Guidance For Applicants Autumn 07 Phase 1 v1

Technology Strategy Board
SUCCEEDING THROUGH INNOVATION
Guidance for Applicants Autumn 2007 Competition for Funding for Collaborative Research & Development Projects Phase 1
THE TECHNOLOGY PROGRAMME
Contents
1 1.1 1.2 1.3 1.4 2 2.1 2.2 2.3 3 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 4 4.1 4.2 4.3 4.4 5 Introduction The Programme Collaborative Research & Development A summary of the application process and timeframe Obtaining feedback Funding What are the sources of funding? What levels of funding are available? What do I do if my project spans more that one category of research? How to apply Is my project eligible for funding? What Forms do I need to submit? How do I complete the Expression of Interest Form? How do I complete the Application Form? How do I complete the gateway and criteria sections of the Forms? What are the requirements for the Annexes to the Application Form? How do I complete the Industry Partner Finance Form? What happens after I have submitted my Forms? Assessments Introduction The Assessors The Expression of Interest review process The Application Form assessment process Further information 3 3 3 4 6 8 8 8 9 11 11 11 14 16 19 28 29 32 35 35 35 35 36 38 39 44 46 48 51 55
Appendix 1 Eligible costs and Collaboration Agreement Appendix 2 Guidance on submitting academic partner financial information Appendix 3 Guidance on the use of STFC facilities Appendix 4 Guidance for Research and Technology Organisations Appendix 5 Guidance for Sole Traders, Partnerships and MicroCompanies Appendix 6 Information security & confidentiality
Guidance for Applicants: Autumn 2007: Phase 1 Page 2 of 56
1.
1.1
Introduction
The Programme The Technology Programme (the Programme) is a cross-Government innovation initiative, directed by the business-led Technology Strategy Board. Its purpose is to provide funding to facilitate further investment in science, engineering and technology with the active participation of business and industry. Applications for funding from the Programme are invited through competitions addressing specific technology priorities identified by the Technology Strategy Board as being of critical importance to the growth of the UK economy. Further information on the Technology Strategy Board and the Technology Programme is available at http://www.technologyprogramme.org.uk
The active participation of business and industry is central to the Programme. Throughout this document business and industry are represented by the term industry, which is used in its widest sense to include both services and manufacturing.
1.2
Collaborative Research & Development This document provides guidance for applicants for funding from the Technology Programme for Collaborative Research & Development projects. The objective of Collaborative Research & Development is to assist the industry and research communities to work together on Research & Development projects in strategically important areas of science, engineering and technology, from which successful new products, processes and services can emerge. It also primes the flow of the latest knowledge and thinking from the UKs science, engineering and technology base to business. The Programme supports three categories of research. Pure or Oriented Basic Research This encompasses both experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts, without any particular application or use in view. Funding support will favour Oriented Basic Research over Pure Basic Research. By Oriented Research we mean research carried out with the expectation that it will produce a broad base of knowledge
likely to form the background to the solution of recognised or expected current or future problems or possibilities. Applied Research This encompasses original investigation undertaken in order to acquire new knowledge directed primarily towards a specific practical aim or objective. This type of research may involve the creation of a project to take forward the results of a Basic Research programme. Experimental Development This encompasses systematic work, drawing on existing knowledge gained from research and practical experience, that is directed to producing new materials, products and devices; or to installing new processes, systems and services; or to improving substantially those already produced or installed.
1.3
A summary of the application process and timeframe This Guidance document applies to Phase 1 of the Autumn 2007 Competition for Funding for Collaborative Research & Development projects. If you are applying for funding from other Phases of the Autumn 2007 competition or other competitions, please refer to the guidance for that specific Phase or competition. Phase 1 of the Autumn 2007 competition includes the following three technology priorities: Materials for Energy High Value Manufacturing Cell Therapy.
The process for the Autumn 2007 competition is shorter than previous competitions and is intended to offer more opportunity for applicants to discuss their proposals with Technology Strategy Board Technologists (see Section 1.4). The application process consists of: submission of an Expression of Interest Form; submission of an Application Form and Finance Forms (if you are invited to do so following the review of the Expression of Interest Forms).
The Expression of Interest Forms submitted will be reviewed, with only the highest ranking applications being invited to submit an Application Form. The Application Forms submitted will then be assessed, with the highest ranking applications recommended to the Technology Strategy Board for funding. The competition opens on 8th November 2007. The process and timeline are outlined in the following table. The stated deadlines must be met or your application will be rejected. Further details of the process are provided in Section 3.
Required actions Submission of Expression of Interest Form Applicant Briefing. (This must be attended by at least one member of your consortium) * Submission of Application Form and Academic and Industry Partner Finance Forms * Deadline: Noon 11th January 2008 30th January 2008 (morning session) Deadline: Noon 14th February 2008
* Only applies if you are invited by the Technology Strategy Board to submit an Application Form following the submission of your Expression of Interest Form. You will be notified of this by 21st January 2008.
Applicants invited to submit an Application Form will be notified whether their application has been successful by 3rd April 2008. If you have been successful you will be sent a formal Offer Letter. You will be required to accept or decline the offer within 2 months of the date of issue of the Offer Letter and your project must commence within 6 months of the acceptance of offer date. A Collaboration Agreement will also need to be agreed and signed by all partners within 3 months of the date of issue of the Offer Letter.
Important Note: If your application is for funding in excess of 5 million of public sector support, you must contact the Technology Programme Helpline on 01355 272155 before noon 8th January 2008 to discuss your application. If you do not contact the Helpline by this date your application will not be accepted. Applications for funding of 5 million or less from the Programme do not need to contact the Helpline. Applications for funding in excess of 5 million (Large Projects) will follow a different application and assessment process from that described in this guidance document. However, applicants for Large Projects must still submit an Expression of Interest Form by noon on 11th January 2008.
1.4
Obtaining feedback Applicant briefings. An optional Applicant Briefing will be held on the morning of 19th December 2007. This will be followed by an optional clinic session in the afternoon, where you will be able to book one-to-one meetings with members of the Technology Strategy Board team if you would like the opportunity to discuss your application in more detail. A compulsory Applicant Briefing will be held on the morning of 30th January 2008. Note that applicants invited to submit an Application Form must ensure that at least one member of their consortium attends this compulsory briefing if they wish to submit an Application Form. This briefing cannot be attended by Applicants who have not been invited to submit an Application Form. The briefing will be followed by an optional clinic session in the afternoon, where you will be able to book one-to-one meetings with members of the Technology Strategy Board team if you would like the opportunity to discuss your application in more detail.
There are several points during the application process where you are able to obtain feedback on your application. A summary is provided below. Further details are provided in Section 3. Feedback on Expression of Interest Form You may, if you wish, submit a preliminary Expression of Interest Form by noon 30th November 2007 if you would like to receive feedback on your Expression of Interest Form prior to submitting your final version. If you do submit a preliminary Expression of Interest Form: a mini panel will review and discuss your Form and feedback will be provided to you via the Programme website by 10th December 2007; you then have the option to discuss this feedback with a member of the Technology Strategy Board team by phone during the period 11th 13th December. You will need to book a time for a telephone call via the Programme website; you may also attend the clinic session on the afternoon of 19th December 2007 if you would like a meeting with a member of the Technology Strategy Board.
All Applicants will receive feedback on their final Expression of Interest Form when they are notified whether they have been invited to submit
an Application Form. If you are invited to submit an Application Form and would like the opportunity to discuss your feedback: you have the option to discuss this feedback with a member of the Technology Strategy Board team by phone during the period 22nd 24th January. You will need to book a time for a telephone call via the Programme website. you may wish to attend the clinic session on the afternoon of 30th January 2007 for a face-to-face meeting with a member of the Technology Strategy Board.
Feedback on Industry Partner Finance Forms Each industry partner has the option to submit their Finance Form for review prior to submitting the final version. If you wish to do this you must submit the Form between 10th December 2007 and 7th February 2008. You will be able to obtain your Finance Form from your lead partner. Once you have this Form you can upload it for review by signing into the Programme website and navigating to the Finance Form Review area of the website, where specific guidance on how to upload the Form is provided. You will then receive comments on your Form from the Technology Strategy Board via email within four working days. You may repeat this process as appropriate up until 7th February 2008. Note that it will still be necessary for the lead partner to submit the final version of each Industry Partner Finance Form together with the other Finance Forms as described above by the deadline of noon 14th February 2008.
Optional actions Submission of preliminary Expression of Interest Form for feedback prior to final submission Attendance at optional Applicant Briefing and clinic Attendance at optional clinic * Submission of Industry Partner Finance Form for feedback prior to final submission Deadline: Noon 30th November 2007
19th December 2007 30th January 2008 (afternoon session) 10th December 2007 7th February 2008
* Only applies if you are invited by the Technology Strategy Board to submit an Application Form following the submission of your Expression of Interest Form.
2.
2.1
Funding
What are the sources of funding? As a general rule, the Technology Strategy Board is the primary funder of this Programme. The Research Councils act as co-funders for specific competitions and technology priority areas where these are of direct interest to them and are in areas that meet their funding policies. Other co-funding bodies might include other Government Departments, Regional Development Agencies and Devolved Administrations. Details of the co-funders for each specific technology priority are provided in the PDF documents for each technology priority, available on the Technology Programme website.
2.2
What levels of funding are available? The levels of funding available from the Programme for Collaborative Research & Development projects are summarised in the following table. Total funding from public sector bodies cannot exceed the limits in the table.
Type of project Research category Reference code Funding level as a % of eligible project costs 50% 50% 25% 75% 50% 25%
Business to Business Collaborative R&D
Basic Research Applied Research Experimental Development Basic Research Applied Research Experimental Development
BASB2B APPB2B EXPB2B BASS2B APPS2B EXPS2B
Science to Business Collaborative R&D
Note: Business to Business Collaborative R&D is where Collaborative Research & Development projects involve collaborators from industry only. Science to Business Collaborative R&D is where Collaborative Research & Development projects involve collaborators from industry and the Science, Engineering and Technology base.
The funding levels apply to the project and not to each partner. Academic partners can be funded for up to 80% of their Full Economic Costs and no industry partner (except a SME see below) can be funded for more than 50% of its eligible project costs. Within that
scope, and the applicable funding level for the project, it is up to the consortium to decide how the funding is allocated among the project partners. Details of Eligible Project Costs are provided in Appendix 1 of this document. An organisation classified as a Small and Medium Sized Enterprise (SME) can be funded for up to 60% of its eligible project costs. However, the total funding for the project from public sector bodies cannot exceed the limits provided in the previous table. To be classified as a SME an organisation must be independent and have: fewer than 250 employees; and annual turnover less than or equal to 50 million or a balance sheet total of less than or equal to 43 million.
Further information on the definition of a SME is available at

