guidance for applicants autumn 07 phase 1 v1

8/2/2019 Guidance for Applicants Autumn 07 Phase 1 v1

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Technology Strategy Board

SUCCEEDING THROUGH INNOVATION

Guidance for Applicants

Autumn 2007 Competition for Funding forCollaborative Research & Development Projects

Phase 1

THE TECHNOLOGY PROGRAMME


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Guidance for Applicants: Autumn 2007: Phase 1

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Contents

1 Introduction 3

1.1 The Programme 3

1.2 Collaborative Research & Development 3

1.3 A summary of the application process and timeframe 4

1.4 Obtaining feedback 6

2 Funding 8

2.1 What are the sources of funding? 8

2.2 What levels of funding are available? 8

2.3 What do I do if my project spans more that one category ofresearch? 9

3 How to apply 11

3.1 Is my project eligible for funding? 11

3.2 What Forms do I need to submit? 11

3.3 How do I complete the Expression of Interest Form? 14

3.4 How do I complete the Application Form? 16

3.5 How do I complete the gateway and criteria sections of the Forms? 193.6 What are the requirements for the Annexes to the Application

Form? 28

3.7 How do I complete the Industry Partner Finance Form? 29

3.8 What happens after I have submitted my Forms? 32

4 Assessments 35

4.1 Introduction 354.2 The Assessors 35

4.3 The Expression of Interest review process 35

4.4 The Application Form assessment process 36

5 Further information 38

Appendix 1 Eligible costs and Collaboration Agreement 39

Appendix 2 Guidance on submitting academic partner financialinformation 44

Appendix 3 Guidance on the use of STFC facilities 46Appendix 4 Guidance for Research and Technology Organisations 48

Appendix 5 Guidance for Sole Traders, Partnerships and Micro-

Companies 51

Appendix 6 Information security & confidentiality 55


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1. Introduction

1.1 The Programme

The Technology Programme (the Programme) is a cross-Governmentinnovation initiative, directed by the business-led Technology StrategyBoard. Its purpose is to provide funding to facilitate further investmentin science, engineering and technology with the active participation ofbusiness and industry. Applications for funding from the Programmeare invited through competitions addressing specific technologypriorities identified by the Technology Strategy Board as being ofcritical importance to the growth of the UK economy. Furtherinformation on the Technology Strategy Board and the TechnologyProgramme 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 termindustry, which is used in its widest sense to include both services andmanufacturing.

1.2 Collaborative Research & Development

This document provides guidance for applicants for funding from theTechnology Programme for Collaborative Research & Developmentprojects.

The objective of Collaborative Research & Development is to assist theindustry 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 thelatest knowledge and thinking from the UKs science, engineering andtechnology base to business. The Programme supports threecategories of research.

Pure or Oriented Basic Research

This encompasses both experimental or theoretical work undertakenprimarily to acquire new knowledge of the underlying foundations ofphenomena and observable facts, without any particular application oruse in view. Funding support will favour Oriented Basic Research overPure Basic Research. By Oriented Research we mean research carriedout with the expectation that it will produce a broad base of knowledge


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likely to form the background to the solution of recognised or expectedcurrent 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 orobjective. This type of research may involve the creation of a project totake forward the results of a Basic Research programme.

Experimental Development

This encompasses systematic work, drawing on existing knowledgegained from research and practical experience, that is directed toproducing new materials, products and devices; or to installing newprocesses, systems and services; or to improving substantially thosealready produced or installed.

1.3 A summary of the application process and timeframe

This Guidance document applies to Phase 1 of the Autumn 2007 Competitionfor Funding for Collaborative Research & Development projects. If you areapplying for funding from other Phases of the Autumn 2007 competition orother competitions, please refer to the guidance for that specific Phase orcompetition.

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 previouscompetitions and is intended to offer more opportunity for applicants todiscuss 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 areinvited to do so following the review of the Expression of InterestForms).


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The Expression of Interest Forms submitted will be reviewed, with onlythe highest ranking applications being invited to submit an ApplicationForm.

The Application Forms submitted will then be assessed, with thehighest ranking applications recommended to the Technology StrategyBoard for funding.

The competition opens on 8th November 2007. The process andtimeline are outlined in the following table. The stated deadlines mustbe met or your application will be rejected.Further details of theprocess are provided in Section 3.

Required actions

Submission of Expression of Interest Form Deadline: Noon 11th

January 2008

Applicant Briefing. (This must be attended byat least one member of your consortium)*

30th January 2008 (morning session)

Submission of Application Form and Academic

and Industry Partner Finance Forms *Deadline: Noon 14

thFebruary 2008

* Only applies if you are invited by the Technology Strategy Board to submit an Application Formfollowing the submission of your Expression of Interest Form. You will be notified of this by 21

st

January 2008.

Applicants invited to submit an Application Form will be notified whether their application hasbeen successful by 3

rdApril 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 dateof issue of the Offer Letter and your project must commence within 6 months of theacceptance of offer date. A Collaboration Agreement will also need to be agreed and signedby 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 ofpublic sector support, you must contact the Technology Programme Helplineon 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 beaccepted. Applications for funding of 5 million or less from the Programmedo not need to contact the Helpline. Applications for funding in excess of 5million (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 InterestForm by noon on 11th January 2008.


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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 theTechnology Strategy Board team if you would like the opportunity to discussyour application in more detail.

A compulsory Applicant Briefing will be held on the morning of 30th January2008. Note that applicants invited to submit an Application Form mustensure that at least one member of their consortium attends this compulsorybriefing if they wish to submit an Application Form. This briefing cannot beattended by Applicants who have not been invited to submit an ApplicationForm. The briefing will be followed by an optional clinic session in theafternoon, where you will be able to book one-to-one meetings withmembers of the Technology Strategy Board team if you would like theopportunity to discuss your application in more detail.

There are several points during the application process where you areable to obtain feedback on your application. A summary is providedbelow. Further details are provided in Section 3.

Feedback on Expression of Interest Form

You may, if you wish, submit a preliminary Expression of Interest Formby noon 30th November 2007 if you would like to receive feedback onyour 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 beprovided to you via the Programme website by 10th December2007;

you then have the option to discuss this feedback with a member ofthe Technology Strategy Board team by phone during the period11th 13th December. You will need to book a time for a telephonecall via the Programme website;

you may also attend the clinic session on the afternoon of 19thDecember 2007 if you would like a meeting with a member of theTechnology Strategy Board.

