planning process. This approach has been adopted by Elia to allow better targeting and justification of network investment in Belgium’s electricity network.

Capital investment of GBP820,000,000 in the Beauly-Denny overhead power line was also informed by Strathclyde research [ R1], cited in the Technical Assessor’s report in the public inquiry into this development (2007) and which addressed key technical requirements of construction and economic cost, which were critical to the approval process [ S4]. The Beauly-Denny line is a 220km overhead line along the north south axis of Scotland’s electricity network, replacing over 800 pylons which were constructed in the 1950’s. Overhead line works began in 2014, with power transmitted along the line from Nov 2015 onwards, enabling renewable generation and export of wind power from the North of Scotland to the rest of GB, and avoiding excessive electricity market costs.

Bell was also engaged by Ofgem as technical advisor to its enquiry into the August 9^th, 2019 electricity supply interruptions in which supplies to 1.1 million consumers were lost, advising on key engineering issues and potential breaches of licence obligations by the ESO and generators [ S3]. The enquiry established that two large power stations did not remain connected after a lightning strike, and the owners of these stations subsequently agreed to make a voluntary payment of GBP4,500,000 each into Ofgem’s redress fund.

Fairer charging for use of the GB transmission network

Electricity generators and suppliers pay annual ‘Transmission Network Use of System’ (TNUoS) charges to recover the costs of the networks owners’ provision of transmission assets. The total cost of electricity transmission network infrastructure to be recovered through TNUoS charges is around a few billion pounds annually; in 2019/20, it was GBP2,840,000,000 [ S3]. With significant amounts of new and low-carbon generation required to connect to GB electricity networks to meet low carbon targets, in 2009 Ofgem initiated Project TransmiT to consider whether the existing charging arrangements were fit to meet the challenges of the future [ S1]. Four ‘academic reviews’ were commissioned by Ofgem at that stage, and the Deputy Director, Networks (Ofgem) confirms that ‘Prof Keith Bell led one of the academic reviews and was the main author of the associated report. The report and its recommendations were a critical influence on Ofgem’s thinking on the subject of reform of the transmission network charging arrangements in 2011-14 when arrangements that still apply now were put in place.’ [ S3].

Bell’s main recommendation was based on his research on wind outputs and the drivers for network investment [ R2]. He proposed a split of TNUoS charges into a ‘peak-related’ component (only paid by non-intermittent generators, such as gas plants) and a ‘year-round’ component (paid by all generators in proportion to their ‘capacity factor’). This change was approved by Ofgem in July 2014 and implemented in April 2016, removing a major barrier to competition, and reducing charges paid by geographically remote operators such as wind farms, while retaining a cost-reflective signal from these locations. Ofgem’s impact assessment estimated a benefit to wind generators in the North of Scotland in 2014 of £13/kW, (equating to GBP24,000,000 for generators there) [ S5]. Speaking at the time, Ofgem stated: ‘We consider this to be a significant improvement to the existing approach … it is low carbon plants in particular that are currently being inappropriately charged and hence face an undue barrier to entry in some parts of the transmission system where there is significant potential for the deployment of renewables (e.g., the north of Scotland).’ [ S5] Since 2014 the Project TransmiT report remains ‘a ‘go to’ reference for the industry, clearly setting out the main principles that should be considered when setting regulatory arrangements for the electricity network and the levying of charges to recover the network’s cost ’ [ S3]. In their Impact Assessment [ S5] Ofgem estimate the total benefits of the changes to TNUoS charging over the period 2014-2030 to Net Present Value to consumers of GBP3,800,000,000.

Ensuring safe and stable operation of the GB electricity network

Loss of Mains (LoM) or ‘islanding’ occurs when part of the network (incorporating generation) loses connection with the rest of the system, potentially causing a safety hazard. The problem increases as more distributed renewable energy generation is connected to the grid, and Ofgem set up two working groups (2013-2016) to address this issue and adapt Engineering Recommendation (ER) G59, a key document governing the connection of all but the smallest distributed generation in the electricity network.

The Chair of Distribution Code Review Panel [ S6] confirms that Dyśko was the lead technical expert on the working groups that addressed the risks, costs and benefits associated with changing the existing settings of LoM protection, with Dyśko’s research expertise [ R4] critical in confirming that additional safety risk resulting from relaxation of the LoM protection settings was tolerable [ S1]. The case for change was subject to scrutiny by the Distribution Code Review Panel of Great Britain and by the Health and Safety Executive before sign off by Ofgem. In December 2017 Ofgem published modifications to the Distribution Code and ER G59, to reduce losses of generation following transmission faults and prohibiting the use of voltage vector shift (VS) devices as an alternative to established LoM protection [ S7]. This led to a programme of ‘vector shift protection removal’ which began in mid-2018 and will result in the eventual application of new LoM protection settings to 50,000 distributed generation sites in Great Britain. The Chair of Distribution Code Review Panel also notes that that the change to the Distribution Code and ER G59 were ‘an essential underpinning of the path to decarbonize GB’s electricity system and would not have been possible … without the rapid research, development and implementation of (Dyśko’s) risk assessment analysis .' [ S6]

Referring to the change of codes, the Network Operability Manager of National Grid ESO stated: ‘The result is a network management benefit which gives much more flexibility before generators disconnect. It will mean we’ll be able to operate the grid more efficiently and safely than ever before.’ [ S8] The economic importance of the change is that UK renewable generation is no longer shut down in an ‘over cautious’ manner in order to balance the grid. Given that renewable operators are paid by NG ESO to shut down generation, these changes to distribution codes and ER G59 enable a significant reduction in costs for NG ESO, without risking instability or reduction in renewable generators’ output. This was confirmed by NG ESO’s Head of Networks: ‘This leads to a significance reduction in operational costs – estimated at GBP150,000,000/annum in 2019 but will increase in the future; an increase in the percentage of energy from zero carbon; and an overall increase in the security of supply in GB.’ [ S1]

EU and UK planning for 2030 targets for renewables in power systems

Through a 3 year collaborative project with NG ESO, Strathclyde researchers addressed issues of lack of ‘system strength’ and instability when thermal generation is replaced partially or wholly by renewables, [ R5, R6]. In 2016, they conducted the first assessment of the impact of the converter control approach on the GB system, with a virtual synchronous machine or Grid Forming Converter (GFC), to regulate the frequency and voltage of the system using power from wind turbines. As a direct result of this research, the European Network of Transmission System Operators for Electricity (ENTSO-E) and the EU power community accepted that some of their mandatory network codes were not sufficient to ensure stable operation of power systems in countries with the highest wind and solar energy penetration [ S9]. ENTSO-E and Strathclyde researchers worked on two Implementation Guidance Documents in Autumn 2017, to provide advice to 34 European countries on when to go beyond their mandatory requirements and, for the first time, laid down draft definitions for grid-forming converters and fast fault current infeed [ S9]. In Britain, NG ESO responded to Strathclyde’s recommendations to ENTSO-E with the implementation of Grid Code modifications GC0100 and GC0101 in May 2018 and set up an expert group to assess the technology of grid-forming converters, in particular virtual synchronous machines, and develop further changes to the Grid Code [ S1] .

In collaboration with renewables operators, a world first trial of the GFC control strategy took place at a wind farm in Scotland in 2019 [ S9, S10]. The trial demonstrated that a wind farm can restore power in the event of a total or partial shutdown of the electricity transmission system, potentially removing reliance on coal and gas for this aspect of stability of supply. The CEO of Scottish Power Renewables considered this to be an ‘example of collaboration and innovation to deliver something exceptional that will change how renewables interact with the grid forever. ’ [ S10].

Strathclyde’s research into distributed intelligence and advanced analytics has helped to secure low-carbon energy supply in the UK and Canada by extending the operation of nuclear power stations through efficient and effective safety monitoring. This has been achieved through the development of a range of innovative software tools (ASIST [ R5], iMAPS [ R4], BETA [ R1, R2, R3], ADAPT) which have advanced the collection and automated analysis of monitoring and inspection data to provide timely and accurate insights into reactor health and condition. As illustrated with examples below, these tools have sustained and improved operations across the UK’s Advanced Gas-cooled Reactor (AGR) nuclear power plants. These were opened between 1976 and 1988, and have either passed or are reaching the end of their design lifespan. Impact in operational advances has also been evidenced at the Bruce Power Generating Station (BPGS) in Canada, the world’s largest operational nuclear site with 8 CANDU heavy-water reactors generating approximately 30% of Ontario’s electricity. Commercialisation of the prototype tools into fully supported commercial software systems has also created significant new revenue streams for supply chain companies.

