guide for drafting applications for funding in the context
TRANSCRIPT
This document is a translated version of the original German version. In cases of unclear formulation
the German version is the decisive document.
First Call
Guide for drafting
applications for funding
in the context of K1/K2-Centres (Full application)
Vienna, 1. April 2007
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INTRODUCTION
The COMET guide (GDA) contains important information on drafting applications for funding and is
supplemental to the COMET programme document for the new competence centres programme
(“Programme document”) and to the federal guidelines for the funding of scientific and technological
research and technological development (“FTE guidelines”). This guide refers solely to the present call.
Synopsis of guidelines and regulations relevant to the call:
1. EU legislation in the field of state aid
2. FTE guidelines
3. Programme document
4. Evaluation concept
5. Guide for drafting applications for funding
6. COMET Application forms (word, excel, eCall)
The documents cited above are available for downloading from the website of the Austrian Research
Promotion Agency (FFG). Specifications and references to EU legislation in the field of state aid are
contained in the FTE guidelines. Relevant documents are also available at http://eur-lex.europa.eu “The
Access to European Union Law” and at http://ec.europa.eu/comm/competition/index_de.html “State
Aid”.
www.ffg.at under Förderungen/Strukturprogramme/COMET
Programme-specific guidelines may limit but not invalidate regulations from a higher level (EU legislation,
federal legislation).
The documents listed above explain most regulations in detail, rendering repetition in the GDA redundant.
The GDA may, however, provide information on where to find information regarding the respective points.
COMET funding is awarded in the context of three programme lines:
• K-Projects
• K1-Centres
• K2-Centres
The application for funding and the selection of K-Projects takes place in a single-stage procedure.
The selection of K1 and K2-Centres is based on a two-stage procedure. Short applications are submitted for
evaluation at the first stage. After assessment, a panel will recommend which applicants should be invited
to submit full applications (stage 2 of proceedings) (cf. Programme document, Section V).
The information relevant for both K1 and K2-Centres is contained in one guideline document for short
applications and full applications. A separate guideline document is available for K-Projects.
Structure of the GDA
General information
Notes on Part A – Application / Project Content: Instructions for completing applications (Word
document)
Notes on Part B – Application / Tables: Instructions for completing applications (Excel document)
Notes on Applications / Annex
Glossary (Definitions and abbreviations)
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CONTENTS
GENERAL INFORMATION........................................................................................ 5
1. Submission........................................................................................................... 5
1.1 Form of Submission ..................................................................................................................... 5
1.2 Online Application (eCall) ............................................................................................................ 5
1.3 Submission of applications and number of copies to be submitted .............................................. 6
1.4 Submission deadlines and time schedule .................................................................................... 6
1.5 Formal criteria.............................................................................................................................. 7
2. Applicants ............................................................................................................ 8
2.1 Scientific Partners (SP)................................................................................................................. 8
2.2 Company Partners (CP)................................................................................................................. 9
3. Participation of Austrian provinces ........................................................................ 9
3.1 Provincial funding in association with federal funding .................................................................. 9
3.2 Provincial funding independent of federal funding ..................................................................... 12
4. Evaluation........................................................................................................... 13
4.1 Procedure .................................................................................................................................. 13
4.2 Evaluation criteria ...................................................................................................................... 13
4.3 Target values of K1/K2-Centres .................................................................................................. 14
5. Eligible costs ...................................................................................................... 14
6. Funding .............................................................................................................. 15
6.1 Activities eligible for funding...................................................................................................... 15
6.2 Public funding............................................................................................................................ 16
6.3 Contributions Provided by Scientific Partners ............................................................................. 17
6.4 Contributions Provided by Company Partners ............................................................................. 17
6.5 Valuation of contributions in-kind .............................................................................................. 17
7. Transition regulations for existing centres ........................................................... 17
8. Information......................................................................................................... 18
NOTES ON THE APPLICATION – PROJECT CONTENT (PART A)..................................... 19
A0 Executive Summary ............................................................................................. 19
A1 Table of Contents ................................................................................................ 19
A2 Intention and Goals............................................................................................. 19
A3 Research Programme .......................................................................................... 19
A3.1 Overall Research Programme ................................................................................................... 19
A3.2 Areas ....................................................................................................................................... 20
A3.3 Work Plan and Time Schedule of the Research Programme ....................................................... 20
A4 Co-operation between Science and Industry ......................................................... 21
A4.1 Consortium.............................................................................................................................. 21
A4.1.1 Leader of Consortium ........................................................................................................ 21
A4.1.2 Scientific Partners ............................................................................................................. 21
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A4.1.3 Company Partners ............................................................................................................. 21
A4.1.4 Structure of Consortium..................................................................................................... 22
A4.2 Associated Partners ................................................................................................................. 22
A4.3 Related funded research projects ............................................................................................. 22
A5 Organisation and Management............................................................................ 22
A5.1 Organigram.............................................................................................................................. 23
A5.2 Location(s) .............................................................................................................................. 23
A5.3 Legal Structure......................................................................................................................... 23
A5.4 Governance Structures............................................................................................................. 23
A5.4.1 Ownership Structure.......................................................................................................... 23
A5.4.2 Implementation of a Strategy Board................................................................................... 23
A5.4.3 Management of the Centre ................................................................................................ 24
A5.4.4 Mechanisms for Changes in the Structure of Partners ........................................................ 24
A5.5 Principles of Intellectual Property Rights................................................................................... 24
A5.6 Work and Time Schedule of the K1/K2-Centre .......................................................................... 24
A6 Human Resources ............................................................................................... 25
A6.1 Personnel Recruiting.......................................................................................................... 25
A6.2 Personnel Development..................................................................................................... 25
A6.3 Qualification Programme ................................................................................................... 25
A6.4 Gender Mainstreaming ...................................................................................................... 25
A7 Costs and Finance ............................................................................................... 25
A8 International Orientation..................................................................................... 26
A8.1 International Integration of the K1/K2 Centre ........................................................................... 26
A8.2 International Visibility (K2-Centres only)................................................................................... 26
A8.3 Integration of International Partners (K2-Centres only).............................................................. 26
A9 Target Values and Indicators ............................................................................... 27
NOTES ON THE APPLICATION - TABLES (PART B) ..................................................... 28
Cover ........................................................................................................................... 28
1. “Costs and Funding” ................................................................................................. 28
1. Costs ........................................................................................................................................... 28
2. Funding ....................................................................................................................................... 29
3. Costs per Area.............................................................................................................................. 29
2. “Investments” .......................................................................................................... 30
3. “Funding Scientific Partners”.................................................................................... 30
4. “Funding Company Partners” .................................................................................... 30
Calculation of hourly wage rate (optional) ..................................................................... 30
NOTES ON THE GRANT APPLICATON - ANNEX ......................................................... 31
GLOSSARY......................................................................................................... 32
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GENERAL INFORMATION
1. Submission
1.1 Form of Submission
Applicants are required to submit identical versions of the application online (eCall) and in hardcopy.
The application consists of four parts:
• Core and project data entered in eCall,
• Part A –Application / Project Content,
• Part B –Application / Tables,
• and Application / Annex
Application forms for Part A (Word document) and Part B (Excel document) and forms for the Annex are
available on the website of the Austrian Research Promotion Agency (FFG) at www.ffg.at before registration
in eCall. Applicants may complete the forms remotely and afterwards deposit them in the eCall system as
an upload.
1.2 Online Application (eCall)
To submit a full application electronically please log onto the page https://ecall.ffg.at using the user name
and password already used for the short application.
You may continue to use the core data already entered. Your eCall application released for the full
application with the status “Full application under examination” can be found under “My applications.”
Additions must be made to the project data, data which has already been entered may be altered if
necessary.
In the event of technical problems which may be due to faulty browser configurations, please contact us as
quickly as possible. Detailed information regarding the use of eCall is available under “Help Using eCall.”
