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Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Environmental
Is this case study continued from a case study submitted in 2014?
No

1. Summary of the impact

As a result of our internationally leading research, infrastructure is today better prepared for climate change. Our improved projections of future climate, and models describing infrastructure performance in a changing climate, are now embedded in industry design guidance and practice, and in statutory adaptation reporting. Our geospatial infrastructure database model has underpinned development of the UK’s first National Infrastructure Strategy, a £895bn pipeline of infrastructure expenditure until 2050. We also informed the development of new government guidance that ensures climate resilience is considered in all government infrastructure expenditure (£27bn in 2020/21). Initially proven in the UK, our research now informs global climate policy and international businesses, including engineering consultancies and insurance brokers (US$9bn revenue in 2019).

2. Underpinning research

Our research has addressed four barriers that had hindered climate resilient infrastructure. Our interdisciplinary research programme has: (i) provided high resolution climate information tailored to engineering design, (ii) characterised how infrastructure asset performance is impacted by a changing climate, (iii) modelled how interdependence between infrastructure sectors creates new failure pathways for climate risks, and (iv) provided decision-support tools that enable resilience to be mainstreamed into infrastructure investment decisions.

2.1 Climate information for infrastructure design

We developed two new robust methods to provide information on (flood, drought, heat, wind) climate hazards at the high spatio-temporal resolution required by infrastructure engineers. (a) We undertook the first analysis of outputs from the Met Office’s new ‘convection permitting’ climate models (that is able to reproduce small scale atmospheric processes). We provided more reliable projections of how the frequency, intensity, timing, and spatial extent of short duration, extreme rainfall will change in the future [P1]. This is now used in surface water management design guidance. (b) To fully exploit this new climate model data for risk assessment, we developed and used a unique dynamic copula framework for stochastic rainfall modelling which preserves spatial-temporal dependence and reproduces interannual persistence [P2]. This allows the long-term impacts of change in climate variables over large catchments and nations to be assessed, a significant advance beyond the previous state of the art which did not account for spatial-temporal dependence. Our range of new statistical methods have been used by utilities and insurers to analyse flood and drought risks across large catchments, and assess multiple climate risks to 571 European cities.

2.2 Characterisation of engineering performance in a changing climate

Our research has improved the performance and reliability of energy, road and rail infrastructure assets by producing fragility functions to describe the likelihood of failure during an extreme event, and establish the long-term relationship between climate change, the engineering performance of infrastructure, and societal impacts. For example, we developed a new method to analyse 12,000 weather related failures in the electricity network to produce fragility functions for distribution assets [P3] subsequently used by utilities. Multi-year experiments on our unique, full-scale transport infrastructure embankment [P4] identified critical factors that control the magnitude and distribution of pore water pressure in embankments in response to weather events, providing increased sophistication in the understanding of climate-engineering processes in infrastructure.

2.3 Geospatial ‘systems-of-systems’ modelling of infrastructure

Modern infrastructure systems are interdependent, relying on each other to function. Through our pivotal role as geospatial modelling leads in the Infrastructure Transitions Research Consortium, Newcastle developed NISMOD-DB (National Infrastructure Systems Model Database), the world’s first data platform for national scale analysis and modelling of infrastructure. The platform is built on a technology stack of PostgreSQL, PostGIS and Neo4j systems. It integrates national scale information on the location, asset performance, geo-temporal patterns of infrastructure demand, supply and capacity, flows and connectivity, and dependencies between networks. This has enabled the first national infrastructure assessment to consider cascading failure between different infrastructure networks (e.g. water supply, electricity transmission, major roads, railways, telecoms) which has highlighted geographic hotspots of infrastructure criticality across the nation [P5].

2.4 Valuing resilience in investment decisions

Newcastle led the iBUILD programme that brought together engineers and economists to develop new business models for infrastructure. We developed a number of new methods to assess systemic risks, value the benefits of climate resilient infrastructure, and support decision-making. This included new collaborative approaches to decision-making (e.g. https://tinyurl.com/collabdecision), as well as new decision-support methods based on graph theory. This enables engineers and policy makers to identify the most cost-effective locations across an infrastructure network to invest in adaptation measures to minimise risk. The method integrates information on network flows, capacity and performance, connectivity, and exposure to climate hazard. Application in Newcastle showed six carefully sited interventions reduced transport infrastructure impacts from flooding by a half [P6].

3. References to the research

[P1] Kendon, E.J., Roberts, N.M., Fowler, H.J., Roberts, M.J., Chan, S.C., Senior, C.A., 2014. Heavier summer downpours with climate change revealed by weather forecast resolution model. Nature Climate Change, 4, pp.570–576. doi:10.1038/nclimate2258.

[P2] Serinaldi, F., Kilsby, C., 2012. A modular class of multisite monthly rainfall generators for water resource management and impact studies. Journal of Hydrology, 464-465, pp.528-540 . doi:10.1016/j.jhydrol.2012.07.043.

[P3] Dunn, S., Wilkinson, S., Alderson, D., Fowler, H., Galasso, C., 2017. Fragility Curves for Assessing the Resilience of Electricity Networks Constructed from an Extensive Fault Database. Natural Hazards Review, 19: 04017019. doi:10.1061/(ASCE)NH.1527-6996.0000267.

[P4] Glendinning, S., Hughes, P., Helm, P., Chambers, J., Mendes, J., Gunn, D., Wilkinson, P., Uhlemann, S., 2014. Construction, management and maintenance of embankments used for road and rail infrastructure: implications of weather induced pore water pressures. Acta Geotechnica, 9(5), pp.799-816. doi:10.1007/s11440-014-0324-1.

[P5] Thacker, S., Barr, S., Pant, R., Hall, J. W., Alderson, D., 2017. Geographic hotspots of critical national infrastructure. Risk Analysis, 37(12), pp.2490-2505. doi:10.1111/risa.12840.

[P6] Pregnolato, M., Ford, A., Robson, C., Glenis, V., Barr, S., Dawson, R., 2016. Assessing urban strategies for reducing the impacts of extreme weather on infrastructure networks. Royal Society Open Science, 3(5), 160023. doi:10.1098/rsos.160023.

The research has been funded through the following projects:

[RG1] NERC CONVEX: CONVective Extremes (Fowler; 02/11-07/15; £464,635 (NE/I006680/1)

[RG2] EU FP7 INTENSE: INTElligent use of climate models for adaptatioN to non-Stationary climate Extremes (Fowler; 02/2014-01/2019; €1,986,800.80, grant no. 617329)

[RG3] EPSRC RESNET: RESilient electricity NETworks for Great Britain (Wilkinson, Dawson, Kilsby; 09/11 - 03/16; £977,839, grant no. (EP/I035781/1)

[RG4] Willis Research Network Fellowship (Kilsby; 2010-present; £541,170.85)

[RG5] EU FP7 ECLISE: Enabling CLimate Information Services for Europe (Fowler, Wilkinson; 02/2011-05/2014; €3,408,670.50, grant no. 265240)

[RG6] EPSRC eROAD: Emergency Resource Location-Allocation and Deployment (Dunn; 05/17-08/19, £97,071, grant no. EP/P02369X/1)

[RG7] EPSRC iSMART (Glendinning; 07/12-06/17, £1,671,674, grant no. EP/K027050/1)

[RG8] EPSRC ITRC: Infrastructure Transitions Research Consortium (Barr, Kilsby; 02/11–01/16; £4,793,012, grant no. EP/I01344X/1)

[RG9] EPSRC & ESRC iBUILD: Infrastructure BUsiness models, valuation and Innovation for Local Delivery (Dawson, Glendinning, Wilkinson; 08/13–03/18; £3,567,86, grant no. EP/K012398/1)

4. Details of the impact

Globally, by 2100 climate change impacts on infrastructure are estimated to be US$4.2tn under a 2oC scenario (i.e. if the Paris Agreement is met), and as much as US$13.8tn if not ( https://tinyurl.com/globinfra). The Global Commission on Adaptation calculate that investment in climate resilient infrastructure provides a benefit to cost ratio of about 4:1. Newcastle University’s research has been at the forefront of providing data, methods, and guidance that have enabled engineers and decision-makers to implement climate resilient infrastructure in practice.

4.1 Design guidance for future flooding

Flooding is the greatest climate risk to infrastructure, particularly flash floods. We worked with engineering consultants to translate our high-resolution climate information (Section 2.1) into design guidance for UK Water Industry Research (UKWIR): Rainfall Intensity for Sewer Design, Report 15/CL/10/16. Our work showed the previous assumption of a +20% allowance for future climate was insufficient and needed to account for regional variability e.g. guidance on additional design peak rainfall intensity from climate change is now +35% in East Scotland, and +55% in West Scotland. This work has provided ‘ a basis for the long-term planning and asset management of drainage and wastewater services across all Great Britain’ to manage the long-term risk of sewer flooding and pollution from sewer systems, comprising an annual spend of around £1bn [E1].

Our models of future extreme rainfall and flood frequency have also been used by Willis Towers Watson, the world’s third largest insurance broker (2019 revenue US$9bn). This includes stress testing insurance portfolios against climate risks in reporting to the Bank of England, and has allowed Willis to “ increase our climate service offerings to several of our UK insurance clients which are representing [the] majority of the UK insurance market” [E2].

4.2 Design of robust water resources management

After flooding, the Climate Change Committee (CCC) identified drought as the next most significant risk to the UK. Our stochastic rainfall model (Section 2.1, P2) has been used by Southern Water, water supplier to over 2.5 million people, to design their 2019 Water Resource Management Plan for infrastructure provision worth £1.8bn. Our approach is now standard across the UK water industry forming the basis of the new drought resilience framework for the Environment Agency, and has ‘ entirely changed the planning paradigm, and significantly enhanced the resilience of the water resource infrastructure of the most water stressed regions of the UK’ [E3].

4.3 Climate change adaptation strategies

Windstorms caused 20% of all electricity customer disruptions between 1995 and 2011. Our fragility models of electricity assets (Section 2.2), and high-resolution climate information (Section 2.1), were used to undertake a national scale risk assessment of the UK electricity transmission network to future climate, and to assess the vulnerability of 520,000 miles of overhead lines on the distribution network. This was used by energy regulator Ofgem, the National Grid, and all the Distribution Network Operators on the British mainland in their statutory 2016 Adaptation Reporting Power (ARP) submissions e.g. E4 and E5: “ helping the industry to understand the potential impacts of climate change on wind patterns” (SP Energy Networks Adaptation Report) and “ this work was subsequently used by all the other distribution network operators on the British mainland to inform their 2nd round Climate change Adaptation Report submissions” (Western Power letter, E4a) to assess current and future impacts of climate change.

Combining the fragility functions and climate projections, the National Grid was able to identify high risk ‘hotspots’ for windstorm and flooding on their network, providing a basis to prioritise adaptation. This included advice on where to site £3m in demountable flood defences to achieve the greatest reduction in risk, whilst maintaining confidence in the resilience of power supply, thereby generating savings of £11m in wasted investment through asset depreciation [E4b].

Our research has also been applied to Highways England’s and Network Rail’s infrastructure networks which comprise around 50,000 and 200,000 geotechnical assets respectively (Section 2.2). Network Rail are investing £1.3bn in maintenance and renewal between 2019-2024. We have worked with Mott MacDonald for over 20 years, most recently to apply our detailed slope stability analyses under a range of future climate scenarios. This has enabled Motts to better “justify expenditure to regulatory bodies such as the Office of Rail and Road (ORR)”, saving the taxpayer significant amounts of money as “emergency repairs may cost 10 times planned works, which in turn may cost 10 times that of maintenance activities” [E6].

Prof. Dawson was appointed to the Adaptation Committee of the Climate Change Committee (CCC) in 2019. He has provided oral evidence direct to ministers on climate change adaptation [E7]. Moreover, the CCC’s advice on preparing for climate change is reflected in legislation and the government’s National Adaptation Plan which impacts upon every inhabitant of the UK.

4.4 National infrastructure assessment

Prof. Dawson led the Infrastructure section of the UK’s 2nd Climate Change Risk Assessment (CCRA) evidence report [E7]. This was used by government to directly inform the UK government’s National Adaptation Plan. Prof. Fowler is a contributing author to the 3rd evidence report to be published in 2022, and a member of Network Rail’s Weather Action Task Force.

NISMOD-DB hosts several hundred national infrastructure network datasets, and manages information flows for infrastructure simulation, and enables visualisation of data and simulation results. This was used to provide the first national mapping of locations across England and Wales at risk of cascading failure from infrastructure interdependencies [P5]. This was crucial evidence on cross-sectoral infrastructure risks in the 2nd CCRA evidence report (Ch4, p27). Furthermore, it enabled and underpinned the National Infrastructure Commission’s first National Infrastructure Assessment [E8], which included consideration of how climate change will impact upon the nation’s infrastructure. This proposed a pipeline of £895bn of infrastructure investment up to 2050 that the government have mostly committed to build in the National Infrastructure Strategy.

4.5 Valuing resilience in infrastructure investment decisions

We led the iBUILD research programme, in partnership with the Universities of Leeds and Birmingham. At the request of Infrastructure UK (now the Infrastructure and Projects Authority), a department in HM Treasury, iBUILD supported the development of supplementary guidance to the Green Book for infrastructure spend [E9]. The guidance drew from contributions across the iBUILD team, including Newcastle’s methods (Section 2.4) to value the benefits of resilient infrastructure. The Green Book is issued by HM Treasury and is used to appraise all government funded policies, programmes and projects. In recent years government infrastructure expenditure in the UK has been ~£20bn per year, but this is forecast to increase in the new National Infrastructure Strategy. The changes in the methods available to users of the Green Book enable government to derive additional value from infrastructure investments.

4.6 Influencing climate resilient infrastructure in policy and practice around the world

Our research has had significant impact internationally. As Coordinating Lead and Contributing Authors for the Intergovernmental Panel on Climate Change (IPCC) 6th Assessment Reports, Profs. Dawson and Fowler are providing advice to 187 governments on climate change adaptation.

As co-authors of the Global Research and Action Agenda on Cities and Climate Change Science, our recommendations on adaptation of infrastructure and cities were approved by all 187 member states of the UN Framework Convention on Climate Change in 2018 [E10a]. ICLEI (an international body representing 1750 local governments in 84 countries) state this “ will strengthen evidence-based, science-driven action in cities” [E10a]. Further, our risk assessment model results have been used by the European Environment Agency to identify adaptation priorities for cities and infrastructure across Europe. [E10b]

Many of the organisations we have worked with [inc. E1, E2, E4, E6] operate internationally and have extended the reach of our research. For example, our research on characterising engineering performance has benefited consultants “ As a global company we are able to use this work to give us a competitive edge in our international consultancy work” [E5]. Furthermore, our work to quantify flood risk, and define ‘event windows’ for insurers has played “ a vital role in winning and retaining clients and maintaining a competitive edge…. driving revenue” for Willis Towers Watson who operate in over 100 countries with a revenue of US$9bn (2019) [E2].

5. Sources to corroborate the impact

[E1] Letter from Technical Director of JBA setting out how Newcastle University’s research informed design guidance now used by the UK’s water companies and environmental agencies.

[E2] Letter from Managing Director, Willis Research Network, setting out importance of Newcastle University research for understanding and managing flood risk in Europe, and undertaking stress tests for the Prudential Regulation Authority.

[E3] Letter from Water Resources Planner, Southern Water confirming Newcastle advised on and provided ensembles of stochastic rainfall data to design their £1.8bn Water Resource Management Plan as well as: (i) Water Resource South East (WRSE) planning carried out by Atkins, (ii) the Water UK National Water Resource Long Term Planning framework, and the Water Resource Management Plans for (iii) Thames Water and (iv) Anglian Water.

[E4] (a) Letter from Engineering Policy manager at Western Power confirming Newcastle’s role in helping to improve the resilience to windstorm outages for their 7.8million customers. (b) Letter from Environmental Engineer at National Grid stating how Newcastle’s research contributed to their climate change adaptation and resilience planning, including saving £11m.

[E5] Adaptation Reporting Power – second round reports from OfGem, National Grid, UK Power Networks, Northern Powergrid, Western Power (quoted above), Electricity Northwest, SP Energy Networks (quoted above), Scottish and Southern Energy, Electrical Networks Association refer to Newcastle University’s contribution to their adaptation planning: https://tinyurl.com/arp2energy

[E6] Letter from Technical Principal at Mott MacDonald confirming how Newcastle research, integrating climate change and geotechnical expertise, has improved the management of 250,000 infrastructure assets owned by Network Rail and Highways England.