http://ec.europa.eu/enterprise/enterprise_policy/sme_definition/index_en.htm.
Additional guidance for sole traders, partnerships and micro-companies with fewer than 10 employees is provided in Appendix 5 of this document. Research and Technology Organisations (RTOs) can operate as either industry or academic partners within Collaborative Research & Development projects subject to the conditions described in Appendix 4. In addition, there are certain functions that an RTO can undertake that are deemed to be for the benefit of the wider community as a whole. The implications of these roles for RTOs and overall project funding within the context of the Technology Programme are addressed in Appendix 4 of this document. Science and Technology Facilities Council facilities are available for Technology Programme Collaborative Research & Development projects, subject to agreement with the Science and Technology Facilities Council. Further information on the facilities available, the viability of using these facilities for your project and how to include these in your application is detailed in Appendix 3 of this document. 2.3 What do I do if my project spans more than one category of research? The work packages in a project might not all represent the same category of research, i.e. some may be Applied Research, some Basic Research or some Experimental Development. You should identify which work packages in your project fit within each category of research. You should then:
identify the main category, i.e. the category with the highest percentage of total project costs, and enter the corresponding reference code in the appropriate field on the first page of your Expression of Interest Form or Application Form; calculate the appropriate level of applicable funding for the total project. For example, if 80% of a project is Applied Research and 20% Experimental Development, defined by work package cost, the total eligible level of funding is 45% of total eligible project costs.
The assessors will judge whether work packages are correctly assigned across the research categories. If the assessors judge that they are not correctly assigned, the Technology Strategy Board will adjust the grant percentage accordingly. It is rarely the case that a single project contains all three categories of research.
3.
3.1
How to apply
Is my project eligible for funding? To be eligible for funding your project must: address the specific requirements of one of the technology priorities in the current competition for funding. Details of the requirements for each of the technology priorities are provided in PDF documents for each technology priority. These are available on the Programmes website; be based on research conducted in the UK; involve two or more collaborators located in the UK, at least one of which is from industry. Collaborators are organisations that form a consortium to work together cooperatively on a specific Research & Development project. These may be from industry only (Business to Business), or from industry and the science, engineering and technology base (Science to Business); be industry driven and have a significant proportion of UK industry participation and commitment.
In addition, you must be able to demonstrate how funding from the Programme for your project will add value (see Section 3.5 of this document).
3.2
What Forms do I need to submit? A summary of the Forms that you need to submit is provided in the following tables. To obtain an Expression of Interest Form you must sign-up / sign-in to the website and navigate to the Autumn 2007 Competition area of the website, where instructions for requesting an Expression of Interest Form will be provided. Please note that if you wish to apply for funding for more than one project, you must request an Expression of Interest Form for each project. Examples of all of the Forms are provided on the website. However, to submit a Form, you must use the Form provided for you via the website which will contain the specific details of your project, including a unique reference number which will be used for the project throughout the application and assessment process.
Expression of Interest Form Deadline Deadline for submission: Noon 11 January 2008
th
Guidance One Expression of Interest Form must be submitted for each application by the lead organisation. Failure to submit this Form by the deadline will mean that your application is rejected. Guidance on how to complete the Expression of Interest Form is provided in Section 3.3. The Expression of Interest Form must be submitted on-line via the Programmes website where instructions on how to submit the Form are provided. Once you have submitted your Expression of Interest Form to the website it is possible to update it by resubmitting it, as many times as required, up until the deadline. You are encouraged to submit your Expression of Interest Form well before the deadline and to up-date it as required by resubmitting before the deadline.
Optional preliminary Expression of Interest Form for feedback Deadline Deadline for submission: Noon 30 November 2007
th
Guidance This is optional and provides you with the opportunity to obtain feedback on your Expression of Interest Form before you submit your final Expression of Interest Form. The Form is the same as the final Expression of Interest Form and the guidance provided in Section 3.3 applies. The Form must be submitted on-line by the lead organisation via the Programmes website where instructions on how to submit the Form are provided. Once you have submitted your Expression of Interest Form to the website it is possible to update it by resubmitting it, as many times as required, up until the deadline. Feedback on preliminary Expression of Interest Forms will be provided via the Programme website by 10th December 2007. You have the option to discuss this feedback with the Technology Strategy Board team by telephone during the period 11th 13th December. You will need to book a time for a telephone call via the website. You may also attend the clinic on the afternoon of 19th December 2007 if you would like a meeting with a member of the Technology Strategy Board team. If you do not wish to make any changes to your Expression of Interest Form following the receipt of feedback, then the Form you have submitted will be accepted as your final version. If however you wish to make revisions to the Form, you must ensure that you submit your final version of the Form by the deadline of noon 11th January 2008. You are encouraged to submit your revised Form before this deadline and to up-date it and resubmit it as often as is required before the deadline.
Application Form Deadline Deadline for submission: Noon 14 February 2008