An application will only be considered complete if all necessary forms have been submitted and
dispatched both in hardcopy and electronically before the end of the application deadline.
The eCall part of the application (project data and core data of the consortium leader must be printed out
after completion of the electronic submission (print view in the tab “Finish”, setting English) and attached
to the hardcopy application before Part A (see Item 1.5 Formal Criteria).
Important Information: In contrast to the short application, a print-out of the partner applications
(including the core data of the partner applications) is not required. The data have been isolated from the
main application so that only the FFG may view the partners’ data. Please instruct your company partners
to complete their core data (in particular “Balance Sheet Data/Employees”) truthfully and in full!
Partner Application
a) New partners in a consortium, who were not yet included in the short application will receive an e-mail
invitation from the consortium leader via eCall to apply for funding with the necessary data (application ID
and identification code).
Partners should also register via the link https://ecall.ffg.at using a user name and password of their
choice and then follow the explanations in “Help for partner applications.”
b) Partners in a consortium who were already included in the short application do not have to be re-
invited! These partners should log in with their user names and password and then confirm their
participation in the full application by activating the button “Send submission” on the final page of the
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partner application which can be found under “My Applications”. Please inform the relevant partners of
this! The core data from the short application may be used again and may be changed before submission if
necessary. The allocation data remain unchanged.
For further information please read “Help for partner applications” on the eCall starting page. The
consortium leader may only submit the complete application for funding if the participating partners have
submitted or confirmed their partner applications!
Participation by University Institutes:
Complete the core data for the institute concerned. Under Company/Organisation please state the name of
the university first followed by the name of the institute. In the tab “Additional contact" provide the name
of the authorised signatory of the university (Rector/Deputy Rector).
1.3 Submission of applications and number of copies to be submitted
Applications are to be submitted to the Austrian Research Promotion Agency (FFG) as follows:
� Online via eCall
� 1 loose-leaf version with original signatures (marked as “ORIGINAL”), one sided hard copy
� K1/K2 full application: 15 bound versions (marked as “COPY”)
Submission of applications
In order to ensure that we file your application correctly, please state the application ID from eCall below
the address of the Austrian Research Promotion Agency (FFG), as indicated in the box below.
FFG (Austrian Research Promotion Agency)
Structural Programmes: Ms. Christina Bergmeister
Sensengasse 1, A-1090 Vienna, AUSTRIA
Application ID according to eCall (see cover page application)
Applicants must clear their applications with the Austrian federal provinces before submission. (A)
declaration(s) of the relevant province(s) constitute(s) part of the application (cf. GDA General Information,
Section 3.1) and applicants need to submit a duplicate of their application to the appropriate agency of the
relevant province, respectively the relevant provinces, in line with conditions specified.
1.4 Submission deadlines and time schedule
Full applications for K1/K2-Centres must be received by the FFG (Austrian Research Promotion Agency)
by Thursday, 28th June 2007 at 12:00 at the latest. It is the applicants’ responsibility to ensure that
applications are received by this deadline. The date the application was postmarked is INsufficient. Please
be aware that we are only able to process your application if documentation is complete. The late
submission of individual parts of applications is not permissible. For online submission, the same
conditions and deadlines apply.
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Overview: time schedule
Submission deadline for full applications (hardcopy and online) 28 June 2007
Hearings in September 2007
Decision Panel 2 (full applications K1/K2-Centres) 27-28 September 2007
Contract negotiations from October 2007
If necessary, special panel for K2-Centres rejected by Panel 2 17 October 2007
Planned launch of K1/K2-Centres 1 January 2008 or
1.April 2008 or
1.July 2008
Please read the evaluation concept and Section V of the Programme document for details on evaluation
procedures at this stage.
1.5 Formal criteria
In order for the FFG to consider applications, it is essential that applicants adhere to the preset structure of
the application and to the formal criteria when completing applications.
Language: English
Font Size: 11 pt
Line spacing: 1.3
Maximum number of pages Part A:
Full applications K1-Centres: maximum of 100 pages in format A4, excluding Annex
Full application K2-Centres: maximum of 150 pages in format A4, excluding Annex
While applications must not exceed the maximum number of pages stipulated above, there is no reason
why they may not be shorter. We also ask applicants to draft applications in a way that will enable the
international experts in charge of the appraisal procedure to recognise the benefits offered by your centre.
Pagination: The pages of Part A of the full application must be numbered and a table of contents
indicating the page numbers must be included in the application (cf. GDA, Part A).
Signatures: The legally binding signature of the consortium leader must be submitted on the cover pages
of 1) the eCall print-out, 2) Part A and 3) Part B of the original loose-leaf version of the application (three
signatures in total).
Documents: All documents with original signatures must be included in the original application. The
documents should be scanned in for online application and deposited as a PDF file in eCall under “Further
project data/Uploads”.
Funding period: The duration of funding for K1 and K2-Centres is divided into two funding periods.
First funding period: K1: Years 1-4 K2: Years 1-5
Second funding period: K1: Years 5-7 K2: Years 6-10
Initially, the contract for funding will only be concluded for the duration of the first funding period. After
successful mid-term evaluation, a separate contract will be concluded for the second funding period (cf.
Evaluation concept). Funding which is not claimed during the first period cannot be transferred from one
funding period to the other.
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Overview: Structure of the application for funding (hardcopy)
Print-out eCall
(Submitted application “Print Layout View”)
Hardcopy of core data and project data from eCall,
legally binding signature on cover page.
(partner applications DON’T have to be printed and
included!)
Application / Project Content (Part A) Completed application form (PDF)
Application / Tables (Part B) Completed application form (Excel)
Annex Annexes to be included see “Notes on the grant
application-annex”
The bound version must be submitted in no more than two parts:
Part 1: Print-out eCall +Part A + Part B
Part 2: Annex
Overview: Scope of applications
Programme line K1-Centres K2-Centres Scope of
full
applications
AREAS 5 maximum 7 maximum 10 pages per
area max.
Projects 10/Area*
maximum
10/Area*
maximum
1 page per
project
*) In justified cases, deviation from the maximum number of projects/areas is possible.
2. Applicants
Applicants are consortia with at least one Scientific Partner (SP) and at least 5 (five) Company Partners
(CP). The required “multi-firm” criterion must be fulfilled.
The partner authorised by the other consortium members to act as the consortium leader is responsible for
submitting the application. In the full application, the participation of all participating partners of the
consortium must be established by the inclusion of a signed “Letter of Commitment” (LOC, including
financial contributions) (see Annex). Furthermore, a responsible project manager needs to be identified to
the Austrian Research Promotion Agency (FFG) as a contact person for the application process.
2.1 Scientific Partners (SP)
Scientific Partners in the context of the programme for competence centres include universities,
“Fachhochschulen” (specialised colleges), and non-university research establishments in Austria and
abroad.
Pursuant to the definition of the term “public research establishment” in the new Community Framework
for State Aid for Research, Development and Innovation, research establishments qualify as “scientific
partners” within the meaning of the COMET competence centres programme if they conform to the
following definition:
Establishments such as universities or research institutes irrespective of the form in which they
are financed, whose main task comprises activities in basic research, industrial research and
experimental development and which disseminate their results by means of teaching, publication
and the transfer of technology; all revenues are reinvested in research, the dissemination of
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research results or teaching. Companies which may exercise influence upon such establishments
as shareholders or members do not enjoy preferential access to the research capacities of the
establishment or to the research results produced by it.
If within one university several institutes or research establishments without partial legal autonomy are
involved, they will be registered as separate partners. The Letter of Commitment LOC (cf. Annex) must be
signed by the authorised signatory of the rectorate of the university as well as by the project manager,
respectively the responsible head of department.