1. Enhanced safety monitoring to satisfy regulatory requirements

Implementation of the iMAPS system [ R4] has enabled routine monitoring information to be leveraged to provide additional evidence for continued operation of nuclear power stations in the UK. As confirmed by EDF Energy’s Graphite Branch Technical Lead: ‘The data gathered using the software fed directly into the monitoring leg of the safety case to the Office for Nuclear Regulation. Since August 2013 the iMAPS system has supported every single Monitoring and Assessment Panel (MAP) meeting held quarterly by EDF at all 7 AGR stations (95 meetings as of the November 2020)’. The BETA system [ R1, R2, R3] (now industrially supported as the LoTAS system) automatically assesses FGLT data and ‘has been used to support the assessment during outages at Hinkley Point B and Hunterston B power stations. These happen every 18 months per reactor (2 per station), so approximately 14 inspection campaigns have been supported since August 2013’ [ S1].

2. Accelerated return to service following outages, creating time and cost savings

The ASIST tool [ R5], first deployed in 2014, provided EDF with a ‘step change in the way it assesses its inspection data’ [ S1]. The previous approach required up to one day of an experienced engineer assembling an image of a crack from frames manually captured from the video feed. ASIST allowed this to occur automatically within 30 minutes of inspection, allowing the station to return to service much sooner. The engineering consultancy, Jacobs, uses the ASIST software, as the main contract partner responsible for supporting EDF with their programme of graphite inspections. According to Jacobs’ Technical Director for Technology and Consulting: ‘The ASIST software has revolutionised the manner in which Jacobs analyses in-core video inspection footage…leading to significant time saved on analysis, and providing a more holistic view of the fuel channels than previously possible. Since deployment of the software in May 2014, the ASIST software has been utilised to support the assessment of over 850 fuel channel inspections, from all seven AGR stations in the UK’ [ S2]. The time savings from implementation of ASIST has also freed up experienced personnel to focus on the analysis rather than laborious creation of meaningful data. EDF Energy acknowledges: ‘ASIST has resulted in time and resource savings for both EDF and Jacobs…The time savings EDF make on initial analysis may result in faster return to service in some cases. For each reactor that is returned to service half a day quicker, GBP250,000 of additional revenue is achieved, so ASIST has the potential to increase revenue on the order of GBP1,000,000 each year’ [ S1]. A further example of the effectiveness of the software is demonstrated during the extended outage in 2018 of Hunterston Reactor R4, where the discovery of a new type of brick cracking led to a requirement for an increased inspection campaign and a new safety case to return the reactor to service. According to Jacobs, this ‘led to a significant increase in the volume of inspection footage to be assessed’ and ‘without the ASIST software, processing all the inspections in a timely manner would have been extremely challenging’ [ S2]. The images produced by the ASIST software have become the standard presentation format for this data. For instance, the industry regulator ONR used an image produced by Strathclyde’s software to illustrate the new type of crack (known as a keyway root crack) in its 2019 report granting permission to restart reactor 4 after a year offline [ S3: p.12, Fig.3]. This demonstrates the ability to use modern AI and analytics tools in the safety-critical and highly regulated nuclear industry.

At Bruce Power in Canada, the ADAPT software is showing similar benefits. This automates the interpretation of ultrasonic inspections carried out on the pressure tubes within their reactors. A translation plan has been formed, with the underpinning data management and software support framework activities required for full industrial deployment of ADAPT into existing workflows having been initiated. According to Bruce Power’s Chief Engineer: ‘This research has confirmed the viability of such an approach and has led to the development of a translation plan and the identification of further areas of related research with the intention to implement the resulting system as soon as possible’ [ S4]. In addition, garter springs (spacers) are used to separate the pressure tube and the calandria tube. The location of these spacers is critical to safe operation, however, limited time is available during each maintenance outage to verify the location of the spacers and any required movement. Analysis and modelling of data from historical outages fused with engineering judgement [ R6] provided the Outage and Maintenance Services (OMS) team at Bruce Power with a structured framework to select the most effective approach to move challenging spacers. An interactive decision support system was developed that supported the OMS team in developing and delivering their Spacer Location and Repositioning (SLAR) programme strategy within each outage, by understanding where difficulties may arise and interrogating the expected effectiveness of alternative tool settings. A web-based app was deployed with an interactive decision support system, combining three different modelling approaches to provide: an analysis tool summarising historical data on SLAR operations, a rule-based system combining empirical data and engineering knowledge on repositioning difficulties and mitigating actions, and a data-based predictive model to understand the expected effectiveness of a SLAR operation. As outlined by the Chief Engineer: ‘The tool provides the outage team with the most probable route to success when they encounter garter springs that are difficult to move and has, as such, minimised the amount of time required to make the required moves’ [ S4].

3. Improved management of nuclear facilities through the application of AI and data science

In 2018, Strathclyde University led and delivered a strategic analysis of the improved use of data sources and AI to improve operations, efficiency and revenue at the Bruce Power facility in Canada. Through discussions with 7 technical groups, 15 prioritised areas where AI could offer immediate value were specified. Following from this, through continued engagement with Strathclyde and funding a full-time Knowledge Exchange Fellow from Strathclyde to deliver AI analyses and prototypes, they have created a Continuous Online Monitoring programme and built a Monitoring and Diagnostics Centre to showcase and evaluate their new AI-driven operations. They have engaged the equivalent of 4 developers to deliver a number of applications. As confirmed by Bruce Power’s Chief Engineer: ‘This has resulted in AI analyses and prototypes being delivered that are now being evaluated and showcased as part of our new AI-driven operations. It is fair to say that the research undertaken at Strathclyde, along with the AI review it undertook with our technical teams, has directly led to the investment in and creation of our Monitoring and Diagnostics Centre. This will change how we use data to improve our operations’ [ S4]. Our research in data science and analytics is also supporting the location of fuel bundle defects, providing Bruce Power’s Fuel and Physics team with supporting evidence and increased confidence in the selection of channels scheduled for refuelling. It has ‘automated the extraction and analysis of complex technical information from fuelling machine logs, which has reduced the time spent extracting and processing data … enabling them to focus on combining information from a range of sources in order to identify efficiency savings during refuelling, enhance decision making and improve fault detection’ [ S4].

4. Created new revenue streams for start-ups and supply chains

As a direct result of research collaboration with EDF, Strathclyde’s Advanced Nuclear Research Centre (ANRC) was formed in 2016 to accelerate innovations in through-life nuclear plant lifetime. By the end of July 2020, this had grown into a GBP19,600,000 portfolio of activity with 14 international companies, including Babcock International, Bruce Power (Canada), Doosan Babcock and EDF. The focus of ANRC is on translating innovations into commercial solutions across a wide range of nuclear facilities. The success of the prototype systems (ASIST, BETA and iMAPS) led to their industrialisation as fully supported software systems, leading to revenue streams for the supply chain. Bellrock Technology Ltd is a University of Strathclyde spin-out company, formed in 2012 and with a product that accelerates the deployment of data and AI solutions. It now provides the software product and platform upon which the BETA (since 2016, now called LoTAS) and iMAPS (since 2018) solutions are deployed. Bellrock’s Chief Executive Officer notes: ‘Our work with EDF has built upon the excellent research prototypes and early industry implementations created by the University, and has led to a continual revenue stream from EDF since 2016. They now license our Lumen® product as part of a multi-year agreement’ [ S5]. Jacobs also generates income from their support partnership with EDF [ S2]. Furthermore, since 2019 Cavendish Nuclear Ltd, a wholly-owned subsidiary of Babcock International Group, has ‘made good progress in establishing its commercial presence in Canada…[as] a direct result of involvement with the Advanced Nuclear Research Centre, which provided: key and well-connected stakeholders leading to better understanding of the market; development of strong in-country partnerships formed through ANRC partner businesses; identification of prospective innovative opportunities; and, the ability to leverage joint projects to increase presence via conferences and events’ [ S6].