[E7] Confirmation that Professor Dawson chaired the Infrastructure evidence Report for the 2nd Climate Change Risk Assessment: Dawson et al., 2016. UK Climate Change Risk Assessment Evidence Report: Chapter 4, Infrastructure. Report prepared for the Adaptation Sub-Committee of the Committee on Climate Change, London. www.theccc.org.uk/wp-content/uploads/2016/07/UK-CCRA-2017-Chapter-4-Infrastructure.pdf. This work informed PostNOTE 621 Infrastructure and climate change: https://post.parliament.uk/research-briefings/post-pn-0621/ ; and led to Professor Dawson being asked to give oral evidence to the EFRA Select Committee on flooding, 20th October 2020 https://committees.parliament.uk/oralevidence/1083/html/

[E8] National Infrastructure Commission (2018) https://nic.org.uk/studies-reports/national-infrastructure-assessment/ sets out a plan for £895bn over the next 30 years. The report cites the important role of NISMOD, the Infrastructure Transition Research Consortium, and Newcastle University. This has since been mostly accepted by the Government in the UK’s first National Infrastructure Strategy www.gov.uk/government/publications/national-infrastructure-strategy

[E9] HM Treasury (2015) Valuing infrastructure spend: Supplementary guidance to the Green Book, https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/417822/PU1798_Valuing_Infrastructure_Spend_-_lastest_draft.pdf The report cites the contribution of the iBUILD programme and research team in the development of the guidance.

[E10] Global Research and Action Agenda on Cities and Climate Change Science which was approved by the UNFCCC’s 187 member states at the 48th Session of the Intergovernmental Panel on Climate Change in Seoul, Korea in October 2018, www.ipcc.ch/site/assets/uploads/2019/07/Research-Agenda-Aug-10_Final_Long-version.pdf

[E10a] Support from ICLEI - Local Governments for Sustainability https://tinyurl.com/citiesaction

[E10b] Urban adaptation in Europe (2020): European Environment Agency assessment supported by Newcastle University risk analysis and data https://tinyurl.com/eeaurban

Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Technological
Is this case study continued from a case study submitted in 2014?
No

1. Summary of the impact

Advances in non-physical measurements and data analytics for fuel, performance and energy management systems have led to a sustained and profitable relationship with Royston Diesel Power. Our research outputs have been incorporated into the ‘state of the art’ modularised Fuel, Performance and Energy Management product: engine i.

The development of engine i has generated sales of £6m and led to a reduction in fuel consumption of 3-10% over 12 months without affecting vessels operations. Embedding an innovative design capability within Royston Diesel Power has enabled a step change in the business moving the company capabilities’ from repair and maintenance to ‘intelligence selling’.

2. Underpinning research

Work undertaken by Pazouki on virtual sensing to inferentially measure non-measurable quality parameters using primary physical parameters in the period (2007-2012) led to a step change in the approach to fuel monitoring and energy management measurements [R1]. Before Newcastle University involvement, Royston’s engine i products relied on primary physical measurements by using only hardware, which were suboptimal due to limited data storage, lack of ability to perform statistical analysis and lack of telemetry. Pazouki’s work on non-physical measurements enabled shifting from an all hardware system to a combined hardware/software system to include performance indicators such as fuel consumption for a given work done and distance travelled. The novelty is on software development allowing required hardware interfaces to be routinely configured within the system (plug and play concept), which brings on board data storage, data transfer and processing capability for data analysis. This collaborative research received certificate of “Excellence” from the Technology Strategy Board [E3].

In parallel Dr Murphy’s previous work with Svitzer provided an ideal conduit for testing the first engine i mark II product. Applying data analytics on the engine i output during sea trial of a Svitzer tugboat, the optimum engine-propeller operating point was identified. This was not included in the original design of engine operating system. The optimum engine operating point could potentially save up to 30% of fuel consumption during transit operation [R2].

The resulting improvements in engine i product are:

- Development of modularised features such as Automatic Mode Detection System (Auto-Mode) and Economic Speed (Eco-Speed). Currently 11 Auto-Mode and 3 Eco-Speed products have been installed on the commercial vessels.

- Development of common hub system for the unification of data collection, storage and analysis.

- Development of algorithm for energy mapping and distribution on board the ship for energy management and reduction of fuel consumption.

Bespoke data analytics gained through the development of this system have enabled researchers to develop Automatic Mode Detection System [R3]. The published work has drawn the attention of a research institute (Monohakobi Technology Institute) part of the Japanese shipping company ‘NYK Line’ and this has led to a commercial research contract (£30K) as a pilot study with a potential of a further to 2 years of research collaboration [E9].

The software- based analysis and KTP projects led to the Innovate UK project on Whole vessel energy management- remote monitoring of energy use, which led into development of algorithm for energy mapping and distribution on board the ship for energy management and reduction of fuel consumption [R4].

The data analytics that were produced from this refined system then fed into further research on ship performance monitoring dedicated to biofouling analysis and a novel detection approach for the detection of hull and propeller fouling [R5].

The analytical research on big data carried out in UK funded project, “Whole vessel Energy Management”, in collaboration with Royston and EU funded project, “CLINSH” [E6], enhanced the research strength and portfolio of Newcastle University team thereby they joined by invitation to an EU consortium and secured H2020 project, SUSTUNTECH [E10].

3. References to the research

R1 - Kayvan Pazouki PhD Thesis; “Inferential Measurement and Control of Ballast Water Treatment System”, 2012, Newcastle University

http://theses\-test.ncl.ac.uk:8080/jspui/handle/10443.1/1433

R2 - Murphy AJ, Weston SJ, Young RJ. Reducing Fuel Usage and CO2 emissions from Tug Boat Fleets: Sea Trial and Theoretical Modelling. International journal of Maritime Engineering 2012, 154, A31-A41. doi.org/10.1016/j.trd.2016.10.026

R3 - Zaman I, Pazouki K, Norman R, Younessi S, Coleman S. Development of automatic mode detection system by implementing the statistical analysis of ship data to monitor the performance. International Journal of Maritime Engineering 2017, 159(Part A3), A225-A235. doi:10.3940/rina.ijme.2017.a3.411

R4 - Lim S, Pazouki K, Murphy AJ, Zhang B. Capturing and analysing real-time data from TUGS. In: 37th International Conference on Ocean, Offshore and Arctic Engineering - OMAE. 2018, Madrid, Spain: American Society of Mechanical Engineers (ASME). https://doi.org/10.1115/OMAE2018\-78003

R5 - Coraddu A, Lim S, Oneto L, Pazouki K, Norman R, Murphy AJ. A novelty detection approach to diagnosing hull and propeller fouling. Ocean Engineering 2019, 176, 65-73. doi.org/10.1016/j.oceaneng.2019.01.054

R6 - Gibson M, Murphy AJ, Pazouki K. Evaluation of environmental performance indices for ships. Transportation Research Part D: Transport and Environment 2019, 73, 152-161. doi.org/10.1016/j.trd.2019.07.002

[G1] EU funded project, “CLINSH: CLean INland Shipping” (BH152170)

[G2] EPSRC IAA funded project, “Whole journey ship analysis” (BH183529)

[G3] Joint EPSRC and Lloyd’s Register PhD Scholarship, “A novel approach to Environmental assessment of ships”

[G4] Commercial Research funded by Monohakobi Technology Institute, “Ship Operation Profiling”, (NU-000522)

[G5] EU funded project, “Sustainable Tuna Fisheries Through Advanced Earth Observation Tools (SUSTUNTECH)” (NU-000167)

4. Details of the impact

Advances in non-physical measurements for fuel and energy management systems have led to the development of a hybrid hardware-software monitoring product to measure key performance indicators. The novelty of this product is in the software development allowing for ‘plug and play’ of the hardware interface with the system. This concept brought additional ability for on board data storage, transfer, analytical processing and manipulation.

The development of multi-featured engine i mark II has generated sales of £6m and is installed on 250 ships globally. The incorporation of this multi-featured product has led to a 3 to 10% reduction in fuel consumption and consequential reduction in harmful emissions over 12 months of operations. The research has allowed Royston to develop the engine i R&D department within the company to secure jobs as well as creating culture for further product development.

Economic Impact:

The route to market is based upon the existing enginei system which has grown from £2m sales in 2017; and now represents £6m export sales at year end February 2019 (27% of the business); and generates a gross margin of 40%. This growth has incorporated the setup of an international distributor base together with increased telemarketing and directly employed international sales support [E1].

The company relied on testing of engine i built products from an outside source prior to the Newcastle University collaboration. It now undertakes all build and test in-house, which provided savings of £30k by reducing dependency on outside expertise and the advancement of the engine i mark II product enabled more time-efficient operations, saving £5k in 2014 [E1].

Business structure overhaul:

As a result of the Knowledge Transfer Partnership commitment to engine i, the Group has evolved the engine i product specifically and is to focus in its current 5-year plan on the development of new products/services [E1]. This represents a step change in the business whereby it’s past, reactive service-oriented approach will change to a customer focussed solutions base of product and service offerings from a “suite” of functional approaches to a problem. The solutions orientated business approach will give Royston the opportunity to bid for higher value work as it becomes known for its technical approach to market issues.

Newcastle University research gave the necessary technological support to enable new export markets to be developed including Auto-Mode, Eco-Speed and Energy Mapping [E1].

Product and Knowledge development:

The improved data analytics have made it possible to address several research questions such as reduction of fuel consumption and carbon footprint for a given task and understanding the influence of external factors such as tide and wind on the fuel consumption for a ferry operating in the UK waters. This has led to a successful EPSRC Impact Acceleration Account [E7] to assess the impact of wind on a ferry operation.

User impact

The engine i system is in operation in 250 ships globally. The incorporation of this novel energy management system enables accurate fuel and emission monitoring. The system is installed on the fleets of tugs, Offshore Supply Vessels (OSV), ferries and tankers operating in an increasingly challenging economic environment and ever-tightening emissions regulations and has led to a reduction on fuel consumption of 3 to 10% and consequential reduction in harmful emissions over 12 months without affecting vessel operations. [E1, E5]

The incorporation of engine i solutions on 10 major passenger vessels operating in the sensitive maritime environment led to a significant improvement on the client's carbon footprint and bottom-line financial performance with an anticipated annual fuel savings of more than £450K and a reduction in CO2 emissions of 1,800 tonnes [E5].

For example, Svitzer, has seen a 15% reduction in energy bills over the 7 years it has been utilising the system [E2]. That is, the system allowed the identification of the most fuel-efficient mode of engine & vessel operation for vessel transit which subsequently led to Svitzer installing permanent engine operating settings they dub “Eco-Speed” to make these fuel savings in the longer term [E2].

Environmental Policy Impact:

The data generated from this research and associated data analytics approach has led to the production of policy recommendations for the EU Commission [E4].

Furthermore, greater expansion of engine i on a modular basis enables flexibility to respond to environmental legislation in the Marine Industry or a customer’s needs. Specifically, data generated form the modularised engine i product on RV Princess Royal and associated analytical research on the generated data has led to the development of “A novel approach to Environmental assessment of ships”, which is used in the EU funded project “CLINSH” [E6, E8 & R6].

5. Sources to corroborate the impact

[E1] Testimonial from Lawrence Brown, Chairman, Royston

[E2] Testimonial from Richard Young, Fleet Manager & Operations BPO, Svitzer Europe

[E3] Knowledge Transfer Partnerships, ‘Certificate of Excellence’ and confirmation of ‘outstanding grading’ award letter

[E4] Clean North Sea Shipping (CNSS) Policy recommendations document

[E5] Royston engine i website (https://www.enginei.co.uk\)

Research grants are included here as evidence to demonstrate the continued support for application of Newcastle research. Both through expanding commercialisation opportunities and application within other research projects (e.g. environmental and sustainability analysis).

[E6] EU funded project, “CLINSH: CLean INland Shipping” (BH152170)

[E7] EPSRC IAA funded project, “Whole journey ship analysis” (BH183529)

[E8] Joint EPSRC and Lloyd’s Register PhD Scholarship, “A novel approach to Environmental assessment of ships”

[E9] Commercial Research funded by Monohakobi Technology Institute, “Ship Operation Profiling”, (NU-000522)

[E10] EU funded project, “Sustainable Tuna Fisheries Through Advanced Earth Observation Tools (SUSTUNTECH)” (NU-000167)

Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Technological
Is this case study continued from a case study submitted in 2014?
Yes

1. Summary of the impact

Building on Newcastle University’s pioneering research in underwater acoustic communication (UAC), a new generation of communication and positioning devices have been commercialised via licensing to 3 industrial partners. Newcastle’s waveforms, algorithms and circuit designs have enabled vast reduction in cost, energy consumption, sound emission and size, enabling the “Internet of Underwater Things” - large scale, bio-friendly subsea networks deployed worldwide in diver safety, underwater navigation, marine monitoring and aquaculture. The most mature product, Seatrac, has generated >£3M sales for Blueprint Subsea since 2016. Newcastle’s waveforms and algorithms are now incorporated in an emerging standard for interoperable UAC defined by UK DSTL/MoD.

2. Underpinning research

Due to the absorption of radio waves in water, the wealth of long range, high bandwidth wireless communication we rely on above water is completely unusable below. Hence the subsea sector relies on acoustic signals (sound waves) for underwater wireless communication and navigation. Underwater acoustic propagation leads to severe signal distortion making this one of the most difficult channels encountered in wireless communication. Newcastle University were among the pioneers in developing modulation and receiver structures able to tolerate severe time varying multipath and Doppler effects encountered in this channel [P1, P2, P3], leading to ground-breaking products e.g. Tritech’s MicronNav covered by a REF2014 impact case study.

EU FP7 project Cognitive Autonomous Dive Buddy (JN, 01/14–12/16, £272,712.14) demonstrated advanced diver-robot interaction enabled by subsea communication and positioning ( http://caddy-fp7.eu/). Newcastle developed UAC devices for divers and autonomous underwater/surface vehicles to exchange commands/data and track relative positions. These devices needed to be small/light, for use on divers and small vehicles, using low acoustic source level and ultrasonic frequencies for diver safety. This led to the development of novel spread spectrum modulation schemes for the 24-32 kHz frequency band, one for low rate command/control/positioning and one for medium rate data transfer. These were implemented on a miniature hardware platform, based on a system-on-chip ARM Cortex M4 processor, known as “SeaTrac” [P4]. This device incorporates a tiny receiver array for ultra-short-baseline (USBL) positioning so range and direction between units can be measured with a resolution of 5cm and 1 degree respectively. EPSRC DTA PhD project “Spread-Spectrum Techniques For Environmentally-Friendly Underwater Acoustic Communications” (JN/CT/BS, 04/13-08/17) built on ideas developed by JN for spread spectrum modulation schemes operating at very low signal to noise ratio i.e. with received signals well below background noise level. This allows transmission of data with source power below limits recommended by marine biologists and noise-like signals to minimise potential impact on marine mammals. Despite very high spreading ratio up to 1000, useful data rates are maintained using novel M-ary orthogonal code keying modulation (M-OCK). This has achieved reliable 100 bits/s communication over 10km with <1W of acoustic power and with received SNR as low as -15 dB [P5].

Embedded image EPSRC project USMART (JN/CT/BS, 05/17-09/20, £1,284,429) exploited the above innovations to enable large-scale, subsea wireless sensor networks that are cost effective, long life and environment friendly ( https://research.ncl.ac.uk/usmart/). A critical element of this is very low receive energy consumption to allow long deployment from small batteries. Novel sparse signal processing techniques were developed to reduce the computational load of the receiver and enable implementation on a very low power ARM Cortex M0 processor consuming only 12mW. Combined with highly cost-engineered transmit/receive circuits, a small piezoceramic transducer and low cost encapsulation, this forms the “Nanomodem” [P6]. The latest generation of this device (V3) is a tiny 40mm by 60 mm package which can be manufactured for <£50 in volume but achieves 500 bits/s communication and accurate ranging over distances >3km whilst emitting only 0.5W. This is a step change in performance vs cost, power and size and networks of these devices have been deployed in the North Sea to wirelessly gather underwater sensor data over periods exceeding 6 months.

3. References to the research

P1. Hinton OR, Neasham J, Sharif BS, Adams AE, A Computationally Efficient Doppler Compensation System for Underwater Acoustic Communications, IEEE Journal of Oceanic Engineering, 25, No 1, 52-61, 2000. DOI:10.1109/48.820736 ( 432 citations) – This publication showed how synchronisation could be maintained in the presence of severe Doppler effects, multipath and noise.

P2. Sharif BS, Neasham JA, Hinton OR, Adams AE, Davies J, Adaptive Doppler Compensation for Coherent Acoustic Communications, IEE Proceedings on Radar, Sonar and Navigation 2000, 147(5) DOI:10.1049/ip-rsn:20000665 ( 53 citations). – This paper showed how receivers could tolerate time varying Doppler effects and defined a technique used today in the commercial products.