th
Guidance This can only be submitted if you are invited to submit an application by the Technology Strategy Board following the review of your Expression of Interest Form. One Application Form with the required Annexes must be submitted for each application by the lead organisation. Failure to submit your Application Form and Annexes by the deadline will mean that your application will be rejected. Guidance on how to complete the Application Form and Annexes is provided in Sections 3.4 3.6 of this document. The Application Form and Annexes must be submitted on-line via the Programmes website where instructions on how to submit the Form are provided. Once you have submitted your Application Form to the website it is possible to update it by resubmitting it, as many times as required, up until the deadline. You are encouraged to submit your Application Form well before the deadline and to up-date it as required by resubmitting before the deadline.
Finance Forms Academic Partner on-line Finance Form: Standard Proposal * Deadline for submission: Noon 14th February 2008 This is an on-line Form which must be completed and submitted via the Research Councils Joint electronic Submissions (Je-S) website by each academic partner. The on-line Form is then automatically forwarded by the Je-S system to the Technology Programme. Guidance on how to submit the on-line Form is provided in Appendix 2 of this document and on the Je-S website at https://je-s.rcuk.ac.uk. Once Forms have been submitted via Je-S it is not possible to resubmit them. A onepage Justification of Resources should be submitted as an attachment to the Je-S application. In this document applicants should describe the need for the resources they are requesting. You will need to provide the summary information from the Je-S Form to your lead partner, so that they can complete the finance table in the Application Form.
Finance Forms (continued) Industry Partner Finance Form * Deadline for submission: Noon 14th February 2008 Each industry partner must complete an Industry Partner Finance Form available via the Technology Programme website. You will be able to obtain your Finance Form from your lead partner who will obtain it from the Programme website. Once completed, each of these Forms should be collected and then submitted on-line by the lead partner. Guidance on how to complete the Industry Partner Finance Form is provided in Section 3.7. Guidance on how to submit Industry Partner Finance Forms is provided via the Technology Programme website. Once you have submitted an Industry Partner Finance Form to the website it is possible to update it by resubmitting it, as many times as required, up until the deadline. Each industry partner also has the option to submit their Finance Form for review prior to submitting the final version. If you wish to do this you must submit the Form between 10th December 2007 and 7th February 2008. Once you have this Form you can upload it for review by signing into the Programme website and navigating to the Finance Form Review area of the website, where specific guidance on how to upload the Form is provided. You will then receive comments on your Form from the Technology Strategy Board via email within four working days. You may repeat this process as appropriate up until 7th February 2008. Note that it will still be necessary for the lead partner to submit the final version of each of the Industry Partner Finance Forms as described above by the deadline of noon 14th February 2008. * Finance Forms must be submitted for every partner in the consortium, even if they are not seeking funding from the Technology Programme.
3.3
How do I complete the Expression of Interest Form? You may only use the Expression of Interest Form provided to you via the Technology Programme website which will contain specific information on your application including a unique reference number. The Form must not be altered, converted or renamed. The Expression of Interest Form contains specific fields and it is important that you complete each field. Incomplete Forms risk being rejected. The space given in each field of the Form is fixed and you must restrict the content of your responses in each of the fields to the
space provided. The typeface, font size and colour are predetermined and cannot be changed. Illustrations and graphics cannot be included. The fields shaded light grey are completed automatically from other information entered on the Form, e.g. the total columns of a table. These cannot be overwritten. Annexes cannot be submitted with the Expression of Interest Form.
The following table provides guidance on the completion of each field of the Expression of Interest Form.
Expression of Interest Form Guidance Field Technology priority Guidance This field will show the technology priority that you selected when you requested an Expression of Interest Form via the website. It is not possible to change your selected technology priority at this stage. If your application spans more than one technology priority you should refer to this in your response to the gateway question Does the application align with the specific technology priority? Enter the title of the project. Please ensure that the project title fits within the space provided. The inclusion of an acronym as a short-form of the title is encouraged. The title will be used for the project throughout the application and assessment process and ideally should not be changed. It will be entered on the Programmes database and will appear on any Offer Letter that might be issued by the Technology Strategy Board on behalf of the Programme. Project timescales Enter the estimated start date of the project and its planned duration in months. Select the appropriate code. Reference codes are provided in the table in Section 2 of this document. Note: It is important to ensure that the code selected is consistent with the funding level being sought and the description of the proposed project work. If the assessors judge that it is not consistent your application risks being rejected. It is also important to note that not all technology priority areas invite applications for all categories of research, i.e. Basic Research, Applied Research and Experimental Development. It is therefore important to refer to the PDF document for the technology priority to which your project applies, to identify the applicable category or categories of research for that technology priority. Guidance for Applicants: Autumn 2007: Phase 1 Page 15 of 56
Project title
Reference code
Expression of Interest Form Guidance (continued) Field Lead organisation name Guidance Enter the name of the lead organisation for the project. Note: The lead organisation can either be an industry partner or an academic organisation, but the project must demonstrate that it is industry driven and has industry commitment and therefore the lead partner is in general expected to be an industry organisation. The lead organisation will be the main point of contact between the Programme and the consortium. Lead organisation contact details Abstract of proposed project Gateway and Criteria sections Financial the Table Enter the name, telephone number and email address of the main contact at the lead organisation. Provide a short summary of the content and objectives of the project. Specific guidance on completing these sections is provided in Section 3.5 of this document. Complete the table with reference to the specific notes provided with the table. The information provided in this table must be consistent with the information provided in the Academic and Industry Partner Finance Forms. Note: Failure to complete this table accurately and comprehensively will mean that your application risks being rejected. Feedback This page is not for completion by applicants. It will be used to provide you with feedback on your Expression of Interest Form.
3.4
How do I complete the Application Form? You may only use the Application Form provided to you via the Technology Programme website which will contain specific information on your application including a unique reference number. The Form must not be altered, converted or renamed. The Application Form contains specific fields and it is important that you complete each field. Incomplete Application Forms risk being rejected. The space given in each field of the Form is fixed and you must restrict the content of your responses in each of the fields to the space provided. The typeface, font size and colour are predetermined and cannot be changed. Illustrations and graphics
cannot be included in the Application Form, although they may be included in the Annexes. The fields shaded light grey are completed automatically from other information entered on the Form, e.g. the total columns of a table. These cannot be overwritten. You must also submit additional information in Annexes to the Application Form. The requirements for these are provided in Section 3.6.
The following table provides guidance on the completion of each field of the Application Form.
Application Form Guidance Field Technology priority Guidance This field will show the same technology priority as for the Expression of Interest Form. It is not possible to change your selected technology priority at this stage. If your application spans more than one technology priority you should refer to this in your response to the gateway question Does the application align with the specific technology priority? Enter the title of the project. Enter the estimated start date of the project and its planned duration in months. Select the appropriate code. Reference codes are provided in the table in Section 2 of this document. Note: It is important to ensure that the code selected is consistent with the funding level being sought and the description of the proposed project work. If the assessors judge that it is not consistent your application risks being rejected. It is also important to note that not all technology priority areas invite applications for all categories of research, i.e. Basic Research, Applied Research and Experimental Development. It is therefore important to refer to the PDF document for the technology priority to which your project applies, to identify the applicable category or categories of research for that technology priority.
Project title Project timescales
Reference code
Application Form Guidance (continued) Field Lead organisation name Guidance Enter the name of the lead organisation for the project. Note: The lead organisation can either be an industry partner or an academic organisation, but the project must demonstrate that it is industry driven and has industry commitment and therefore the lead partner is in general expected to be an industry organisation. The lead organisation will be the main point of contact between the Programme and the consortium.
Lead organisation contact details Annexes
Enter the name, telephone number and email address of the main contact at the lead organisation. Confirm that you are submitting the required number of Annexes with your Application Form. Note: The specific requirements for Annexes are provided in Section 3.6 of this document. Applications that do not include the required number of Annexes risk being rejected.
Abstract of proposed project Gateway and Criteria sections EUREKA or ERA-NET projects
Provide a short summary of the content and objectives of the project including what is innovative about the project. Specific guidance on completing these sections is provided in Section 3.5 of this document. If, under this application, you are applying for funding for a EUREKA or ERA-NET project, you should enter the name of the main UK participant of the project as the Lead Organisation on the Application Form. Complete the table with reference to the specific notes provided with the table. The information provided in this table must be consistent with the information provided in the Academic and Industry Partner Finance Forms. Note: Failure to complete this table accurately and comprehensively will mean that your application risks being rejected.
Financial the Table
Other funding from public sector bodies
If you have one or more entries in column 4 of the finance table, please provide the additional information in this section as detailed on the Application Form. This page is not for completion by applicants. It will be used to provide you with feedback on your application.
Feedback
3.5
How do I complete the gateway and criteria sections of the Forms? Gateway questions The Application Form contains the following two gateway questions: Does the application align with the specific technology priority? Does the Technology Programme funding add value?
If the assessors consider that the answer to either one or both of these questions is no, then your application will not be accepted for funding. Guidance on the two gateway questions is provided in the following table.
Gateway questions Question Does the application align with the specific technology priority? Guidance All applications must align with the technology priority selected by the applicants and shown on the first page of their Expression of Interest and Application Forms. Details of the technology priorities are provided in PDF documents for each technology priority available on the Technology Programme website. To demonstrate this, applicants need to show that a clear majority of the projects objectives and activities are aligned with the specific technology priority. In forming their judgement on this, the assessors will also consider whether the application addresses the research objectives and topics it claims to address. Does the Technology Programme funding add value? To demonstrate this applicants need to provide evidence that: success in the competition will increase the total amount of money the consortium partners spend on Research & Development in the UK;