Clinical evaluation of the HINS-light system provided validation of the decontamination efficacy of the technology and external recognition of the research, with isolation rooms found to be cleaner (up to 90% less environmental contamination) when the system was used in conjunction with standard cleaning and infection control procedures [ R3]. The IP for the technology is protected by two families of patents (Process and Device patents e.g. [ R2]) with patents granted in the UK, Europe, USA, Canada, China, Australia and Japan. Through licensing this technology, the Strathclyde research has:

• Enabled commercialisation of the HINS-light technology, leading to the growth of two major US manufacturers,

• Established a safer and more effective decontamination method;

• Supported decontamination in hospitals, resulting in improved cleanliness and infection control;

• Reduced surgical-site infections and improved patient health, resulting in cost savings through improved patient treatment and mitigation against hospital penalties.

Enabling commercialisation of HINS-light technology

Underpinning research led to IP generation [ R2], and the subsequent licensing of the technology to two major US lighting manufacturers: Kenall Lighting in June 2015 [ S1, S2], and Hubbell Lighting Corporation in April 2018 [ S3]. These licensing agreements have generated a royalty income to the University of Strathclyde of nearly GBP1,000,000 from 2015 to date. Kenall Lighting, who are licensees for the healthcare field, have developed and commercialised the technology under the brand name Indigo-Clean. The establishment of this dedicated branch within Kenall Lighting has resulted in a significant increase in income [Text removed for publication] and the creation of 5 jobs directly related to Sales & Marketing of the products [ S2]. In addition, the technology ‘has had a key impact on the company’s future as it was a large factor in its recent acquisition by Legrand, a multi-billion dollar French company specializing in the building environment’ [ S2]. [Text removed for publication] Hubbell Lighting Corporation are licensees of the technology for applications outwith the healthcare industry, and have commercialised the technology under the brand name SpectraClean. [Text removed for publication] Their products have won a number of awards including a 2019 US Vision Award which ‘honor innovation and excellence in products that contribute to the efficient and profitable operations and management of institutional and commercial buildings in the United States ’ [ S4]. Recent licensing developments have been sub-licensing of the patents by Kenall to Pinnacle Lighting (May 2020) [ S5], and a first European license to Linea Light of Italy (November 2020). Announcing the sub-licence, the President of Kenall stated: ‘Kenall is moving into our next phase of championing disinfection using safe wavelengths of visible light. Sublicensing Strathclyde’s core patent using the Indigo-Clean brand will further expand the use of this unique, life-saving technology’ [ S5].

Establishing a safer and more effective decontamination method

Cleaning and disinfection play a major role in reducing hospital-acquired infection, but are dependent upon staff competence and compliance with protocols. In this context, the clinical research partner and previous Head of Microbiological Services for NHS Greater Glasgow & Clyde highlights: ‘It is well known that these may be compromised, particularly in busy institutions with high bed occupancy rates, or where there are shortages of appropriately trained staff’ [ S6]. The key advantage of this technology is that it can be operated without the need for trained staff, as it is a simple light switch, and is safe for continuous operation in occupied environments:

‘Some of the more potent chemical disinfectants e.g. formaldehyde gas or vapour have been used in recent years for terminal disinfection of ward areas affected by outbreaks of multi-resistant or hypervirulent strains of “superbugs”, as has UV irradiation. However, because of their hazardous and toxic effects, they cannot be used while patients and staff are present, hence are unsuitable for routine environmental decontamination. Against this background, the discovery by these researchers that High Intensity Narrow Spectrum 405nm light (HINS-light) had broad-spectrum antimicrobial activity, even at levels of irradiance that do not pose a hazard to humans, was a major breakthrough.’ [ S6]

In addition to the Strathclyde research demonstrating the efficacy of the technology against a wide range of superbugs, including MRSA and C. difficile [ R3, R4], a range of independent studies has validated the benefits of the technology. At IDWeek Conference 2016 (USA), data was presented to show the efficacy of the system against a range of microbial pathogens on surfaces, with successful inactivation of three key problematic bacteria (MRSA, VRE, MDRA) on surfaces (>80% reduction in 24-hr) [ S7]. At the same conference, other clinicians presented on the effective use of the technology within an intensive care unit for environmental decontamination and confirmed its efficacy as a complementary strategy in the fight against hospital environmental contamination, with the levels of environmental staphylococcal contamination reduced by 99.4% after 2 weeks use [ S7]. In 2016, another independent UK study highlighted clinical use of the technology in an NHS specialist burns unit as part of an infection-control bundle to help control environmental contamination from multi-drug resistant bacteria, and prevent transmission to other patients [ S7].

Supporting decontamination in hospitals, with improved cleanliness and infection control

Kenall Lighting’s Indigo-Clean technology has been adopted in more than 300 US healthcare facilities in just 5 years since commercial launch, which ‘highlights how strongly the value of the technology resonates with healthcare providers’ [ S2]. The CEO and Managing Director of Henderson Hospital, stated: ‘We currently have Indigo-Clean disinfectant lights in all of our inpatient and outpatient surgical suites and emergency department patient bays….Indigo-Clean has been a great partner in our fight to maintain a safe, clean environment for our patients. There are many disinfectant technologies available, but we feel Indigo-Clean is the right tool to help keep our patients safe’ [ S1]. Medical Director, New Century Spine and Outpatient Surgical Institute, noted the benefits for them: ‘We chose to invest in Indigo-Clean for our operating room lighting not only because of the proven high antimicrobic rates, but we appreciated the ease of use, and the ability to continuously disinfect our operating rooms without any downtime. That translates into more procedures and more revenue for us.’ [ S1]. In 2019, Kenall Lighting announced a partnership with SLD Technology, Inc. to incorporate the technology into a fully-integrated, modular ceiling system that combines the HINS-light disinfection with ventilation, electrical, filtration, ambient light, that is easily installed into operating rooms [ S1]. Kenall Lighting ‘have a vision for this technology in which it becomes the “standard” light fixture within healthcare institutions worldwide’, and due to the current pandemic ‘the opportunities for HINS technology have grown dramatically ’ [ S2]. In April 2020, in response to the urgent need for lighting in temporary hospitals during the pandemic, Kenall introduced portable Indigo-Clean fixtures which ‘provide generous ambient light while safely and continuously killing harmful bacteria, bolstering existing cleaning and infection prevention protocols, and reducing harmful bacteria when used as recommended’ [ S8].

Reducing surgical-site infections and improved patient health, resulting in additional cost savings in penalties and expenses for hospitals

Annually, in the USA, approximately 2,000,000 patients suffer from a healthcare-associated infection, and an estimated 90,000 of these patients die. Data published in 2019 demonstrates that use of the Indigo-Clean environmental decontamination lighting system during surgical procedures resulted in a 73% reduction in surgical-site infections [ S9] . This publication by US clinicians is major independent validation of the technologies ability to not only reduce environmental contamination, but to significantly reduce surgical site infections during its use. ‘The significance of this…finding should not be underestimated, as there are exceedingly few decontamination/disinfection technologies that have been able to demonstrate clinically-proven reduction in rates of infection as opposed to mere efficacy of decontamination .’ [ S6]. Looking specifically at how this impacted the hospital in which the study was conducted, there was ‘a reduction of 14 infections in just one year within only 2 rooms saving the hospital approximately 300,000 USD in penalties and excess costs’ [ S2]. The technology was also part of a clinical study at the NHS St Andrew’s Centre for Plastic Surgery and Burns, Chelmsford, UK, where it was used as part of a successful infection control bundle for control of multi-drug resistant infections [ S7]. Since the study, the systems have been retained and ‘they have continued to provide infection control support for our patients’ [ S10]. Based on the reductions in infection rate achieved by use of the installed lighting system, and the published costs associated with SSIs, Indigo-Clean estimates that use of the antimicrobial lighting systems will result in each hospital facility saving USD197,400 (11-2020) per operating room per year [ S1].