P3. C. P. Shah, C. C. Tsimenidis, B. S. Sharif and J. A. Neasham, "Low-Complexity Iterative Receiver Structure for Time-Varying Frequency-Selective Shallow Underwater Acoustic Channels Using BICM-ID: Design and Experimental Results," in IEEE Journal of Oceanic Engineering, vol. 36, no. 3, pp. 406-421, July 2011. DOI:10.1109/JOE.2011.2144670 ( 25 citations) This paper showed how iterative, soft decision decoding techniques could enhance the performance of adaptive UAC receivers.

P4. J. A. Neasham, G. Goodfellow and R. Sharphouse, "Development of the “Seatrac” miniature acoustic modem and USBL positioning units for subsea robotics and diver applications," OCEANS 2015 - Genova, Genoa, 2015, pp. 1-8. DOI: 10.1109/OCEANS-Genova.2015.7271578 ( 23 citations) – This describes the design of hardware and software algorithms used in the successfully commercialised Seatrac communication and positioning products.

P5. B. Sherlock, J. A. Neasham and C. C. Tsimenidis, "Spread-Spectrum Techniques for Bio-Friendly Underwater Acoustic Communications," in IEEE Access, vol. 6, pp. 4506-4520, 2018. DOI: 10.1109/ACCESS.2018.2790478 ( 16 citations) – This paper describes the development of M-OCK techniques used for very low power transmission with low probability of detection, applied in the latest products and a NATO standard.

P6. N. Morozs, J.A. Neasham et al, Robust TDA-MAC for practical underwater sensor network deployment: lessons from USMART sea trials. In Proceedings of the Thirteenth ACM International Conference on Underwater Networks & Systems (WUWNet '18). Association for Computing Machinery, New York, NY, USA, Article 11, 1–8. DOI: 10.1145/3291940.3291970 ( 14 citations

4. Details of the impact

Embedded image

Embedded image The Tritech MicronNav product, described in a REF2014 ICS, continued to sell, with 878 units sold between 2014 and 2020 with an approximate sales value of £2M [E9]. However the underpinning research above has created a new generation of UAC technology with superior specifications in data rate, range, positioning accuracy, power requirements and dimensions, at reduced cost. This has superseded the Tritech product in all markets. Throughout the EU CADDY project the Newcastle team worked closely with Blueprint Subsea, a UK manufacturer of subsea instruments, to produce near market prototypes. This led to them funding a technology transfer project and then signing a licence agreement in Nov 2014 to manufacture and sell the SeaTrac range of USBL acoustic positioning units, transponders and data modems (pictured) based on Newcastle’s circuit designs and software algorithms. Since then, these products have been widely taken up for underwater vehicle navigation, diver tracking/telemetry and AUV telemetry for oil/gas and scientific surveys. They have gained a large worldwide market share for in these applications selling 1329 units for a total sales value of >£3M between product launch in 2016 and the end of 2020, returning royalties of £207,000 to Newcastle University [E1,E8]. The SeaTrac devices are also a key component of Blueprint Subsea’s Artemis Pro and Artemis Elite diver navigation consoles (pictured) where they enable teams of divers to share information and their positions over distances up to 2km. These are in use by police search and rescue divers and Naval divers of several NATO nations e.g. 30 systems are in use by special forces of the UK Royal Navy [E7].

More recently, commercialisation of the Nanomodem (NM) technology has opened up applications that were previously too cost sensitive for underwater acoustic communications to be feasible. WSENSE are an Italian company who licenced the circuit designs and firmware for NM v3 in May 2019 and have incorporated the technology in Internet of Underwater Things (IoUT) solutions used in aquaculture, defence, energy and environment applications. [ redacted text] WSENSE sold 136 NM v3 equipped devices during 2020 and are ramping up for high volume production to meet demand from this industry [E3,E10].

Embedded image Succorfish Ltd are a manufacturer of asset and personnel tracking systems who took a strong interest in the NM technology from the beginning of development and licenced early designs in Feb 2017. The latest NM design is now used in the SC4X underwater messaging system (pictured) for naval/professional divers and a low cost safety product for recreational divers providing remote tank pressure monitoring, emergency messaging and depth/location [E2].

Embedded image Due to their low cost, size and power, NM devices were found by Ecosub Robotics to be the only viable technology for integration in their miniature AUV products (pictured). Through an Innovate UK project, Newcastle and licensees supplied NM to provide communication and cooperative navigation to a swarm of vehicles spanning several km, enabling large areas to be systems and greatly strengthening Ecosub’s product offering [E6].

150 devices were supplied to the University of Zagreb, Croatia for use in the H2020 Subcultron project enabling a large network of underwater robots to monitor water quality in Venice Lagoon [E4, E5]. Another 30 were supplied to the University of Washington, US to enable 3D current mapping using small, inexpensive “microfloats” for tidal energy projects near Seattle. The technology is also contributing to positive impacts on the marine environment through a major project with marine scientists, net manufacturers and the fishing industry. The EU NetTag project has demonstrated how NM devices can be used to provide cost effective tagging of fishing gear (nets and traps) to enable lost gear to be located and recovered, reducing one of the largest and most damaging forms of marine plastic pollution.

Newcastle’s world leading research in UAC and its successful use by naval divers led to their participation in a working group on UAC run by UK DSTL/MoD. Newcastle were then selected to lead a team with Sonardyne to develop and validate a UK led UAC standard for NATO forces known as Phorcys [E7]. To meet a very demanding specification, an advanced spread spectrum waveform has been developed and tested by the team, drawing upon much of the underpinning research described above, to achieve reliable and secure communications in the most hostile channels in excess of 20km range. The standard was delivered in 2020 and Phorcys compliance will be promoted to equipment manufacturers supplying NATO nations.

5. Sources to corroborate the impact

Factual statements from:

  1. Robin Sharphouse, Blueprint Subsea (licensee)

  2. Richard Hooper, Succorfish Ltd (licensee)

  3. Chiara Petrioli, WSENSE (licensee)

  4. Nikola Miskovic, University of Zagreb (end user)

  5. Vladimir Djapic, H20 Robotics (end user)

  6. Terry Sloane Ecosub Robotics, (end user)

  7. Alex Hamilton, DSTL (end user and NATO standard lead)

Licence statements (confidential) from:

  1. Blueprint Subsea

  2. Tritech

  3. WENSE

Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Environmental
Is this case study continued from a case study submitted in 2014?
No

1. Summary of the impact

Over 5.2 million homes and businesses in England are currently at risk from flooding, according to the Environment Agency (EA), and more will become threatened in the future. Newcastle's research into Natural Flood Management (NFM) and the use of Runoff Attenuation Features (RAFs) has directly led to changes in policy and practice, and at least £15 million investment on NFM projects that protect people/towns. RAFs are cost effective ‘soft-engineered’ interventions, slowing and storing flood waters in rural landscapes. The innovative soft engineering designs for RAFs pioneered by Newcastle to address flooding means that lives and businesses are now better protected from floods, and numerous projects both nationally and internationally now use the RAF approach.

2. Underpinning research

More people than ever are at risk of flooding. The risks are increasing as climate change affects weather patterns. Rainfall is predicted to become more frequent and more intense with peak river flows being more than twice-current levels in some English catchments by 2070 [E1].

Newcastle’s body of research has identified a range of interventions that can be used to reduce the risk of flooding across catchments. From sites upstream close to the source of rivers, through to floodplain storage schemes, soft-engineered structures can divert, store, and slow the flow of water during large flood events. NFM is the broad term that includes planting forest, improving soil health, and engineering structures such as ponds and woody ‘leaky’ dams. The RAFs pioneered by Newcastle are a specific type of NFM that uses modified ponds and barriers to reduce flood flow, and through our research have proven them to be especially effective.

Runoff Attenuation Features

Newcastle has pioneered the design of RAFs and gathered the first evidence of their engineering and hydrological performance in space and time through detailed laboratory, fieldwork and full-scale modelling. The term was first pioneered by Newcastle in 2010 [P1] and is now in common use in NFM literature [E2-E7]. RAFs are a specific design that modifies the function of traditional ponds and barriers to control flood flow. Often referred to as ‘leaky dams’, soil bunds and woody dams can temporarily store flood flow, but crucially can operate during dangerous high flows. Wider NFM measures like tree planting and soil improvement can reduce smaller flood event impacts but are deemed to be less effective in larger flood events [P2, E2]. Our RAFs can therefore target flood flow and have been shown to be particularly effective in smaller catchments [P2, E2 and E3]. As RAFs are relatively small, they fit well into farmed landscape without negatively impacting on farm production and revenues.

Belford NFM Flood Project

The Newcastle-led project in Belford, Northumberland was the first to demonstrate catchment scale impacts to support NFM [P1, P2, P4]. The measures comprising 50 RAFs across 6km2 were constructed between 2010 and 2013 and studied until 2017. The project, costing £200,000 replaced a proposed traditional scheme using a large detention dam costing £2.1 million and has protected 30 properties and local inconvenience as the town has not flooded since 2010 despite numerous large, potential flood-causing events.

Through detailed instrumentation and observations of individual RAFs and flow gauging across the catchment, the RAF design has now been refined [P1, P2]. By studying observations of RAF function and by simulating the catchment, the impact of networks of RAFs has now been established to show significant reductions in peak flow in large flood causing events for catchments of ~10km2 [P1, P2, E2, E3].

Scaling up NFM using RAFs

Following their successful implementation on a small catchment, more recent work (in partnership with the EA and ARUP) at Lustrum Beck, Stockton-on-Tees, and in Weardale, is demonstrating greater impacts by implementing RAFs on a larger scale. Newcastle, between 2017 and 2020, co-designed, instrumented, and evaluated the Lustrum scheme with Arup, which is now fully operational, and is expected to reduce flood peaks by 10%, at a cost of £300,000. The Weardale scheme, between 2019-to date, is the largest implementation of NFM in the UK (at a scale of 100km2), featuring a network of over 100 larger scale RAFs co-designed by Newcastle and Arup to tackle flood flow. The estimated impact of the RAF network was based on the NFM Tool, a RAF network simulation toolkit developed by Newcastle and Arup [first published as the Pond Network Model in P2].

Underpinning partnerships with the EA, River Trusts, The National Trust, National Farmers Union (NFU), NGOs and industry [E10] is showing the benefits of community participation in delivering NFM [P3, P4]. RAF delivery by multiple organisations is now seen as the cornerstone of catchment-based partnership working, reflected in Newcastle using novel participatory processes, workshops, visualisation tools using decision support tools (such as the Flood Agricultural Floods Matrix, [P6]), and citizen science data collection [P3].

The Newcastle approach is now captured as a catchment-wide philosophy that includes nature-based solutions and engineering as part of a Catchment Systems Engineering approach [P4, P5].

3. References to the research

[P1] Wilkinson, M.E., Quinn, P.F. and Welton, P. 2010. Runoff management during the September 2008 floods in the Belford catchment, Northumberland. Journal of Flood Risk Management 2010, 3(4), 285-295. DOI:10.1111/j.1753-318X.2010.01078.x

[P2] Nicholson, A.R., O'Donnell, G.M., Wilkinson, M.E. and Quinn, P.F., 2020. The potential of runoff attenuation features as a Natural Flood Management approach. Journal of Flood Risk Management, 13, p.e12565. DOI: 10.1111/jfr3.12565

[P3] Starkey, E., Parkin, G., Birkinshaw, S., Large, A., Quinn, P. and Gibson, C., 2017. Demonstrating the value of community-based (‘citizen science’) observations for catchment modelling and characterisation. Journal of Hydrology, 548, pp.801-817. DOI: 10.1016/j.jhydrol.2017.03.019

[P4] Wilkinson, M.E, Quinn, P.F., Barber, N.J and Jonczyk, J. 2014. A framework for managing runoff and pollution in the rural landscape using a Catchment Systems Engineering approach. Science of the Total Environment January 2014, Pages 1245–1254. DOI: 10.1016/j.scitotenv.2013.07.055

  • [P5] Hewett, C.J., Wilkinson, M.E., Jonczyk, J. and Quinn, P.F., 2020. Catchment systems engineering: An holistic approach to catchment management. “Wiley Interdisciplinary Reviews: Water”, 7(3), p.e1417 DOI: 10.1002/wat2.1417

[P6] Wilkinson, M. E., Quinn, P. F. and Hewitt, C. J. M. 2013. The Floods and Agriculture Risk Matrix: a decision support tool for effectively communicating flood risk from farmed landscapes. International Journal of River Basin Management, 11, 237-252. DOI: 10.1080/15715124.2013.794145

4. Details of the impact

Newcastle has led on designing, implementing, monitoring and analysing Runoff Attenuation Features (RAFs) in rural catchments. Through workshops, media, journal papers, collaboration with industry and national policy makers our research has:

  1. Provided rigorous data from observations and modelling that RAFs are a proven, localised, cost-effective innovation to slow and store fast runoff that can contribute to floods.

  2. Demonstrated catchment scale reduction in flood flows in Belford and other sites across the North of England and shown additional co-benefits for water quality and carbon accumulation.

  3. Played a central role in shaping national-level policy and informing future investment priorities (Quinn was a Special Advisor to the EFRA Committee).

  4. Shown that NFM can provide greater benefits by implementing RAFs in larger catchments.

  5. Led to national and international recognition and uptake.

Consequently, RAFs are now a significant part of natural flood management (NFM) in the UK. The 2021 Environment Food and Rural Affairs (EFRA) Flooding report states that “The Government needs to explain how it will ensure a catchment-based approach to incentivising natural flood management (NFM)” and that “ Working with natural processes is an important part of a holistic approach to flood risk management”.

1. The RAF. A typical RAF is a ‘soft engineered’ structure (e.g. a bund or swale) costing between £1,000-5,000 to build, using locally sourced materials. The Belford scheme included the invention and trial of a series of RAF designs, as a cost-effective and widely cited approach to flood management [E1, E2, E3]. It has demonstrated how to control discharge rates that can reduce a flood peak by working with farmers and the local community. RAFs are popular on intensive farms as they do not affect production and can be ‘hidden’ within the landscape. RAFs are now being constructed across the UK and are part of the NFM and nature-based solutions supported by many NGOs and government authorities [E2 contains a catalogue of case studies: the prevalence of RAF concepts and leaky dams are clear].

2. The Belford Catchment NFM Project was the first example of a catchment scale NFM scheme to gain evidence of both observational and modelled flood impacts. Belford had flooded 7 times in 8 years and the RAFs we designed and implemented generated a saving of £1.9 million over a hard engineering proposal, with the full support of local farmers. Consequently, the town has not flooded since 2010, despite many high river flow events. Over 2,000 visitors have and continue to visit the Belford site and Newcastle team, to replicate the design and to gain the confidence to build their own schemes. The project was awarded the Institute of Civil Engineering North East, Robert Stephenson Prize 2015, with our partners the EA (funders) and AMCO (civil engineering contractors), for excellence in innovation and collaboration in civil engineering.

Across England – Northumberland River Trust worked with us to deploy the Newcastle NFM design, in other villages such as Netherton. Similarly, based on our advice the Tyne Rivers Trust 4 RAF ponds and a ‘Ker-Plunk’ RAF (as seen on BBC Weather Watch ), and specifically designed to trap debris and mange flows in forested catchments) were installed to protect Haltwhistle [P3]. In partnership with the National Trust at Wallington Estate (near Morpeth, Northumberland) we have demonstrated how flooding, poor water quality and carbon accumulation can be tackled simultaneously, using large-scale RAFs.

These successes have resulted in Newcastle providing advice, evidence and design guidance for NFM schemes across the UK, resulting in a rapid growth in the deployment and uptake of similar schemes across the country. One such example is in Greater Manchester, led by Dr David Brown, EA Senior Scientific Officer. David has studied the Newcastle approach and sums up the role and impact the Newcastle team’s work has had over time and how it has influenced work in his area [E8]: “ Paul’s advice significantly modified at least four of the projects and suggested focusing more on storage capacity to provide contingency for the ‘really large’ floods, and his input brought more attenuation storage, and resilience to large storm impacts, to those projects.”

3. Special Advisor to EFRA Committee

In January 2016, Quinn was appointed as special advisor to the EFRA Select Committee, providing research and evidence for their ‘Future Flood Prevention’ report [E1]. This formed the basis of several recommendations on NFM and the catchment-based approach. The review concluded that as part of a new model for managing flood risk “ The Department for Environment, Food and Rural Affairs (Defra) should commission by July 2017 a large-catchment trial of the effectiveness of natural flood risk management approaches such as installation of leaky dams, tree planting and improved soil management, alongside other measures”.