The accumulated financial contribution by the Scientific Partner to a K1/K2-Centre is at least 5% of the
respective funding period, 100% of which may be procured in-kind (non-cash contributions or human
resources) (cf. GDA, General Information, Section 6 and Programme document, Section II.4.2).
2.2 Company Partners (CP)
Company partners include companies active in trade and industry in Austria and abroad. There are no
restrictions on participation by companies which do not have a location in Austria. However, it must be
clearly shown that such participation is in Austria's interest as a research location.
Furthermore, non-departmental public bodies are also permissible if they can prove that there is a specific
demand for research work from the project. The contributions from the company partners must be privately
funded.
It is a basic rule that Company Partners must not provide undirected co-financing within the context of a
basic subsidy. Companies must ensure that involvement in a centre does not lead to a decrease in their
own research efforts (additionality).
If a research establishment carries out both commercial and non-commercial activities, it may participate
in the COMET programme as a company partner subject to the following conditions: a) It must be possible
to draw a clear distinction between the two forms of activity; b) These activities must have clearly separate
forms of financing c) The establishment must be able to clearly allocate the costs to one of the two
activities, and there must be absolutely no cross-financing of the commercial activity.
Regulations regarding financial contributions to centres by Company Partners are itemised in the
Programme document, Section II.4.2, and under General Information, Section 6 of this document. The
amount of the contribution depends on the programme line and the amount of funding and accounts for at
least 40% of total eligible costs in the respective funding period. At least 50% of the contribution
(accumulated) must be in cash.
3. Participation of Austrian provinces
The provinces have undertaken to support the COMET programme for competence centres by furnishing
additional provincial funds in association with or separately from federal funds.
The inclusion of a declaration of each relevant province in the application for K1/K2-Centres is mandatory
(cf. Sections 3.1d and 3.1e and Section 3.2).
3.1 Provincial funding in association with federal funding
With regard to the distribution of provincial funding, all provinces with the exception of Vienna have tied
themselves to the federal guidelines at a set participation ratio of 2:1 (2 parts federal funding, 1 part
provincial funding).
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a) The Republic of Austria has set funding ceilings per K1/K2-Centre per year for federal funding (cf.
Programme document, Section II.4.2). However, the basis of eligible costs may be extended, depending
on the additional share of provincial funding. The 2:1 participation ratio of federal government and the
provinces also applies in the case of a lower application volume.
b) Provincial funding is awarded to the K-area of the K1/K2-Centre. The quota of provincial funding may not
be exceeded. However, provinces may independently fund additional projects in the Non-K-area at any
time. (Definition K-area, cf. Glossary in the GDA).
c) The total share of provincial funding may also be divided among several provinces. Applicants must
indicate the relevant distribution between individual provinces when they submit full applications
d) In the full application the full amount of provincial funding must be covered by the declarations of all
the provinces providing funding. Applicants must attach the original declaration to the application. (If
the valid declaration is identical to that already submitted in the short application, a copy suffices).
e) In individual cases a province may also declare its non-involvement in a K1/K2 Centre in the event of
incompatibility with the interests of the province. In such cases, the Republic of Austria reserves the
right to reduce federal funding by the volume of funding provided by the respective province. Applicants
are advised to consult the relevant contact persons in the provinces for clearance at an early date.
f) The Austrian Research Promotion Agency (FFG) is responsible for reporting, controlling, and evaluating
K1/K2-Centres with regard to both federal and provincial funding. Provinces may accept the results of
the evaluation carried out for the Republic of Austria, but may also perform evaluations of their own.
Example of funding for a K1-Centre
The example below assumes total eligible costs of � 4 million for one year of funding and public funding
of 45%. (exkl. SP) The underlying participation ratio is 2:1 (2 parts federal funding, 1 part provincial
funding).
According to the Programme document, the maximum amount of federal funding for K1-Centres is � 1.5
million per year and may not be exceeded.
Total eligible costs: 4,00 million Euro 100,00 %
Federal funding: 1,20 million Euro 30,00 %
Provincial funding: 0,60 million Euro 15,00 %
Contributions of Scientific Partners (SP) 0,20 million Euro 5,00 %
Contributions of Company Partners (CP) 2,00 million Euro 50,00 %
Federal (2) Provincial (1)Total (million)
Public funding 1,20 0,60 1,80
Contribution SP 0,13 0,07 0,20
Contribution CP 1,33 0,67 2,00
Total costs 2,67 1,33 4,00
45%
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Example of funding for a K2-Centre
This example assumes total eligible costs of � 10.71 million for one year of funding and public funding of
49% (exkl. SP). The underlying participation ratio is 2:1 (2 parts federal funding, 1 part provincial
funding). According to the Programme document, the maximum amount of federal funding for K2-Centres
is � 5 million per year and may not be exceeded.
Total eligble costs: 10,71 million Euro 100,00 %
Federal funding: 3,50 million Euro 32,67 %
Provincial funding: 1,75 million Euro 16,33 %
Contributions of Scientific Partners (SP): 0,54 million Euro 5,00 %
Contributions of Company Partners (CP): 4,93 million Euro 46,00 %
Federal (2) Provincial (1) Total (million)
Public funding 3,50 1,75 5,25
Contribution SP 0,36 0,18 0,54
Contribution CP 3,29 1,64 4,93
Total cost 7,14 3,57 10,71
49%
Overview: Authorities in the provinces
Province Contact
Burgenland Wirtschaftsservice Burgenland AG (WiBAG)
Technologiezentrum, 7000 Eisenstadt, AUSTRIA
Mag. Sigrid Hajek
Tel. 059010-2156, Fax 059010-2110
E-mail: [email protected]
Carinthia KWF Kärntner Wirtschaftsförderungs Fonds
Heuplatz 2, A-9020 Klagenfurt, AUSTRIA
Mag. Hans Schönegger
Tel. 0463/ 55 800-0, Fax 0463/ 55 800-22
E-mail: [email protected]
Lower Austria Tecnet Capital
Bahnhofsplatz 10, A-3100 St. Pölten, AUSTRIA
DI Kerstin Koren
Tel. 02742/36544 – 202, Fax 02742/36544 - 400
E-mail: [email protected]
Upper Austria OÖ. Technologie- und Marketinggesellschaft m.b.H
Hafenstraße 47 – 51, A-4020 Linz, AUSTRIA
Province: Upper Austria
Mag. Gerlinde Pöchhacker
Tel. 0732 - 79810 – 5063, Fax 0732 - 79810 - 5008
E-mail: [email protected]
Salzburg Amt der Salzburger Landesregierung
Abt. 15, Wirtschafts- und Technologieförderung
Südtiroler Platz 11, A-5020 Salzburg, AUSTRIA
Mag. Heinz Maier
Tel. 0662/8042-3803; Fax 0662/8042-763803
E-mail: [email protected]
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Styria 1.) Amt der Steiermärkischen Landesregierung,
Abteilung 3 - Wissenschaft und Forschung
Trauttmansdorffgasse 2, A-8010 Graz, AUSTRIA
Mag. Alexandra Nagl
Tel. 0316/877-5438, Fax 0316/877-3998
E-mail: [email protected]
2.) Steirische Wirtschaftsförderungsgesellschaft mbH
Nikolaiplatz 2, A-8020 Graz, AUSTRIA
MMag. Dr. Hans-Jörg Hörmann
Tel. 0316/7093-217, Fax 0316/7093-95
E-mail: [email protected]
Note: Please contact both agencies!
Tyrol Tiroler Zukunftsstiftung
Kaiserjägerstraße 4a, A-6020 Innsbruck, AUSTRIA
Philipp Unterholzner
Tel. 0512 576262-0, Fax 0512 576262-10
E-mail: [email protected]
Vorarlberg Amt der Vorarlberger Landesregierung
Abteilung Allgemeine Wirtschaftsangelegenheiten
Mag. Karlheinz Rüdisser
Landhaus , A- 6901 Bregenz, AUSTRIA
Tel. 05574-511-26110, Fax 05574-511-926195
E-mail [email protected]
Consulting the relevant contact persons in the provinces for clearance in good time is the sole
responsibility of applicants.