This technology is also supporting health beyond hospitals. Kenall’s Indigo-Clean products have application in the wider healthcare field, and have been used in nurse’s facilities in schools and therapy/rehab centres and in athletic training facilities: ‘We chose to install the Indigo-Clean Technology in our athletic training room and adjacent areas. These high-traffic areas are an opportune environment for bacteria to hide.’ Co-Head Coach, University of Utah, Dumke Gymnastics Center [ S1]. On a wider scale, Hubbell Lighting’s SpectraClean products have been applied to food manufacturing [Text removed for publication] general office environments and health club/athletic venues, where provision of a cleaner environment will provide public health benefits [ S3].

Innovative ophthalmology technology was developed by researchers at the University of Strathclyde. The initial development of the technology was trialled, and performance verified in African countries, in collaboration with London School of Hygiene and Tropical Medicine. The ‘Peek Retina’ device was then commercialised and sold through a spin out company. Further advances were made at Strathclyde in collaboration with an NHS consultant ophthalmologist, to develop a system which would be suitable for remote diagnosis of eye problems in NHS or other primary care settings. Remote consultation and diagnosis were found to be of particular benefit to patients and practitioners during the COVID-19 pandemic, reducing the need for travel and personal interaction. Specifically this research has:

• Informed the design, development and delivery of innovative diagnostic technology for low- and middle-income countries, leading to economic benefits for a spin-out company and improved eye care provision.

• Improved the efficiency and quality of eye care within NHS healthcare contexts, with use in three NHS Scotland Health Boards.

• Supported effective eye care provision during the COVID-19 pandemic, reducing travel requirements for patients and ensuring patient and practitioner safety.

• Informed national policy and planning for teleophthalmology services in Scotland and England

Informing the design, development and delivery of innovative diagnostic technology for low- and middle-income countries

Retinal cameras remain impractical as a diagnostic tool in many low-income countries and remote primary care settings throughout the world because of high cost, large size, low portability, lack of infrastructure (e.g. electricity and road access), and the need for trained staff. The smartphone-based adapter designed at Strathclyde aimed to overcome these barriers. A plastic clip covers the telephone camera and flash with a prism assembly, which deflects light from the flash to match the illumination path with the field of view of the camera to acquire images of the retina. The phone camera and clip are held in front of and close to the eye, which allows the camera to capture images of the back of the eye. In 2014, the smartphone adapter, named Peek Retina, was awarded Digital Design of the Year by the Design Museum, London, with judges stating: ‘It’s a great example of how digital design can make a difference in remote healthcare. It uses high design and high technology for a really fundamental purpose, which is ideally to make people’s lives better.’ [ S1] In 2015, the device won an Index “Design to Improve Life” award specifically dedicated to projects with paradigm-shifting global societal impact, alongside Tesla and Duolingo as other category winners [ S1]. The International Agency for the Prevention of Blindness lists the device in its list of validated diagnostic equipment and the World Health Organisation cites the device as an exemplary case study in its 2016 report on global diffusion of eHealth, highlighting that ‘the potential for task shifting and the detection of avoidable causes of blindness in the most at-risk communities makes this an attractive public health intervention’ [ S1].

In 2016, Peek Vision Ltd. was set up to transfer the technology to commercial availability, as a spin-off from the London School of Hygiene and Tropical Medicine, with research-based expertise from Strathclyde and Strathclyde co-authors then employed at the company to support research and development. This translated Peek Retina into a commercial tool for screening eye disease, initially aimed at solving problems of eye disease in low- and middle-income countries. Peek Retina became commercially available in 2017 and has been distributed to 72 countries [S2] including Tanzania, Botswana, Malawi, Madagascar and Mali. Between 2017 and 2020, Peek Vision Ltd received over GBP100,000 in sales of Peek Retina [S2]. In late 2018, Peek Vision entered into a multinational partnership with CBM, a leading disability charity which works with eye health implementers worldwide, and in 2019, CBM, Peek Vision and implementing partners launched community eye health programmes in Zimbabwe and Pakistan [S2, S3]. In September 2020, Peek Vision Ltd closed sales of Peek Retina to focus on other smartphone apps and technology to support eye health programmes, but Peek Retina continues to be used in community healthcare settings globally.

Improving the efficiency and quality of eye care within NHS healthcare contexts

In partnership with NHS Forth Valley, Strathclyde researchers made further advances to the Peek Retina system to allow remote consultation with an eye specialist in NHS settings. The first examination for an eye problem in the UK is likely to be made by an optometrist or General Practitioner, and even in Accident & Emergency (A&E) Departments, eye emergencies are first seen by a non-specialist and then referred to a consultant for follow-up.

In 2018, the initial design was augmented with a 3D printed modification of a slit-lamp microscope which emits an intense beam of light to examine the eye [ R3]. The addition of teleconferencing software with audio feed enabled person-to-person conversations, and relay of images from diagnostic instruments in real time. Both ophthalmoscope and slit lamp provided images through an iPad. These innovative system and service aspects were interfaced to the Near Me Video Consultation Platform of NHS Scotland, providing a live feed between the patient, the on-site clinician and the remote ophthalmologist [ S4]. Following consultation, actions can be taken as required, for example an urgent appointment or surgery can be arranged, or prescriptions can be sent directly to the GP, by the specialist clinician.

A trial of the technology in NHS settings in Stirling and Forth Valley began in April 2018, resulting in faster treatment times and significant reductions in the need for follow up hospital appointments. As a result, by August 2019 the technology was embedded in practice in A&E at Forth Valley Royal Hospital, in the Minor Injuries Unit at Stirling Health and Care Village, and was used by all seven on-call consultants within NHS Forth Valley [ S4]. NHS Forth Valley received more than 80 video referrals for urgent eye problems in this one year period, with the need for a second appointment removed in an estimated 50 per cent of cases [ S4]. In 2019, the trial was expanded to A&E at Glasgow’s Queen Elizabeth University Hospital, one of Scotland’s busiest A&E departments, and to NHS Grampian. There have been many advantages for both patients and practitioners, with clinicians and optometrists stating [ S4]:

• ‘When a colleague needs a steer on what to do, we can have a live view through their equipment, and connect them with a more nuanced plan, often preventing a trek to the eye clinic, and hours of waiting in a second waiting room.’

• ‘The system means that emergency cases are identified earlier and theatre teams can be mobilised more quickly, with treatment starting immediately when needed.’

• ‘Instead of having to transport the patients to hospital, it allows remote areas to access emergency eye care, thus promoting healthcare equality.’

• ‘Patients can get quite anxious, but if they can get a face to face consultation with an ophthalmologist and get things explained to them it can help put their mind at rest. If they do need hospital treatment, they get put into the appropriate clinic more quickly.’

Supporting effective eye care provision during the COVID-19 pandemic

Scottish Government made GBP3,000,000 available to support emergency eye care measures during the COVID-19 pandemic and reduce the need for patients to attend hospital [ S5]. The roll out of the slit-lamp microscope and teleconferencing software was part of this response. The NHS Consultant Ophthalmologist who collaborated with Giardini in the research projects was appointed by the Scottish Government as National Lead for Teleophthalmology in March 2020 and called as a member of the Expert Working Committee writing the NHS Scotland National Eye Health Framework for the Coronavirus (COVID-19) Pandemic [ S6]. This policy framework recommends the innovations co-developed with Strathclyde as part of its national framework for care, noting that ‘the gold standard of assessment is via video slit lamp. Teleophthalmology is also invaluable for more remote parts of the country to avoid unnecessary travel. Evidence suggests that most patients will be given advice and treatment without the need for a face-to-face examination.’ [ S6]

The National Lead for Teleophthalmology confirms that: ‘In close collaboration with Dr Giardini, we rapidly adapted local services in April 2020, activating optometric practices matched to population density across NHS Forth Valley, Grampian, and also to rural settings, reaching NHS Highland, NHS Shetland and the Western Isles ’ [ S7]. This implementation during the pandemic decreased necessity for patient travel, lowered pressure on hospital services and reduced crowding in waiting rooms [ S7]. It enabled diagnosis with greater safety for patient and specialist, by eliminating the need for close proximity in an examination [ S7]. By 31^st December 2020, the technology had been adopted in 12 emergency eye treatment centres across 4 Health Boards in Scotland, matching a population density of 1 centre per 100,000 population on average. Extrapolating from the survey data available, this avoided in excess of 60% of consultation escalations to secondary care pre-lockdown, which increased to an excess of 80% during the first lockdown in 2020, setting a precedent for full national implementation [ S7].