As a direct consequence, the EA funded new national NFM Trials worth £15 million [E9]. Neil Parish MP (Chair of the EFRA Committee) summarises the input of Quinn’s work [E9]: “ I would thank Paul for his valuable work in support of the Committee and the added impact his input had on the Future Flood Prevention Report. This will have helped to shape recent change in policy with the EA to adopt NFM methods.”

4. Using RAFs to Scale-up NFM in Larger Catchments

The successful implementation of our RAFs in Belford led to us working in partnership with Arup, the EA, Stockton Council and several NGOs to expand their scale. In Lustrum Beck (sub-catchment 17km2) we advised on the design of a series of RAF storage ponds in Coatham Woods [E10] as part of a £5 million flood alleviation scheme in Stockton. The scheme, now fully operational, has been entered for The Robert Stephenson ICE Prize in 2021.

The largest of the EA national NFM Trials (see above), was in Weardale, targeting a 100km2 catchment area. The NFM scheme was co-designed with partners Arup, and will be dominated by large-scale RAFs. Contracts worth £150,000-£200,000 have been released to construct over 100 of these in Middlehope and Killhope Burns in Weardale [E10].

The EA, Arup and the NFU are working on a smaller NFM trial in Kentmere (20km2) upstream of Kendal. This uses large-scale RAFs, implemented across agricultural land, using networks of bunds and drains. This work was featured on the BBC’s ‘ Costing the Earth’ which focuses on the scaling-up potential of RAFs supported by Newcastle.

Existing collaboration with Arup’s water team was accelerated in 2015 by Quinn being awarded a 6-month NERC industrial fellowship to address ‘The uptake of NFM by Industry’. Newcastle design and principles are now used across Arup schemes nationally and internationally, including contributions to the award-winning Arup WATERUP project [E4]. Dr Alex Nicholson, senior consultant, sums up the partnership as: “ Newcastle University research into natural flood management (NFM), specifically runoff attenuation features (RAFs), has enabled Arup (and the wider industry) to incorporate NFM into standard flood risk management projects” such that it has “ enabled [a] step-change [in] the current engineering practice behind flood risk management”. [E10]

5. Promotion of RAF Impacts Nationally and Internationally

Nationally – In addition to an ICE 2015 Prize, the Newcastle RAF study sites are cited as evidence of good practice in numerous documents in the UK [E5–E8]. Newcastle schemes have appeared on several news items, including BBC and ITV news, The One Show (BBC1, 5 Feb 2014), and a feature length film entitled ‘ High Water - Common Ground’ aimed at schools and catchment communities.

The work underpins much of the evidence base in the EA document ‘ Working with Natural Processes Report’ (WWNP) [E2], which is used to guide EA policy on NFM uptake. Belford and several other Newcastle projects appear as case studies in this document. Two decision support tools, the FARM (Flood and Agricultural Risk Matrix [P6], funded originally by the EA) tool and the NFM tool (a RAF network impact calculator developed by Newcastle and Nicholson at Arup [published in P2 as the Pond Network Model]) are also included in the WWNP report. This tool was used by the EA on the Lustrum Beck and Weardale projects. ‘ The NFM Handbook’ produced by the Scottish Environment Protection Agency (SEPA) in 2015 [E3] also included RAFs, Belford and the FARM tool. The work has been reported in numerous publications including The Institute of Civil Engineers, Royal Institute for Chartered Surveyors, Chartered Institute for Water Management, The NERC Magazine and NGO’s such as the River Restoration Centre and The Green Alliance.

Internationally – Our work has been transferred internationally. For example, €1.5 million RAF features designed by Newcastle have been built by the EPA (Environment Protection Agency) and the Office of Public Works (OPW) and fully instrumented in Wexford and Cork [E6] leading to new Teagasc funding for the construction of more RAF features. Natural Water Retention Measures (NWRM) form part of a major EU project [E5]. Belford is listed in several places as an example of good practice. The US Corps of Engineers have visited Belford and list it in its ‘ World Atlas of Engineering with Nature’ [E4] as an example of “ advancing worldwide progress” in the integration of natural and human systems. In Sweden [E7] Belford and Wallington are highlighted as exemplars that have informed their approach. The Flow Partnership and Arup’s award winning WaterUp project used the Belford approach in India and Colombia. Furthermore, we were invited to join The Flow Partnership, led by Stockholm Water Prize winner Rajendra Singh, to disseminate best practice internationally.

5. Sources to corroborate the impact

[E1] EFRA Committee Nov 2016. Future Food Prevention Report https://publications.parliament.uk/pa/cm201617/cmselect/cmenvfru/115/115.pdf identifies Dr. Quinn as a special adviser for this influential report and confirms the need to change policy to incorporate NFM into catchment management.

[E2] EA Working with Natural Processes – Evidence Directory, 2017 https://www.gov.uk/government/publications/working-with-natural-processes-to-reduce-flood-risk extensively refers to the Belford scheme in the evidence base underpinning NFM to provide guidance to flood risk management practitioners and other responsible bodies and provide them with easy access to information.

[E3] SEPA NFM Handbook, 2015 https://www.sepa.org.uk/media/163560/sepa-natural-flood-management-handbook1.pdf provides the Belford scheme as a practical guide to local authorities and other practitioners for the delivery of NFM.

[E4] Engineering with Nature. 2019 World ATLAS, US Corps of Engineershttps://ewn.el.erdc.dren.mil/img/atlas/ERDC-EL_SR-18-8_Ebook_file.pdf highlights the Belford scheme as an example of worldwide progress in creating value by integrating natural and engineered systems.

[E5] EU project on NWRM providing details of Belford the NFM scheme as evidence of good practice http://nwrm.eu/.

[E6] ‘ Slowaters’ Project Ireland About the project – Natural Water Retention Measures detailing the implementation of NFM in Ireland. Our Team – Natural Water Retention Measures (wordpress.com)

[E7] Swedish Catchment NFM report 2018 report, link 2018-13.pdf (lansstyrelsen.se), [Swedish language: search for ‘Belford’]

[E8] Testimonial Dr David Brown – Senior Scientist EA Partnership & Strategic Overview Team, confirming Dr Quinn’s inputs to the Working with Natural Processes (WWNP) guide commissioned by Defra providing the evidence base for NFM, and his oversight in the implementation of NFM projects.

[E9] Testimonial Neil Parrish MP – Head of EFRA committee, HM Government confirming Dr Quinn’s role as special adviser and his impact on changes to NFM policy and practice.

[E10] Testimonial Dr Alex Nicholson – Arup Senior Engineer, Environment and Sustainability Team confirming how Newcastle’s work has enabled Arup to incorporate NFM into standard flood risk management projects and has changed current engineering practice in flood risk management.

Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Technological
Is this case study continued from a case study submitted in 2014?
No

1. Summary of the impact

An interdisciplinary team of researchers in transport studies encompassing engineering and mathematical science colleagues has created software for a) predicting the future location of road traffic collision hotspots and b) evaluating site-based road safety interventions in terms of reduced casualty numbers. Corroborated health, commercial and economic impacts have occurred on a regional, national and global scale including:

  • reducing average annual traffic casualties by 514 to 436 in North Yorkshire, with £22.5M estimated accident prevention savings;

  • influencing traffic and road safety policy in over 60 countries through the International Transport Forum;

  • impacting the design of a low emission zone in Lisbon, Portugal; and

  • developing new software applications with a sales value of €1.1M from licences held by 140 organisations in 40 countries through the PTV Group, Germany.

These research impacts address the 2030 Agenda for Sustainable Development targets 3.6 and 11.2 directly and are helping towards achieving the UN supported global initiative of Vision Zero - “ the aim of achieving a highway system with zero accidents or fatalities involving road traffic”.

2. Underpinning research

Background

Each year approximately 1.35M people die on our roads globally and an estimated further 50M are injured (World Health Organisation), costing 3% of many countries’ annual GDP. Traditionally, engineers implement road safety countermeasures retrospectively at sites (e.g. junctions) in response to a threshold rate of fatalities and injuries being surpassed. By comparison, collision prediction enables a proactive (as opposed to reactive) approach and guides engineers where to implement safety measures before the collisions occur. A cornerstone of the ‘Safe Systems’ approach to road safety which underpins the UN’s 2nd Decade of Action for Road Safety (2020-2030) is “proactive road safety design”. Being able to predict the location of future collision hotspots enables proactive preventative engineering action to help avoid unnecessary death and injury.

The research challenges

Predicting future locations of collisions on road networks involves extrapolating observed collision counts at sites from previous time periods. Interpreting collision data is difficult as collision counts at individual sites fluctuate over time, due to the random nature of collisions. This is problematic when establishing if a site is indeed becoming more dangerous or if a recent rise in collision counts is due to randomness, and that collision levels will fall without intervention. This is also an issue when evaluating the impact of safety interventions - what portion of a reduction in collisions is due to your investment, and what portion might have occurred anyway due to this statistical phenomenon of regression-to-mean (i.e. unusually high/low counts returning over time to the underlying mean level without intervention)? Empirical Bayes is a statistical technique for controlling for regression-to-mean in count data and became the internationally adopted approach for analysing collision count data from the 1980s.

Thorpe’s research at Newcastle began in 2008 as Principal Investigator in a project funded by the Northumbria Safer Roads Initiative (NSRI) to evaluate the impact of mobile road safety cameras, as a result of the team’s concerns over the suitability of the then-standard Empirical Bayes approach. As a result, Dr Neil Thorpe (School of Engineering) and Dr Lee Fawcett (School of Mathematics, Statistics and Physics) developed a novel fully Bayesian approach which they applied to data from police collision and NHS casualty records to estimate the anticipated financial savings, due to safety cameras, from reduced numbers of road users being killed or injured. This is of substantial interest to healthcare providers [P1, P2].

In 2013, Thorpe and Fawcett attracted research council and international industry funding to extend their initial modelling approach for scheme evaluation with a new focus on collision prediction in collaboration with the traffic and logistics software company PTV based in Germany, and with the objective to commercialise the approach and make it accessible to road safety practitioners [P3]. Further substantial improvements have been demonstrated in collaboration with transport researchers in Texas and Shanghai [P4]. Since 2008, the research programme has been funded by a continuation of internal, research council, industry and government funding to support research and development, and commercialisation activities.

Communicating the research to the transport engineering community

The Newcastle research has attracted widespread interest amongst the traffic management community internationally. Subsequent to the initial publications, the research team has given invited presentations on the approach to the annual US Transportation Research Board Conference (2016-2020), the London Transport Practitioners' Meeting (2014; 2017), and the Road Safety GB National Data Analysts’ Conference in Birmingham (2018; 2020). Also, within the UK the team has been invited to present the research to a range of road authorities including the UK Department for Transport, Highways England, local road authorities, transport consultancies (e.g. Jacobs, WSP, and SWECO) and police forces. In 2017 the team ran a Latin American Knowledge Transfer Workshop in Mexico City on Statistical Methods and Software for Predicting Road Traffic Collisions. The team have also delivered knowledge transfer workshops specifically on the collision prediction and scheme evaluation methods to road safety engineers and academics in Brazil (2014;2019), Bolivia (2016) and Qatar (2015). The team has given invited presentations on the approach to the Abu Dhabi Police Force and Dubai Roads and Transport Authority (2017) and to the Deputy Mayor for Mobility, Safety, Economy and Innovation in the City of Lisbon and his road safety team (2018) and, also in Lisbon in 2019, an invited presentation to the International Transport Forum’s Safer City Streets Network. In May 2018 the team delivered an invited workshop on Software Tools for Road Safety Data Analysis at the New York City Department of Transportation.

Development of Software Applications:

Since 2014, the Newcastle team have been developing RAPTOR, a research software application available to road safety practitioners for the practical implementation of the method for predicting collision hotspots and evaluating road safety interventions [P5]. Before RAPTOR, no such software existed for road safety practitioners.

3. References to the research

[P1] Thorpe N, Fawcett L. (2012) ‘Linking road casualty and clinical data to assess the effectiveness of mobile safety enforcement cameras: a before and after study.’ BMJ Open, 2(6), e001304. (http://bmjopen.bmj.com/content/2/6/e001304?ct\)

[P2] Fawcett, L. and Thorpe, N. (2013) Mobile safety cameras: estimating casualty reductions and the demand for secondary healthcare. Journal of Applied Statistics, DOI: 10.1080/02664763.2013.817547. (http://www.tandfonline.com/doi/abs/10.1080/02664763.2013.817547\)

[P3] Fawcett, L., Thorpe, N., Matthews, J. and Kremer, K. (2017). A novel Bayesian hierarchical model for road safety hotspot prediction. Accident Analysis & Prevention, 99, pp.262-271. (http://www.sciencedirect.com/science/article/pii/S0001457516304341\)

[P4] Guo, X; Wu, L; Zou, Y; Fawcett, L. Comparative Analysis of Empirical Bayes and Bayesian Hierarchical Models in Hotspot Identification. Journal of the Transportation Research Board. DOI: 10.1177/0361198119849899. (https://doi.org/10.1177/0361198119849899\)

[P5] Matthews, J., Newman, K., Green, A., Fawcett, L., Thorpe, N. and Kremer, K., 2019, March. A decision support toolkit to inform road safety investment decisions. In Proceedings of the Institution of Civil Engineers–Municipal Engineer (Vol. 172, No. 1, pp. 53-67). Thomas Telford Ltd. (winner of the ICE Publishing James Hill Prize) https://www.icevirtuallibrary.com/doi/full/10.1680/jmuen.16.00057

Grants

[G1] Funding from Northumbria Safer Roads Initiative/Gateshead Council (£140K), including health impacts study funding from the NSRI, collaborative with Northumbria NHS Trust (£25k).

[G2] Three internal University Research Council pump prime grants to enable impact activity (£15K)

[G3] EPSRC PhD award (£70k)

[G4] EPSRC NPIF PhD award (£78k)

4. Details of the impact

Health, economic and commercial benefits have occurred at a regional, national and global level. This case study details examples with corroborated impact from the UK, Europe, South America and within the International Transport Forum (ITF).

Impact in North Yorkshire (NY)

Following Newcastle University (NU) RAPTOR research in 2016, North Yorkshire Police (NYP) expanded their fleet of safety camera vans to further reduce the number of collisions, deaths, and serious injuries on the region’s roads [E1]. “…independent research by academics at Newcastle University shows an estimated 20% reduction in casualties owing specifically to the presence of mobile safety camera vans…In 2017 six new, more agile vehicles were introduced by the police…” - NY Police & Crime Commissioner [E2].

3-year “before and after” analyses either side of the 2017 £107k fleet expansion, demonstrates the following benefits [E3]:

  • a 24% reduction in casualties at 22 specific locations;

  • a significant contribution to estimated accident prevention savings of £22.5M p/annum across the whole North Yorkshire region.

North Yorkshire police state: “Since 2017, the augmented fleet has enabled greater presence on more high-risk routes to influence speeding and anti-social road use. It has also allowed us to provide visibility and reassurance to many communities which had not previously had a safety camera presence.” and “The Newcastle research was significant in clarifying the rationale for the expansion of SCVs (Safety Camera Vehicles) and therefore in contributing to a reduction in the annual number of KSI [Killed or Seriously Injured] incidents. This has reduced on average from 514 casualties per annum to 436, bringing an estimated accident prevention saving of £22.5M p/annum and significant societal health and economic benefits.” [E3].

Impact in Northumberland and Tyne & Wear

NU’s RAPTOR software is used by the Northumbria Safer Roads Initiative (NSRI).

“Since 2018 we have applied RAPTOR to identify traffic collision hotspots in the Northumbria Police Force area (Northumberland and Tyne & Wear) and guide the allocation of enforcement resources. RAPTOR is a key component of traffic strategy and operations and is now an established part of our year-on-year decision-making process” – Senior Transport Planner, NSRI [E4].

All 130 mobile safety camera locations within the region have been assessed by RAPTOR for continuing enforcement. There is an estimated collision event reduction of 38 over a two-year period for the whole of the region since RAPTOR analysis began. Newcastle research has made a significant contribution to estimated collision reduction savings of approximately £4M for the years 2018 and 2019. NSRI also use RAPTOR to evaluate the effect of road safety interventions. Pre- and post-analyses of three-year durations either side of the RAPTOR-driven safety camera redeployment demonstrates a significant decrease in casualties of 33% at four sample locations, resulting in estimated accident prevention savings of £235K over a three-year period for these sample sites [E4].