All Applicants will receive feedback on their final Expression of InterestForm when they are notified whether they have been invited to submit


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an Application Form. If you are invited to submit an Application Formand would like the opportunity to discuss your feedback:

you have the option to discuss this feedback with a member of theTechnology Strategy Board team by phone during the period 22nd 24th January. You will need to book a time for a telephone call viathe Programme website.

you may wish to attend the clinic session on the afternoon of 30thJanuary 2007 for a face-to-face meeting with a member of theTechnology Strategy Board.

Feedback on Industry Partner Finance Forms

Each industry partner has the option to submit their Finance Form forreview prior to submitting the final version. If you wish to do this youmust submit the Form between 10th December 2007 and 7th February2008. You will be able to obtain your Finance Form from your leadpartner. Once you have this Form you can upload it for review bysigning into the Programme website and navigating to the FinanceForm Review area of the website, where specific guidance on how toupload the Form is provided. You will then receive comments on yourForm from the Technology Strategy Board via email within four workingdays. You may repeat this process as appropriate up until 7th February2008.

Note that it will still be necessary for the lead partner to submit the finalversion of each Industry Partner Finance Form together with the other

Finance Forms as described above by the deadline of noon 14thFebruary 2008.

Optional actions

Submission of preliminary Expression ofInterest Form for feedback prior to finalsubmission

Deadline: Noon 30th

November 2007

Attendance at optional Applicant Briefing andclinic

19th

December 2007

Attendance at optional clinic * 30th

January 2008 (afternoon session)

Submission of Industry Partner Finance Formfor feedback prior to final submission

10th

December 2007 7th

February 2008

*Only applies if you are invited by the Technology Strategy Board to submit an Application Formfollowing the submission of your Expression of Interest Form.


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2. Funding

2.1 What are the sources of funding?

As a general rule, the Technology Strategy Board is the primary funderof this Programme. The Research Councils act as co-funders forspecific competitions and technology priority areas where these are ofdirect 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. Detailsof the co-funders for each specific technology priority are provided inthe PDF documents for each technology priority, available on theTechnology Programme website.

2.2 What levels of funding are available?

The levels of funding available from the Programme for CollaborativeResearch & Development projects are summarised in the followingtable. Total funding from public sector bodies cannot exceed the limitsin the table.

Type of project Research category Referencecode

Fundinglevel as a %of eligibleproject

costs

Business to BusinessCollaborative R&D

Basic Research

Applied Research


BASB2B

APPB2B

EXPB2B

50%

50%

25%

Science to BusinessCollaborative R&D

Basic Research

Applied Research


BASS2B

APPS2B

EXPS2B

75%

50%

25%

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 EconomicCosts and no industry partner (except a SME see below) can befunded for more than 50% of its eligible project costs. Within that


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scope, and the applicable funding level for the project, it is up to theconsortium to decide how the funding is allocated among the projectpartners. Details of Eligible Project Costs are provided in Appendix 1of 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 bodiescannot exceed the limits provided in the previous table. To be classifiedas 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 sheettotal of less than or equal to 43 million.

Further information on the definition of a SME is available athttp://ec.europa.eu/enterprise/enterprise_policy/sme_definition/index_en.htm.

Additional guidance for sole traders, partnerships and micro-companieswith fewer than 10 employees is provided in Appendix 5 of thisdocument.

Research and Technology Organisations (RTOs) can operate as eitherindustry or academic partners within Collaborative Research &Development projects subject to the conditions described in Appendix4. In addition, there are certain functions that an RTO can undertakethat are deemed to be for the benefit of the wider community as awhole. The implications of these roles for RTOs and overall projectfunding within the context of the Technology Programme are

addressed in Appendix 4 of this document.

Science and Technology Facilities Council facilities are available forTechnology 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 thesefacilities for your project and how to include these in your application isdetailed in Appendix 3 of this document.

2.3 What do I do if my project spans more than one category ofresearch?

The work packages in a project might not all represent the samecategory of research, i.e. some may be Applied Research, some BasicResearch or some Experimental Development. You should identifywhich work packages in your project fit within each category ofresearch. You should then:


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3. How to apply

3.1 Is my project eligible for funding?

To be eligible for funding your project must:

address the specific requirements of one of the technology prioritiesin the current competition for funding. Details of the requirementsfor each of the technology priorities are provided in PDF documentsfor each technology priority. These are available on theProgrammes website;

be based on research conducted in the UK;

involve two or more collaborators located in the UK, at least one ofwhich 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 toBusiness), or from industry and the science, engineering andtechnology base (Science to Business);

be industry driven and have a significant proportion of UK industryparticipation and commitment.

In addition, you must be able to demonstrate how funding from theProgramme for your project will add value (see Section 3.5 of thisdocument).

3.2 What Forms do I need to submit?

A summary of the Forms that you need to submit is provided in thefollowing tables. To obtain an Expression of Interest Form you mustsign-up / sign-in to the website and navigate to the Autumn 2007Competition area of the website, where instructions for requesting anExpression of Interest Form will be provided. Please note that if youwish to apply for funding for more than one project, you must requestan Expression of Interest Form for each project.

Examples of all of the Forms are provided on the website. However, tosubmit a Form, you must use the Form provided for you via the websitewhich will contain the specific details of your project, including a uniquereference number which will be used for the project throughout theapplication and assessment process.


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Expression of Interest Form

Deadline Guidance

Deadline for submission:

Noon 11th

January 2008

One Expression of Interest Form must be submitted for eachapplication by the lead organisation. Failure to submit this Formby the deadline will mean that your application is rejected.Guidance on how to complete the Expression of Interest Form isprovided in Section 3.3.

The Expression of Interest Form must be submitted on-line viathe Programmes website where instructions on how to submitthe Form are provided. Once you have submitted yourExpression of Interest Form to the website it is possible toupdate it by resubmitting it, as many times as required, up untilthe deadline. You are encouraged to submit your Expression ofInterest 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 Guidance


Noon 30th

November2007

This is optional and provides you with the opportunity to obtainfeedback on your Expression of Interest Form before you submityour final Expression of Interest Form. The Form is the same asthe final Expression of Interest Form and the guidance providedin Section 3.3 applies. The Form must be submitted on-line bythe lead organisation via the Programmes website where

instructions on how to submit the Form are provided. Once youhave submitted your Expression of Interest Form to the websiteit is possible to update it by resubmitting it, as many times asrequired, up until the deadline.

Feedback on preliminary Expression of Interest Forms will beprovided via the Programme website by 10

thDecember 2007.