NHS Scotland received a request during the pandemic to share the slit lamp technology with oDocs, a company from New Zealand which promotes accessible and affordable eye care. The technology was made freely available via the oDocs website during the COVID-19 response [ S7]. Through this company, the technology was widely available in New Zealand and Australia by end December 2020 [ S7].

Development of the teleophthalmology system for use in the NHS was facilitated by the Near Me software, developed by an Australian company called Attend Anywhere. This is the video calling platform for NHS Scotland, areas of NHS England and in Australian healthcare. Due to the clear benefits for service provision and patients during the pandemic, Attend Anywhere continues to liaise closely with the NHS to ensure effective implementation and is in ongoing discussion with Giardini and colleagues to further integrate his research into developments of the platform in Australia and the UK [ S7].

During 2020, the Strathclyde technology also influenced the design of OpenEyes^TM, the leading electronic patient record platform for eye care in England and Wales, by enabling asynchronous teleophthalmology decision support. OpenEyes^TM is an open-source ophthalmology and optometry patient record platform with global reach, which has now been procured for national rollout to every optometric practice and hospital eye service in NHS Scotland [ S7].

Informing national policy and planning for teleophthalmology services

The successful implementation of the slit-lamp microscope adaptations and teleconferencing technology has inspired further teleophthalmology development at national level. Efficiencies achieved by remote diagnosis are set to persist in the post-COVID NHS, and are being replicated across NHS England, as acknowledged in NHS England/NHS Improvement recommendations (May 2020) which include video slit lamps, mobile phones and tablets as screen-share systems so ophthalmologists in secondary care can provide advice and guidance support to optometrists [ S8]. Increased efficiency of screening and a reduction in unnecessary travel by doctors and patients will help to reduce carbon emissions associated with healthcare, particularly in remote areas. These issues are all addressed in the NHS Long Term Plan (2019) which includes a commitment to use technology to reduce outpatient appointments by up to 30 million and reduce unnecessary trips to and from hospital as part of a drive to make over GBP1,000,000,000 in efficiency savings [ S9].

NHS England and Scotland are actively planning to invest more in remote monitoring and diagnostics; an example is the Small Business Research Initiative (SBRI) competition to pioneer remote vision testing, funded by NHS Scotland and Innovate UK. This opened in September 2020 and attracted 25 industrial applicants [ S7]. The area will open up more commercial opportunities. IDCP, a Dutch company group, opened a subsidiary in Scotland in July 2020 to explore commercialisation of the eye care technologies developed by Giardini’s research team [ S10] and submitted a tender to participate in the SBRI competition. CEO of IDCP confirms that the choice to open a subsidiary in Scotland was aimed at a close liaison with Strathclyde [ S10].

Attesting to the significance of Giardini’s research on ophthalmology policy and practice, the National Teleophthalmology Lead for Scottish Government stated that this work is ‘influencing service deployment and influencing policy, with ongoing international outreach. This is important because at service level, with an aging population juxtaposed against dwindling ophthalmology training post numbers, there is an urgent need to decrease pressure on eye care services, reducing the number of emergency referrals that are escalated to secondary care. The teleophthalmology technology addresses this need .’ [ S7]

Development of decision-making tools and an analysis of commercial opportunities for renewable energy operators were conducted by researchers at Strathclyde in collaboration with industrial partners Scottish & Southern Energy (SSE) and Scottish Power Renewables (SPR) from 2013-18. Collaborative projects were aimed at solving industry problems, and the organisations became the immediate users of any data analysis or software tools developed for planning and construction of Offshore Wind Farm projects. These research projects have enabled the UK energy industry to respond to the challenge of low carbon targets; examples are provided below, with benefits to:

• SPR, part of the Iberdrola Group, one of the world’s largest integrated utilities, and SSE Energy, a major UK renewable energy company, which have both achieved cost reductions in planning and installation stages of major OWF projects. These efficiencies were a factor in the success of these companies in gaining an increased share of the UK low carbon electricity market. This success led to increased focus on generation of energy from Offshore Wind as part of SPR and SSE business strategies. Cost reductions have also enabled these renewables providers to make considerable progress towards meeting UK Government low carbon targets.

• National Grid (NG ESO) the electricity system operator for Great Britain, who used research findings to ensure that, from 2019 onwards, wind farms can play an increasing role in supplying electricity to the UK Frequency Response market, delivering energy to the grid intermittently or at times of peak demand, and giving NG ESO greater security and flexibility of supply.

• Supply chains and local economies, which have gained from investment and employment as a direct result of major offshore wind farm construction and ongoing maintenance. UK consumers have also been able to purchase low carbon energy at a more economic cost.

Efficiency savings in planning and installation of major offshore wind farm projects: The World Forum Offshore Wind places the UK as number one for offshore wind capacity, with an actual grid connected capacity of 9.9GW at the end of 2019 [S1]. This represents 45% of all grid connected capacity in Europe. Installation and associated contingency have been estimated at 20% of total capital expenditure in any OWF project [S1], with this aspect dominated by transport vessel costs. Installation involves a complex sequence of tasks, with a range of shipping vessels required to install cabling, offshore electrical systems, masts and turbine foundations. For each activity there is a choice of available vessels with different capabilities and costs. Data to inform decisions on when and where to employ these vessels in ‘windows’ of favourable weather is a major benefit of the Strathclyde modelling, together with accurate estimation of time and cost of various installation scenarios.

Modelling tools were implemented by SSE and SPR across some of the largest and most expensive offshore wind projects in the UK, summarised in the table below:

| OWF project | Operator | Construction from | Operational from | Capacity | | --- | --- | --- | --- | --- | --- | ||||| MW | Homes | | Beatrice | SSE | April 2017 | June 2019 | 588 | 450,000 | | East Anglia One | Iberdrola/SPR | May 2017 | July 2020 | 714 | 630,000 | | Seagreen | SSE | Autumn 2020, planning consent 2017 | 2022/2023 (expected) | 1500 | 1,200,000 | | Dogger Bank | SSE/Equinor | Jan 2020, planning consent 2015 | 2023 (expected) | 3600 | 4,500,000 |

The operational expenditure and installation modelling tools were used to reduce costs through:

• Improved logistics, planning and strategy: The Director of Engineering and Innovation at SSE [ S2] confirms that the Strathclyde data modelling ‘has helped to optimise the logistics strategy for Seagreen, given the site conditions, layout and available vessel options. ... It enabled rapid logistics optioneering studies to be carried out and demonstrated the impact of failure rate uncertainty on project performance. The impact will undoubtedly be an uplift in wind farm energy-based availability in the region of 1.0%.’ [Text removed for publication] SSE confirm that the OpEx modelling tool has successfully reduced operational costs and ‘This model is now used as part of our business as usual processes [Text removed for publication] As our offshore wind capacity continues to increase, we expect these benefits to also continue to grow. ’ [ S2]

The Head of Innovation, Sustainability and Quality (SPR) also confirms that ‘The operations and maintenance teams on the East Anglia One project used Strathclyde data modelling (OpEx) to estimate time and costings of various installation scenarios, and this was an asset in planning and contract negotiations before and during construction’. Highlighting the benefits of this, they stated: ‘accurate modelling was part of an overall effort to bring down costs across a range of offshore wind projects and was of particular value in planning the timing of vessel use in construction and maintenance ’ [ S3].

• More effective negotiations with suppliers: The OpEx model was used to make decisions on personnel and vessel numbers, and data from installation scenarios was used to challenge quotes from suppliers. [Text removed for publication] SSE were able to negotiate with suppliers from a stronger position, backed up by data. They confirm that ‘The benefits depend on the operating environment; however, significant value was delivered by supporting offshore package and project control managers with proofing offshore installation contractor schedules’ [Text removed for publication] [ S2]. [Text removed for publication] SPR also confirm that the modelling data ‘benchmarked our collaborative approach against commercial offerings... demonstrating significant benefits’ [ S3].