Impact in Lisbon

In 2018, the Municipality of Lisbon, Portugal and NU agreed a memorandum of understanding to use the Newcastle team’s methods to develop and improve road safety in Lisbon. The research team undertook an analysis to assess the effects of road safety cameras on casualty reduction within the city. Subsequently, the team used their statistical method, now embedded in PTV’s VISUM Safety software, to predict the safety impacts (“what-if scenarios”) of a proposed low emission zone in the Baixa-Chiado district. “The results from the assessment impacted upon the design of the scheme. The Low Emission Zone was presented by the Mayor in January 2020, but unfortunately had to be temporarily suspended due to the (Covid-19) pandemic situation. The Newcastle research methodology has been playing a role in the design of a safer Lisbon…” Deputy Mayor of Mobility, Safety, Economy and Innovation in Lisbon [E5]. It is expected that benefits from the scheme would now have been evident without the outbreak of Covid-19.

Impact in Bolivia

In 2016, Thorpe delivered a series of invited lectures on the team’s methods for analysing collision data, the rationale behind the Newcastle research and a demonstration of the software solutions as part of a road safety workshop in Santa Cruz. This highlighted the benefits of collision prediction and scheme evaluation from the appropriate interrogation of collision data. One of the significant outputs from the event was a Road Safety Charter signed by all participants calling for increased investment in road safety in Bolivia. Based on this Road Safety Charter, which included specific NU research, the Global Road Safety Facility (GRSF) provided the CAF bank a grant of US$200,000 to enhance the development of road safety strategies in four cities in Bolivia: Santa Cruz, Tarija, La Paz and El Alto [E6].

*“An understanding of the Newcastle research, specifically i) the methodology for the accurate analysis of collision and casualty data to identify collision hotspots and ii) the evaluation of road safety schemes such as speed cameras, has enabled the cities to develop a system of self-funding road safety strategies.*” – Road Safety Advisor, GRSF/CAF [E6].

Global Commercial Impact

Corroborated international impact is demonstrated through collaborations with the PTV Group, a global company based in Germany specialising in software solutions for traffic and mobility. Since 2017, the statistics-based algorithms used within RAPTOR have been embedded in PTV’s VISUM Safety package. This is a commercial software product used by city planners and road authorities worldwide, that allows collision data analysts and road safety engineers to assess the impacts of hypothetical land-use and transport planning scenarios on the future number and location of collisions [E7, E8]. “Algorithms developed by Newcastle University have been integrated within our VISUM safety software from 2017 through to the latest edition VISUM Safety 21 , http://vision-traffic.ptvgroup.com/en-uk/products/ptvvisum-safety/ , which is licensed currently to 140 organizations in 40 different countries, with a total of 3700 licenses so far.” “…Newcastle University research has helped us to achieve estimated license sales of our VISUM Safety Module at an estimated License value of approximately €1,1M”– Vice-President Business Development & New Mobility, PTV Group [E9].

Global Policy Impact

The International Transport Forum (ITF) and the Organisation for Economic Cooperation and Development (OECD), is an intergovernmental organisation with 61 member countries. The ITF acts as a platform for discussion and pre-negotiation of policy issues across all transport modes at a global level. Newcastle University’s collision prediction research is detailed in the section on ‘proactive network management’ within the ITF policy document, “New Directions for Data Driven Transport Safety” published in 2019 [E10]. Subsequently the research is used by global member countries of ITF to influence future transport policies and the effective use of data to drive safety decision making e.g. in Portugal (Lisbon).

5. Sources to corroborate the impact

[E1] Online media article . https://www.yorkpress.co.uk/news/ryedale/15223085.six-new-mobile-speed-cameras-launched-in-north-yorkshire/ Provides evidence of the research collaboration and NU research leading to the expansion of the safety camera fleet in North Yorkshire.

[E2] Public report by the North Yorkshire Police & Crime Commissioner: Making North Yorkshire’s Roads Safer https://www.northyorkshire-pfcc.gov.uk/content/uploads/2018/09/Report-Making-North-Yorkshires-Roads-Safer.pdf e.g. page 4 (foreword by the Commissioner) and page 30. Provides evidence of the research collaboration and NU research leading to the expansion of the safety camera fleet.

[E3] Testimonial from North Yorkshire Police. Provides evidence of the investment in safety cameras, casualty reductions and estimated accident prevention savings.

[E4] Testimonial from the NSRI. Provides evidence of the casualty reductions and estimated accident prevention savings in Northumberland and Tyne & Wear.

[E5] Testimonial from the Deputy Mayor of Mobility, Safety, Economy and Innovation in Lisbon. Provides evidence of the investment in safety cameras and the initiation of the reduced-emission zone scheme.

[E6] Testimonial from the CAF bank. Provides evidence of the grant for the development of road safety strategies.

[E7] VISUM Safety 21 https://discover.ptvgroup.com/road-safety-evaluation-prediction Provides evidence of the research collaboration and the integration of the statistics research within VISUM Safety.

[E8] Media Article from the PTV Group. https://www.iamigniting.com/neilandteam/ Provides evidence of the Newcastle University research team and collaboration with the PTV Group.

[E9] Testimonial from the PTV Group. Provides evidence of the research collaboration, the integration of the statistics research within VISUM Safety 21 and the increase in revenue.

[E10] International Transport Forum (ITF) policy document. https://www.itf-oecd.org/sites/default/files/docs/new-directions-data-driven-transport-safety_0.pdf pages 28-30. Provides evidence of the research influencing international transport policies.

Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Political
Is this case study continued from a case study submitted in 2014?
No

1. Summary of the impact

Antibiotics have revolutionised the treatment of infectious disease. However, gains have been compromised by increasing antimicrobial resistance (AMR), including increased multi-resistant “superbug” pathogens in global healthcare systems. In 2014, we changed perceptions of the drivers of AMR by showing environmental pathways dominate AMR spread in the emerging world. We found superbug levels drastically increased in the Ganges where urban pilgrims visited pristine sites on the river, work that supports recommendations from the World Health Organisation (WHO). Our tiered sociotechnical cost-benefit approach underpins three of the six WHO Action Areas to reduce AMR through improved water, sanitation, and hygiene (WASH) guidance.

2. Underpinning research

Original work demonstrating environmental pathways as key to AMR spread was performed by Graham and Werner studying the influence of agricultural, human, pharmaceutical and industrial waste releases on AMR spread in Latin America [P1]. These studies showed imprudent antibiotic use and-or waste management in agriculture and industry increased environmental AMR, but the study locations were often so polluted it was impossible to assess how human waste releases versus clinical factors most impact AMR spread.

Core work in this case study started in 2012 when Graham and Ahammad commenced sampling the Ganges River near human pilgrimage sites in the Himalayas. This site was a game-changer for AMR research because no local agriculture or industry exists, upstream waters were nearly pristine, and the main influence on river water quality was seasonal pilgrim visits because limited waste management exists. Sampling showed that “superbug” genes in the river increased by 20 to 60 times per resident during the pilgrimage season [P2]. Given most pilgrims come from polluted cities [G1], the work showed that superbugs and other AMR can significantly spread across the environment solely due to untreated human faecal releases.

Prior to this work, confusion existed over the main cause of AMR spread, but we showed AMR from the clinic and environment were interlinked [P3], and one needed to simultaneously reduce antibiotic reliance in human and veterinary medicine and pollution to reduce global AMR. However, we wanted more proof and extended the breadth of our global studies, including soils in Denmark [P3], landscapes across the UK [G2], solid waste landfills in China [G3], estuaries in Malaysia [G4], and elsewhere in the world [G5].

This work showed environmental AMR was critical to global AMR spread, but the main driver of AMR spread differed from place to place, although there was a common thread. Where wastes are not treated adequately, AMR spreads locally, exposing humans and wildlife to AMR genes and bacteria. However, more concerning, Graham and McCann found AMR “superbug” genes in highly remote locations, including the High Arctic [P4]. Specifically, we found the NDM-1 gene, which originated in India and Pakistan and confers multidrug resistance in many pathogens, at levels 100 times background in bird nesting areas in Svalbard, research which received global acclaim.

These studies culminated in strategic work by Graham, Bunce and Giesen that showed AMR mitigation solutions must be incremental, and each local place will have its own “optimal” solutions based on existing infrastructure and cost-benefits [P5]. This work underpins three of the six WASH and AMR mitigation Action Areas recommended by the World Health Organization (WHO), Food and Agriculture Organization (FAO), and the World Organisation for Animal Health (OIE) in 2020.

AMR fieldwork inspired Werner to develop a suitcase laboratory to bring molecular microbiology tools within reach of stakeholders in low-income countries [P6]. Work on AMR also enabled our rapid response to the demand in the UK for SARS-CoV-2 monitoring in wastewater during the current pandemic as an early warning system for predicting COVID-19 cases.

3. References to the research

[P1]. Graham DW, Olivares-Rieumont S, Knapp CW, Lima L, Werner D, Bowen E. 2011. Antibiotic resistance gene abundances associated with waste discharges to the Almendares River near Havana, Cuba. Environ Sci Technol, 45(2):418-24. DOI: 10.1021/es102473z

[P2]. Ahammad ZS; Sreekrishnan TR; Hands CL; Knapp CW; Graham DW. 2014. Increased waterborne blaNDM-1 resistance gene abundances associated with seasonal human pilgrimages to the Upper Ganges River. Environ Sci Technol, 48(5):3014-20. DOI: 10.1021/es405348h

[P3]. Graham, DW, Knapp CW, Christensen BT, McCluskey S, Dolfing J. 2016. Appearance of β-lactam resistance genes in agricultural soils and clinical isolates over the 20th Century. Sci Rep, 6:21550. DOI: 10.1038/srep21550

[P4]. McCann CM, Christgen B, Roberts, JA, Su JQ, Arnold KE … Graham DW. 2019. Understanding drivers of antibiotic resistance genes in High Arctic soil ecosystems. Environ Int, 125:497-504. DOI: 10.1016/j.envint.2019.01.034

[P5]. Graham DW, Giesen MJ, Bunce JT. 2019. Strategic approach for prioritising local and regional sanitation interventions for reducing global antibiotic resistance. Water, 11(1):27. DOI: 10.3390/w11010027

[P6]. Acharya K, Blackburn A, Mohammed J, Haile AT, Hiruy AM, Werner D. 2020. Metagenomic water quality monitoring with a portable laboratory. Water Res,184:116112. DOI: 10.1016/j.watres.2020.116112

Grants

[G1]. Expanding the impact of environmental antibiotic resistance research in India. EPSRC IAA. £13.7K. 01.05.2014 to 25.09.2015.

[G2]. Quantifying spatial AMR patterns across urban and rural landscapes. NERC (AMR in the Real World). £199K. 2016-2018.

[G3]. Expanding the reach of multi-disciplinary environment and health research in SE Asia. EPSRC IAA. £49.6K. 2017 to 2018.

[G4]. Innovate UK/Newton Fund. Improving community health in Malaysia using sustainable decentralised wastewater treatment. £79.800. 2018 to 2020.

[G5]. DARWIN: Dynamics of antimicrobial resistance in the urban water cycle in Europe. JPI-AMR (MRC). £1.8M. 01.04.2017 to 30.06.2020.

4. Details of the impact

Changing global policy, enabling impact

Antimicrobial resistance (AMR) is a threat to public health and has become a policy priority across the globe. Our work has shown the breadth of AMR spread through the environment and its negative impact to global human and veterinary health. Importantly, our research highlights environmental AMR is everywhere, but the primary driver of AMR spread differs from place to place. These findings are critical to ensure effective local mitigation strategies to combat a global threat. The research detailed above demonstrated that water and environmental pollution were major causes of AMR spread in the developing world. By proving this, Newcastle’s research is allowing low-income countries to prioritise small-scale, low-cost, yet high impact solutions that benefit local populations and facilitate AMR reductions globally.

Newcastle researchers have led and continue to lead efforts to push these findings into policy globally, changing perceptions at the UN, WHO and major global organisations, persuading them to expand recommended interventions away from just the clinic, but also away from large-scale expensive infrastructure investments and towards low-cost, easily deployed, yet higher impact solutions. Incorporation of the research is included in the International Environmental AMR Forum white paper “Initiatives for Addressing Antimicrobial Resistance in the Environment: Current Situation and Challenges”, hosted by the U.S. Centers for Disease Control and Prevention (CDC), the UK Science & Innovation Network, and the Wellcome Trust in April 2018 [E1]. The report acts as a guide for stakeholders, to improve national and international understanding on how to best evaluate and address antimicrobial-resistant microbes in the environment. Specifically, Graham contributed two major chapters on the need for tiered waste management strategies for reducing AMR and a primer for AMR in hospital wastes [E2].

Graham co-authored the 2020 WHO/FAO/OIE Technical brief on water, sanitation, hygiene (WASH) and wastewater management to prevent infections and reduce the spread of antimicrobial resistance [E3]. This brief emphatically states that WASH and wastewater considerations must be included in multi-sectoral AMR national action plans. It includes a summary of evidence and the co-benefits rationale for action in each sector. In parallel to identifying the different global AMR pathways, NCL has produced the toolkits and cost-benefit analyses that are utilised by developing countries to address AMR in a country specific context. These methodologies are embedded within the WHO and UN.

“Graham personally finished drafting the brief for the WHO, contributing 60% of its core content. Importantly three of the six recommended Action Areas incorporated Newcastle University research (i.e., community waste management, addressing hospital wastes and future priorities for AMR research). The Newcastle incremental intervention approach to AMR mitigation was promoted, which nicely paralleled costing work by the World Bank on the value of WASH implementation to prevent infectious disease.” [E2]

The global shift in AMR policy options is already having a tangible real-world affect. Specific projects include the monitoring of water quality and environmental AMR in the Akaki River catchment in Addis Ababa, Ethiopia, home to 5 million people. Here NCL research has underpinned local staff training in the Addis Ababa Water and Sewerage Authority (AAWSA), and the collaboration resulted in an affordable suitcase laboratory for molecular water microbiology in low-income countries. A co-authored publication attests to the co-creation of this research impact [P6 above]. This has then led to World Bank investment into AAWSA facilities for further analysis of wastewater in the region [E4]. Equally local staff training in Thailand enabled surveyance in Bangkok’s periurban aquaculture region and showed how inadequately managed urban wastewater is the main local driver for environmental AMR.

The WHO, evidenced by Prof Peter Collignon (WHO Advisory Group on Food Safety), highlights the importance of both policy and resulting action driven by NCL research:

“My work in medicine and at the WHO has convinced me that a major proportion of the antibiotic resistance in emerging and developing countries is due to exposure to poor quality water. Work at Newcastle University has not only been fundamental in confirming this realization, but their research is now providing the tools and mitigation strategies that will help us achieve global solutions”

He further recognised the importance of NCL work:

“his [Graham’s] research on quantifying environmental links between water- and food-borne resistance sources and potential health consequences has been indispensable, especially if we want to reduce superbug spread across the global community.” [E5].

Highlighting the global threat and driver action

NCL’s research on waterborne AMR in India was “headline news” around the world, receiving international coverage on BBC World News and across media [E6]. In 2014, Graham was invited to meet with Dame Sally Davies (Chief Medical Officer; 07/07/14) to report on Indian findings, as they impact both UK policy and role in curbing international AMR. Based on the work in India, Graham was acted as an Advisor to the US Presidential Council on Antibiotic Resistant Bacteria, including presenting to the Council in Washington DC in 2016 on how the drivers of environmental AMR spread differ in developed versus developing countries.

Beyond wider policy influence, a "popular science" book was published in October 2017 on the Ganges entitled "River of Life, River of Death: The Ganges and India's Future", written by Victor Mallet. This book includes a chapter on NCL’s work on the river, including superbug spread due to limited waste management. At the time, Victor Mallet was Asia News Editor for The Financial Times. Graham worked closely with Mallet on revisions in the chapter and is a highlighted contributor [E7].

Graham has actively engaged with a variety of stakeholders ensuring widespread global communication of the NCL research and methodologies. Graham was a key member of the “Integrated Discussion Group on the Use of Antibiotics in Animal Food Production” convened by the New York Academy of Sciences. The Group published a series of reviews on the problem of AMR, including complexity of problem – a review on which Graham was lead author [E8]. From this, Graham was invited to be a Keynote Speaker at the 55th National Meeting on Poultry Health, Processing and Live Production in 2019 in the USA. Dr Donald Ritter then acting Chairman of the Poultry Health & Welfare for the US-based Demarva Chicken Association notes:

“he [Graham] provided understandable invaluable presentation that placed antibiotic resistance within my industry into a global context, which strongly influenced members of my organisation.