3.2 Provincial funding independent of federal funding
Vienna has undertaken to provide funding for the COMET programme for competence centres. However,
allocation of funding is completely independent of federal funding. Applicants must ensure their
applications conform to the standards required by the province. Applications must be submitted directly to
the relevant agency and will be evaluated independently.
Province Contact
Vienna ZIT Zentrum für Innovation und Technologie GmbH
Ebendorferstraße 4, A-1010 Vienna, AUSTRIA
Mag. Eva Czernohorszky
Tel. +43 1 4000 86931; Fax +43 1 4000 86587
E-mail [email protected]
Unlike provincial funding provided together with federal funding, Vienna does not award funding to the K-
area but to the Non-K-area of a K1/K2-Centre (K-area cf. definitions in the Glossary of the GDA)
If a K1/K2-Centre is headquartered, applications must include a declaration by the province of Vienna (ZIT).
Applicants are required to indicate which additional Viennese funds have been applied for or already been
granted (including the projected funding) in Section A.4.3 of Part A – Application / Project Content. The
province (ZIT) will confirm this information in its declaration.
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4. Evaluation
4.1 Procedure
The evaluation procedure is outlined in the Programme document, Section V, and in the Evaluation
concept. Those applicants who are invited to submit full applications will receive feedback following
evaluation of their short application.
In some cases, short applications for K2 may be rejected, but the applicants invited to submit full
applications for K1. However, this is not automatically the case and short applications for K2-Centres may
be rejected for both K2 and for K1.
4.2 Evaluation criteria
Applications are evaluated by international experts according to criteria defined in Section II.6 of the
Programme document and Section 2.1 of the Evaluation concept. The evaluation schedule for the main
criteria (short application and / or full application) is outlined in the table below. During the evaluation of
full applications, areas are also evaluated separately.
Overview: Ex-ante criteria according to level of evaluation
Programme lines Criteria Level
1. Research programme defined jointly by science and
industry with a mid to long-term perspective
Short application +
full application
2. Research competence and connection to science Short application +
full application
3. Relevance of implementation in industry Short application +
full application
4. Quality of collaboration between science and industry,
coherence and quality of the consortium
Short application +
full application
General criteria
(applicable to all lines)
5. Management and implementation Short application +
full application
6. Bundling and networking of players to strengthen
thematic synergies (optional for K1-Centres, required for
K2-Centres)
Full application only
7. Human resources development Full application only
Additional criteria
(applicable to K1 and
K2-Centres)
8. International integration Full application only
9. International visibility and world-leading research Short application +
Full application
Additional criteria
(applicable to K2-
Centres only) 10. Active integration of international industry, Scientific
Partners, and scientists of international renown Full application only
For the relevant questions to the individual criteria see Section II.6 of Programme document or evaluation
concept
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4.3 Target values of K1/K2-Centres
In full applications, applicants must state target values for each K1/K2-Centre. Appraisal by international
experts within the scope of ex-ante evaluations will determine the degree to which these target values are
feasible and realistic in the context of the field and environment in which research is to be carried out. For
the purpose of a mid-term evaluation, a target-performance comparison will be carried out, which will in
turn be subject to evaluation by international experts (cf. Section A9, Section 2.2.2. in the Evaluation
concept, respectively).
5. Eligible costs
Eligible costs are limited exclusively to costs incurred in direct connection with the development and
operation of K1 and K2-Centres.
• Personnel costs (researchers, technicians, and auxiliary staff employed exclusively in research)
• Costs for instruments and equipment (research facilities, laboratories, and pilot plant stations
used exclusively and permanently for research activities (except in cases where facilities are
handed over for commercial use))
• Costs of consultancy services and similar services used solely in connection with research
activities, including externally procured research, technological expertise, patents, etc.
• Additional overheads incurred directly in connection with the research activity
• Other operating costs (such as materials, supplies, etc.) incurred directly in connection with the
research activity
Eligible costs are all expenses and expenditures actually and directly incurred by the Centre in addition to
regular operating costs throughout the duration of the funded research activity
Investments
Depreciation of investments can only be claimed for the duration of funding. There are two methods of
reporting planned investments:
1.) claiming the yearly allowance for depreciation or
2.) reporting the full costs of acquisition in the year of acquisition and correcting the eligible costs by the
residual book value in the final year.
Please ensure consistency with Table 2 “Investments”.
Personnel Costs
Concerning maximum eligible personnel costs information is provided in the “FTE guidelines”, section 3.3.
as well as in the subsidiary General Guidelines (Allgemeine Rahmenrichtlinien, ARR 2004), § 21 (2), Z 9.
Personnel costs are eligible for funding to the extent stipulated by the respective reference values in clause
8 of the “Regulation of the Federal Ministry of Finance Regarding Guidelines for the Calculation and
Presentation of the Financial Effects of New, Legislative Measures” (Federal Law Gazette (BGBl.) II No.
50/1999, Annex 3, as amended).
Funding international excellence might make it necessary to exceed the maximum personnel costs. Where
circumstances are extremely well justified (e.g. standard international payment for specific expertise) the
maximum personnel costs can be extended.
The current maximum amounts for personnel costs (status quo 2005) are set out in the table below which
should facilitate classification (to exemplify).
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15
Hiearchical levels acc. to
function Examples of
functions
Equivalence/classification
acc. To Austrian public
service
Annual personnel costs
(Gross inc. NWLC) Hours/year
Scientific staff (*)
1st executive level (I) Scientific director VB-HL-Höh. Dienst**1 104.277 1680
2nd executive level (H)
director,
Area Director etc. VB-HL-Höh. Dienst 2 90.235 1680
Key Scientist (G) Key Researcher VB-HL-Höh. Dienst 1 104.277 1680
Senior Scientist (F) Senior Researcher VB-HL-Höh. Dienst 2 90.235 1680
Junior Scientist (E) Junior Researcher VB-HL-Höh. Dienst 3 76.192 1680
Graduate students Junior Researcher VB-HL-Höh. Dienst 3 76.192 1680
Administrative staff
1st executive level (I) Management VB-HL-Höh. Dienst 1 104.277 1680
2nd executive level (H) Assistant Manager VB-HL-Höh. Dienst 2 90.235 1680
Key Administration (G) Controlling VB-HL-Höh. Dienst 1 104.277 1680
Senior Administration (F) Assistants VB-VD-Gehob. Dienst***1 40.207 1680
Junior Administration (E) Secretarial Staff VB-VD-Gehob. Dienst 2 40.207 1680
Technicians/specialists Technician VB-VD-Gehob. Dienst 1 40.207 1680
*) Letters (E, F, G, H, I) correspond to the classifications in the gender booklet
**) VB= Vetragsbedienstete(r) = 'contract public employee' in high-grade service (employment
relationships in the Austrian civil service)
***) 'Contract public employee in upper grade service (employment relationships in the Austrian civil
service)
For appraisal of personnel ratings, overhead costs may be added at a flat rate of 20%; in cases where
overhead costs exceed 20%, the basis upon which the overhead costs were calculated must be disclosed
and the calculation for overheads must be included.
Value-added tax (VAT): As a rule, the VAT payable on eligible costs does not qualify for funding. However,
upon provision of sufficient proof that the expense of such VAT is actually and ultimately borne by the
recipient and that he or she is not eligible for input tax deduction, VAT costs may qualify for funding.
Non-eligible costs:
• Costs for the purchase of real estate and immovable property
• Building investments, investments in manufacturing and production facilities
• Costs which are not directly related to the funded project
• Costs incurred before the full application for funding was submitted
• Costs which are not eligible for funding under EU regulations
Bilateral research co-operations (“single firm” projects) are to be limited to a maximum of 20% of eligible
costs.