Increased share for wind energy in the UK low carbon electricity market: Cost reductions achieved by renewables generators, together with increased flexibility and levels of supply to the grid are factors which have contributed to more low carbon electricity from wind farms becoming available to the consumer. This process includes:

• Success in Contracts for Difference (CfD) scheme: Eligible UK renewable generators bid every 2 years for a share of the UK low carbon electricity market under the CfD scheme; the Government decides how many long term (15 year) contracts to award and can limit the level of spend in a given year. ‘Sealed bids’ are submitted, offering a cost price per Megawatt/hour (MWh) of electricity. The strike price agreed is the cost the government will pay the provider per MWh of energy. Where the strike price agreed is higher than the wholesale price of energy the government is in effect providing a subsidy. OWFs which applied Strathclyde modelling to reduce costs have been successful in CfD auctions. In February 2015 East Anglia One/SPR were successful bidders, gaining a contract with a strike price of £119.89/MWh [ S4]. In the May 2019 CfD auction, SSE successfully secured strike prices of £39.65/MWh and £41.61/MWh for Dogger Bank and Seagreen, [ S4] stating in their announcement ‘The strike prices … show that offshore wind in particular is now one of the cheapest forms of electricity generation in the UK ’ [ S5]. In 2019 strike prices for Offshore Wind generation fell below the wholesale price for the first time, and it became competitively priced in comparison with coal and nuclear energy in the UK (e.g., a strike price of £92.50/MWh was awarded in October 2013 to Hinkley Point C).

• Change in NG ESO strategy allowing wind farms to provide reactive power to the grid: The provision of reactive or ‘ancillary’ services in response to fluctuations in electricity demand is known as the Frequency Response market and is worth GBP100,000,000 per annum. Collaborative research on reactive power services [ R6] led to an invitation in 2019 to Strathclyde researchers to join the Power Available (PA) Working Group, chaired by National Grid ESO. Strathclyde researchers lobbied for wind farms to contribute to ancillary services and were commissioned by NG ESO to review the reliability of the PA signal across UK.

In February 2019 NG ESO began trialling a weekly auction to procure a proportion of their frequency response requirements from renewables. NG ESO confirm that the ‘analysis undertaken by Strathclyde University has supported the ESO’s development of a Quality Standard methodology for determining the acceptable error tolerance for Power Available data and the implications for submitting inaccurate PA’ published in March 2020 [ S7 p15]. This allows wind farm operators to react to fluctuations in demand and reduces the chance of either overloading parts of the network or creating situations where frequency response requirements are not met. SSE note that the collaborative study [ R6] ‘provided a fact based argument for the future need for ancillary services and enabled wider industry conversations with National Grid. This ultimately stimulated the creation of a new frequency response category.’ [ S2]

SPR has now moved its focus towards providing ancillary services from all its windfarms, stating that ‘Windfarms are displacing coal in the Mandatory Frequency Response and SPR has accessed a new revenue stream … during 2019. SPR’s current pricing methodology has been designed on the basis of the work with Strathclyde ’ [ S6]. In May 2020, NG ESO integrated the PA signal from over 90 renewable generators, stating: ‘Through innovations like the PA project our electricity system is becoming smarter, more flexible and – since wind power is often a cost-effective option when it comes to real time frequency response – delivers increased value to consumers’. [ S8]

Investment in offshore wind; with economic benefits for supply chains and local economies: Large OWFs require significant planning and financing over the lifetime of the project; East Anglia One/SPR had a total GBP2,500,000,000 investment, and Seagreen/SSE a total GBP3,000,000,000. SSE and SPR have both gained experience in use of data modelling to lower costs and drive efficiency in these complex multimillion pound offshore projects. They have both changed their business strategy to include a higher proportion of energy from offshore wind. SSE Renewables [S2] note that the Strathclyde modelling allowed them ‘to seize opportunities for efficiency and innovation’ and to meet ‘challenges which go beyond industry's ability to solve ... the collaboration with Strathclyde has given SSE Renewables access to knowledge and expertise to complement our own and come to more effective solutions.’

Scottish Power has confirmed that as part of its GBP6,000,000,000 investment plan it is actively pursuing future offshore wind projects in England and Scotland. In March 2019, the Chief Executive, Scottish Power stated: ‘we’ve worked tirelessly to bring down costs and, having transitioned to 100% renewable energy, will be building more windfarms to help the UK shift to a cleaner electric economy. Two of our offshore windfarms in East Anglia will replace all of the old thermal generation we’ve sold’ [ S9].

Industry confidence in OWF developments translates to employment in the supply chain, in construction and installation of components, infrastructure and skilled maintenance jobs once operational. SPR co-invested GBP5,000,000 in Great Yarmouth and GBP25,000,000 in a new operations and maintenance base at Lowestoft Port, opened in 2019, and brought in nearly 3500 jobs during the East Anglia ONE construction phase 2017 - 2020 [ S9]. SSE invested GBP20,000,000 in Wick and will employ 90 staff through the 25-year lifetime of the Beatrice project [ S9]. The Seagreen project will create around 400 skilled construction jobs in Montrose Port [ S9].

Cost reductions enable renewables industry to meet the challenge of low carbon targets: The Director of Engineering and Innovation at SSE Renewables notes that ‘renewable energy and offshore wind is critical to delivering the UK’s net zero targets ... Notable value has been derived from the work carried out with Strathclyde University which has supported a reduction in the cost of offshore wind’ [S2]. SSE claim, with respect to Dogger Bank and Seagreen OWFs: ‘Once completed these projects will generate over 20TWh of green energy annually, equivalent to nearly 7% of the UK’s current energy demand, making a significant contribution to the UK’s net zero climate change targets’ [S5]. SPR also confirm the collaboration with Strathclyde researchers led to ‘immediate, and commercially significant benefits to the levelised cost of energy from our sites, and hence the UK electricity consumer’, and that ‘exploring the potential for cost reductions in offshore wind can assist us in in supporting the UK Government’s 2050 Net Zero ambitions and therefore is very much of interest.’ [S3].

The Grid and Regulation Analyst at Scottish Power also confirms that ‘the expertise provided by Strathclyde University has built the industry’s confidence for tackling the challenges we are facing, managing to put us in the forefront of creating alternatives to run a resilient and secure system. It’s clear that without Strathclyde University, Scotland and therefore, GB, wouldn’t be the Renewables Hub that currently is.’ [ S6]

The underpinning research was a significant part of a body of research in the UK and elsewhere that was a precursor to the withdrawal of the DePuy ASR implant. The Strathclyde team was the first group to show dissemination of metal ions from ASR wear debris in an animal model, and the first to demonstrate the mobility of cobalt ions in-vivo and their clear uptake into organs [ S1]. Grant was a member of the Medicines and Healthcare Products Regulatory Agency (MHRA) Expert Group on the Biological Safety of Metal Orthopaedic implants (2006- 2010), and in April 2010 an initial Medical Device Alert was released by the MHRA. Strathclyde research was also directly disseminated to DePuy at regular six-monthly meetings from 2007 to 2011, and influenced the decision to eventually recall their ASR hip replacement and resurfacing systems in August 2010 and discontinue their Pinnacle metal-on-metal (MoM) implants in March 2013 [ S1]. Since August 2013, the Strathclyde research and subsequent recall of DePuy MoM hip replacement and resurfacing systems has resulted in:

• Informed compensation claims against Johnson & Johnson/DePuy, leading to economic benefits for claimants and greater accountability for the Johnson & Johnson/DePuy brand.

• Updated MHRA guidelines and raised awareness among medical professionals of Co and Cr toxicity following MoM hip replacement, leading to more effective monitoring and care of patients with MoM hip implants.

• Improved hip replacement options for patients, through withdrawal of other MoM replacement hip joints and changes to hip replacement materials and design.

Informed compensation claims against Johnson & Johnson/DePuy

Following the recall of DePuy MoM hip replacement and resurfacing systems in August 2010, lawyers began contacting Prof Grant and Mr Meek for information on blood metal ions to support claims from patients and the NHS [ S1]. Since August 2013, the company has faced lawsuits worldwide, including USA, UK, Australia, Canada, India and Ireland, with an estimated GBP4,597,800,000 paid in settlements and jury verdicts so far [ S2].

USA: In November 2013, DePuy announced that the company and lawyers representing ASR hip plaintiffs had reached a GBP1,569,750,000 deal to compensate patients. Under this settlement claimants were to receive a base award of GBP156,975, subject to reductions. This base award could go higher for patients who could demonstrate ‘extraordinary injuries’. This also did not bar compensation for patients whose hips might fail in the future, which could add billions to the value of the final settlement [ S3a]. In 2019 Johnson & Johnson set aside an additional GBP788,000,000 to settle up to 6,000 lawsuits filed by patients who needed to have Pinnacle implants removed [ S3b].