Research at Newcastle University is clearly world-leading on an academic level, but it also has practical value at the “coal face” in different discipline among practitioners like myself.” [E8]

Research recognition, COVID-19 wastewater-based epidemiology (WBE)

Our research on understanding and mitigating the global spread of AMR was short-listed in the STEM (Science, Technology, Engineering and Mathematics) Research of the Year category in the UK THE (Times Higher Education) Awards 2020 [E9]. This and other recognition led us to be called upon by the UK Strategic Advisory Group for Emergencies (SAGE) to join WBE efforts on SARS-CoV-2 (the COVID-19 virus) detection, spread, and epidemiology, performing core WBE research and government advisory work in the UK and around the world [E10]. Our work on WBE related to the Covid-19 pandemic has been highly influential, including work with Northumbrian Water, the Joint Biosecurity Centre (JBC), and Defra. Quintela-Baluja and Graham are now UK “methods experts” and both are on multiple government advisory teams.

Through this period, Graham co-authored “Monitoring the presence and infection risk of SARS-CoV-2 in the environment: approaches, limitations and interpretation” for SAGE, as a member of the Expert Team on the Transmission of Covid-19 in the Wider Environment Group (TWEG). Graham had been invited to join TWEG to provide guidance on the risk of SAR-CoV-2 spread via water and wastewater systems, Graham and Quintela-Baluja continue to formally advise the JBC on SARS-CoV-2 detection methods in wastewater samples and WBE modelling. Finally, Graham and Quintela-Baluja are the Scientific Advisors for NE England on the massive Core Cities project, which is quantifying relationships between sewage SARS-CoV-2 levels and Covid-19 cases major UK cities.

5. Sources to corroborate the impact

[E1] CDC International Environmental AMR Forum white paper: Initiatives for Addressing Antimicrobial Resistance in the Environment: Current Situation and Challenges. 2018. https://wellcome.org/sites/default/files/antimicrobial-resistance-environment-report.pdf. specifically see pps 76 ref 12,13,16,84,146

[E2] Written Affidavit: Astrid Wester, former Environmental AMR Point for the WHO detailing importance of NCL research in WHO report.

[E3] WHO/FAO/OIE Technical Brief: Technical brief on water, sanitation, hygiene and wastewater management to prevent infections and reduce the spread of antimicrobial resistance. ISBN: 978-92-4-000641-6. https://apps.who.int/iris/bitstream/handle/10665/332243/9789240006416-eng.pdf.

[E4] Written Affidavit: Jemila Mohammed; Head, Wastewater Quality Control, Addis Ababa, Ethiopia; also see [P6] for co-authored publication.

[E5] Written Affidavit: Prof Peter Collignon, MD, is a Member of the Advisory Group to the WHO on Integrated Surveillance of Antimicrobial Resistance for Food Safety, 2014-2019, ( http://www.who.int/foodsafety/areas_work/antimicrobial-resistance/agisar_members/en/). His full comments will be provided in a REF Case Impact Study.

[E6] Combined Media Evidence (inc. BBC global, The Financial Times, The Times of India)

[E7] Reference to NCL Research: River of Life, River of Death: The Ganges and India’s Future, 2017 [ISBN 13: 978-0198786177], https://victormallet.org see pps 97 and 102-8.

[E8] Written Affidavit: Dr G Donald Ritter, Chairman of the Poultry Health and Wellbeing Delmarva Chicken Association

[E9] THE Awards 2020 shortlist for Research Project of the Year: STEM: Engineering a halt to the 'superbug', https://the-awards.co.uk/2020/en/page/shortlist

[E10] SARS-CoV-2 government advisory work.

Evidence of Wider Environmental Transmission of SARS-CoV-2: Assessing risk of transmission through outdoor air, water, outdoor surfaces, and food and Monitoring the presence and infection risk of SARS-CoV-2 in the environment: approaches, limitations and interpretation TWEG reporting to SAGE.

Monitoring wastewater for COVID-19 Prepared for The Parliamentary Office of Science and Technology (POST).

Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Technological
Is this case study continued from a case study submitted in 2014?
Yes

1. Summary of the impact

Newcastle University has a substantial background in researching novel control methods for electric motors. This case study concerns the impact that our work on sensorless control systems has had upon Dyson consumer products, mainly reduced production costs and improved ergonomic design derived from the ability to eliminate bulky sensor components and separate control electronics from the motor. The technology is utilised within Dyson’s Supersonic hair dryer (the technology has previously been used in Dyson vacuum cleaners) with a retail value of around £1.5Bn.

Newcastle’s revolutionary research to achieve sensorless motor position enabled a way to significantly reduce cost and improve performance of position control by eliminating the mechanical sensor. The sensor-less designs will yield annual production cost savings of approximately £7-10 million.

2. Underpinning research

Newcastle University is home to one of the world’s leading Electrical Power groups with a long history going back almost 100 years. Our interests in the specific topic of sensorless control originated in the research of Prof P Acarnley who identified a novel method of determining motor position, based upon the use of motor terminal voltages and line currents to estimate winding flux linkages and thus predict motor position. Acarnley continued to be a major contributor to the development of various sensorless control methods ([ R2] and [ G4]) and his work was further supplemented by Atkinson, Jack and Mecrow [ R1] who applied sensorless position estimation and control methods to fault tolerant drives.

Newcastle research in this area is particularly relevant to the design of consumer products, such as hair dryers, which provide greatest efficiency and minimum mass when operating at high speeds. Almost all consumer products use brushed motors because of the high cost of power electronics and control for brushless alternatives. This has resulted in inefficient systems, with maximum speed typically limited to less than 40,000 revs/min by the brushgear. Newcastle has been working to overcome this by researching and implementing low-cost brushless drives operating at speeds of 100,000 revs/min or greater [ R3], enabling them to be both smaller and more efficient. The research areas have included new motor topologies, use of new materials, new drive topologies and novel control schemes.

A key research project, part funded by Dyson, investigated low cost sensorless schemes for ultra-high speed drives. The research built on Newcastle’s expertise in sensorless control schemes to develop a controller for single phase drives of the type used by Dyson. Single phase drives pose particular problems. Unlike three- phase drives, the single-phase winding is always active, which immediately rules out most existing sensorless schemes. Two low cost sensorless schemes were developed: the first is used during current control mode and determines the rotor position from analysis of the active waveforms in the phase windings; the second is used in voltage control mode and indirectly determines the rotor position by estimation of the winding induced voltage via some low-cost hardware. When used together the schemes operate across all loads and the entire speed range – from standstill to over 110,000 rev/min. This research has resulted in two patent applications [ E1, E2].

The Electrical Power group research in this area in the period 1993-date has attracted over one million pounds of Dyson direct funding [ G1, G2, G3] in addition to ESPRC support in the form of individual, platform grants and now a Prosperity Partnership [ G4, G5, G6].

3. References to the research

Publications

[ R1] Green, S,Atkinson, D.J., Jack, A.G., Mecrow, B.C. “Sensorless operation of a fault tolerant PM drive.” IEE Proc. Electric Power Applications 150 (2) pp117-125 Mar 2003. DOI: 10.1049/ip-epa:20030153. This extends the NCL concepts that enable a new way to achieve sensorless motor position control to a broader range of applications (specifically aerospace).

[ R2] Acarnley, P.P. and Watson, J.F. “Review of position-sensorless operation of brushless permanent magnet machines.” IEEE Trans Industrial Electronics 53 (2) pp 252-262 April 2006. DOI: 10.1109/TIE.2006.870868

[ R3] Bateman, C.J. Mecrow, B.C., Clothier, A.C., Acarnley, P.P.,Tuftnell, N.D. “ Sensorless operation of an ultra-high-speed switched reluctance machine.” IEEE Trans on Industry Applications, 46 (6), art. no. 5559420, pp. 2329-2337, 2010. DOI: 10.1109/TIA.2010.2070471 This paper is the link between the original thread of work and the specific implementation of this class of sensor to consumer products – it focuses on a low cost and robust implementation of Sensorless control of the type required for consumer device implementation.

Patents

[ A] Patent Application GB1203911.1 and GB1203913.7: Sensorless Control of a Brushless Permanent-Magnet Motor.

[ B] Patent Application GB1210371.9 and GB1210372.7: Method of Determining the Rotor Position of a Permanent-Magnet Motor.

Funding

[ G1] Dyson Technology Centre Funding, Value £169,000, 2007-13.

[ G2] Dyson Industrial PhD sponsorship (4 Students), Principal Investigator B.C.Mecrow, Value £252,000, 2007-2013.

[ G3] Dyson Engineering Doctorate Research project, Principal Investigator B.C.Mecrow, Value £80,000, 2005-2009

[ G4] EPSRC Grant GR/J07129/01 “Position estimation in rotor-position switched electric drives.” Principal Investigator P. Acarnley, Value £137,061 May 1993 – Nov 1996.

[ G5] EPSRC Platform Grant EP/F067895/1 “High Efficiency Electrical Energy Conversion” Principal Investigator B. C. Mecrow, Value £762,626, Feb 2009 – Jan 2014.

[ G6] EPSRC Prosperity Partnership EP/T005548/1 “Dyson Future Power Systems lab”, Principal Investigator B.C. Mecrow, Value £2,359,497, Sept 2020-Sept 2025, with matched funding from Dyson and Newcastle University.

4. Details of the impact

Newcastle University’s Electrical Power group has a substantial history of research collaborations with manufacturers of consumer products, including Black and Decker and LG. The group has had a fruitful research relationship with Dyson spanning 15 years. Dyson have incorporated many of the group’s innovations into their products and their use of a specific, novel sensorless control scheme is the topic of this case study. Because of the need to protect commercially sensitive intellectual property the Dyson information contained here is necessarily limited. Key elements of the sensorless control work were subject to April 2012 patent applications [ E1, E2] which have yet to come into the public domain.

Dyson decided to implement the sensorless control system in their hair dryer because the design offered the following benefits [E4]:

  • Lower manufacturing costs and improved sales margins, “ The sensor-less designs will yield annual production cost savings of approximately £7-10 million”

  • Ergonomic benefits of flexibility and simplicity in product realisation, particularly in small machines, because there is no longer any need to incorporate a position sensor.

  • Reduced complexity in the production line, leading to increased production rates and reduced costs.

  • Less variation in performance within a production run and across the entire population of drive systems manufactured.

  • Reduced weight of final product

Through the elimination of the position sensor the sensorless design allows for the control electronics and motor to be separated, allowing for ergonomic flexibility in designing the product’s external envelope. Dyson is noted for the ergonomic design of its machines and the new control system contributes to cost savings by allowing reductions in component count and assembly complexity. Dyson say the V9 motor used within the hairdryers is “uniquely positioned in the handle,[and] the 27mm Dyson digital motor spins, on average, 6 times faster than other hair dryer motors with one inaudible frequency – yet is a third of the weight” [E3]. Integration of the motor in this manner is greatly eased by the sensorless system.

Dyson’s Senior Director of Technology makes clear the exclusive and fundamental nature of his Company’s relationship with Newcastle University in this field and the scale of products impacted by that relationship, stating:

One highlight has been the patented sensor-less control technology that has been implemented in our personal care products, with a retail value of about £1.5Bn. The technology has been further developed at Dyson into a second-generation version and integrated into more motor types for our stick vacuum cleaners. This will reach the market later this year in some products but will then roll out into next generation designs over the next 2- 3years.It is anticipated that annual sales of these machines will then rise to approximately 15-20 million units per annum, with a retail sales value of £5-8Bn. The sensor-less designs will yield annual production cost savings of approximately £7-10 million. On a more general note, the Company has benefited from its relationship with Newcastle University via the transfer of ideas and realisations as well as the transfer of personnel. We collaborate exclusively with Prof Mecrow’s group in this field and the core of our Motors and Power Systems team continues to be recruited from within the Newcastle research group.” [ E4]

5. Sources to corroborate the impact

[E1] Patent Application GB1203911.1 and GB1203913.7: Sensorless Control of a Brushless Permanent-Magnet Motor.

[E2] Patent Application GB1210371.9 and GB1210372.7: Method of Determining the Rotor Position of a Permanent-Magnet Motor.

[E3] Dyson Supersonic Hair Dryer [PDF of webpage] detailing research within Dyson technology

[E4] Senior Director of Technology, Dyson Ltd. Testimonial letter outlining research work. and financial benefits.

Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Technological
Is this case study continued from a case study submitted in 2014?
No

1. Summary of the impact

The £54m Customer-Led Network Revolution project is one of the largest multi-disciplinary smart grid projects ever undertaken, with 13,000 customers involved in the trial of new products and technologies, resulting in one of the most sophisticated active network management systems in Europe. The research has directly kick-started the deployment of low carbon technologies, underpinned the business plans of every Distribution Network Operator in the UK (directing £17bn of investment over an 8-year period), updated regulations covering the planning and design of the electricity network, and led to a successful court case against the regulator Ofgem – the first time an appeal against a pricing regime in the energy market has been successful.

2. Underpinning research

‘Smart grids’ have been cited as one way to achieve a low carbon energy system, facilitating two-way flows of information between utilities and end consumers and facilitating the deployment of a range of smart technologies and renewable electricity generation sources. However, while the individual technologies of a smart grid are well understood in isolation, their widespread and combined deployment in a real-world setting is not, and previous research suggests a successful smart grid may necessitate a fundamental re-engineering of the entire electricity industry. This case study focuses on the Customer-Led Network Revolution (CLNR) project, one of the most extensive network technology integration trials ever undertaken.

The CLNR project (2011 to 2014) involved a range of partners (Northern Powergrid, Siemens, British Gas, EA Technology, Durham University and Newcastle University) and was an interdisciplinary mix of qualitative and quantitative research methods that trialled new technologies and business models with 13,000 customers (11,000 domestic and 2,000 SME, industrial, commercial and distributed generation customers). While smart technologies, demand response and network management practices are well known, they had not been deployed together at a distribution level in a vertically separated market such as Great Britain. The multi-disciplinary academic team (engineering, anthropology, geography and statistics) assessed customer-side solutions (new tariffs, solar PVs, electric vehicles, heat pumps and load control incentives [R2, R3]) in isolation and in combination with network-side technology (voltage control, energy storage and real-time thermal rating [R1, R5, R6]). The active network management system that was deployed remains one of the most sophisticated control schemes in operation in Europe. In addition to the integration of people, processes, and technology, this is one of the most significant trials undertaken of customer electricity practices and attitudes (particularly domestic and small and medium enterprises).

Newcastle University’s research arises from the Newcastle Institute for Research on Sustainability (NIReS) under the academic leadership of CLNR project lead Prof Phil Taylor. Academics at Newcastle University created advanced modelling techniques that predicted and validated the physical trials and facilitated the scaling up of the learning outcomes. Monitoring devices were installed across the Northern Powergrid network, with the data gathered being used to run real-time simulations, allowing Newcastle researchers to anticipate network constraints, improvise and adapt solutions ahead of time [R1, R2]. The diverse trial zones selected for the CLNR allows the results to be replicated across all Distribution Network Operator regions within Great Britain and internationally [R3]. The research has demonstrated that simple, local solutions can be preferred over more complex, expensive and wide-spread schemes, reducing the amount of expenditure needed to deploy smart technologies on existing electricity networks, reducing consumer bills and facilitating the growth of a low carbon energy network [R4, R5, R6].

The CLNR research has helped Newcastle University receive £20m to develop the multi-disciplinary National Centre for Energy Systems Integration, which is primarily funded by the EPSRC and Siemens. The centre is continually developing flexible and smart energy technologies.

3. References to the research

Publications

[R1] P. Wang, D. H. Liang, J. Yi, P. F. Lyons, P. J. Davison and P. C. Taylor, "Integrating Electrical Energy Storage Into Coordinated Voltage Control Schemes for Distribution Networks," in IEEE Transactions on Smart Grid, vol. 5, no. 2, pp. 1018-1032, March 2014. DOI: 10.1109/TSG.2013.2292530

[R2] P.F. Lyons, N.S. Wade, T. Jiang, P.C. Taylor, F. Hashiesh, M. Michel, D. Miller, Design and analysis of electrical energy storage demonstration projects on UK distribution networks, In Applied Energy, Volume 137, 2015, Pages 677-691. DOI:10.1016/j.apenergy.2014.09.027

[R3] M. Neaimeh, R. Wardle, A. Jenkins, J. Yi, G. Hill, P. F. Lyons, Y. Hübner, P. Blythe, P. Taylor, A probabilistic approach to combining smart meter and electric vehicle charging data to investigate distribution network impacts, In Applied Energy, Volume 157, 2015, Pages 688-698. DOI: 10.1016/j.apenergy.2015.01.144

[R4] C. J. Dent, A. Hernandez-Ortiz, S. R. Blake, D. Miller and D. Roberts, "Defining and Evaluating the Capacity Value of Distributed Generation," in IEEE Transactions on Power Systems, vol. 30, no. 5, pp. 2329-2337, Sept. 2015. DOI: 10.1109/TPWRS.2014.2363142

[R5] J. Yi, P. F. Lyons, P. J. Davison, P. Wang and P. C. Taylor, "Robust Scheduling Scheme for Energy Storage to Facilitate High Penetration of Renewables," in IEEE Transactions on Sustainable Energy, vol. 7, no. 2, pp. 797-807, April 2016. DOI: 10.1109/TSTE.2015.2498622

[R6] D. M. Greenwood and P. C. Taylor, "Investigating the Impact of Real-Time Thermal Ratings on Power Network Reliability," in IEEE Transactions on Power Systems, vol. 29, no. 5, pp. 2460-2468, Sept. 2014. DOI: 10.1109/TPWRS.2014.2305872

Grants

The Low Carbon Networks Fund, Ofgem – £27,587k.