You have the option to discuss this feedback with theTechnology Strategy Board team by telephone during the period11

th 13

thDecember. You will need to book a time for a

telephone call via the website. You may also attend the clinic onthe afternoon of 19

thDecember 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 ofInterest Form following the receipt of feedback, then the Formyou have submitted will be accepted as your final version. Ifhowever you wish to make revisions to the Form, you mustensure that you submit your final version of the Form by thedeadline of noon 11

thJanuary 2008. You are encouraged to

submit your revised Form before this deadline and to up-date itand resubmit it as often as is required before the deadline.


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Application Form

Deadline Guidance


Noon 14th

February 2008

This can only be submitted if you are invited to submit anapplication by the Technology Strategy Board following thereview of your Expression of Interest Form. One ApplicationForm with the required Annexes must be submitted for eachapplication by the lead organisation. Failure to submit yourApplication Form and Annexes by the deadline will mean thatyour application will be rejected. Guidance on how to completethe Application Form and Annexes is provided in Sections 3.4 3.6 of this document.

The Application Form and Annexes must be submitted on-linevia the Programmes website where instructions on how tosubmit the Form are provided. Once you have submitted your

Application Form to the website it is possible to update it byresubmitting it, as many times as required, up until the deadline.You are encouraged to submit your Application Form well beforethe deadline and to up-date it as required by resubmitting beforethe deadline.

Finance Forms

Academic Partneron-line Finance Form:

Standard Proposal *


Noon 14th

February 2008

This is an on-line Form which must be completed and submittedvia the Research Councils Joint electronic Submissions (Je-S)

website by each academic partner. The on-line Form is thenautomatically forwarded by the Je-S system to the TechnologyProgramme. Guidance on how to submit the on-line Form isprovided in Appendix 2 of this document and on the Je-Swebsite at https://je-s.rcuk.ac.uk.Once Forms have beensubmitted via Je-S it is not possible to resubmit them. A one-page Justification of Resources should be submitted as anattachment to the Je-S application. In this document applicantsshould describe the need for the resources they are requesting.You will need to provide the summary information from the Je-SForm to your lead partner, so that they can complete the financetable in the Application Form.


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Finance Forms (continued)

Industry Partner

Finance Form *


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 leadpartner who will obtain it from the Programme website. Oncecompleted, each of these Forms should be collected and thensubmitted on-line by the lead partner. Guidance on how tocomplete the Industry Partner Finance Form is provided inSection 3.7. Guidance on how to submit Industry PartnerFinance Forms is provided via the Technology Programmewebsite. Once you have submitted an Industry Partner FinanceForm 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 wishto do this you must submit the Form between 10th

December2007 and 7

thFebruary 2008. Once you have this Form you can

upload it for review by signing into the Programme website andnavigating 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 theTechnology Strategy Board via email within four working days.You may repeat this process as appropriate up until 7

thFebruary

2008.

Note that it will still be necessary for the lead partner to submitthe final version of each of the Industry Partner Finance Formsas described above by the deadline of noon 14

thFebruary 2008.

* Finance Forms must be submitted for every partner in the consortium, even if they are notseeking 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 youvia the Technology Programme website which will contain specificinformation on your application including a unique referencenumber. The Form must not be altered, converted or renamed.

The Expression of Interest Form contains specific fields and it isimportant that you complete each field. Incomplete Forms risk beingrejected.

The space given in each field of the Form is fixed and you mustrestrict the content of your responses in each of the fields to the


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space provided. The typeface, font size and colour arepredetermined and cannot be changed. Illustrations and graphicscannot be included.

The fields shaded light grey are completed automatically from otherinformation 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 fieldof the Expression of Interest Form.

Expression of Interest Form Guidance

Field Guidance

Technology priority This field will show the technology priority that you selected

when you requested an Expression of Interest Form via thewebsite. It is not possible to change your selected technologypriority at this stage. If your application spans more than onetechnology priority you should refer to this in your response tothe gateway question Does the application align with thespecific technology priority?

Project title Enter the title of the project. Please ensure that the project titlefits within the space provided. The inclusion of an acronym as ashort-form of the title is encouraged.

The title will be used for the project throughout the applicationand assessment process and ideally should not be changed. It

will be entered on the Programmes database and will appear onany Offer Letter that might be issued by the TechnologyStrategy Board on behalf of the Programme.

Project timescales Enter the estimated start date of the project and its plannedduration in months.

Reference code Select the appropriate code. Reference codes are provided inthe table in Section 2 of this document.

Note: It is important to ensure that the code selected isconsistent with the funding level being sought and thedescription of the proposed project work. If the assessors judge

that it is not consistent your application risks being rejected. It isalso important to note that not all technology priority areas inviteapplications for all categories of research, i.e. Basic Research,Applied Research and Experimental Development. It istherefore important to refer to the PDF document for thetechnology priority to which your project applies, to identify theapplicable category or categories of research for that technologypriority.


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Expression of Interest Form Guidance (continued)

Field Guidance

Lead organisation name Enter the name of the lead organisation for the project.

Note: The lead organisation can either be an industry partner oran academic organisation, but the project must demonstrate thatit is industry driven and has industry commitment and thereforethe lead partner is in general expected to be an industryorganisation. The lead organisation will be the main point ofcontact between the Programme and the consortium.

Lead organisationcontact details

Enter the name, telephone number and email address of themain contact at the lead organisation.

Abstract of proposedproject

Provide a short summary of the content and objectives of theproject.

Gateway and Criteriasections

Specific guidance on completing these sections is provided inSection 3.5 of this document.

Financial the Table Complete the table with reference to the specific notes providedwith the table. The information provided in this table must beconsistent with the information provided in the Academic andIndustry Partner Finance Forms.

Note: Failure to complete this table accurately andcomprehensively will mean that your application risks beingrejected.

Feedback This page is not for completion by applicants. It will be used toprovide 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 theTechnology Programme website which will contain specificinformation on your application including a unique referencenumber. The Form must not be altered, converted or renamed.

The Application Form contains specific fields and it is important thatyou complete each field. Incomplete Application Forms risk beingrejected.

The space given in each field of the Form is fixed and you mustrestrict the content of your responses in each of the fields to thespace provided. The typeface, font size and colour arepredetermined and cannot be changed. Illustrations and graphics


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cannot be included in the Application Form, although they may beincluded in the Annexes.

The fields shaded light grey are completed automatically from otherinformation 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 theApplication Form. The requirements for these are provided inSection 3.6.