and either: why the consortium partners are not funding the project themselves; or why the Technology Programme funding would allow them to undertake the project differently, and why this would be beneficial to the UK.
Criteria questions There are three criteria: Criterion 1: The UKs capacity to develop and exploit the technology Criterion 2: The size of the market opportunity Criterion 3: Potential impact and timescale Each of these criteria has three specific questions. These are listed in the following tables with Guidance Notes for each. When you submit your Application Form, your application will be assessed according to its ability to meet these criteria and the specific questions for each of the criteria. Each of the criteria will be scored by the assessors out of a total of 30 points (10 points for each question). The guidance notes for each question are not intended to be exhaustive. Applicants are expected to develop their own responses based on their own skills, knowledge and experience.
In the Expression of Interest Form you are only required to address a subset of these criteria. The specific questions you are required to address are indicated on the Expression of Interest Form and are: Question 1 What technical approach will be adopted and how will the project be managed? Question 2 What is innovative about this project? This question will also be of interest to the Research Councils who will be looking for an initial indication of which projects are of high scientific potential and align with their strategies. Question 4 What is the size of the market opportunities that this project might open up? Question 6 What are the expected quantified commercial benefits and what is the timescale over which these will be realised? Please note that it is important that you address these specific questions in the boxes provided for each of these questions as your Expression of Interest will be reviewed against how it addresses each of these questions.
Criterion 1: The UKs capacity to develop and exploit the technology Question 1. What technical approach will be adopted and how will the project be managed? Guidance Applicants should provide an overview of the technical approach including the main objectives of the work and methods to be employed to deliver the overall project results, supported by further detail in Annex A (see Section 3.6 of this document). In evaluating this the assessors will consider: is the technical approach appropriate to the needs of the project and are the innovative steps achievable through the proposed approach?
Note: On submission of the Application Form the assessors will also consider: is the project plan sufficient in comparison to the complexity of the project? For example, is there sufficient detail to understand the tasks involved and the resources required? is the timing of key milestones realistic? have the applicants demonstrated sufficient resource commitment and capability to undertake the project? are clear management reporting lines identified?
2. What is innovative about this project?
Applicants should identify the extent to which the project is innovative. For example, does it push boundaries over and beyond current leading-edge world science and technology, or is it looking to apply existing technologies in new areas? The timeliness and novelty of the research aspects of the project should be highlighted and explained in an industrial and/or academic context.
Criterion 1: The UKs capacity to develop and exploit the technology (continued) Question 3. Does the consortium have the right skills and experience to deliver the identified benefits? Guidance Applicants should detail the track record of the consortium members in undertaking and exploiting the results of research and development projects, to show their capability to develop and exploit the technology. In evaluating this the assessors will consider: do the consortium members have the right mix of skills and experience to deliver the project successfully? are the consortium formation objectives clear and would it have been formed without Technology Programme funding? is extra benefit demonstrated from the collaboration, for example, increased knowledge transfer? is the consortium greater than the sum of its parts?
Note: Applicants should use Annex C (see Section 3.6) to provide details of the specific expertise and track record of each consortium partner and each subcontractor. This might, for example, include a summary of the results and conclusions of the applicants recent work in the technology area covered by the project.
Criterion 2: The size of the market opportunity Question 4. What is the size of the market opportunities that this project might open up? Guidance Applicants should describe the size of the market opportunities that this project might open up including details of: the current nature of the specific market(s) at which the project is targeted (e.g. is it characterised by price competition amongst commoditised suppliers, dominance by a single leading firm etc.); the dynamics of this market; the projected scale of the market (including details on the robustness of this projection); the potential to create value added for the UK and/or the European Economic Area (EEA).
Criterion 2: The size of the market opportunity (continued) Question 5. What are the possible applications of this project and how do you intend to disseminate and exploit the results? What Intellectual Property (IP) will be generated and how will this be identified and managed? Guidance Applicants should demonstrate the potential for commercial exploitation of the project, e.g. possible applications, markets, processes or products, and their arrangements for disseminating and exploiting the results of the project including identifying and exploiting any IP. Applicants should include any methods of exploitation / protection, e.g. patents, trade secrets, being first to market etc. Applicants should also identify whether exploitation potential exists if the project is not completed, i.e. part use of the results. In evaluating this the assessors will also consider the following questions: Basic Research. Have the applicants identified many potential applications to a range of markets, processes or products? Does the consortium have good arrangements for identifying and exploiting potential applications? Applied Research. Have the applicants identified a limited range of applications focusing on specific markets and market opportunities, together with remaining technological integration issues? Experimental Development. Have the applicants identified the clear use and commercial exploitation of the projects results, together with clear routes to market based on product, process or service developments?
Criterion 2: The size of the market opportunity (continued) Question 6. What are the expected quantified commercial benefits and what is the timescale over which these will be realised? Guidance Applicants should identify, and where possible quantify, the expected commercial benefits to each of the consortium partners, making it clear where the risk factors need to be applied. The timeframe over which these benefits are achievable will vary according to the stage of the research, and the assessors will expect the timescales identified to be credible. The level of detail to be provided by the applicants is expected to vary according to the stage of the research as follows: Basic Research. Identify how the project will produce a broad base of knowledge that will generate commercial benefits. Applied Research. Identify the balance of commercial costs and benefits. Experimental Development. Quantify the market potential of the project, including economic returns and profitability including a realistic Net Present Value (NPV).
Applicants should also explicitly identify any sustainability benefits expected to accrue to any of the consortium partners. Sustainable development balances economic growth with the protection of the environmental and social impacts. In detailing the potential sustainability benefits to the consortium partners, applicants should consider the following questions: is it anticipated that the project will improve the energy efficiency of any of the consortium partners, whether in terms of the production process, distribution etc.? will the project lead to a reduction in the waste generated by any of the consortium partners? will the project lead to lower use of inputs to production, lower scrap rates etc. by any of the consortium partners?
Applicants should also identify whether the project will have an impact on the performance of the consortium partners, in the context of these three questions, compared with other similar organisations.
Criterion 3: Potential impact and timescale Question 7. What economic and sustainability benefits is the project expected to deliver to those outside the consortium and over what timescale? Guidance Applicants should identify any economic and sustainability benefits that are expected to accrue to those outside the consortium. In terms of economic benefits, applicants should highlight any expected spillover benefits external to the project, e.g. benefits to users (intermediaries and end users), suppliers, industrial markets and the UK. The application should identify and quantify where possible the benefit to each of the beneficiaries, making it clear where the risk factors need to be applied. Sustainable development balances economic growth with the protection of the environmental and social impacts. Applicants should identify any expected social impacts, either positive or negative, on, for example, the quality of life, social inclusion / exclusion, health and safety, diversity, and any expected impact on Government priorities such as transport congestion and healthcare. In detailing potential environmental benefits, projects should consider the following: what are the potential environmental impacts of undertaking the project on those outside the consortium, and how significant are they relative to the economic benefits? Detail the full range of potential environmental benefits such as increased energy efficiency, reduced waste generation, increased product life, increased suitability for re-use or recycling, reduced potential for environmental harm at the end of the products life etc.; if the project is likely to have any negative environmental impacts, assessors will expect to see these identified, together with credible plans to mitigate negative impacts.
Criterion 3: Potential impact and timescale (continued) Question 8. What are the risks (technical, commercial and environmental) to project success? How will the business strategy of the consortium, the technical approach and project management help to mitigate these risks? Guidance The Technology Programme recognises that projects of this type are inherently risky, but seeks assurance that the projects it funds have adequate arrangements for managing this risk. You should focus on your arrangements for managing and mitigating risk and also consider key individual risks as follows: identify appropriate project management tools and mechanisms that will be implemented to provide confidence that sufficient control will be in place to minimise operational risk and, therefore, promote successful project delivery. This should include the arrangements for managing the consortium; identify the key risks and uncertainties of the project and provide a detailed risk analysis for the project content and approach, including the technical, commercial, managerial and environmental risks as well as uncertainties associated with the project. The main risks should then be rated as High/Medium/Low (H/M/L); state how the project would mitigate these key risks. Applicants should address all significant and relevant risks and their mitigation. Assessors will need to be able to see that all relevant and significant risks have been identified and that actions to mitigate the risks have been identified and addressed as far as possible. The Technology Programme is particularly interested in seeing evidence that the project is integral to the business strategy of the consortium partners.
When submitting the Application Form applicants may use Annex B to provide this additional information.
Criterion 3: Potential impact and timescale (continued) Question 9. What is the financial commitment required for the project? Guidance Applicants should indicate the anticipated project cost making clear the level of contribution from consortium partners and the level of funding required from the Technology Programme. This should be provided within the financial table in the Expression of Interest and Application Forms, with supporting information and explanation provided in this criteria section of the Form. It must be consistent with the category of Research & Development being undertaken within each work package (see Section 2.3 of this document). In evaluating this the assessors will consider the following questions: is the budget realistic for the scale and complexity of the project? does the financial support required from the Technology Programme fit within the limits set by the specific competition? is a financial commitment from other sources demonstrated for the balance of the project costs?
You should also include a detailed budget breakdown and cash flow projection for the project duration, and indicate what accounting method will be used. Guidance on eligible and ineligible costs is provided in Appendix 1 of this document. In evaluating this the assessors will consider the following questions: have the applicants provided a detailed budget breakdown? is it inclusive of all anticipated costs throughout the duration of the project? where appropriate, are capital and depreciation costs clearly identified, e.g. new equipment?