Match funding from project partners (British Gas, Northern Powergrid, EA Technology) - £27,000k.

4. Details of the impact

As much of the underpinning research in this case study has been funded by the Low Carbon Networks Fund (and ultimately the UK taxpayer), all Distribution Network Operators (DNOs) in Great Britain are contractually obliged to incorporate the ‘best practice’ developed through the CLNR into their own investment plans. Outputs arising from the CLNR provided a justification to invest in smart grid technologies now, in anticipation for a greater uptake in low carbon technologies in the future. As a result, Newcastle University research underpins around £17bn of DNO investment to renew, maintain and operate electricity networks (through the RIIO-ED1 2015 to 2023 period) with CLNR directly influencing the £476m currently being spent on ‘smart and innovative solutions’ [S2,S7]. Northern Powergrid (the DNO for the North East and Yorkshire with 8 million customers) state that the CLNR research “has resulted in a rich body of knowledge completed at end December 2014 with net benefits estimated in the range £5bn to £26bn in the period 2020 to 2050” [S1: page 2,S2]. Northern Powergrid has created a ‘smarter powergrid’ plan to allocate £139m to new technologies and upgrades, which include CNLR trial technologies such as real-time thermal rating and voltage control [S2, S3, S4].

Competition and Markets Authority (CMA) court case

As natural monopolies, DNOs have price controls imposed on them by the government regulator Ofgem, which is tasked to ensure DNOs earn a fair return on their activities while controlling the cost to end users. In 2015, Ofgem imposed strict price controls based on assumptions that the benefits from a bespoke smart grid technique in one area could be extrapolated out to the whole country, significantly overestimating the savings that could be made by DNOs and causing regulatory constraints based on unrealistic savings. Northern Powergrid appealed the decision to the CMA and, as a direct result of CLNR research showing that smart grids need context-specific solutions, was successful. This was the first time a DNO has successfully appealed a judgement by Ofgem. As a result, Northern Powergrid’s cost allowance for the 2015 to 2023 period was increased by £32m, with the allowable revenue increasing by around £11m [S2,S8].

Products

Two sets of products have arisen from the CLNR project. First is the creation of ‘solution templates’ that could be incorporated into EA Technology’s Transform Model software [S5a]. The Transform Model is a tool used by network operators, Ofgem, DECC and organisations internationally to optimise investments in smart grid technologies. The software produces a variety of ‘what if’ scenarios for low carbon technology uptake and assesses the consequential network investment. Importantly, the quality of the model’s outputs is dependent upon the quality of the solution templates used to create the scenarios, with CLNR work providing real-world data on low carbon costs and benefits. The modelling identified that CLNR smart solutions provided over 70% of the financial benefits where the model deemed that a smart solution was more appropriate than a traditional reinforcement option [S1: page 119]. The model is used by Ofgem and the Department for Business, Energy and Industrial Strategy for evaluation[S5b]. It is also used by DNOs in New Zealand and Northern Ireland.

Second, the CLNR project led to the creation of the ‘Grand Unified Scheme’ control software, which has been further developed by Siemens as an extension of ‘Spectrum Power’, and applied within the Western Power Distribution ‘Equilibrium’ project [S6]. Siemens Microgrid Management System and Microgrid Controller were also influenced by the work completed on CLNR. Siemens are now applying the findings, methods, and approach of CLNR to their flagship Smart Energy Network Demonstrator project at Keele University [S6], which encourages co-optimisation of electricity, heat, gas and transport.

Regulatory Changes

The CLNR project has directly led to changes in the regulations governing electricity systems within Great Britain, with some laws dating back to the 1950s and 1960s when electricity provision was expanded considerably to meet the UK’s growing demand.

Changes include updated guidance on ACE 49 (covering how the industry categorises customers) and ETR 130 (providing guidance on how to assess the capability of a network containing distributed generation) [R4, S11], P2/7 (Security of supply) [S9], P5 (Design methods for LV underground networks) [S10], and Engineering Recommendation G59 (to include electrical energy storage technologies in guidance on connecting generating plants to distribution systems) [S11]. These changes are designed to encourage the deployment of low carbon technologies, which the previous regulations would have prohibited, highlighting the need to respond at the planning and design stage with revised standards.

5. Sources to corroborate the impact

[S1] CLNR Project Closedown Report. Online at http://www.networkrevolution.co.uk/project-library/project-closedown-report-2/ The project closedown report submitted to ofgem by Northern Powergrid. This details the value of the impact to GB distribution networks.
[S2] Support letter from Northern Powergrid ### A letter which details the impacts of the Newcastle University research within Northern Powergrid including the value of the knowledge; the impact on future investment; the role of the research in Northern Powergrid’s appeal to the CMA; the impact of CLNR on industry standards, and the continued involvement of Newcastle University in Northern Powergrid innovation.
[S3] Customer-led Network Revolution – Project Learning. Online at https://www.yourpowergridplan.com/som_download.cfm?t=media:documentmedia&i=1694&p=file ### This report details the significant impact that CLNR had on Northern Powergrid’s business plan from 2015-2023
[S4] Our Business Plan 2015 – 2023, Northern Powergid. Online at https://www.yourpowergridplan.com/som_download.cfm?t=media:documentmedia&i=1698&p=file#page=0 ### Northern Powergrid’s business plan which details the £139M Smarter Powergrid plan
### [S5] EA Technology reports: ### a) CLNR Cost Benefit Analysis report, available at: http://www.networkrevolution.co.uk/wp-content/uploads/2015/01/CLNR-L144-Cost-Benefit-Assessment-of-the-CLNR-Project.pdf and; b) the brochure for the Transform Model: https://www.eatechnology.com/wp-content/uploads/sites/5/2017/04/The-Transform-Model-Brochure.pdf ### A report which links the new Transform solution templates to reports describing the trial results completed by Newcastle University. The Transform Model’s product brochure directly mentions ofgem and DECC (Now BEIS) as customers.
[S6] Support letter from Siemens ### This letter describes the impact that Newcastle University’s work through CLNR project has had at Siemens.
[S7] Ofgem (2014) RIIO-ED1: Final determinations for the slow-track electricity distribution companies. ### This document evidences the £476M of savings through smart-grid interventions, and the claim that significant additional savings could be made which was the subject of the determination in [S8]
[S8] Northern Powergrid (Northeast) Limited and Northern Powergrid (Yorkshire) plc v the Gas and Electricity Markets Authority: Final Determination. ### The ruling from the Competition and Markets Authority. “It upheld one ground in relation to Ofgem’s adjustments to reflect potential savings available from the introduction of smart grids and other technological innovations”. The case from Northern Powergrid included a witness statement from Prof. Phil Taylor which drew heavily from the research conducted at Newcastle University on the CLNR project.
[S9] Review of Distribution Security Standards, Imperial College for the Energy Networks Association, Report March 2015. Online at: http://www.dcode.org.uk/assets/uploads/IC_Report_main_report_-_red.pdf ### A review of the distribution network security of supply standards which fed into the development of the current regulations (P2/7). The report directly references Newcastle research by Blake, Greenwood and Taylor [R6]
[S10] Engineering Recommendation P5: Design methods for LV underground networks for new housing developments, Issue 6 2017, Energy Networks Association. ### An industry standard on design methods for LV underground networks The document states: “This document has been developed from the learnings and recommendations of the following Innovation Projects: Northern Powergrid – Customer-Led Network Revolution” and cites seven reports from the CLNR project. Several of these cite the underlying research ([R4] and a conference paper which was a precursor to [R3]).
### [S11] Review of the Distribution Network Planning and Design Standards for the Future Low Carbon Electricity System, document number CLNR-L186, 31/10/2014. Available online at: http://www.networkrevolution.co.uk/wp-content/uploads/2014/12/ACE49-Report-1.1.pdf ### A report drawing on CLNR underpinning research to review and make recommendations to distribution network planning and design standards. It refers to [R4].
Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Health
Is this case study continued from a case study submitted in 2014?
No

1. Summary of the impact

A new reverse shoulder prosthesis has been developed on the basis of scientific research carried out at Newcastle University. Subsequent clinical research in collaboration with a clinical research partner (Nottingham University Hospitals NHS Trust) has led to the novel prosthesis being commercialised by JRI Orthopaedics, in collaboration with Newcastle University and Nottingham University Hospitals NHS Trust, with the first products implanted in April 2010.

Between 2014 and 2020 over 17,000 prostheses have been sold worldwide, and prostheses have been implanted into patients in 7 countries to the benefit of the collaborating partners and the patients.

2. Underpinning research

The research pathway for the impact described in this case study was:

(i) Research on the development of a biomechanical model of shoulder function (the Newcastle Shoulder Model, NSM), supported by grants G1 & G2. The model was completed in 2006 and led to publications P1, P2 and P3.

(ii) The use of the NSM to design a new shoulder prosthesis began in 2006, supported by grants G3-G5, and leading to publications P4 & P5.

Initial research by Johnson developed mathematical models which allowed calculation of lines of action, moment arms and force production within the shoulder, based on anatomical data. This technique was used by Johnson to study the kinematics and kinetics of the shoulder during a set of upper limb tasks, leading to a database of inputs for a biomechanical model [P1 & P2]. A model of the shoulder complex, the Newcastle Shoulder Model (NSM), was then developed [G1 & G2], and improved through the use of muscle wrapping algorithms [P3]. The NSM was adapted by Kontaxis and Johnson [P4] to investigate a reverse anatomy prosthesis, in which the ball and socket in the prosthesis are reversed from that seen in human anatomy [G1]. This allowed quantification of the increased moment arm of the deltoid muscle after an implant had been inserted, and highlighted the problem of impingement, where part of the prosthesis contacts and erodes the scapular neck.

The NSM allowed detailed modelling of the shoulder and prosthesis, allowing development of design features that could decrease impingement without compromising stability. Surgical research carried out by Prof Wallace at Nottingham University Hospitals NHS Trust (NUH) allowed the prosthesis to be designed to suit surgeons’ requirements, such as versatility and ease of insertion. A prototype was manufactured, and in 2006 Newcastle University filed for a patent jointly with NUH, and this was granted in 2008. Further work by Kontaxis, Masjedi and Johnson, supported by grants G4 & G5, led to designs for new reverse and anatomical prostheses. Experiments led to quantification of prosthesis function and a new database of limb kinematics and kinetics was established [P5]. Collaboration between Newcastle University, NUH and JRI Ltd (now JRI Orthopaedics Ltd) for product development was supported by a Knowledge Transfer Partnership (KTP) Award [G4, with KTP Associate Flatters], with the patent licensed to JRI. This project resulted in the VAIOS® shoulder system being developed, with the first operation for insertion occurring in April 2010.

3. References to the research

  1. Murray & Johnson. A study of the external forces and moments at the shoulder and elbow while performing everyday tasks. Clin Biomech 19 (2004): 586-594.

DOI: 10.1016/j.clinbiomech.2004.03.004.

Key publication: established shoulder load patterns and loading data sets in a systematic way for the first time.

  1. Charlton & Johnson. A model for the prediction of the forces at the glenohumeral joint. J Eng Med. Pt H Proc I Mech E. 220 (2006): 801-812. DOI: 10.1243/09544119JEIM147.

  2. Marsden et al. Algorithms for exact multi-object wrapping and application to the deltoid muscle wrapping around the humerus. J Eng Med. Pt H Proc I Mech E. 222 (2008): 1081-1095.

DOI: 10.1243/09544119JEIM378.

  1. Kontaxis & Johnson. The biomechanics of reverse anatomy shoulder replacement - a modelling study. Clin Biomech 24 (2009): 254-260. DOI: 10.1016/j.clinbiomech.2008.12.004.

Key publication: first examination of the biomechanics of reverse anatomy shoulder prostheses.

  1. Masjedi & Johnson. Glenohumeral contact forces in reversed anatomy shoulder replacement. J Biomech 43 (2010): 13, 2493-2500. DOI: 10.1016/j.jbiomech.2010.05.024.

Key publication: demonstration that reversed anatomy prostheses would work well under all anticipated loading conditions.

Grants

  1. Johnson. Development of new designs of reverse anatomy shoulder prostheses. £50,000, Wright Medical Ltd, 2004-2005.

  2. Bull & Johnson. Preclinical testing and patient-specific implantation/design of shoulder prosthesis. £135,000, Furlong Res Foundation, 2005 (in collaboration with Imperial College).

  3. Johnson. Design of NGRi shoulder prosthesis. £62,000, Wright Medical Ltd, 2006.

  4. Joyce & Johnson. KTP programme with JRI Ltd to develop novel shoulder prostheses. £98,845, KTP, 2007-2009.

  5. Taylor et al. Improving reverse-anatomy shoulder implant outcomes using models validated with measured in vivo forces. Part 1: measurement of forces and model validation. £100,000, Arthritis Res Campaign, 2007 (in collaboration with UCL).

4. Details of the impact

The impact addresses two groups: the partnership which commercialised the prosthesis, and the patients who received prostheses. The impact was made possible by two linked areas of research: (i) development of the Newcastle Shoulder Model (NSM), and (ii) the use of the model in developing the VAIOS® implant.

The eventual outcome, the VAIOS® shoulder prosthesis, was developed using the NSM to model loaded and unloaded areas, therefore predicting where material should be removed to minimise impingement. NUH provided clinical experience in terms of the required ease and speed of insertion of the implant, inserted the implant into patients and reported on the clinical outcomes of surgery. JRI have licensed the patent [E1] from Newcastle University and NUH and manufacture the VAIOS® implant, and the implant has now also been patented in New Zealand and Australia, with further patent applications being pursued in Europe, the USA and Canada. Over 17,300 prostheses have been sold (~300 in the period 2010 to 2013, and over 17,000 in the period from 2014 to 2020, [E2]) and the prostheses have been implanted in the UK, Germany, Norway, Brazil, Italy, Poland and Australia.

The first set of beneficiaries are the collaborative group that produced the implant. The VAIOS® accounted for £4.3million of sales as of September 2020 [E2]. The implant has been awarded two high profile industry prizes [E3 & E4] and has gained high profile media coverage [E5].

The second group of beneficiaries are the patients whose shoulder pain can be relieved by the implant. Shoulder pain is a frequent occurrence (with some conditions having a prevalence of 54% in the over 60s [E6]), has a high recurrence and shows poor response to treatment. Patients who received the VAIOS® report an overall decrease in pain, greater mobility and independence. A study of 100 patients who received a reverse prosthesis over a ten-year period investigated two factors; acromio-humeral distance (AHD, associated with deltoid muscle weakness) and notching. The VAIOS® (fitted in 26 patients) showed less scapular notching than more established prostheses and AHD was not significantly different [E7]. A second study focused on 102 patients who received the VAIOS® over a 15-month period [E8]. Patients were assessed in terms of Oxford and Constant Scores, two questionnaires based on activities of daily living including work, sleep patterns and functional assessment including range of motion and strength measures. Both scores were significantly higher after the implant was fitted, indicating that patients’ quality of life was greatly improved by the implant. These positive outcomes are now benefitting the recipients of the 17,000 prostheses implanted from 2014-2020 [E2].

The VAIOS® implant continues to be implanted and has demonstrated excellent performance in service, gaining a rating of 5A from the UK Orthopaedic Data Evaluation Panel (ODEP) in recognition of its clinical performance [E9, E10].

5. Sources to corroborate the impact

E1. Patent: WO2008087415 Reverse Shoulder Prosthesis. https://patentscope.wipo.int/search/en/detail.jsf?docId=WO2008087415

E2. Information from JRI Orthopaedics confirmed in letter from Mr Dennis Chung, member of the Board of Directors.