The following table provides guidance on the completion of each fieldof the Application Form.

Application Form Guidance

Field Guidance

Technology priority This field will show the same technology priority as for theExpression of Interest Form. It is not possible to change yourselected technology priority at this stage. If your applicationspans more than one technology priority you should refer to thisin your response to the gateway question Does the applicationalign with the specific technology priority?

Project title Enter the title of the project.

Project timescales Enter the estimated start date of the project and its planned

duration in months.

Reference code Select the appropriate code. Reference codes are provided inthe table in Section 2 of this document.

Note: It is important to ensure that the code selected isconsistent with the funding level being sought and thedescription of the proposed project work. If the assessors judgethat it is not consistent your application risks being rejected. It isalso important to note that not all technology priority areas inviteapplications for all categories of research, i.e. Basic Research,Applied Research and Experimental Development. It istherefore important to refer to the PDF document for thetechnology priority to which your project applies, to identify theapplicable category or categories of research for that technologypriority.


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Application Form Guidance (continued)

Field Guidance

Lead organisation name Enter the name of the lead organisation for the project.

Note: The lead organisation can either be an industry partner oran academic organisation, but the project must demonstrate thatit is industry driven and has industry commitment and thereforethe lead partner is in general expected to be an industryorganisation. The lead organisation will be the main point ofcontact between the Programme and the consortium.

Lead organisationcontact details

Enter the name, telephone number and email address of themain contact at the lead organisation.

Annexes Confirm that you are submitting the required number of Annexeswith your Application Form.

Note: The specific requirements for Annexes are provided inSection 3.6 of this document. Applications that do not includethe required number of Annexes risk being rejected.

Abstract of proposedproject

Provide a short summary of the content and objectives of theproject including what is innovative about the project.

Gateway and Criteriasections

Specific guidance on completing these sections is provided inSection 3.5 of this document.

EUREKA or ERA-NETprojects

If, under this application, you are applying for funding for aEUREKA or ERA-NET project, you should enter the name of themain UK participant of the project as the Lead Organisation onthe Application Form.

Financial the Table Complete the table with reference to the specific notes providedwith the table. The information provided in this table must beconsistent with the information provided in the Academic andIndustry Partner Finance Forms.

Note: Failure to complete this table accurately andcomprehensively will mean that your application risks beingrejected.

Other funding frompublic sector bodies

If you have one or more entries in column 4 of the finance table,please provide the additional information in this section asdetailed on the Application Form.

Feedback This page is not for completion by applicants. It will be used toprovide you with feedback on your application.


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Criteria questions

There are three criteria:

Criterion 1: The UKs capacity to develop and exploit the technology

Criterion 2: The size of the market opportunityCriterion 3: Potential impact and timescale

Each of these criteria has three specific questions. These are listed inthe following tables with Guidance Notes for each. When you submityour Application Form, your application will be assessed according toits ability to meet these criteria and the specific questions for each ofthe criteria. Each of the criteria will be scored by the assessors out of atotal of 30 points (10 points for each question). The guidance notes foreach question are not intended to be exhaustive. Applicants areexpected 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 asubset of these criteria. The specific questions you are required to addressare indicated on the Expression of Interest Form and are:

Question 1 What technical approach will be adopted and how will the projectbe managed?

Question 2 What is innovative about this project? This question will also beof interest to the Research Councils who will be looking for aninitial indication of which projects are of high scientific potentialand align with their strategies.

Question 4 What is the size of the market opportunities that this projectmight open up?

Question 6 What are the expected quantified commercial benefits and whatis the timescale over which these will be realised?

Please note that it is important that you address these specific questions inthe boxes provided for each of these questions as your Expression of Interestwill be reviewed against how it addresses each of these questions.


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Criterion 1: The UKs capacity to develop and exploit the technology

Question Guidance

1. What technicalapproach will beadopted and howwill the project bemanaged?

Applicants should provide an overview of the technical approachincluding the main objectives of the work and methods to be employedto deliver the overall project results, supported by further detail inAnnex 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 projectand are the innovative steps achievable through the proposedapproach?

Note: On submission of the Application Form the assessors will alsoconsider:

is the project plan sufficient in comparison to the complexity of theproject? For example, is there sufficient detail to understand thetasks involved and the resources required?

is the timing of key milestones realistic?

have the applicants demonstrated sufficient resource commitmentand capability to undertake the project?

are clear management reporting lines identified?

2. What isinnovative aboutthis project?

Applicants should identify the extent to which the project is innovative.For example, does it push boundaries over and beyond currentleading-edge world science and technology, or is it looking to applyexisting technologies in new areas? The timeliness and novelty of theresearch aspects of the project should be highlighted and explained inan industrial and/or academic context.


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Criterion 1: The UKs capacity to develop and exploit the technology (continued)

Question Guidance

3. Does the

consortium havethe right skills andexperience todeliver theidentified benefits?

Applicants should detail the track record of the consortium members in

undertaking and exploiting the results of research and developmentprojects, 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 andexperience to deliver the project successfully?

are the consortium formation objectives clear and would it havebeen 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 providedetails of the specific expertise and track record of each consortiumpartner and each subcontractor. This might, for example, include asummary of the results and conclusions of the applicants recent workin the technology area covered by the project.

Criterion 2: The size of the market opportunity

Question Guidance

4. What is the sizeof the marketopportunities thatthis project mightopen up?

Applicants should describe the size of the market opportunities thatthis project might open up including details of:

the current nature of the specific market(s) at which the project istargeted (e.g. is it characterised by price competition amongstcommoditised suppliers, dominance by a single leading firm etc.);

the dynamics of this market;

the projected scale of the market (including details on therobustness of this projection);

the potential to create value added for the UK and/or the

European Economic Area (EEA).


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Criterion 2: The size of the market opportunity (continued)

Question Guidance

5. What are the

possibleapplications of thisproject and how doyou intend todisseminate andexploit the results?What IntellectualProperty (IP) willbe generated andhow will this beidentified andmanaged?

Applicants should demonstrate the potential for commercial

exploitation of the project, e.g. possible applications, markets,processes or products, and their arrangements for disseminating andexploiting the results of the project including identifying and exploitingany IP.

Applicants should include any methods of exploitation / protection, e.g.patents, trade secrets, being first to market etc. Applicants should alsoidentify whether exploitation potential exists if the project is notcompleted, i.e. part use of the results.

In evaluating this the assessors will also consider the followingquestions:

Basic Research. Have the applicants identified many potential

applications to a range of markets, processes or products? Doesthe consortium have good arrangements for identifying andexploiting potential applications?