6. Funding
6.1 Activities eligible for funding
Only the following activities in contexts ranging from applied basic research to pre-competitive
development are eligible for funding:
a) Activities in the field of industrial research
b) Activities in the field of pre-competitive development
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16
c) Activities in the field of basic research linked to activities listed under points a) and b)
d) Training measures linked to activities listed under points a) and b)
e) Technological feasibility studies
For a closer definition of terms, cf. FTE guidelines, Section 2.3.
In accordance with EU legislation on state aid, no funding will be granted for projects close to the market
which could lead to a distortion of competition.
Bilateral research co-operations (“single firm” projects) are to be limited to a maximum of 20% of eligible
costs.
For eligible costs, cf. GDA, Section 5, “Eligible costs".
6.2 Public funding
Determining the quota of public funding for a centre
The quota of public funding within the funding margins laid down for a K1/K2-Centre is based on the
individual composition of each project and applies for the duration of the respective funding period.
The funding margins for public funding range from (cf. Programme document, Section II.4.2):
K1-Centre: 35-50% of total eligible costs (40-55% inc. SP)
K2-Centre: 40-55% of total eligible costs (45-60% inc. SP)
Pursuant to EU regulations on state aid, the share contributed by the Scientific Partners (at least 5% acc. to
Programme document, Section II.4.2) must be added to the quota of public funding since this share is also
publicly funded. Thus, total public funding (=public quota) comprises public funding plus the share
contributed by the Scientific Partners. For technical reasons, this share is itemised separately.
K1/K2-Centres with a focus on basic research receive a higher percentage of funding within the funding
margins per programme line than those K1/K2-Centres focusing on applied research.
In their full application, applicants are required to include their personal evaluation of the proposed
project and to indicate a funding quota per area. The quota of total public funding inc.WP (=public quota)
for the K1/K2 centre has to be based on this figures within the funding margins.
The final funding quota for the Centre will be determined within the scope of ex-ante evaluation.
EU regulations on state aid
Current EU regulations on state aid are also relevant for determining funding quotas. The funding intensity
for state research and development aid as defined by the EU Community framework applies to activities
eligible for funding outlined in Section 5.1.
Level of federal funding and provincial funding
Besides the admissible funding quotas, applicants also need to consider the funding ceilings applicable to
each programme line.
Funding ceilings constitute maximum amounts and must not be fully utilised.
The Republic of Austria has set a funding ceiling per Centre per year (cf. Programme document, Section
II.4.2):
K1-Centre: Maximum level of � 1.5 million per year
K2-Centre: Maximum level of � 5 million per year
As a rule, the percentages of provincial funding provided in association with federal funding amount to half
the percentage of federal funding (cf. General Information in the GDA, Section 3.1, and examples of
funding).
COMET
17
In cases where several provinces are involved in a K1/K2-Centre, the entire percentage of provincial
funding is divided equally among all the provinces involved.
6.3 Contributions Provided by Scientific Partners
The accumulated share of total eligible costs of Scientific Partners must be at least 5 % and may not be
substituted by contributions of Company Partners. Contributions may be made in-kind up to 100%.
If existing Competence Centres are participating as Scientific Partners, contributions must originate from
the Non-K-area of the Centre.
6.4 Contributions Provided by Company Partners
The accumulated shares of Company Partners are
• For K1-Centres: at least 45 % of total eligible costs
• For K2-Centres: at least 40 % of total eligible costs
Company Partners in K1/K2-Centres may furnish contributions in cash or in-kind. The accumulated share of
cash contributions must be at least 50% of total company contributions. Applicants are not required to
provide an exact itemisation of company contributions until they submit full applications.
Defined quotas for company contributions apply to the entire centre in the K-area. Company contributions
may also be broken down individually.
6.5 Valuation of contributions in-kind
Valuations of in-kind contributions are set by the K1/K2-Centres themselves if there are no points of
reference (i.e. personnel costs), (cf. GDA, Section 5, “Eligible costs").
7. Transition regulations for existing centres
If an existing centre successfully applies before its agreed funding period has expired, there are several
options available for the utilisation of remaining funds:
a) Preferred option
The existing contract remains effective, the current research programme is integrated into the new
centre and is also evaluated with the new application. In legal terms, the old centre is in the Non-K-
area, outside the new centre. Evaluation ensures that the old and new components of the programme
are optimally suited to each other. This option lends itself for the integration of an existing centre into a
new consortium together with other partners.
b) Other possible option:
The existing contract is integrated into the new contract, constituting a formal dissolution of the old
contract.
The new consortium may choose between these two options but must make its choice before submitting
its application. At any rate, the integration process must be outlined in the application.
Existing competence centres (Kplus, K_ind/K_net) with current contracts may participate in the new
programme for competence centres in the Non-K-area during a transitional period as either Company
Partners or Scientific Partners. Participation as a Scientific Partner requires scientific contributions to the
K1/K2-Centre.
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8. Information
A list of FAQ (frequently asked questions) which is regularly updated is available on our website.
Should you have any questions, please contact one of the following members of staff at the Austrian
Research Promotion Agency (FFG):
For information on the programme:
Otto Starzer: [email protected], 057755/2101
Ingrid Fleischhacker: [email protected], 057755/2102
Barbara Kunz: [email protected], 057755/2103
Budiono Nguyen: [email protected], 057755/2104
Anna Tropper: [email protected], 057755/2106
For information on controlling:
Andreas Herrmann: [email protected], 057755/2601
Christa Meyer: [email protected], 057755/2604
Martina Amon: [email protected], 057755/2602
Martina Daschl: [email protected], 057755/2603
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NOTES ON THE APPLICATION – PROJECT CONTENT
(Part A)
[Information and assistance for completing the Word document]
The application form “Part A –Application / Project Content” (Word) is available for download from the
website of the Austrian Research Promotion Agency (FFG) under “Förderungen� Strukturprogramme�
COMET”. Please complete the form externally and deposit it as a PDF file in eCall under “Further project
data/Uploads”.
A0 Executive Summary
Summarise the entire project of the K1/K2-Centre on no more than one page (A4 format).
A1 Table of Contents
Please update the table of contents for Part A after you have completed the template.
A2 Intention and Goals
Describe the prime objective of the K1/K2-Centre and the motive and reasons for selecting a specific
programme line (K1, K2 ).
Why is this K1/K2-Centre needed (in a domestic and international context), what is the additional value
created by this K1/K2-Centre?
A3 Research Programme
A3.1 Overall Research Programme
Central to each K1/K2-Centre is a research programme defined jointly by science and industry and in which
strategic “multi firm” projects (definitions of strategic projects, “multi firm” projects, cf. Glossary) play a
crucial role. All programme lines are open with regard to fields and topics; however, an individual K1/K2-
Centre/project must have a clearly defined theme.
Describe the research programme and discuss the following aspects:
• International state-of-the-art of the respective topic (referring to relevant literature)
• Objectives of the research programme
• Scientific and technological relevance and up-to-dateness
• Significant new scientific or technological findings
• Approaches and methods to reach the stated objectives
• Relevant scientific and technological development and future innovation potential
• Application-oriented processing and implementation of new findings
• Markets of the future with sustainable development potential
• Possible fields of application and marketability of expected results
Furthermore, please indicate why the centre (as opposed to individual projects) creates definite additional
value through co-operation between science and industry and a joint strategic focus.
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20
A3.2 Areas
An Area is defined as a methodically and thematically distinct unit in a K1/K2-Centre research programme
(definition, cf. Glossary). Applicants are only required to supply a detailed outline of Areas and individual
projects within each Area when submitting a full application.