United Kingdom: In 2015, DePuy set up the ASR reimbursement programme to cover the costs of tests and treatment for those whose hip replacement systems have been involved in the recall, especially those who had to undergo additional surgery to repair damages caused by the recalled device. DePuy offered to pay treatment costs, out-of-pocket expenses, lost wages and travel costs. A spokesperson for DePuy confirmed they had ‘provided reimbursement to the NHS trusts and other healthcare providers for applicable testing and treatment, including expenses related to revision surgeries.’ [ S3c]. It is estimated that the cost of annual follow up with patients in line with the MHRA guidance is GBP8,264,064 [ S4].

Australia: In March 2016, the Australian Federal Court approved a settlement of GBP133,475,000, without admission of liability by DePuy or Johnson & Johnson. It is estimated that approximately 1,700 claimants will be eligible to share in the settlement, resulting in an average of GBP78,500 each [ S3d].

Canada: In May 2018, a class action lawsuit was filed in the Supreme Court of British Columbia. Claimants included anyone resident in Canada, with surgical implantation of the ASR™ XL Acetabular Hip System or ASR™ Hip Resurfacing System and with the surgery occurring in Canada. DePuy, while not admitting liability, agreed to a class action for settlement purposes. Eligible claimants could receive up to GBP58,000 if they have undergone a single revision or up to GBP70,000 for a bilateral revision. Those who experienced additional complications, including extraordinary income loss, may receive additional funds up to GBP23,350 [ S3e].

India: In September 2018, Reuters news agency reported that an Indian government panel had required Johnson & Johnson to pay at least GBP22,400 in compensation to each patient with a faulty ASR hip implant. The panel indicated that there were 4,700 people with ASR implants in India. DePuy had already paid GBP1,535,000 for repeat surgeries and about GBP191,875 in related diagnostic costs in India before the compensation scheme was enforced [ S3f].

Ireland: An Alternative Dispute Resolution was put in place in December 2015 to deal with the 1,112 cases against Johnson & Johnson lodged with the High Court in Ireland since the withdrawal of the ASR hip replacement system. By January 2019 there were 102 cases remaining in the dispute resolution process. The average award was thought to be in the region of GBP87,570 per claimant [ S3g].

In addition to the compensation claims, in January 2019, Johnson & Johnson agreed to pay GBP94,212,000 to resolve deceptive marketing claims over the company’s MoM hip implants. Attorneys general of 46 U.S. states alleged DePuy had engaged in unfair and deceptive practices in the promotion of its hip implant devices, and had made misleading claims about their longevity, with patients frequently having to undergo a revision surgery before the company’s advertised timeframe of five years. Johnson & Johnson, the world’s largest maker of health-care products, reported expected growth to slow or halt in 2019, due to a variety of economic factors [ S5]. One of these factors was a reported GBP1,012,779,000 in litigation expenses before taxes in the fourth quarter of 2018, including litigation around other products. Most of this cost involved claims by patients with hip implants; ‘The significant majority of these reported expenses reflect the company’s efforts to resolve some of the older cases in our medical device business’ said a spokesman for the company [ S5].

Updated MHRA guidelines and raised awareness among medical professionals

Through continued collaboration with Mr Meek and other clinicians, Grant’s expertise has influenced further updates to MHRA guidelines on the clinical follow up of patients with MoM hip replacements [ S1]. Mr Meek attended MHRA meetings in 2015-16 to supply expert advice, based on the underpinning research, to inform medical device alerts for hip implants, which were published in 2015 and updated in June 2017. This guidance now includes advice to monitor cobalt or chromium blood levels and to look for rising blood metal levels, which may indicate potential for soft tissue reaction [ S6]. Since 2017, medics are also advised that ‘after revision surgery, whole blood metal levels of chromium and/or cobalt are expected to fall and symptoms to improve. Persistent symptoms should be investigated for potential causes that include failure of fixation, component loosening, infection and instability. If no cause is found, further blood metal level measurement and cross-sectional imaging should be considered’ [ S6]. Since the research, and with the publicity surrounding compensation claims, there is now much more rigorous UK wide monitoring of metal ions in the blood following hip replacements [ S1]. For example, Mr Meek maintains a database (supported by funding from DePuy) for all Greater Glasgow & Clyde patients with MoM bearings. Patients have annual Co and Cr levels checks and any symptoms will trigger cross-sectional imaging of the appropriate joint arthroplasty and repeat testing of blood Co and Cr ion levels [ S1].

The focus on the health issues of patients following hip implants, and the subsequent series of withdrawals of MoM implants, has contributed to raised awareness across the medical profession of the toxic effects of cobalt and chromium ions at the site of an implant, and in particular Grant’s research on the mobility of cobalt ions once in the bloodstream. Medical practitioners and researchers are now reporting a wide range of other symptoms. This includes a paper by a consultant psychiatrist in 2016 [ S7] reporting ‘the first case series suggestive of clinically significant depressed mood and neurocognitive impairment following MoM hip failure with concomitant chromium and cobalt toxicity.’ This paper cites Grant’s research, and recommends that ‘all clinicians, including those working the fields of orthopaedic, psychiatry and primary care should be aware of the need to assess the neuropsychiatric state of their patients after MoM implant operation ’, and also that ‘patients presenting with neuropsychiatric symptoms de novo and who have had orthopaedic implant surgery, should have investigations for chrome and cobalt toxicity.’ [ S7]

Improved hip replacement options for patients

As a consequence of publicity surrounding Johnson & Johnson/DePuy products, and as more data showed the high level of follow-up surgery needed by patients, other manufacturers withdrew a range of metal on metal hip implants. In 2015, Smith & Nephew advised that its Birmingham Hip Replacement system should not be used in patients needing the smaller-sized implants and withdrew components sized 46 mm and smaller from the market [ S8a]. In June 2015, the US FDA issued a class I recall for the Zimmer M/L Taper with Kinectiv Technology [ S8b]. In February 2015, the Australian Department of Health required Biomet to issue a Hazard Alert, warning patients that Biomet’s MoM M2a hip replacements had a higher than expected rate of failure, and that Biomet had agreed to stop selling these devices [ S8c]. Several medical device manufacturers, aside from DePuy, have been sued because of health complications allegedly caused by their MoM hip replacement devices, including Biomet, Smith & Nephew, Stryker, Wright Medical, and Zimmer. Combined, these companies have accrued nearly 30,000 lawsuits and paid over GBP2,298,900,000 in settlement pay-outs since January 2014 [ S2].

With increased life span in many countries, global demand for safe and long lasting hip implants will remain high. From 2017-2018, Grant was the Bioengineering specialist in the development of a European Committee of Standardisation (CEN) method to evaluate the biological impact of wear particles from joint replacements [ S9]. The output, a CEN Workshop Agreement:

‘is for use by manufacturers of joint replacements evaluating new and existing materials and designs for human joint replacements and related devices, commercial, industrial and academic laboratories undertaking evaluation of, and studies into, device and material performance, and might be of use to other organizations, including regulators, concerned with the potential impact on the health and well-being of recipients of joint replacements.’ [ S9]

As part of this, the group produced a detailed and technical toolkit for the evaluation of the biological impact of metal and ceramic wear particles, which is used widely within the academic, medical and industry sectors [ S9].

In summary, Strathclyde research demonstrating the dissemination of metal ions from ASR wear debris in an animal model, the mobility of cobalt ions in-vivo and their clear uptake into organs contributed to the 2010 Medicines and Healthcare Products Regulatory Agency’s (MHRA) medical device alert and to the subsequent product recall for many DePuy metal-on-metal hip replacement and resurfacing implants. Since 2013, this research, the device alert and the recall have been used to ensure compensation for patients worldwide who have suffered injuries and had to undergo additional surgeries as a result of these implants. The research has also been used to inform updated MHRA guidelines on the clinical follow-up of patients with MoM implants and has raised awareness across the medical profession of the toxic effects of cobalt and chromium ions. Finally, the publicity and increased awareness has resulted in the withdrawal of other MoM implants from market and informed the design and materials of new hip implants.