Applied Research. Have the applicants identified a limited rangeof applications focusing on specific markets and marketopportunities, together with remaining technological integrationissues?

Experimental Development. Have the applicants identified theclear use and commercial exploitation of the projects results,together with clear routes to market based on product, process orservice developments?


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Criterion 2: The size of the market opportunity (continued)

Question Guidance

6. What are the

expectedquantifiedcommercialbenefits and whatis the timescaleover which thesewill be realised?

Applicants should identify, and where possible quantify, the expected

commercial benefits to each of the consortium partners, making itclear where the risk factors need to be applied. The timeframe overwhich these benefits are achievable will vary according to the stage ofthe research, and the assessors will expect the timescales identified tobe credible.

The level of detail to be provided by the applicants is expected to varyaccording to the stage of the research as follows:

Basic Research. Identify how the project will produce a broadbase of knowledge that will generate commercial benefits.

Applied Research. Identify the balance of commercial costs andbenefits.

Experimental Development. Quantify the market potential of theproject, including economic returns and profitability including arealistic Net Present Value (NPV).

Applicants should also explicitly identify any sustainability benefitsexpected to accrue to any of the consortium partners. Sustainabledevelopment balances economic growth with the protection of theenvironmental and social impacts.

In detailing the potential sustainability benefits to the consortiumpartners, applicants should consider the following questions:

is it anticipated that the project will improve the energy efficiencyof 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 anyof the consortium partners?

will the project lead to lower use of inputs to production, lowerscrap rates etc. by any of the consortium partners?

Applicants should also identify whether the project will have an impacton the performance of the consortium partners, in the context of thesethree questions, compared with other similar organisations.


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Criterion 3: Potential impact and timescale

Question Guidance

7. What economicand sustainabilitybenefits is theproject expected todeliver to thoseoutside theconsortium andover whattimescale?

Applicants should identify any economic and sustainability benefitsthat are expected to accrue to those outside the consortium.

In terms of economic benefits, applicants should highlight anyexpected spillover benefits external to the project, e.g. benefits tousers (intermediaries and end users), suppliers, industrial markets andthe UK. The application should identify and quantify where possiblethe benefit to each of the beneficiaries, making it clear where the riskfactors need to be applied.

Sustainable development balances economic growth with theprotection of the environmental and social impacts. Applicants shouldidentify any expected social impacts, either positive or negative, on, forexample, the quality of life, social inclusion / exclusion, health and

safety, diversity, and any expected impact on Government prioritiessuch as transport congestion and healthcare.

In detailing potential environmental benefits, projects should considerthe following:

what are the potential environmental impacts of undertaking theproject on those outside the consortium, and how significant arethey relative to the economic benefits? Detail the full range ofpotential environmental benefits such as increased energyefficiency, reduced waste generation, increased product life,increased suitability for re-use or recycling, reduced potential forenvironmental 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 credibleplans to mitigate negative impacts.


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Criterion 3: Potential impact and timescale (continued)

Question Guidance

8. What are therisks (technical,commercial andenvironmental) toproject success?How will thebusiness strategyof the consortium,the technicalapproach andprojectmanagement helpto mitigate these

risks?

The Technology Programme recognises that projects of this type areinherently risky, but seeks assurance that the projects it funds haveadequate arrangements for managing this risk. You should focus onyour arrangements for managing and mitigating risk and also considerkey individual risks as follows:

identify appropriate project management tools and mechanismsthat will be implemented to provide confidence that sufficientcontrol will be in place to minimise operational risk and, therefore,promote successful project delivery. This should include thearrangements for managing the consortium;

identify the key risks and uncertainties of the project and provide adetailed risk analysis for the project content and approach,including the technical, commercial, managerial and environmentalrisks as well as uncertainties associated with the project. The mainrisks should then be rated as High/Medium/Low (H/M/L);

state how the project would mitigate these key risks. Applicantsshould address all significant and relevant risks and theirmitigation. Assessors will need to be able to see that all relevantand significant risks have been identified and that actions tomitigate the risks have been identified and addressed as far aspossible. The Technology Programme is particularly interested inseeing evidence that the project is integral to the business strategyof the consortium partners.

When submitting the Application Form applicants may use Annex B toprovide this additional information.


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Criterion 3: Potential impact and timescale (continued)

Question Guidance

9. What is the

financialcommitmentrequired for theproject?

Applicants should indicate the anticipated project cost making clear

the level of contribution from consortium partners and the level offunding required from the Technology Programme. This should beprovided within the financial table in the Expression of Interest andApplication Forms, with supporting information and explanationprovided in this criteria section of the Form. It must be consistent withthe category of Research & Development being undertaken withineach 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 TechnologyProgramme fit within the limits set by the specific competition?

is a financial commitment from other sources demonstrated for thebalance of the project costs?

You should also include a detailed budget breakdown and cash flowprojection for the project duration, and indicate what accountingmethod will be used. Guidance on eligible and ineligible costs isprovided 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 theproject?

where appropriate, are capital and depreciation costs clearlyidentified, e.g. new equipment?

The space provided on the Application Form within each criterion field is notbroken down into pre-determined sub-sections for each of the questions. Thisis so that you are able to provide the specific amount of information for eachquestion that you consider to be appropriate for your application.

It is important, however, that the assessors are able to clearly identify whereand how you have addressed each question. The approach to this is notprescriptive and you should adopt the most appropriate approach for your

application. Suggestions on how your answers to each question can bepresented so that they can be clearly identified by assessors include one orboth of the following:

numbering the answers to each question in accordance with the numbersused for each criteria question;

using headings for the answer to each criteria question.


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3.6 What are the requirements for the Annexes to the ApplicationForm?

You are required to submit specific Annexes with your ApplicationForm. You may not submit Annexes with your Expression of InterestForm.

The Annexes must be uploaded on-line via the Technology Programmewebsite where instructions on how to do this are provided. So that theassessors of your Application are able to open and read the Annexesto 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 DocumentFormat (.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 colourshould not be used as the sole method of conveying importantinformation.

The specific requirements for the content of the Annexes are providedin the following table.

Annex Guidance

Annex A

Up to two sides of A4

This should be used to provide additional information toaddress Question 1: What technical approach will beadopted and how will the project be managed?

Annex B

Up to five sides of A4

This should be used to provide supporting information onyour application as appropriate, for example a Gantt chart.It may also be used to provide supporting information forQuestion 8: What are the risks (technical, commercial andenvironmental) to project success? How will the businessstrategy of the consortium, the technical approach andproject management help to mitigate these risks?