The space provided on the Application Form within each criterion field is not broken down into pre-determined sub-sections for each of the questions. This is so that you are able to provide the specific amount of information for each question that you consider to be appropriate for your application. It is important, however, that the assessors are able to clearly identify where and how you have addressed each question. The approach to this is not prescriptive and you should adopt the most appropriate approach for your application. Suggestions on how your answers to each question can be presented so that they can be clearly identified by assessors include one or both of the following: numbering the answers to each question in accordance with the numbers used for each criteria question; using headings for the answer to each criteria question.
3.6
What are the requirements for the Annexes to the Application Form? You are required to submit specific Annexes with your Application Form. You may not submit Annexes with your Expression of Interest Form. The Annexes must be uploaded on-line via the Technology Programme website where instructions on how to do this are provided. So that the assessors of your Application are able to open and read the Annexes to assess them, each Annex must be: submitted as a single file in one of the following formats: MS-Word (.doc), MS-Excel (.xls), MS-PowerPoint (.ppt) or Portable Document Format (.pdf); legible at 100% zoom / magnification; display prominently the Project title as entered on page 1 of the Application Form; submitted online with the Application Form; named exactly as indicated in the Application Form.
Annexes may be printed or photocopied in black and white, so colour should not be used as the sole method of conveying important information. The specific requirements for the content of the Annexes are provided in the following table.
Annex Annex A Up to two sides of A4 Annex B Up to five sides of A4
Guidance This should be used to provide additional information to address Question 1: What technical approach will be adopted and how will the project be managed? This should be used to provide supporting information on your application as appropriate, for example a Gantt chart. It may also be used to provide supporting information for Question 8: What are the risks (technical, commercial and environmental) to project success? How will the business strategy of the consortium, the technical approach and project management help to mitigate these risks? This should be used to provide details of the specific expertise and track record of each consortium partner and each subcontractor to address Question 3: Does the consortium have the right skills and experience to deliver the identified benefits?
Annex C Half a side of A4 for each partner and subcontractor
3.7
How do I complete the Industry Partner Finance Form? You may only use the Industry Partner Finance Form that has been obtained from the Technology Programme website and provided to you by your lead partner. The form will have some data already entered including the unique application reference number. The Form must not be altered, converted or renamed. The Industry Partner Finance Form is an Excel spreadsheet. Each industry partner completes their own Form for their own costs. Each form should therefore not include the costs of any other partner within the project. The following table provides guidance on the completion of each worksheet of the Finance Form. Once completed, each Finance Form should be collected and then submitted on-line by the lead partner. If you would like to submit your Finance Form for review prior to submitting the final version, please follow the guidance on how to do that in Section 3.3.
Worksheet Form Status
Guidance This worksheet indicates the status of your Form and provides the essential information that you must provide the Lead Partner with for inclusion in the finance table of the main Application Form. The worksheet includes an automated completion checker which notifies you when you have entered information into all the required cells throughout the Form. Please note however, that the checker can only see that you have entered some data, it is not checking for the quality of that data or the eligibility of your costs.
Guidance
This worksheet contains information on which costs are eligible and not eligible and other essential information. Please read this page before completing the Form. Enter the information requested about the company and the project. It is particularly important that the name of the organisation is completed with the full legal name of the organisation as this is what will appear on the Offer Letter if you are successful. There is a list of SIC codes on the final worksheet. If you are not aware of the correct one, consult this list and enter the most appropriate code.
Applicant Details
Worksheet Other Public Funding
Guidance (continued) Provide details of other public funding that you are currently applying for or have already applied for, for this project. Do not include grants that have been used to reach this point in the development process and are now completed. Provide the TP numbers of all the Technology Programme projects your organisation has been involved with in the past and any other applications you are making to this competition. In the top section, complete the table to calculate the number of working days in each year. This is used to automatically calculate the day rate for each given salary. Note that sick days are not eligible as part of the deduction. For each individual within the project provide their gross salary and the total number of days they will work on the project. The cost is automatically calculated. The gross salary should include the employers NI, any company contributions to pension, life insurance or other package costs. If there is more than one individual on the same pay rate, indicate the number of staff and sum the total days worked by all staff on that rate. Two methods of declaring overheads are available. Applicants can complete the Overhead Rate worksheet or provide their own explanation on this worksheet. If you choose to provide your own working, provide equivalent detail to that used in the Overhead Rate worksheet such that the Technology Strategy Board can check the eligibility and appropriateness of all costs included in the calculation. If you are claiming a rate that was approved in an existing project, provide the TP number of that project and re-state the calculation. There is no guarantee that the same rate will be acceptable.
Other Projects
Labour Costs
Overhead Rate (optional) Materials Costs
This worksheet can be used to calculate your overhead rate. Complete the form using figures from your latest accounts. Materials costs are those items that are consumed during the project but that are not included in any general stores that may form part of the overhead calculation. Provide details of the items of materials, the quantity and item costs.
Worksheet Capital Equipment Costs
Guidance (continued) Capital items are items that cannot be written off on purchase. Provide details of the items, whether they are to be purchased new or they are already owned by the organisation. Provide a value for the item at the beginning and at the end of the project. Provide an estimate of its utilisation within the project. For example if a piece of equipment will only be used by and for this project then the utilisation is 100%. If it is to be shared with another activity, then the utilisation will be the percentage of its total use by this project.
Sub Contract Costs
Sub Contract Costs include work carried out by third party organisations that are not part of the project or the collaboration. Provide details of the work to be sub contracted and the costs.
Travel & Subsistence Costs Other Costs
Provide estimates of the travel and subsistence costs involved in the project. This worksheet can be used to include eligible costs that are not easily described by any of the preceding worksheets. Please check the guidance for lists of eligible costs but note the following common mistakes: project audit or legal costs are ineligible and should not be included; IP protection costs are limited to 5,000 per partner and only allowable for SMEs; chemicals, supplies etc. should be described under Materials Costs.
RTOs wishing to carry out Wider Business Benefit Activities (WBBA) should also provide details and the costs of these activities on this worksheet. Project Costs Summary The costs entered throughout the spreadsheet are automatically transferred to this worksheet. Provide an estimate of how the costs will be spent across the financial years of the project. Provide the amount of grant assistance sought from the Technology Programme. This figure should not include any amounts sought from other sources as detailed on the Other Public Funding worksheet 2003 SIC Codes A complete list is provided to assist you in completing this field on the Applicants Details worksheet.
3.8
What happens after I have submitted my Forms? You will receive an acknowledgement by e-mail from the Programme confirming receipt of each Form submitted via the Technology Programme website. If you have not received confirmation within 24 hours of submitting your Form please contact the Programme Helpline on 01355 272155. During the assessment process you and/or the other partners in your consortium may be contacted by the Programme to seek further detail and clarification of certain aspects of your application, e.g. the eligibility of project costs. This will not form part of the assessment of your application and this information will not be provided to the assessors. It will be for the purpose of clarifying, if necessary, the details provided in your Finance Forms, so that if your application is successful, any unnecessary delays in issuing an Offer Letter are avoided. Being contacted for this information does not indicate either success or failure in the assessment process. Following the submission of the Application Forms the Technology Strategy Board may undertake financial viability checks on applicants. These are carried out as soon as possible after the Application Form submission deadline and are based on the latest independently audited accounts filed on the Companies House database. To ensure that the best available information is used to make a judgement on the financial position of an organisation, the accounts must have their period end within the last 21 months of the application deadline. The purpose of the viability check is to: 1. To assist in understanding if the organisation is likely to be able to bear the cost of the additional research proposed over an extended period of time since grant payments are made in arrears of actual incurred sums expended. 2. To establish the organisation's ability to meet its current obligations, whilst at the same time participate in the collaborative research project. 3. To establish the organisation's balance between "internal" long term funding and "external" funding. 4. To establish the project's impact on the organisation's normal trading. If an organisation fails one or more of the test criteria, or if specific ratios cannot be worked out because of lack of turnover information due to abbreviated accounts, or if the applicant is not required to file its accounts with Companies House, then additional information may be
requested directly from the applicant. This may be one or more of the following: a set of Management Accounts; summary trading forecasts and a quarterly cash-flow forecast for the total period of the projects planned duration; details of bank overdraft facility, bank loan or funding from other sources.
Following review of the Expression of Interest Forms Following completion of the review of the compulsory Expression of Interest Forms you will be informed whether you are invited to submit an Application Form. If you are not invited to submit an Application Form you will receive written feedback on the main reasons why you have not been successful. This will be provided to the lead partner. No additional feedback will be provided. If you are invited to submit an Application Form you will receive brief written feedback on your Expression of Interest Form which will be provided to your lead partner. You will have the opportunity to discuss this feedback with a member of the Technology Strategy Board team by phone during the period 22nd 24th January 2008. You will need to book at time for a telephone call via the Programme website. You will also have the opportunity to discuss your application at the clinics on the afternoon of 30th January 2008 following the compulsory briefing in the morning. Following assessment of the Application Forms Following completion of the assessment of the Application Forms you will be informed whether your application has been successful, subject to the final agreement of terms and conditions. If your application is not successful you will receive written feedback on the main reasons why the application was unsuccessful. This will be provided to the lead partner. No additional feedback will be provided. If your application is successful the Programme may seek further detail and clarification of certain aspects of your application, e.g. the eligibility of project costs, before confirming the terms and conditions of the Offer with you in a formal Offer Letter. You will be required to accept or decline the offer within two months from the date of issue of the Offer Letter and your project must commence within six months of the
acceptance of offer date. If you do not return a signed copy of the Offer Letter to the Programme by the deadline, the Offer will be withdrawn and funding will not be provided, unless an extension to the deadline has been previously formally agreed in writing with the Programme.
4.
4.1
Assessments