Through the establishment, growth and global influence of CMAC, Strathclyde’s demand-led research and expertise in forming particles with controlled attributes, in workflow design, on advanced continuous platform technology and development of digital tools has improved pharmaceutical development and manufacturing processes globally. By demonstrating the viability and benefits of advanced continuous manufacturing techniques, Strathclyde’s innovative approach to integrated development and operating platforms has enabled adoption within the pharmaceutical industry and created business opportunities for technology providers. As evidenced by the following examples, this has resulted in improved processes which have lowered development time and production costs, increased yields, reduced risk and enhanced product quality to the benefit of manufacturers, suppliers and end-users. Upskilling of staff in new techniques and methods has also been achieved. Since August 2013, CMAC’s research has enabled approximately GBP45,000,000 of savings and improvements for the 22 multinational and SMEs who have invested directly in proprietary analytical and process improvement projects.

Contributing more broadly to technology translation for societal and economic benefit, CMAC’s work has generated 54 highly-skilled individuals, 31 of whom have gone on to employment in industry (e.g. AZ, Pfizer, GSK, Lilly, Novartis, Roche, Perceptive Engineering, National Physical Laboratory (NPL), Solid Form Solution, Process Systems Enterprise (PSE) Ltd, Mettler Toledo) and 23 to academia (e.g. Strathclyde, Imperial, Loughborough, Massachusetts Institute of Technology (MIT)).

Improved Industrial Process Development:

• CMAC research workflow outcomes [ R3] were applied by AstraZeneca (2016-18) to improve a commercial process for a pharmaceutical product delivering GBP10,000,000 saving [ S1]. The improved process understanding led to reduced waste and increased product quality.

• In 2014, Novartis adopted CMAC Strathclyde’s novel methodology for introducing seed crystals into a continuous crystallisation [ R1] in their continuous pilot plant in Basel, Switzerland. This approach has been applied to the development of an anti-cancer product and at least 2 other active ingredients in development. As noted by the Novartis Development Engineer, ‘this effective application of CMAC research reduced chemical exposure risk to operators, minimised plant down time and improved product quality’ [ S2].

• CMAC doctoral placements (2013-19) installed a novel continuous nucleation and crystallisation platform [ R1, R6] at AZ which has since been used on 10 live medicinal compounds, 4 of which are in commercial manufacture. This led to a 90% time reduction to generate the existing amount and quality of information compared to previous approaches. AZ’s Principal Scientist confirmed that, ‘Without the CMAC collaboration and student placements we would not have had the laboratory continuous crystallisation facilities established in this time frame or have been able to test the feasibility of continuous crystallisation on multiple AZ compounds. Using this new capability AZ scientists are be able to develop continuous crystallisation processes for APIs in-house in a much shorter timescale’ [ S1].

• The application of CMAC’s workflow approaches for particle attribute control at Eli Lilly in 2017 resulted in an improved particle size control from the use of high shear wet milling in the continuous crystallisation of the final active pharmaceutical ingredient for an oncology asset which was then in Phase IIb clinical trials [ R2]. According to a Senior Engineering Advisor at Eli Lilly, by enabling the removal of a post processing dry milling step, this work ‘reduced fouling on the crystalliser walls (reducing plant cleaning and down time) and improved the physical product properties improving the product manufacturability. The removal of a milling step has reduced cycle times of each lot of product by 3 days and development time by 3 months. This is now a platform capability embedded at Lilly’ [ S3].

Enhanced workforce understanding and skills:

• The benefits of process insights from CMAC’s multivariate analysis (MVA) and data visualisation approaches were demonstrated on plant data at Lilly’s manufacturing plant in Ireland as part of a PhD project. These learnings enhanced process understanding and operations engagement with data analytics tools [ R4]. The project delivered real-time data cleansing, organisation and visualisation enabling a reduction in plant downtime and product losses. The work demonstrated the benefits of MVA to senior management and resulted in investment in digitisation of manufacturing processes. As noted by the Eli Lilly Team Leader for Small Molecule Technical Services/Manufacturing Sciences, in Cork, Ireland, this ‘really raised awareness of the benefits to manufacturing when data and technology are combined with people with the right skillsets…this work was a significant factor in convincing the site to expand the use of these tools’ [ S4].

• Working pre-competitively with its 8 large pharma Tier 1 members, CMAC developed an industrially-relevant workflow with 7 case studies providing methods to avoid the incorporation of impurities in crystals. Between Jan and Nov 2020, tailored training was provided to over 130 industry staff who subsequently applied the approaches directly into the process development of all their Active Pharmaceuticals Ingredients (APIs) [ S5].

Advanced process technology and industry adoption:

• An Advanced Process Control (APC) system for continuous reaction and crystallisation was developed and demonstrated in collaboration with Perceptive Engineering, Centre for Process Innovation (CPI) and AstraZeneca. The Managing Director of Perceptive Engineering said, ‘The commercialisation of this software directly led to one new client with follow-on sales of GBP207,700, GBP400,000 of related projects, employment of 1 new FTE to support applications on continuous manufacturing and publication of 4 peer-reviewed papers and 2 articles significantly increasing our visibility and reputation’ [ S6].

• In collaboration with Alconbury Weston Ltd (AWL), CMAC developed and delivered a platform for continuous isolation (filtration, washing and drying) of APIs bridging from process development to manufacturing and reducing scale up risk [ R5]. The platform is now in commercial production. As confirmed by AWL’s CEO, ‘Continuous isolation systems are rare at this scale and coupled with the demonstrated benefits of rapid processing times of less than 15 minutes, no particle shear or attrition, precise, repeatable dosing and consistent product, the unit has been demonstrated on >10 commercial molecules (including vitamins, pharmaceuticals, Cannabidiol (CBD) and an energetic material) with more than 15 companies. To date, 8 units have been sold with a further 3 on order, including 2 production scale systems for processing CBD and 2 systems are on hire around the world. The success of the new products based on the outstanding direction and input from Prof. Chris Price has allowed us to refine and commercialise a range of lab, pilot and production scale continuous filtration and drying systems for multiple industries’ [ S7].

Enhanced the global manufacturing landscape:

• At the request of Janet Woodcock, Head of the U.S. Food and Drug Administration (FDA) Center for Drug Evaluation and Research, CMAC collaborated with the Novartis Centre for Continuous Manufacturing at MIT to initiate biennial symposia to advance continuous pharmaceutical manufacturing. Since 2014, the International Symposium for Continuous Manufacturing of Pharmaceuticals (ISCMP) has been held 5 times (2014, 2016, 2018, 2020 and 2021), demonstrating sustained interest in its potential impact on the global medicines manufacturing landscape. Due to the Covid-19 pandemic, the 2020/21 events were delivered as webinars which attracted over 500 delegates and facilitated discussion between key stakeholders: US and UK regulators (FDA, MHRA), industry bodies (Medicines Manufacturing industry Partnership, MMIP) and the UK Government (Office for Life Sciences and Business Enterprise Innovation and Science, BEIS). By bringing the wider international industry, regulatory and academic communities together to share case studies, develop and share practical guidance on continuous manufacturing (further embedded through the publication of a series of whitepapers and reports) CMAC has accelerated the pace of innovation and change in this strategically important industry sector. Attesting to this, the Chair of the Medicines Manufacturing Industry Partnership (MMIP) notes: ‘CMAC, on the basis of its research and recognised expertise, has strengthened international cooperation around continuous pharmaceutical manufacturing through the ISCMP. By facilitating discussion and focusing attention on key developments and issues to be addressed, this initiative has enhanced global relations and positioned the industry well to respond to current and future challenges’ [ S8].

Strengthened UK Research and Innovation:

• CMAC’s critical mass as a collaborative research centre has highlighted the success of the ‘triple helix’, coupling the power of industry, government and academia working together to accelerate change in the form of the adoption of continuous manufacturing. By working together with the Centre for Process Innovation (CPI Ltd), AZ and GSK, Strathclyde University helped to secure investment of GBP56,000,000 to create the Medicines Manufacturing Innovation Centre (MMIC) in 2018. This new facility, owned by CPI, will be built in 2021 and create 80 high value jobs by 2023 [ S9].