Annex C

Half a side of A4 for eachpartner and subcontractor

This should be used to provide details of the specificexpertise and track record of each consortium partner andeach subcontractor to address Question 3: Does theconsortium have the right skills and experience to deliverthe identified benefits?


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3.7 How do I complete the Industry Partner Finance Form?

You may only use the Industry Partner Finance Form that has beenobtained from the Technology Programme website and provided toyou by your lead partner. The form will have some data alreadyentered including the unique application reference number. TheForm must not be altered, converted or renamed.

The Industry Partner Finance Form is an Excel spreadsheet. Eachindustry partner completes their own Form for their own costs. Eachform should therefore not include the costs of any other partnerwithin the project. The following table provides guidance on thecompletion of each worksheet of the Finance Form.

Once completed, each Finance Form should be collected and thensubmitted 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 todo that in Section 3.3.

Worksheet Guidance

Form Status This worksheet indicates the status of your Form and providesthe essential information that you must provide the Lead Partnerwith for inclusion in the finance table of the main ApplicationForm.

The worksheet includes an automated completion checker

which notifies you when you have entered information into allthe 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 ofyour costs.

Guidance This worksheet contains information on which costs are eligibleand not eligible and other essential information. Please readthis page before completing the Form.

Applicant Details Enter the information requested about the company and theproject. It is particularly important that the name of the

organisation is completed with the full legal name of theorganisation as this is what will appear on the Offer Letter if youare successful.

There is a list of SIC codes on the final worksheet. If you are notaware of the correct one, consult this list and enter the mostappropriate code.


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Worksheet Guidance (continued)

Other Public Funding Provide details of other public funding that you are currentlyapplying for or have already applied for, for this project. Do notinclude grants that have been used to reach this point in the

development process and are now completed.

Other Projects Provide the TP numbers of all the Technology Programmeprojects your organisation has been involved with in the pastand any other applications you are making to this competition.

Labour Costs In the top section, complete the table to calculate the number ofworking days in each year. This is used to automaticallycalculate the day rate for each given salary. Note that sick daysare not eligible as part of the deduction.

For each individual within the project provide their gross salaryand the total number of days they will work on the project. The

cost is automatically calculated.The gross salary should include the employers NI, anycompany contributions to pension, life insurance or otherpackage 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 allstaff on that rate.

Two methods of declaring overheads are available. Applicantscan complete the Overhead Rate worksheet or provide their ownexplanation on this worksheet.

If you choose to provide your own working, provide equivalent

detail to that used in the Overhead Rate worksheet such that theTechnology Strategy Board can check the eligibility andappropriateness of all costs included in the calculation.

If you are claiming a rate that was approved in an existingproject, provide the TP number of that project and re-state thecalculation. There is no guarantee that the same rate will beacceptable.

Overhead Rate(optional)

This worksheet can be used to calculate your overhead rate.Complete the form using figures from your latest accounts.

Materials Costs Materials costs are those items that are consumed during the

project but that are not included in any general stores that mayform part of the overhead calculation.

Provide details of the items of materials, the quantity and itemcosts.


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Worksheet Guidance (continued)

Capital Equipment Costs Capital items are items that cannot be written off on purchase.

Provide details of the items, whether they are to be purchasednew 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. Forexample if a piece of equipment will only be used by and for thisproject then the utilisation is 100%. If it is to be shared withanother activity, then the utilisation will be the percentage of itstotal use by this project.

Sub Contract Costs Sub Contract Costs include work carried out by third partyorganisations that are not part of the project or the collaboration.

Provide details of the work to be sub contracted and the costs.

Travel & SubsistenceCosts

Provide estimates of the travel and subsistence costs involved inthe project.

Other Costs This worksheet can be used to include eligible costs that are noteasily described by any of the preceding worksheets.

Please check the guidance for lists of eligible costs but note thefollowing common mistakes:

project audit or legal costs are ineligible and should not beincluded;

IP protection costs are limited to 5,000 per partner and onlyallowable for SMEs;

chemicals, supplies etc. should be described underMaterials Costs.

RTOs wishing to carry out Wider Business Benefit Activities(WBBA) should also provide details and the costs of theseactivities on this worksheet.

Project Costs Summary The costs entered throughout the spreadsheet are automaticallytransferred to this worksheet.

Provide an estimate of how the costs will be spent across thefinancial years of the project.

Provide the amount of grant assistance sought from the

Technology Programme. This figure should not include anyamounts sought from other sources as detailed on the OtherPublic Funding worksheet

2003 SIC Codes A complete list is provided to assist you in completing this fieldon the Applicants Details worksheet.


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3.8 What happens after I have submitted my Forms?

You will receive an acknowledgement by e-mail from the Programmeconfirming receipt of each Form submitted via the TechnologyProgramme website. If you have not received confirmation within 24hours of submitting your Form please contact the Programme Helplineon 01355 272155.

During the assessment process you and/or the other partners in yourconsortium may be contacted by the Programme to seek further detailand clarification of certain aspects of your application, e.g. the eligibilityof project costs. This will not form part of the assessment of yourapplication and this information will not be provided to the assessors. Itwill be for the purpose of clarifying, if necessary, the details provided inyour Finance Forms, so that if your application is successful, anyunnecessary delays in issuing an Offer Letter are avoided. Beingcontacted for this information does not indicate either success or failure

in the assessment process.

Following the submission of the Application Forms the TechnologyStrategy Board may undertake financial viability checks on applicants.These are carried out as soon as possible after the Application Formsubmission deadline and are based on the latest independently auditedaccounts filed on the Companies House database. To ensure that thebest available information is used to make a judgement on the financialposition of an organisation, the accounts must have their period endwithin 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 ableto bear the cost of the additional research proposed over anextended period of time since grant payments are made inarrears of actual incurred sums expended.

2. To establish the organisation's ability to meet its currentobligations, whilst at the same time participate in thecollaborative research project.

3. To establish the organisation's balance between "internal" longterm funding and "external" funding.

4. To establish the project's impact on the organisation's normaltrading.

If an organisation fails one or more of the test criteria, or if specificratios cannot be worked out because of lack of turnover informationdue to abbreviated accounts, or if the applicant is not required to file itsaccounts with Companies House, then additional information may be


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requested directly from the applicant. This may be one or more of thefollowing:

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 ofInterest Forms you will be informed whether you are invited to submitan Application Form.