Introduction The process to seek funding support from the Programme is undertaken using a competitive application process. It follows an efficient, streamlined process, which ensures quick responses to applicants within a stated timeframe whilst meeting probity considerations and the objectives of the overall initiative. The assessment process is transparent and managed at arms length from the Programme funders. The assessment criteria are available to applicants and feedback is available to those that are unsuccessful in securing funding from the Programme.
4.2
The Assessors Independent Assessors are appointed by the Programme for each competition for funding. The Programme preserves Assessor anonymity and the names of the Assessors will not be provided to Applicants. All Assessors are required to sign confidentiality agreements and to declare any potential conflicts of interest and they are required to treat applications in the strictest of confidence. Assessors are engaged as individuals, not as representatives of their employer or any other entity. They are required to carry out the assessments themselves and not ask anyone else to assess an application in their place nor ask anyone to give another opinion of their assessment. All Assessors are required to attend formal assessment briefing workshops held by the Programme in order to be qualified to undertake assessments according to the Programmes requirements.
4.3
The Expression of Interest review process A common review process applies to all Expression of Interest Forms. The Forms are not forwarded to Reviewers until after the closing date for submission. Each Form is reviewed against the same set gateway and criteria questions. Each Reviewer is required to submit their comments for each application they are assigned to review.
Following the individual reviews, a Panel meeting is held for each technology priority area where the Panel discusses all Expression of Interest Forms submitted and agrees a ranked list of all the Expressions of Interest in their technology priority area. The Panel then agrees any comments and/or advice that will be fed back to Applicants, which are inserted on the final page of each Expression of Interest Form before it is made available to its Applicants. All draft comments not agreed by the Panel are then destroyed. The Panel will also decide which Applicants will be invited to submit an Application Form. To achieve this, the Panel is required to only invite viable applications in strict order from the top of the ranked list until no more than 200% of the funding allocated for the priority area may be consumed. The conclusions of this meeting are recorded in a Panel Report, which forms part of the audit process and is used to generate official feedback to applicants.
All Panel Reports and ranking sheets are confidential and will not be available to anyone other than the Technology Strategy Board, the Programmes co-funders and the Programme contractors. The review process for the optional preliminary Expression of Interest Forms submitted for review by 30th November for feedback prior to submitting the final Expression of Interest Form (see Section 1.4), will follow the same process as above, although the Panel will provide feedback only and will not at that stage agree a ranked list nor decide which Applicants will be invited to submit an Application Form.
4.4
The Application Form assessment process A common assessment process applies to all applications. Applications are not forwarded to Assessors until after the closing date for submission of all applications. Each application is assessed by a minimum of three Assessors against the same set gateway and criteria questions. Each Assessor is required to complete and submit a score-sheet for each application they are assigned to assess. Once the score-sheets have been submitted, the projects within each technology priority area are ranked according to their scores.
Following the individual assessments a Panel meeting is held for each technology priority area, where Assessors agree appropriate final scores for all the applications. The applications are then ranked according to their final scores. The conclusions of this meeting are recorded in a Panel Report, which recommends a ranked list of applications that the assessment panel considers could be funded by the Programme. The report forms part of the audit process and is used to generate official feedback to applicants.
All Panel Reports, score sheets and final ranking sheets are confidential and will not be available to anyone other than the Technology Strategy Board, the Programmes co-funders and the Programme contractors.
5.
Further Information
For further information on the Programme and the application and assessment process: the Programme website http://www.technologyprogramme.org.uk provides comprehensive information on the Programme including a list of Frequently Asked Questions. Note that it is necessary to signup / sign-in to the secure part of the website to access some of the information; the Programmes Helpline can address your specific queries either by telephone on 01355 272155 or by email to info@technologyprogramme.org.uk; the Applicant Briefings provide further information on the competition, such as the assessment criteria and how to apply. See Section 1.3 and the Programme website for further details. Note that applicants invited to submit an Application Form must ensure that at least one member of their consortium attends the compulsory applicant briefing on the morning of 30th January 2008 if they wish to submit an Application Form; the optional clinics provide an opportunity for applicants to discuss their applications. Note that clinic on the afternoon of 30th January may only be attended by applicants who are invited to submit an Application Form following the review of their Expression of Interest Form; optional telephone feedback is also available. If you have submitted a preliminary Expression of interest Form by noon 30th November 2007 so that you can receive feedback before submitting the final version, you have the option to discuss your feedback with a member of the Technology Strategy Board team by phone during the period 11th 13th December. You will need to book a time for a telephone call via the Programme website. Following the submission and review of the final Expression of Interest Forms and if you are invited to submit an Application Form, you have the option to discuss your feedback with a member of the Technology Strategy Board team by phone during the period 22nd 24th January 2008. You will need to book a time for a telephone call via the Programme website.
Appendix 1
Eligible costs and Collaboration Agreement If you are unclear how to record your likely costs you should contact the Programmes Helpline. The cost estimate must include the costs for the total project, i.e. all parties/partners involved in the project. Technology Programme funds are paid on the basis of audited actual eligible costs incurred and defrayed. Academic Partners All academic partners must calculate their project costs on the basis of Full Economic Costs (FEC) as defined by the Research Councils. Technology Programme funding for successful projects will be provided at 80% of Full Economic Costs, in line with Research Council funding. All academic partners must use the Research Councils Joint electronic Submissions (Je-S) system to calculate and submit their financial information. Project costs should be calculated at year one levels without indexation. Indexation will be added to academic costs by the Technology Programme sponsors. The remaining 20% of FEC costs do not constitute a contribution to the project by the academic partner and must not be included in any total project costs provided by the academic partner. Further, it is not allowable for any other partner to provide any of that 20% to the academic or indeed for any partner to provide any of the costs of any other partner within their project costs in any way.
Organisations eligible to be considered as academic partners are: Universities and similar HEI organisations; Government Research Establishments; Not-for-profit Research and Technology Organisations (RTOs). Not-for-profit RTOs are: RTOs that are, or that are constituent parts of, a charity registered with the Charities Commission; or Associations that are eligible for exemption from corporation tax under section 508 of the Income and Corporation Taxes Act 1988; or
RTOs that are wholly owned subsidiaries of an association approved under section 508 of the Income and Corporation Taxes Act whose articles of association require that all profits are returned (gift-aided) to the section 508 association. RTOs should refer to the specific RTO guidance provided in Appendix 4 of this document. Industry Partners The following headings show the main costs that the Technology Programme is prepared to support. 1 Labour Costs This includes the costs of personnel working directly on the project. You should provide the total man-days effort and cost required for your staff to work on the project, briefly describe the role of each person within the project and provide their gross salary and the total labour effort in man days for each role within the project, together with the total number of working days per year for your organisation (365 days less weekends and holidays etc.). In calculating the labour costs, reasonable overheads can be included. The overheads must exclude the costs of land, buildings, and other operational costs not directly attributable to the project. 2 Overheads Reasonable overheads can be included, as stated above. Two methods of providing information on overheads are available. You can either complete the overhead calculator worksheet provided with the Industry Partner Finance Form or you may submit your own overhead rate. If you choose the latter option, include a summary showing the calculation method of overheads that your auditors will use when verifying your grant claims including a full list of the items believed to be included as indirect or overhead costs. Note that if you quote previously agreed overhead rates, you must still describe the methodology and include references to the previous project(s). 3 Materials Consumed These will be the materials to be consumed on the project, not included in the overheads, purchased from third parties. Materials supplied by subsidiaries or associated companies should exclude the profit element of the value placed on that material. If waste or scrap material has a significant residual/resale
value the figures should reflect this. Foreseen cost increases, such as on specific materials, may be considered by the Programme. 4 Capital Equipment You should provide details of capital equipment and tools to be bought or consumed on the project, giving the purchase cost (or value at the start of the project if you already own the equipment), its expected residual value at the end of the project and utilisation within the project. 5 Sub-contracts; Consultancy; Fees including Fees for Trial and Testing You should show any work that is essential to the success of the project where the expertise does not exist in the collaborative group. For example, you may wish to demonstrate that it would not be cost-effective to develop inhouse skills for this one project. The same rules governing the use of subsidiaries and associated organisations with regard to supply of materials apply here. Attention will be paid to the size of this contribution when assessing eligibility and level of support. 6 Travel and Subsistence You should only include reasonable costs that are justified and will be incurred exclusively for progressing this project. Note that if any general travel and subsistence is included in your overhead calculations, this proportion should be subtracted from the Travel and Subsistence expenditure during the claims process. 7 Other Costs Other costs should include costs not accounted for in the above sections. Some examples follow. You should ensure that a case is made for the other costs within your Application Form. Training Costs These costs are eligible for support where they are specific to and necessary for the project. The Programme may consider support for management training specific to the project but will not support ongoing training. Preparation of Technical Report For example, where the main objective of a project is the support of standards or technology transfer.
Market Assessment/ Feasibility Studies There is some scope for support, in exceptional circumstances, of state of the art studies in areas that will affect the nature and likely outcome of a project. Support may also be given for underpinning research leading to development of a programme, i.e. a suite of projects.
Licensing in New Technologies Exceptionally, the Programme may consider support where it makes sense to do so, for example, to avoid reinventing the wheel. Where imported technology makes up a large part of a project (where technology is valued at more than 100,000) then it will be expected that there is development of that technology as part of the project.
Patent Costs (SMEs only) The Programme may support some of the costs of protecting foreground IPR for SMEs up to a total of 5,000 per partner.
Project Management The costs of project management by a lead organisation on behalf of the consortium are eligible and should be included with the labour totals. In cases where management is sub-contracted, a strong case should be made for the necessity and benefits of this approach.
Software The provision of software licences by members of the project consortium must only reflect the true costs of supplying that software to the project and not the commercial rate, the inclusion of any profit element or the amortisation of previous development costs. The preparation of disks, manuals, installation, customisation, training and lost opportunity costs may be eligible.