E3. Best New (Mechanical) Product at the British Engineering Excellence Awards in October 2010 (http://www.beeas.co.uk/2010/winners\-2010.html\).

E4. Design Futures Innovation Award at the Medilink Healthcare Business Awards in November 2011 (http://www.designfuturesgroup.com/design\-futures\-sponsors\-medilink\-innovation\-award\).

E5. Derbyshire man receives pioneering shoulder surgery. BBC News Article. http://www.bbc.co.uk/news/uk\-england\-derbyshire\-14446866

E6. Sher et. al., Abnormal findings on magnetic resonance images of asymptomatic shoulders. J Bone Joint Surg, 77A (1995), pp. 10–15.

The following two publications occurred prior to the current impact period but are included to attest to the improvements experienced by patients receiving the VAIOs implant. These outcomes are, in part, the reason for the 17,000 global VAIOs implants to date and evidence of the benefits those 17,000 patients are experiencing over other implant models.

E7. Wallace et al., A Radiographic Analysis of 100 Uncemented Reverse Shoulder Arthroplasties from 2000 to 2011. Paper presented at the European Federation of National Associations of Orthopaedics and Traumatology (EFORT, www.efort.org/berlin2012\) in May 2012, Ref. EFORT12-5117.

E8. Wallace et al. Early Outcome from a Versatile Shoulder Arthroplasty Designed for both Anatomical & Reverse Use. Paper presented at the European Federation of National Associations of Orthopaedics and Traumatology (EFORT, www.efort.org/berlin2012\) in May 2012, Ref. EFORT12-5647.

E9. ODEP Rating for VAIOS® Reverse Uncemented Shoulder Replacement. https://www.odep.org.uk/product.aspx?pid=9617.

E10. Orthopaedic Product News online article, posted on the 23rd October, 2019. 15778http://www.opnews.com/2019/10/jri\-orthopaedics\-celebrates\-gold\-standard\-rating\-for\-shoulder\-replacement\-system/.

Submitting institution
University of Newcastle upon Tyne
Unit of assessment
12 - Engineering
Summary impact type
Technological
Is this case study continued from a case study submitted in 2014?
No

1. Summary of the impact

Newcastle University research into formal modelling and design of asynchronous circuits and concurrent systems has laid the foundation to the development of industrial strength software “Workcraft”. Workcraft has been used by the microchip industry (e.g., Dialog Semiconductor, Analog Devices) to develop power-management integrated circuits that are essential for saving electric energy and prolonging battery life in hundreds of millions of mobile devices around the world.

The design automation methodology that underpins Workcraft software improves productivity of electronic engineers from months to hours. Workcraft has also been used in training industry engineers and educating electronic engineering students.

2. Underpinning research

Due to the widespread popularity of portable electronics such as mobile phones, there is an increasing demand for integrated circuits which are smaller, more complex, and yet cost-effective. This has led to a rise in the use of Analogue and Mixed Signal (AMS) systems, in which both analogue and digital circuits co-exist on a single chip. Increasingly, both analogue and digital parts are designed by the same team of engineers as it allows the overall AMS system to be holistically co-optimized. AMS systems now play a vital role in monitoring a system's operating conditions, as well as distributing and regulating energy flows. However, AMS electronics is considered extremely hard to master, as the digital components must integrate seamlessly with the analogue parts, which are dynamic and notoriously hard to interface.

Newcastle University's longstanding research into the formal modelling of asynchronous and concurrent systems has inspired a new methodology for designing such systems, resulting in reduced inductor size and enhanced power conversion that responds to changes in demand more efficiently [R1-R4].With energy becoming the most valuable resource in modern electronics, the responsiveness and robustness of power converters are crucial. Today’s chips make millions of control decisions every second, and a single mis-step could cause malfunction or permanent damage.

The traditional approach to designing AMS control circuits relies on conventional synchronous components that require a clock frequency to be as high as 1 GHz, in order to meet the requirement of minimum latency of response, e.g. 1 nanosecond, to events generated by analogue components. This results in inefficient use of energy and a risk of failure. In contrast, using asynchronous logic for AMS control allows the system to operate at a pace that is determined by current operating conditions. AMS systems, however, need to keep evolving to track the advances in heterogeneous multi-core systems architectures and of Internet of Things devices.

Newcastle University researchers tackled the issue of how to use asynchronous circuits as a control for analogue parts and as a front-end for analogue-to-digital interfaces [R1, R2]. The methodology particularly draws on research into the use of Petri nets and causal representations of concurrent behaviour in electronic circuits [R5]. This has resulted in better power conversion efficiency, lower output ripple, faster response to analogue events, and reduced inductor size [R3, R4].

Studies into the design of asynchronous VLSI circuits at Newcastle University date back to the 1990s, where Alex Yakovlev (Lecturer/reader/professor of Computer Systems Design: 1991- present) developed the first formal model of the concurrent behaviour of such circuits Signal Transition Graphs [R6]. The research has since been carried out jointly with Maciej Koutny (Lecturer/Reader/Professor), Victor Khomenko (Lecturer/EPSRC external research fellow/lecturer/senior lecturer/reader: 2003-present), Danil Sokolov (Senior/Principal research associate) and Andrey Mokhov (Lecturer/Senior lecturer) [R1].

The resulting methodology has been implemented in several software tools (such as Petrify, PUNF, MPSAT and PCOMP), and in novel electronic components for interfacing analog and asynchronous parts (WAIT, WAITX, SAMPLE). It has also been integrated into a visual usable framework called Workcraft [R1, R4].

Workcraft provides a flexible common framework for development of Interpreted Graph Models, including visual editing, (co-)simulation, synthesis and formal verification. With Workcraft, the user can design a system using the most appropriate formalism (or even different formalisms for the subsystems), while still utilising the power of Petri net analysis techniques. The applications of the Workcraft framework are wide-ranging: from modelling concurrent algorithms and biological systems to designing asynchronous electronic circuits and investigating crimes (see workcraft.org).

3. References to the research

[R1] D. Sokolov, V. Khomenko, A. Mokhov, V. Dubikhin, D. Lloyd, A. Yakovlev: “Automating the design of asynchronous logic control for AMS electronics”, IEEE Transactions on Computer- Aided Design of Integrated Circuits and Systems, March 2019. DOI: 10.1109/TCAD.2019.2907905

[R2] V. Dubikhin, D. Sokolov, A. Yakovlev, C. Myers: “Design of mixed-signal systems with asynchronous control”, IEEE Design & Test, v. 33(5), pp. 44–55, October 2016. DOI: 10.1109/MDAT.2016.2555916

[R3] D. Sokolov, V. Dubikhin, V. Khomenko, D. Lloyd, A. Mokhov, A. Yakovlev: “Benefits of asynchronous control for analog electronics: Multiphase buck case study”. Proc. of Design Automation and Test in Europe (DATE), (2017) 1751-1756. DOI: 10.23919/DATE.2017.7927276

[R4] D. Sokolov, V. Khomenko, A. Mokhov, A. Yakovlev, D. Lloyd: “Design and verification of speed-independent multiphase buck controller”. Proc. of International Symposium on Asynchronous Circuits and Systems (ASYNC), IEEE Computing Society Press (2015) 29-36. DOI: 10.1109/ASYNC.2015.14

[R5] J. Beaumont, A. Mokhov, D. Sokolov, A. Yakovlev: “High-level asynchronous concepts at the interface between analog and digital worlds”, IEEE Transactions on Computer-Aided Design of Integrated Circuits and Systems, vol. 37(1), pp. 61–74, January 2018. DOI: 10.1109/TCAD.2017.2748002

[R6] A. Yakovlev, L. Lavagno and A. Sangiovanni-Vincentelli. A unified signal transition graph model for asynchronous control circuit synthesis. Formal Methods in System Design (Kluwer), Vol. 9, No. 3, Nov. 1996, pp. 139-188. DOI: 10.1007/BF00122081

The research is based on the following funded projects:

EPSRC grants EP/L025507/1 (2014-2018) “A4A: Asynchronous design for Analogue electronics", £574,524 (PI-Yakovlev, CIs: Mokhov and Khomenko, Named RA: Sokolov); EP/N023641/1 (2016-2021) “Platform Grant: STRATA: Layers for Structuring Trustworthy Ambient Systems, £965,298 (CI: Yakovlev, Named RA: Sokolov); IAA project “Waveform-based design flow for A4A circuits” (2018-2019) £15,500 (PI: Sokolov)

Dialog Semiconductor R&D grants: “Tools for Asynchronous Logic” (2017-2020) £505,266 (PI- Yakovlev, CI: Khomenko, Named RA: Sokolov), “Asynchronous design automation (PhD studentship)” (2018-2021) £92,750 (PI: Yakovlev), “PhD studentship in Asynchronous design for Analogue Electronics” (2014-2017) £90,000 (PI: Yakovlev)

Analog Devices R&D grant: “INTUASYNC: Industrial Tutorial on Asynchronous Circuit Design” (2018), £26,635 (PI: Mokhov)

4. Details of the impact

Researchers from Newcastle University’s School of Engineering and School of Computing have developed new concepts, software and technologies that support the design and delivery of more reliable and efficient asynchronous systems. Their research has been incorporated into a visual toolset known as Workcraft.

Workcraft has been used by companies including electronic chip manufacturer Dialog Semiconductors, which paid for a bespoke version of the toolset to enhance the power conversion capabilities of its chips. Dialog’s principal client – Apple Corporation – invested US$600million in October 2018 to license some of Dialog’s power management technologies, acquire staff and assets, and support future research and development [E3].

The Workcraft toolset is an open-source project that is available publicly at workcraft.org. Additionally, after the initial stages of the R&D and impact creation in EPSRC project A4A (2014- 2017), the project’s industrial partner Dialog Semiconductor supported R&D with their direct funding. Under this project besides open-source software some novel bespoke functionality has been developed exclusively for Dialog Semiconductor. As a whole Workcraft was then used by the company to significantly enhance the power conversion capabilities of its chips. Dialog Semiconductor PLC is a multi-national company which develops highly integrated mixed-signal products for consumer electronics. It has approximately 1800 employees and offices in Europe, Asia and the USA [E1]. Its number one product is Power Management ICs. Its RapidCharge solutions for power adaptors boasted a 60% share of the rapid charge adapter market for smartphones at the end of 2017 [E4].

The A4A project developed a novel design flow for the systematic development of asynchronous controllers for analogue-mixed-signal (AMS) systems, which has since been used in Dialog production chips [E2]. Newcastle University and Dialog co-authored three papers in 2015 [R2], 2017 [R1] and 2019 [R4], demonstrating the advantages of asynchronous design methodology for AMS control. Simulation results indicated improved reaction time, voltage ripple, peak current, and inductor losses, resulting in a higher efficiency of power conversion. These results meant that the size of coils could be reduced, a sizeable benefit for businesses such as mobile phone manufacturers, who see compact components and increased battery life and reliability as huge market drivers. For example, it was reported at DATE 2017 [R3, E2] that for a 6μ load, an asynchronous control mentions peak current below 300mA using 1.8μH inductors. A synchronous control requires 10μH coils at 100MHz, 6.8μH at 333MHz, or 3.1μH at 666MHz [E2].

Dialog extended its collaboration with Newcastle University following the end of the A4A project, providing an R&D project of over £500,000 to fund the further extension of Workcraft with new capabilities. Besides that, to date University has provided Workcraft tutorials to approximately 100 Dialog employees a year (see: https://workcraft.org/training/start\).

In October 2018, Dialog announced that it had agreed a US$600million deal with Apple Corporation. The deal was the largest of its kind by Apple. Apple agreed to pay US$300million in cash to license certain power management technologies from Dialog, as well as to receive certain assets and over 300 employees to aid with chip research and development. The company also pre-paid US$300million for Dialog products that would be delivered over the next three years. Dialog announced that it would continue to sell current and future generations of power management integrated circuits to Apple. Apple accounted for 75% of Dialog's total revenues this year, but the company expects that to drop to 35-40% by 2022 [E3].In third quarter figures announced at the end of October 2018, Dialog announced record quarter revenue of US$384million, including a 3% year-on-year revenue rise in its Advanced Mixed Signal business. These results were collated before the Apple deal [E4]. In January 2019, it announced that its unaudited preliminary revenue for the full 2018 year was approximately US$1,442million [E5].

Since 2017 a series of industrial track papers were produced in collaboration with Dialog Semiconductor for International Symposium on Asynchronous Circuits and Systems (ASYNC). These papers are co-authored with David Lloyd, who is a Senior Member of the Technical Staff at Dialog Semiconductor. Being research papers, they have a strong practical focus on the design aspects that are especially relevant to industry [E7, E8, E9]. The latter for example, is aimed to help engineers to perform automatic verification of their asynchronous handshake circuits with a generic usage, going beyond power-management circuits.

Notably, as a further illustration of the impact generated by Newcastle research, in December 2020, Danil Sokolov was hired as a full-time employee by Dialog to continue integrating Workcraft into the company’s R&D process (Sokolov is remaining a Visiting Fellow at Newcastle University).

While Dialog is the main beneficiary of paid extensions to Workcraft functionality, a version of the toolset is available for free download. This makes advanced formal design techniques more accessible to industrial developers, rather than restricted to experts in the domain. Since 2014, there were 32 public releases of Workcraft that were downloaded 20K times from 4.7K unique IPs (data sampled on 23.01.2021). The availability of Workcraft attracts other companies and is increasingly featuring in the teachings of the future generation of engineers in this field.

  • Other companies that have evaluated integration of Workcraft in their design flows, invested in training of engineers and, are able to use it in the design of products include: Analog Devices (evaluated in 2018, last training in 2019), Nordic Semiconductor (since 2015, last training in 2019) [E10].

  • Universities that use Workcraft toolset in the learning process: Newcastle University (CSC3324, EEE8043, EEE8087, EEE8124) (see https://www.ncl.ac.uk/module\- catalogue), Technical University of Denmark (02204: (http://www2.compute.dtu.dk/courses/02204\), Southampton University (ELEC6233 - https://www.southampton.ac.uk/courses/modules/elec6233)

5. Sources to corroborate the impact

[E1] Dialog Semiconductor (dialog-semiconductor.com)

[E2] D. Sokolov, V. Dubikhin, V. Khomenko, D. Lloyd, A. Mokhov, A. Yakovlev: “Benefits of Asynchronous Control for Analog Electronics: Multiphase Buck Case Study”. Proc. of Design Automation and Test in Europe (DATE), (2017) 1751-1756.

(This source confirms that Workcraft is used by Dialog Semiconductor, David Lloyd from Dialog Semiconductor is an author of the paper.)

[E3] https://uk.reuters.com/article/us\-dialog\-licensing/apple\-gets\-critical\-iphone\-technology\-in\-600\- million-dialog-deal-idUKKCN1ML0IJ

(Reuters report announcing the Dialog/Apple deal, the largest of its kind by Apple)

[E4] https://www.dialog\-semiconductor.com/sites/default/files/gb0059822006\-q3\-2018\-eq\-e\- 00_0.pdf

(Interim report for Dialog for the third quarter ending 28 Sept 2018)

[E5] https://www.dialog\- semiconductor.com/sites/default/files/q4_2018_trading_update_14.01.19.pdf (Preliminary revenue and cash report for Dialog for Q4 2018 and full year 2018 – audited results TBC March 6 2019)

[E6] Letter from Dialog Semiconductor confirming use of Workcraft and benefit/impact on their work/revenues; Two letters of support from Dialog for EPSRC grant applications; plus a Confidential document: Yakovlev’s FReng nomination with evidence provided by Dialog engineers, stating the volumes of products

[E7] J. Cortadella, A. Moreno, D. Sokolov, A. Yakovlev, D. Lloyd: “Waveform transition graphs: A designer-friendly formalism for asynchronous behaviours”, Proc. of International Symposium on Asynchronous Circuits and Systems (ASYNC), San Diego, May 2017 (industrial track paper).

[E8] D. Sokolov, V. Khomenko, A. Yakovlev, D. Lloyd: “Design and verification of speed- independent circuits with arbitration in Workcraft”, International Symposium on Asynchronous Circuits and Systems (ASYNC), Vienna, May 2018 (industrial track paper).

[E9] V. Khomenko, D. Sokolov, A. Yakovlev, D. Lloyd: “Handshake verification in Workcraft”, International Symposium on Asynchronous Circuits and Systems (ASYNC), Snowbird, May 2020 (industrial track paper).

[E10] Confidential testimonials from e-mail exchange with engineers of Dialog Semiconductor, Analog Devices, Nordic Semiconductor; plus an endorsement letter from Analog Devices

Showing impact case studies 1 to 10 of 10

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