If you are not invited to submit an Application Form you will receivewritten feedback on the main reasons why you have not beensuccessful. This will be provided to the lead partner. No additionalfeedback will be provided.

If you are invited to submit an Application Form you will receive briefwritten feedback on your Expression of Interest Form which will beprovided to your lead partner. You will have the opportunity to discussthis feedback with a member of the Technology Strategy Board teamby phone during the period 22nd 24th January 2008. You will need tobook at time for a telephone call via the Programme website. You willalso have the opportunity to discuss your application at the clinics on

the afternoon of 30th January 2008 following the compulsory briefing inthe morning.

Following assessment of the Application Forms

Following completion of the assessment of the Application Forms youwill be informed whether your application has been successful, subjectto the final agreement of terms and conditions.

If your application is not successful you will receive written feedback onthe 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 detailand clarification of certain aspects of your application, e.g. the eligibilityof project costs, before confirming the terms and conditions of the Offerwith you in a formal Offer Letter. You will be required to accept ordecline the offer within two months from the date of issue of the OfferLetter and your project must commence within six months of the


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acceptance of offer date. If you do not return a signed copy of theOffer Letter to the Programme by the deadline, the Offer will bewithdrawn and funding will not be provided, unless an extension to thedeadline has been previously formally agreed in writing with theProgramme.


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4. Assessments

4.1 Introduction

The process to seek funding support from the Programme is

undertaken using a competitive application process. It follows anefficient, streamlined process, which ensures quick responses toapplicants within a stated timeframe whilst meeting probityconsiderations and the objectives of the overall initiative. Theassessment process is transparent and managed at arms length fromthe Programme funders. The assessment criteria are available toapplicants and feedback is available to those that are unsuccessful insecuring funding from the Programme.

4.2 The Assessors

Independent Assessors are appointed by the Programme for eachcompetition for funding. The Programme preserves Assessoranonymity and the names of the Assessors will not be provided toApplicants.

All Assessors are required to sign confidentiality agreements and todeclare any potential conflicts of interest and they are required to treatapplications in the strictest of confidence.

Assessors are engaged as individuals, not as representatives of theiremployer or any other entity. They are required to carry out the

assessments themselves and not ask anyone else to assess anapplication in their place nor ask anyone to give another opinion of theirassessment.

All Assessors are required to attend formal assessment briefingworkshops held by the Programme in order to be qualified to undertakeassessments 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 closingdate for submission.

Each Form is reviewed against the same set gateway and criteriaquestions.

Each Reviewer is required to submit their comments for eachapplication they are assigned to review.


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Following the individual reviews, a Panel meeting is held for eachtechnology priority area where the Panel discusses all Expressionof Interest Forms submitted and agrees a ranked list of all theExpressions of Interest in their technology priority area.

The Panel then agrees any comments and/or advice that will befed back to Applicants, which are inserted on the final page ofeach Expression of Interest Form before it is made available to itsApplicants. All draft comments not agreed by the Panel are thendestroyed.

The Panel will also decide which Applicants will be invited tosubmit an Application Form. To achieve this, the Panel isrequired to only invite viable applications in strict order from thetop of the ranked list until no more than 200% of the fundingallocated 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 generateofficial feedback to applicants.

All Panel Reports and ranking sheets are confidential and will not beavailable to anyone other than the Technology Strategy Board, theProgrammes co-funders and the Programme contractors.

The review process for the optional preliminary Expression of InterestForms submitted for review by 30th November for feedback prior tosubmitting the final Expression of Interest Form (see Section 1.4), willfollow the same process as above, although the Panel will provide

feedback only and will not at that stage agree a ranked list nor decidewhich 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 closingdate 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-sheetfor each application they are assigned to assess.

Once the score-sheets have been submitted, the projects withineach technology priority area are ranked according to their scores.


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Following the individual assessments a Panel meeting is held foreach technology priority area, where Assessors agree appropriatefinal scores for all the applications. The applications are thenranked according to their final scores.

The conclusions of this meeting are recorded in a Panel Report,which recommends a ranked list of applications that theassessment panel considers could be funded by the Programme.The report forms part of the audit process and is used to generateofficial feedback to applicants.

All Panel Reports, score sheets and final ranking sheets areconfidential and will not be available to anyone other than theTechnology Strategy Board, the Programmes co-funders and theProgramme contractors.


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5. Further Information

For further information on the Programme and the application andassessment process:

the Programme websitehttp://www.technologyprogramme.org.ukprovides comprehensive information on the Programme including alist of Frequently Asked Questions. Note that it is necessary to sign-up / sign-in to the secure part of the website to access some of theinformation;

the Programmes Helpline can address your specific queries eitherby telephone on 01355 272155 or by email [email protected];

the Applicant Briefings provide further information on the

competition, such as the assessment criteria and how to apply. SeeSection 1.3 and the Programme website for further details. Notethat applicants invited to submit an Application Form must ensurethat at least one member of their consortium attends thecompulsory applicant briefing on the morning of 30th January 2008 ifthey wish to submit an Application Form;

the optional clinics provide an opportunity for applicants to discusstheir applications. Note that clinic on the afternoon of 30th Januarymay only be attended by applicants who are invited to submit anApplication Form following the review of their Expression of InterestForm;

optional telephone feedback is also available. If you havesubmitted a preliminary Expression of interest Form by noon 30thNovember 2007 so that you can receive feedback before submittingthe final version, you have the option to discuss your feedback witha member of the Technology Strategy Board team by phone duringthe period 11th 13th December. You will need to book a time for atelephone call via the Programme website. Following thesubmission and review of the final Expression of Interest Forms andif you are invited to submit an Application Form, you have the optionto 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 Programmewebsite.


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Appendix 1

Eligible costs and Collaboration Agreement

If you are unclear how to record your likely costs you should contact theProgrammes Helpline. The cost estimate must include the costs for the totalproject, i.e. all parties/partners involved in the project. Technology Programmefunds are paid on the basis of audited actual eligible costs incurred anddefrayed.

Academic Partners

All academic partners must calculate their project costs on the basis of FullEconomic Costs (FEC) as defined by the Research Councils. Technology

Programme funding for successful projects will be provided at 80% of FullEconomic Costs, in line with Research Council funding. All academic partnersmust use the Research Councils Joint electronic Submissions (Je-S) systemto calculate and submit their financial information. Project costs should becalculated at year one levels without indexation. Indexation will be added toacademic costs by the Technology Programme sponsors.