The following restrictions apply
• K1-Centres: maximum of 5 Areas (maximum number does not have to be reached)
• K2-Centres: maximum of 7 Areas (maximum number does not have to be reached)
Please describe each Area (abstract) and fill in an “Area Sheet” for Area (cf. Annex) and explain- if
applicable-connections (links) between different areas.
Elaborate on the following further aspects for each Area:
• Research programme of the Area
• Research competences of partners involved
• Quality of implementation
• Position of the Area in the K1/K2-Centre
Im Vollantrag werden die Areas gesondert begutachtet!
Projects
Complete a “Project Sheet” for each project (cf. Annex). For each project, please indicate the title, costs
and partners involved as well as short project description (about 1 page).
A project is defined as a research unit to be carried out within the framework of a work Area, whereby no
more than 10 projects may be planned per Area. In justified cases, the maximum number may be
exceeded. If necessary inter-Area projects may also be defined.
In principle as many projects as possible, but at least 40% of the total volume of the first funding period
must be defined, whereby those projects which commence in the first year must be formulated in full. The
costs of the undefined projects must be stated as N.N. in the Area Sheet.
The share of single firm projects (see glossary for definition) is restricted to a maximum of 20% of the
eligible costs. The percentage of strategic projects (see glossary for definition) is not stipulated. However,
the percentage chosen by the applicant must be stated as a key indicator (see Table A.9) and will be
subjected to an ex-ante evaluation.
A3.3 Work Plan and Time Schedule of the Research Programme
Fill in the individual projects of the research projects in the bar graph, and indicate planned starting dates
and finishing dates for each Area.
Please outline the most significant milestones of your research programme.
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21
A4 Co-operation between Science and Industry
A4.1 Consortium
In the points below, please outline the leader of the consortium and all participating partners of the
consortium. The minimum number of company partners (min 5 CP)is defined by the “multi firm” criterion.
In your full application, please include in the Annex the curriculum vitae (CVs) of the key individuals
involved. CVs may include reference projects and publications (cf. Annex).
A4.1.1 Leader of Consortium
Please describe the leader of the consortium and its role and responsibility in the application phase of the
centre and submit a LOC (letter of commitment) if participation is carried out as SP or CP:
Name name of the partner
Website www.
Short description Name and short description of the consortium leader
Indicating core competences relevant for the centre (e.g. reference porjects)
Participation Please mark if particpation is carried out as SP or CP or neither nor
Role in the centre Role of the consortium leader at the centre Indicating contribution of project content
Expected benefit Expected benefit from the centre
Key individuals Identify relevant key individuals of the consortium leader who will be actively involved in
the centre
A4.1.2 Scientific Partners
Please complete the following points for all Scientific Partners (in alphabetic order) and submit an LOC for
each partner in your full application.
Name name of the partner (If institutes are participating, the name of the university must be
stated first)
Website www.
Short description Name and short description of the partner
Indicating core competences relevant for the centre (e.g. reference porjects)
Role in the centre Role of the partner at the centre, indicating contribution of project content to the centre
Expected benefit Expected benefit from the centre
Key individuals Identify relevant key individuals of the partner who will be actively involved in the centre
A4.1.3 Company Partners
Please complete the following points for all Company Partners and submit an LOC for each partner in your
full application.
Name name of the partner
Website www.
Short description Name and short description of the partner, indicating core competences relevant for the
centre (e.g. reference porjects)
Role in the centre Role of the partner at the centre, indicating contribution of project content to the centre
Expected benefit Expected benefit from the centre, indicating (potential) process and product innovations,
which are to be initiated within the framework of the research programme and appraising
their development into marketable products or new processes
Key individuals Identify relevant key individuals of the partner who will be actively involved in the centre
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A4.1.4 Structure of Consortium
Give reasons for the composition of the entire consortium and of the group of Scientific Partners and
Company Partners, giving special consideration to the following aspects.
• Complementarity of partners
• Utilisation of synergies
• Creation of additional value
A4.2 Associated Partners
Describe existing and planned domestic and international collaborations outside the consortium which are
relevant to the realisation of the planned activities.
Associated partners may also be individual persons.
Name name of the partner
Short description Name and short description of the partner, indicating core competences relevant for the
centre (e.g. reference porjects)
Role in the centre Role of the partner at the centre, Indicating contribution of project content to the centre and
reasons for choosing to cooperate with this partner outside the consortium
Key individuals Identify relevant key individuals of the partner who will be actively involved in the centre
A4.3 Related funded research projects
Please list in the synoptic table all projects in the consortium ongoing, applied for and concluded within
the last three years, which receive(d) public funding and which have a close thematic connection to the
funding proposal under consideration.
Indicate the respective funding agent and participating partners involved and, if applicable, indicate
delimitation from the funding proposal under consideration.
Name of project Content (in bullet points) Funding by… Involved
cooperation
partners
Duration
from until
If the province of Vienna is involved in funding the COMET programme for competence centres (cf. Section
3.2 in the GDA), please indicate, if applicable, if and which additional funds from the province of Vienna
have been applied for or have already been granted (including the projected sums).
A5 Organisation and Management
Pursuant to Section IV.1 of the Programme document, competence centres (K1/K2) must be incorporated
as legal entities if funding is granted. The suggested, but not mandatory legal form, for centres is
"Gesellschaft mit beschränkter Haftung (GmbH)”, equivalent to a company with limited liability, or a similar
legal form under Austrian law.
In any case, appropriate structures of governance which are appropriate for the centre’s activities must be
established in order to secure the centre’s character. Such structures include effective management, clear
lines of decision-making and structures, as well as transparent payment and funding flows.
Research work must be concentrated in a manner suitable to achieve the required visibility and
attractiveness of K1/K2-Centres. More than one location is permissible provided the character of the centre
is preserved.
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A5.1 Organigram
Please draw up an organigram of the planned centre bearing in mind the following aspects and elaborate
on the details of your diagram.
• Centre management and central functions
• Areas
Please indicate if you are planning to consolidate several (existing) units and elaborate on the details of
the planned consolidation process.
Full applications must include details of central functions (management, scientific direction, Area
management, key researchers).
A5.2 Location(s)
Describe the planned location of the centre and indicate why you have chosen this location. If more than
one location is planned, please state the reasons why.
A5.3 Legal Structure
Describe and give reasons for the type of legal structure you have chosen for your centre and explain why
its governance structures are appropriate for the K1/K2-Centre.
If you are planning to consolidate several (existing) units, please indicate in the short application how you
are planning to execute this consolidation process.
A5.4 Governance Structures
Describe the governance structures planned for the centre.
Detailed explanations must be provided concerning the following aspects:
A5.4.1 Ownership Structure
The key partners in the centre – i.e. the scientific partners (SP) and the company partners (CP) must be
bound into a balanced ownership structure which reflects the structure of the partnership as closely as
possible. If owners are not partners in the centres, the reasons for this must stated separately. Instead of
the partners exercising ownership functions directly, the partners may also be integrated indirectly via
intermediate institutions (e.g. an association).
If the structures of existing centres do not comply with this requirement, it must be explained in detail and
with binding effect how and within which period this situation will be remedied and a balanced ownership
structure established.
A Board of Owners appropriate to the chosen legal structure must be established. The percentage
requirements for decisions made by this Board must be defined so that individual partners alone or
groups of scientific- or company partners alone are unable to exercise decisive influence.
A5.4.2 Implementation of a Strategy Board
A Strategy Board must be established as an independent decision-making body for the centre. This Board
will be interposed between the Management and the owners and shall, among other things, carry out the
following tasks solely in the interests of the centre.
• Formulate/define any projects which are still open or make project changes
• Pursue the strategic goals of the centre, especially with regard to excellence, the development of
international visibility, unique selling propositions and international networking.
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24
• Monitor the Management with regard to goal achievement (programme and centre goals), carry out an
annual evaluation of the Management on the basis of target values/key indicators defined by the centre
itself and in conformity with the COMET evaluation concept.