Certification For EUREKA projects only, reasonable certifications may be eligible for support where it will improve market acceptance.
Receipts and Residual Values for Energy Projects Receipts from electricity generation and residual values of prototype plant will be addressed by the Programme under standard Treasury rules whereby a proportion of the revenue or displaced electricity costs will be recovered and a discounted residual value of a generating plant will be calculated similarly.
Legal and accounting costs The legal costs of setting up the project or the collaboration and costs associated in conducting audits or making grant claims are ineligible and must not be included as an Other Cost.
Wider Business benefit Activities (WBBA) RTOs may include WBBA costs which can attract up to 100% funding. Note that this is only available to RTO partners that satisfy that definition and only their WBBA costs can attract this level of funding.
Ineligible Project Costs The following costs are ineligible and should be excluded from any part of the project costs and any overhead calculations. Input VAT. Interest charges, bad debts, profits, advertising, entertaining. Hire purchase interest and any associated service charges. Advertising and marketing costs or activities. Profit earned by a subsidiary or by an associate undertaking work subcontracted out under the project. Inflation and contingency allowances expressed as an overall arbitrary percentage, additional to eligible costs. However, reasonable inflation rates can be included in labour and material cost estimates. The value of existing assets such as IPR, data, software programmes and other exploitable assets that any of the collaborators contribute towards the project. Project audit or legal fees. Any of the remaining 20% of FEC costs from academic partners.
Collaboration Agreement Within three months of the date of award of a grant Offer Letter all parties on the project will be required to provide TSB with an original copy of the projects Collaboration Agreement signed by all the participants. The Collaboration Agreement should be the only agreement (in addition to the Offer Letter) between the project partners and it should incorporate the operation and exploitation of the outcomes of the project.
Appendix 2
Guidance on submitting academic partner financial information All partners in a consortium must submit financial information, even if they are not applying for funding from the Programme. Industry partners must do this by submitting Finance Forms via the Technology Programme website. This Appendix explains how academic partners must submit their financial information. All academic partners must calculate their project costs on the basis of Full Economic Costs (FEC). Technology Programme funding for successful projects will be provided at 80% of Full Economic Costs. The remaining 20% FEC costs do not constitute a contribution to the project by the academic partner and must not be included in any total project cost calculations or other financial information provided. Project costs should be calculated at year one levels without indexation. Indexation will be added to academic costs by the Technology Programme sponsors. Academic partners must use the Research Councils Joint electronic Submissions (Je-S) system to calculate and submit their financial information to the Technology Programme. Failure to do so could result in the whole application becoming ineligible. Each academic partner must obtain the unique Technology Programme reference number for their application from the lead partner of their application. This unique reference number links together all the Application and Finance Forms for the project. They must then log-in to Je-S and complete an FEC Standard Proposal and submit it through their organisations normal Je-S approval and submission process. This is then automatically forwarded by the Je-S system to the Technology Programme. To access the on-line Form, once you have logged onto Je-S, you should: 1. Select Add New Document. 2. Under the option for Council select Technology Strategy Board. 3. Under the option for Document Type select Standard Proposal. 4. Under the option for Scheme select Technology Strategy Board CR&D.
A one-page Justification of Resources, in which applicants are required to describe the need for the resources they are requesting, should be submitted as an attachment to the Je-S application. Guidance on the content of the Justification of Resources is available on the Je-S website. Each academic partner must also provide the lead partner of their consortium with the summary financial information generated by Je-S as this is required for the completion of the financial table in the Application Form. Using Je-S The Je-S website is at https://je-s.rcuk.ac.uk. The on-line Forms are completed and submitted in the same way as all other Research Council funding applications. Academic and research staff should therefore be familiar with the system. To submit an on-line Form both you and your organisation will need to be registered with Je-S. If the academic partner is not registered with Je-S, they should make arrangements for registration as soon as possible to ensure that they are able to meet the deadline, as the registration of new organisations may take several days. Academic partners should note that Research Council standard procedures apply to the Technology Programme in the same manner as for all Research Council proposals. Principal Investigators submissions are held in a Submitter Pool in the Je-S system until Head of Department and University Research Office approval have both been received. It is the Research Office approval that has to meet the deadline and the onus is on Principal Investigators to notify their Head of Department and Research Office that a proposal has been submitted and that a deadline is imminent. If you have any queries with regard to registering or using Je-S please contact the Je-S Helpdesk by e-mail to JeSHelp@rcuk.ac.uk or by phone on 01793 444164.
Appendix 3
Guidance on the use of the Science and Technology Facilities Council facilities The following Science and Technology Facilities Council facilities are available for Technology Programme Collaborative Research & Development projects: Astra Laser; Lasers for Science Facility; Vulcan Laser; ISIS Pulsed Neutron and Muon Source; Synchrotron Radiation Source.
Please see Large Scale Facility Access Scheme (http://www.scitech.ac.uk/ResFac/Largefac/FacAcc/home.aspx) for further details. If you wish to use Science and Technology Facilities Council facilities in your project you must contact the Science and Technology Facilities Council person below to discuss whether it will be appropriate and possible to use one or more of these facilities for your project and the terms for this usage. Samantha Oliver s.foster@cclrc.ac.uk 01235 446882 Once you have agreed with Science and Technology Facilities Council that you will request use of facilities as part of your Technology Programme application you should indicate this in your application as indicated below. Application Form Describe how you intend to use the Science and Technology Facilities Council facility within your response to Criteria Question 1: What technical approach will be adopted and how will the project be managed? Use Annex A to provide further details.
Finance Forms Academic Partner Finance Form. Using Je-S select Edit Resources then Edit Facilities then Add New Facilities and then select from the drop down box one of the facilities listed above. Industry Partner Finance Form. Include the cost of using the facility under the Other Costs heading.
Appendix 4
Guidance for Research and Technology Organisations Research and Technology Organisations (RTOs) can operate as either industry partners or academic partners within Collaborative Research & Development projects. In addition, there are certain functions that an RTO can undertake that are deemed to be for the benefit of the wider community as a whole. This Appendix addresses the implications of these roles for RTOs and overall project funding within the context of the Technology Programme.
RTOs as academic partners An RTO is considered to be operating as an academic partner if the organisation satisfies the legal definitions of the tax rule 508 regarding exempt organisations and the work it is contributing towards the project is essentially academic in nature, i.e. is providing high quality research input to the project rather than product or system development. RTOs wishing to be considered as capable of producing academic quality work need to be registered with RCUK as eligible to submit a Je-S Application Form. Further advice is available from the Je-S Helpdesk by email to JeSHelp@rcuk.ac.uk or by phone on 01793 444164. All academic partners, and therefore an RTO meeting the requirements in the previous bullet point, must calculate their eligible project costs on the basis of Full Economic Costs (FEC) as defined by the Research Councils. Technology Programme funding for successful projects will be provided at 80% of Full Economic Costs. The remaining 20% FEC costs do not constitute a contribution to the project by the academic partner / RTO and must not be included in any total project cost calculations or other financial information provided. RTOs in this category must use Je-S to submit their financial information (see Appendix 2 of this document). In calculating its Full Economic Costs, an RTO is not obliged to use the TRAC methodology to calculate its indirect and estate costs. An RTO that has not had its FEC costing methodology and systems validated by the Research Councils can use the default figures available on the Higher Education Funding Councils website at http://www.hefce.ac.uk/finance/fundinghe/TransparencyReview/. The Technology Programme will confirm any agreed rates with the Research Councils.
The assessors will need to satisfy themselves that the work is genuinely academic in standard and nature. This justification should be clearly made by the applicants within the application.
RTOs as industry partners An RTO is considered to be operating as an industry partner if the organisation does not satisfy the legal definitions of a rule 508 exempt organisation or the work it is contributing to the project is not essentially academic in nature. Funding for industry partners must not exceed 50% of their eligible project costs, or 60% if they are classified as an SME (see Section 2 of this document). Details of eligible costs are provided in Appendix 1 of this document.
Wider Business Benefit Activities An RTO operating as an industry partner might undertake activities within the project that are considered beneficial to the community at large or to wider industrial/technology sectors. These activities may be funded at a rate higher than 50% (or 60% for SMEs) of the eligible costs. However this normally applies only to non-profit organisations and the RTO will need to supply compelling evidence of its ability to engage wider communities in a non-commercial and non intellectual property generating manner. These activities are expected to constitute less than 10% of the overall project activities. The Technology Programme will discuss these activities with the RTO to determine the appropriate funding level. The RTO should therefore contact the Programme well in advance of the deadline for the submission of applications to ensure that appropriate funding levels are agreed before the application is submitted. It should be noted that the overall total funding rate available for a project will not change. The only change is the balance of the funding across the consortium partners. For example, in the table below, the Wider Business Benefit Activities (WBBA) of the RTO in project 2 increase the eligible costs, but as they are funded at 100%, the grant available for the industry partners is reduced since the overall funding rate stays at 50%. The assessors will need to satisfy themselves that the work is genuinely of a wider benefit and is above and beyond the dissemination that would normally be expected of a Technology Programme project. This justification should be clearly made by the applicants within the application.
Project 1
Project 2
Eligible Costs Amount Academic Partner Industry Partner RTO (industry work) RTO (WBBA work) Total 20,000
Grant
Eligible Costs Amount 20,000
Grant
Percentage 100%
Percentage 100%
20,000
20,000
40,000
15,000
37.5%
40,000
12,500
31.25%
40,000
15,000
37.5%
40,000
12,500
31.25%
10,000
10,000
100%
100,000
50,000
50%
110,000
55,000
50%
Wider Business Benefit Activities Potential inclusions: technology transfer activities to engage a wider business community than is involved in the project and to facilitate general dissemination of the project results; public relations activities to disseminate the results of the project including the creation of business briefs and case study material; development of sector or wider business strategy in the form of workshops or the development of roadmaps; carrying out background research related to a technology transfer function. Potential exclusions: project management or coordination of the core project or collaborators; activities through which the RTO develops intellectual property or copyrights that have a commercial value to the RTO; activities that the RTO would naturally carry out as part of its normal business or services to its members.
Appendix 5