The remaining 20% of FEC costs do not constitute a contribution to the projectby the academic partner and must not be included in any total project costsprovided by the academic partner. Further, it is not allowable for any otherpartner 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 anyway.

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 theCharities Commission; or

Associations that are eligible for exemption from corporation tax undersection 508 of the Income and Corporation Taxes Act 1988; or


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RTOs that are wholly owned subsidiaries of an association approvedunder section 508 of the Income and Corporation Taxes Act whose articlesof association require that all profits are returned (gift-aided) to the section508 association.

RTOs should refer to the specific RTO guidance provided in Appendix 4 ofthis document.

Industry Partners

The following headings show the main costs that the Technology Programmeis 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 towork on the project, briefly describe the role of each person within the projectand provide their gross salary and the total labour effort in man days for eachrole within the project, together with the total number of working days per yearfor your organisation (365 days less weekends and holidays etc.). Incalculating the labour costs, reasonable overheads can be included. Theoverheads must exclude the costs of land, buildings, and other operationalcosts not directly attributable to the project.

2 Overheads

Reasonable overheads can be included, as stated above. Two methods ofproviding information on overheads are available. You can either complete theoverhead calculator worksheet provided with the Industry Partner FinanceForm or you may submit your own overhead rate. If you choose the latteroption, include a summary showing the calculation method of overheads thatyour auditors will use when verifying your grant claims including a full list ofthe items believed to be included as indirect or overhead costs. Note that ifyou quote previously agreed overhead rates, you must still describe themethodology 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 theoverheads, purchased from third parties. Materials supplied by subsidiaries orassociated companies should exclude the profit element of the value placedon that material. If waste or scrap material has a significant residual/resale


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value the figures should reflect this. Foreseen cost increases, such as onspecific materials, may be considered by the Programme.

4 Capital Equipment

You should provide details of capital equipment and tools to be bought orconsumed on the project, giving the purchase cost (or value at the start of theproject if you already own the equipment), its expected residual value at theend 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 projectwhere 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 in-

house skills for this one project. The same rules governing the use ofsubsidiaries and associated organisations with regard to supply of materialsapply here. Attention will be paid to the size of this contribution whenassessing eligibility and level of support.

6 Travel and Subsistence

You should only include reasonable costs that are justified and will be incurredexclusively for progressing this project. Note that if any general travel andsubsistence is included in your overhead calculations, this proportion shouldbe 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 othercosts 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 formanagement training specific to the project but will not support ongoingtraining.

Preparation of Technical Report

For example, where the main objective of a project is the support ofstandards or technology transfer.


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Market Assessment/ Feasibility Studies

There is some scope for support, in exceptional circumstances, of state ofthe art studies in areas that will affect the nature and likely outcome of aproject. Support may also be given for underpinning research leading todevelopment of a programme, i.e. a suite of projects.

Licensing in New Technologies

Exceptionally, the Programme may consider support where it makes senseto do so, for example, to avoid reinventing the wheel. Where importedtechnology makes up a large part of a project (where technology is valuedat more than 100,000) then it will be expected that there is developmentof that technology as part of the project.

Patent Costs (SMEs only)

The Programme may support some of the costs of protecting foregroundIPR 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 theconsortium are eligible and should be included with the labour totals. Incases where management is sub-contracted, a strong case should bemade for the necessity and benefits of this approach.

Software

The provision of software licences by members of the project consortiummust only reflect the true costs of supplying that software to the project

and not the commercial rate, the inclusion of any profit element or theamortisation of previous development costs. The preparation of disks,manuals, installation, customisation, training and lost opportunity costsmay be eligible.

Certification

For EUREKA projects only, reasonable certifications may be eligible forsupport 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 ruleswhereby a proportion of the revenue or displaced electricity costs will berecovered and a discounted residual value of a generating plant will becalculated similarly.


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Legal and accounting costs

The legal costs of setting up the project or the collaboration and costsassociated 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 definitionand 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 sub-contracted out under the project.

Inflation and contingency allowances expressed as an overall arbitrary

percentage, additional to eligible costs. However, reasonable inflationrates can be included in labour and material cost estimates.

The value of existing assets such as IPR, data, software programmes andother exploitable assets that any of the collaborators contribute towardsthe 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 onthe project will be required to provide TSB with an original copy of theprojects Collaboration Agreement signed by all the participants. TheCollaboration Agreement should be the only agreement (in addition to theOffer Letter) between the project partners and it should incorporate theoperation and exploitation of the outcomes of the project.


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Appendix 2

Guidance on submitting academic partner financial information

All partners in a consortium must submit financial information, even if they arenot applying for funding from the Programme. Industry partners must do thisby submitting Finance Forms via the Technology Programme website. ThisAppendix explains how academic partners must submit their financialinformation.

All academic partners must calculate their project costs on the basis of FullEconomic Costs (FEC). Technology Programme funding for successfulprojects will be provided at 80% of Full Economic Costs. The remaining 20%FEC costs do not constitute a contribution to the project by the academicpartner and must not be included in any total project cost calculations or otherfinancial information provided.

Project costs should be calculated at year one levels without indexation.Indexation will be added to academic costs by the Technology Programmesponsors.

Academic partners must use the Research Councils Joint electronicSubmissions (Je-S) system to calculate and submit their financial informationto the Technology Programme. Failure to do so could result in the wholeapplication becoming ineligible.

Each academic partner must obtain the unique Technology Programmereference number for their application from the lead partner of theirapplication. This unique reference number links together all the Applicationand Finance Forms for the project.

They must then log-in to Je-S and complete an FEC Standard Proposal andsubmit it through their organisations normal Je-S approval and submissionprocess. This is then automatically forwarded by the Je-S system to theTechnology 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.


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A one-page Justification of Resources, in which applicants are required todescribe the need for the resources they are requesting, should be submittedas an attachment to the Je-S application. Guidance on the content of theJustification of Resources is available on the Je-S website.

Each academic partner must also provide the lead partner of their consortiumwith the summary financial information generated by Je-S as this is requiredfor 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 arecompleted and submitted in the same way as all other Research Councilfunding applications. Academic and research staff should therefore be familiarwith the system. To submit an on-line Form both you and your organisationwill 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 aspossible to ensure that they are able to meet the deadline, as the registrationof new organisations may take several days.

Academic partners should note that Research Council standard proceduresapply to the Technology Programme in the same manner as for all ResearchCouncil proposals. Principal

guidance for applicants autumn 07 phase 1 v1

Documents