• Deal with any conflicts of interest arising such as between the Management and owners
The Strategy Board should as far as possible reflect scientific and business expertise in equal measure
with a membership comprising high-calibre and also international experts who are to be nominated by the
Board of Owners on the basis of these qualifications. The funding agencies shall not delegate any
permanent members of the Strategy Board, but shall have the right to participate in Board meetings.
Decisions which are to be made by the owners such as strategy of the centre, changes to the structure of
partners, changes to the research plan or annual budget and investment plans should be discussed and
prepared by the Strategy Board.
It must be guaranteed that decisions made by the Strategy Board may only be rescinded by the Board of
Owners with a qualified majority.
It is recommended that Management be subject to annual evaluations in order to ensure that evaluations
become a permanent and regular element of management culture at the centre and in order to focus the
centre's work even more strongly on the set goals.
A5.4.3 Management of the Centre
Explain the measures taken to ensure a strong and independent centre management.
The Management should be chosen by the Strategy Board. In order to strengthen the independence of the
Management, instructions may only be issued to Management by the owners on the basis of decisions
reached by a qualified majority.
On the basis of the annual evaluation of the Management by the Strategy Board, a performance-related
remuneration scheme may be implemented for the Management.
Describe and give detailed reasons for the organisational and decision-making structures of the centre as
well as the mechanisms for resolving conflicts within and between the Boards.
A5.4.4 Mechanisms for Changes in the Structure of Partners
Describe the mechanisms regulating changes to the structure of partners.
It must be possible for partners to join and withdraw. If substantial changes to the structure of partners
occur, the ownership structure must be adapted accordingly.
A5.5 Principles of Intellectual Property Rights
Describe the arrangements regarding IPR which have been planned for the K1/K2 centre.
Base your description on the following aspects:
� Development of a common knowledge base at the centre
� Commercialisation in the context of science and industry
A5.6 Work and Time Schedule of the K1/K2-Centre
Describe the time schedule for the establishment of your K1/K2-Centre, indicating results (milestones)
which can be subjected to interim evaluation.
Descriptions of work and time schedules must be outlined in the scope of the research programme
(Section 3.3).
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25
A6 Human Resources
Reinforcement of human resources by attracting outstanding research experts, supporting the transfer of
expertise to industry, and the creation of attractive opportunities for the development and utilisation of the
expertise of research staff in science and industry are explicit objectives of the new programme for
competence centres (cf. Programme document, Section II.1).
A6.1 Personnel Recruiting
Describe planned measures of personnel recruiting and personnel planning appropriate for the research
programme. Base your description on the following aspects:
� Attracting top-of-the-line scientists from Austria and abroad
� Reinforcement of human resources: Planned number of employees at the centre according to
gender in full-time equivalents (scientists, technicians, administration).
� Planned post-doc positions, doctoral students, diploma candidates, etc.
� Further measures
A6.2 Personnel Development
Describe the long-term plans for personnel development at the centre and describe how the
achievement of these targets effectively promotes the research programme.
Explain the planned personnel development measures in detail. Base your description on the following
aspects:
� Training and further education at and outside the centre
� Knowledge transfer
� Career opportunities for established scientific and technical staff, and promising young scientists
and researchers
� Cross-border mobility
� Utilisation of scholarships and stipends
� Intersectional mobility (exchange of qualified staff between the centre and science and industry)
A6.3 Qualification Programme
Describe your plans to establish a qualification programme specifically designed to improve the scientific
and technical qualifications and other skills of human resources (especially doctoral students and post
docs) at the centre in cooperation with educational institutions in the vicinity (i.e. universities,
“Fachhochschulen” (specialised colleges).
A6.4 Gender Mainstreaming
Explain how you plan to ensure an equal balance between male and female scientists in all research tasks
and activities at the K1/K2-Centre.
A7 Costs and Finance
In this section, please describe in detail the tables (Excel) contained in Part B of the application.
Table 1 “Costs and Funding”
Elaborate your expectations of the price/quantity structure of costs.
In addition, please discuss the following aspects:
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26
� Calculation of personal costs: Please bear in mind the maximum rates (cf. GDA, Section 5 “Eligible
costs”) when calculating personnel costs. We advise you to use the table “Calculation of hourly
rates” as an aid.
� Method of calculating overheads (cf. GDA, Section 5 “Eligible costs”)
� Appraisal of contributions in-kind
� Estimated total quota of funding inc. SP (=public quota) at the centre level taking into account the
funding margins. (cf. GDA, General Information, Section 6.2)
� If applicable, sources of provincial funding broken down according to the various provinces
involved
Table 2 “Investments”
Depreciation of investments may only be claimed for the duration of funding (cf. GDA, Section 5 “Eligible
costs”).Describe the chosen alternative. If necessary, an explanation should be provided for any differing
expected useful life.
Table 3 “Funding Scientific Partners”
Reasons must be given for any share of the funding which is not covered by LOCs.
Table 4 “Funding Company Partners”
Reasons must be given for any share of the funding which is not covered by LOCs.
A8 International Orientation
The inclusion of international research expertise should strengthen Austria as a research location in the
long term (cf. Programme document, Section II.1).
A8.1 International Integration of the K1/K2 Centre
Please outline the planned international integration of your K1/K2-Centre and discuss the following
aspects:
• Planned international contacts
• Position of the centre and the topic of research in an international context
• Planned EU projects
A8.2 International Visibility (K2-Centres only)
Describe how the planned K2-Centre will achieve international visibility and discuss the following aspects:
• Position of the consortium in Europe (at the date of application)
• Potential of the K2-Centre to become a world class institution (within the funding period)
• Ambitious, top-level research programme
A8.3 Integration of International Partners (K2-Centres only)
Describe the planned inclusion of internationally renowned Company Partners, Scientific Partners,
associated partners and researchers, and discuss the following aspects:
• Long-term commitment of internationally renowned Company Partners, Scientific Partners,
associated partners, and researchers (well-known experts as well as those with significant
development potential, cf. also GDA, Section A6) to the K2-Centre.
• Integration in the interests of Austria as a research location
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A9 Target Values and Indicators
Central indicators must be outlined as target values for a K1/K2-Centre. For each indicator, a target value
which is appropriate and realistic in the context of the field of research must be chosen by the consortium
for the funding period and stated in the list.
Central indicators as target values
List of Indicators (Objectives of Centres) Objectives
Publications in relevant journals
• of which reviewed journals
• of which co-publications science and industry
Indicate the total number over the course of the entire funding period.
Patents and licensing (for K2: international patents: EU, Japan, US)
Indicate the total number over the course of the entire funding period.
Share of strategic research projects in entire research programme
Percentage of eligible costs
Increase in the intensity of research activities by Company Partners
R&D expenditures (increase in % over the course of the entire funding period)
Additional outside funding obtained (Non-K-area):
• From scientific funds
• From assignments by companies
• From international sources (i.e. EU projects, etc.)
In euro (accumulated over the course of the funding period)
Share of Overheads of the centre as a percentage of total costs (indicate the underlying
method of calculation)
Dissertations/diploma theses within the scope of the
research programme
• By centre staff
• By staff of Company Partners
• By staff of Scientific Partners
Number of ongoing/completed dissertations /
diploma theses (total over the course of the funding
period)
Graduates of specific qualification measures at the centre
(m/f)
Number (total over the course of the funding period)
Number of Key Researchers Number (total over the course of the funding period)
Additional Scientific Partners and Company Partners
planned
• international
• domestic
Number of partners during the funding period
Additional associated partners planned
• international
• domestic
Number (total over the course of the funding period)
Planned implementation at the companies
Summarise as target values, the (potential) process and product innovations indicated in Section A 4.1.3,
which are to be initiated within the framework of the research programme and their development into
marketable products or new processes.