Guidance for Sole Traders, Partnerships and Micro-Companies Introduction The Technology Strategy Board and its co-funders recognise that very small organisations can be the source of important innovation and valuable expertise and welcome their involvement within Technology Programme projects where they can add value without creating undue risk for the project and are capable of exploiting the results of the project. To reduce the risks and to satisfy the funders that the projects are not being used as a revenue generating exercise for the micro-organisations, the following guidelines have been developed to regulate their involvement. Strictly for the purposes of the Technology Programme - these very small organisations (micro-organisations) are defined as sole proprietorships, partnerships and limited companies with fewer than 10 employees. The guidance within this note and the Terms and Conditions stipulated herein are applicable to all Technology Programme projects, regardless of the source of grant funding. They do not set precedents beyond the current competitions or the Technology Programme. Participation There are several ways that micro-organisations can actively participate in the Technology Programme. They can participate in projects as subcontractors and charge a commercial rate to the project. If they operate in this manner, they will not be party to the collaboration agreement and not receive any long term benefit from the project outcomes, such as any share of intellectual property or beneficial ownership or use. Micro-organisations may alternatively participate in projects as partners (subject to the financial criteria below). In this case they would need to be party to the collaboration agreement and to carry out exploitation of the results under the terms of the standard offer letter. Only in very exceptional circumstances and with the prior approval of the Technology Programme, should a micro-organisation be the lead partner of a project.
Conditions of Participation Like all industrial participants of the Technology Programme, microorganisations should only be involved in a project if it extends their research and development activities beyond what they would normally be carrying out and if the outcomes of the project are beneficial to, and exploitable by, them. Technology Programme projects are not a revenue generating activity and grants can only be paid against real costs incurred and defrayed against the project in question. All costs will be subject to an audit as outlined in the projects offer letter. In order to participate therefore, micro-organisations must show additional trading activity or sources of additional finance to support their participation in the project of at least the same value as their total project costs (including any grant sought). Sole Traders and Partnerships In order to participate, sole traders and partnerships must have been trading for at least 12 months. They must be VAT registered (Flat Rate Scheme is acceptable) and maintain up to date books or management accounts sufficient to generate a Profit and Loss account. They must be able to show revenue generation from commercial operations for the previous 12 months of at least the same value as their total projected annual costs of participation in the Technology Programme project. This revenue total should not include grant income from this or any other project but could include sub-contract fees from a project that it is not participating in as a collaborator, or work carried out for public sector organisations on a commercial or contractual basis. At the end of each project year, they must supply a letter from their accountant to verify that revenue generation from commercial operations outside of the project continues to satisfy the requirement of being at least equal to their total eligible project costs. Copies of VAT returns may be used as evidence. Should this revenue drop below the above threshold, the Technology Programme may withdraw support for the organisation and encourage the project to source the contribution elsewhere. Eligible costs for sole traders and partnerships are based on the standard industry partner cost headings with the same rules of eligible and in-eligible costs that are set out for other industrial partners in the Technology Programme Guidance for Applicants.
Labour rates should be calculated as follows: Labour costs are normally calculated on the basis of salary. For sole traders and partners, the salary equivalent is usually the distribution of annual profits. The labour rate is calculated at the time of application from the previous years profit and loss account and is then fixed for the duration of the project. The labour rate is simply the total revenue for that year minus the business costs using the standard HM Customs and Revenue rules for calculating taxable income. To calculate a daily rate, the annual profit should be divided by 220. Profits for partnerships should be divided by the number of partners using the same ratios as are used for income tax to calculate individual labour rates. For example, if revenue for a sole trader was 75k, and costs including T&S, overheads, capital allowances and expenses was 25k. Profit was therefore 50k. Dividing by 220 gives a daily rate of 227. For example, if revenue for a partnership of 2 was 170k, and costs including T&S, overheads, capital allowances and expenses was 50k. Profit was therefore 120k. This is divided equally between the partners giving an income of 60k each. Dividing this by 220 gives a daily rate of 273. In the case where sole traders and partnerships employ personnel and these personnel are to be used within the project, their salary will be used for their labour calculations in the normal way. Salaries of employees would be deducted as business costs when calculating sole traders and partners income. For the purposes of the Technology Programme, a threshold has been imposed to cap the daily rate at 386. This is equivalent to profits of 85,000.
Overhead rates are eligible and are calculated as follows: Overheads can be applied as a percentage to the labour costs. The percentage is calculated by dividing the eligible business costs by the profits (and any employee labour costs). The figures used should come from the previous years profit and loss account. The eligible business costs should exclude in-eligible items such as entertainment, marketing and VAT. It should also exclude directly eligible project costs such as travel and subsistence, equipment and sub-contracts that can be claimed directly as part of the project costs. However it may include some facilities and the proportionate use of home as a workplace.
An upper overhead limit of 100% is expected for micro organisations, but we would normally expect a micro-organisation to have a significantly lower percentage than this. All other standard cost headings are calculated in the normal way including capital expenses and depreciation where a utilisation estimate is required. Sole traders and partnerships must use the standard Industry Partner Finance Form when making applications to the Technology Programme. Limited Companies with fewer than 10 employees Very small companies are treated as normal industry partners. Their inclusion in this guidance is intended to clarify a number of accounting and cost issues and to set minimum revenue thresholds to ensure the viability of their participation and ability to exploit the results of the project. Micro-companies must be able to show how the balance of the project costs will be funded. This can be through revenue generation from commercial operations or from financing operations such as equity investment or loans. This revenue total should not include grant income from any other project but could include sub-contract fees from a project that it is not participating in as a collaborator, or work carried out for public sector organisations on a commercial or contractual basis. Non project related annual revenue, reserves, loans and investment must be at least that of their total eligible annual costs of the project (including any grant sought). At the end of each project year, the micro-company must supply a letter from their accountant to verify that revenue generation from commercial operations, reserves, loans and investment outside of the project continue to satisfy the requirement of being at least that of their eligible project costs. Should this revenue drop below the threshold, the Technology Programme may withdraw support for the organisation and encourage the project to source the contribution elsewhere. Labour rates can only be calculated on the basis of salaries actually paid out. Remuneration through profit related pay, dividends, shares, share options or any form of good-will contribution to the company is not a direct cost and cannot be included in the calculation of labour rates. For example, companies that pay directors a salary of 5k and use dividend payments for the remainder of the remuneration package (for personal tax liability reasons) can only include a daily labour rate based on the 5k salary (i.e. 22 per day
Appendix 6
Information security & confidentiality 1 Electronic submission of application documents The electronic submission of applications uses https, which encrypts and decrypts the requests and information between the applicants browser and the server to which applications are submitted, using a Secure Socket Layer (SSL). SSL allows an SSL-enabled server to authenticate itself to an SSLenabled client and vice versa, enabling the machines to establish an encrypted connection. 2 Assessor confidentiality and potential conflicts of interest Assessors are required to sign confidentiality agreements and to declare any potential conflicts of interest. They are required to treat applications in strict confidence. Assessors are engaged as individuals, not as representatives of their employer or any other entity. They are required to carry out the assessments themselves and not ask someone to assess an application in their place. They must not ask anyone to give another opinion of their assessment. 3 Open Government and Freedom of Information Access to information held by or on behalf of the Technology Strategy Board and the Research Councils is governed by the Freedom of Information Act. Any requests for information received by the Technology Strategy Board in relation to the Programme will be administered accordingly. Under Exemptions Sections 43 and 44 of the Act, certain information will be exempt from disclosure for reasons of commercial confidentiality, unless there is an overriding reason why it is in the public interest to disclose it. 4 Data Protection Act 1998 The information that Applicants provide on the Application Forms will be used in the processing of all aspects of the relevant application. This will include recording on the in-house and the Programme Managers processing computer and management information systems, and in the preparation of material for applicants and for use by the assessment panels. In addition, information may be used in the generation and collation of output and performance indicators and other management statistics. It may also be used in policy and strategy studies to inform management in carrying out the
business of the Technology Strategy Board and in improving the business processes. Any queries on issues relating to the Data Protection Act should be addressed to Technology Strategy Board, Block B, North Star House, North Star Avenue, Swindon SN2 1JF. 5 Information provided to other co-funding bodies Information provided to the Programme as part of the application process will be passed to co-funding bodies as appropriate. All co-funding bodies will treat this information in strict confidence. 6 Information released into the public domain by the Programme on confirmation of project funding The project title and abstract of all projects that are funded will be placed in the public domain. The names of the project partners, project costs and amount of grants and key contact details would be expected to be included also, but the Technology Programme will respect the wishes of partners if they notify the Technology Programme that they do not want all information disclosed. Additional information submitted in the applications is not made public at this time. 7 Information released into the public domain during, on completion and after the project lifecycle The sponsors of the Programme are keen to see academics publishing the findings of their research. However this must be done in the manner agreed in the projects Collaboration Agreement. The Technology Programme reserves the right to use any project as a case study to publicise the Programme and the benefits of collaborative working. Projects will be required to provide publicity material annually during the life of the project. Publicity material will be agreed with consortia members before release.

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Technology Strategy Board

SUCCEEDING THROUGH INNOVATION

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Business to Business Collaborative R&D

BASB2B APPB2B EXPB2B BASS2B APPS2B EXPS2B

Science to Business Collaborative R&D

Further information on the definition of a SME is available at

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Application Form Deadline Deadline for submission: Noon 14 February 2008

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Project title Project timescales

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Lead organisation contact details Annexes

Financial the Table

Other funding from public sector bodies

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2. What is innovative about this project?

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Annex Annex A Up to two sides of A4 Annex B Up to five sides of A4

Annex C Half a side of A4 for each partner and subcontractor

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Worksheet Form Status

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Worksheet Other Public Funding

Overhead Rate (optional) Materials Costs

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Worksheet Capital Equipment Costs

Sub Contract Costs

Travel & Subsistence Costs Other Costs

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Eligible Costs Amount 20,000

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