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NOTES ON THE APPLICATION - TABLES
(Part B)
[Information and instructions for completing applications in the Excel Document]
The application form “Part B –Application / Tables” (Excel file) is available for download from the website
of the Austrian Research Promotion Agency (FFG) at www.ffg.at. Please complete the form externally and,
after registration, deposit it in eCall under “Further project data/Uploads” in Excel format. Please outline all
costs and funding exclusively in the Excel document template (Part B – Application / Tables).
The tables in Part B contain an outline of the costs (K-area) of the planned K1/K2-Centre and the funding
provided by funding agents and partners.
In Part A –Application / Project Content, applicants are required to explain the tables in Section A7.
Important note for completing Excel tables:
� The tables may not be changed!
� Do not overwrite or alter the formulas contained in the coloured cells.
� If you use abbreviations please remember to explain them in Part A of the application.
� Please ensure that costs are covered by funding agents and partners (test cells).
� Please also bear in mind the minimum quota for Science Partners, respectively the maximum quota for
public funding (test cells).
Cover
Please complete the Tables Sheet in full.
1. “Costs and Funding”
Structure of the table
The table outlines the costs of the centre as well as contributions by funding agents and partners for the
first funding period. Please ensure that costs are covered by contributions and that quotas are met (test
cells).
Only K2-Centre applicants are required to provide details for the fifth year.
1. Costs
1.a. Personnel costs
In this section, please state the personnel costs for staff members employed by the centre. When
calculating personnel costs, please bear in mind the maximum rates (cf. GDA, Section 5 “Eligible costs”)
and potential salary increases. The table “Calculation of hourly wage” rate can be utilised to assess the
maximum rates of funding for in-house personnel and in-kind personnel.
1.b. Materials costs
In this section, please state the planned materials costs.
1.c. Costs for in-kind activities Scientific Partners
State the planned personnel and materials costs of the Scientific Partners. When calculating personnel
costs, please bear in mind the maximum rates (cf. GDA, Section 5 “Eligible costs”) and potential salary
increases. Please ensure consistency with the table “Funding Scientific Partners” (test cells).
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1.d. Costs for in-kind activities Company Partners
State the planned personnel and materials costs of Company Partners. When calculating personnel costs,
please bear in mind the maximum rates (cf. GDA, Section 5 “Eligible costs”) and potential salary increases.
Please ensure consistency with the table “Funding Company Partners” (test cells).
1.e. Investments
Depreciation of investments may only be claimed for the duration of funding (cf. GDA, Section 5 “Eligible
costs”).
1.f. Other costs
Please indicate all other costs in this section.
2. Funding
2.a. Federal
In this section, please indicate the amount of federal funding you are applying for, bearing in mind the
maximum funding quota. Please also bear in mind that the maximum amount of funding per year laid
down by the federal government may not be exceeded (K1 centres: max. EUR 1.5 million and K2 centres:
max. EUR 5 million per year).
2.b. Provincial
In this section, please indicate the amount of provincial funding you are applying for, stating amounts
according to province Please bear in mind the maximum funding quota and consistency with the relevant
declarations by the provinces.
2.c. Scientific Partners
State the planned contributions (in-kind and cash), bearing in mind the necessary contribution quotas.
Please ensure consistency with the table “Funding Scientific Partners”.
A breakdown of the planned cash and in-kind contributions is NOT required.
2.d. Other public
If other public institutions and entities contribute additional funds please indicate them here. Please
ensure consistency with the LOC (Letter of Commitment) of other public institutions.
This field may also be left empty or filled with a 0-amount.
2.e. Company Partners
State the planned contributions (in-kind and cash), bearing in mind the necessary contribution quotas. The
quota of in-kind contributions of Company Partners may not exceed 50%. Please ensure consistency with
the table “Funding Company Partners”.
A breakdown of the planned cash and in-kind contributions is required.
3. Costs per Area
The total costs must also be stated according to Area and year. Please remember that the annual sums,
respectively the total costs in the tables “Costs and Funding“ and “Costs per Area“ must be consistent.
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2. “Investments”
In this table, please indicate separately each investment over � 7,000 planned during the duration of
funding, and calculate the total sum below. Please ensure consistency with the table “Costs and Funding”
(test cells).
3. “Funding Scientific Partners”
In this table, please indicate all Scientific Partners and their planned contributions per funding year. In the
case of universities please state the name of the university first and then list the participating institutes
below. (The contribution to financing does not have to be divided up between the individual institutes). It
is not necessary to provide a breakdown of the planned cash and in-kind contributions.
Please ensure consistency with the partners’ LOC (Letter of Commitment).
Ideally the entire share of financing to be borne by the SP should be established by LOCs. Any difference
should be explained in Part A.7. and stated as N.N. in the table.
4. “Funding Company Partners”
In this table, please indicate all Company Partners and their planned contributions in cash and in-kind per
funding year. The quota of in-kind contributions of Company Partners may not exceed 50% (test cell).
Please ensure consistency with the partners’ LOC (Letter of Commitment). It is necessary to provide a
breakdown of the planned cash and in-kind contributions. Ideally the entire share of financing to be borne
by the CP should be established by LOCs. Any difference should be explained in Part A.7. and stated as
N.N. in the table.
Calculation of hourly wage rate (optional)
This table enables you to check whether the salaries of your employees (in-house personnel and in-kind
personnel) in real terms exceed the maximum eligible hourly rates (see Guidelines Section 5 “Funding“).
Functions are assigned to employee categories on an exemplary basis; they can be adapted to reflect
individual circumstances. In the statement of accounts you must be able to show these figures from the
payroll accounts. Please remember that these are figures from 2005 and that an annual adjustment may be
carried out.
In your financial reporting and settlement personnel costs have to be provable by payroll accounting.
In the case of higher hourly rates, only the excess amount will not be funded.
Under special circumstances (that have to be well justified in section A.6.) the maximum personnel costs
can be extended. Such an exception would be the standard international payment for specific expertise
When calculating personnel costs a flat rate of 20% overhead can be added. In case a higher rate of
overhead is applied, the basis upon which the overhead costs were calculated must be disclosed and the
calculation for overheads must be included.
When calculating hourly rates (Table “calculation of hourly wage rate”) please note that the basis for
calculation are 1680 working hours per annum (which equals 40 working hours per week). A diverting
employment scheme has to be converted accordingly.
If necessary add the table(s) to Table B of the funding application.
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NOTES ON THE GRANT APPLICATON - ANNEX
Document templates for the Annex to the applications are available on the website of the Austrian
Research Promotion Agency (FFG) at www.ffg.at under “Förderungen� Strukturprogramme� COMET”.
Documents containing original signatures (such as LOC) must be attached to the original application and
scanned in for the electronic version of the application.
The following documents must be submitted online as a PDF file as well as in hardcopy:
Cover Sheet incl. Table of Contents
The template (cover sheet including the table of contents of the appendix) must be completed and inserted
before the appendices.
Annex 1: Area Sheets und Project Sheets
The templates “Area Sheet“ and “Project Sheet“ must not be changed in any way.
Enclose the relevant Project Sheets immediately after each Area Sheet in which the projects concerned are
listed.(Inter-AreaProject Sheets must be enclosed after the first Area).
Annex 2: CVs and list of publications
The layout of the templates may not be altered. Please enclose the CVs in alphabetical order and list the
names of the persons per partner on the first page of Annex 2.
Please take care to upload the CVs and publication lists in eCall in a single file.
Annex 3: Letter of Commitment (LOC) of Scientific Partners
Please enclose the LOCs in alphabetical order of the SPs and list them on the first page of Annex 3.
The LOC must be signed by all Scientific Partners and must state the contribution amounts. The document
template may be used.
If several departments or research establishments without partial legal autonomy are involved, one
undersigned LOC per university together with a list of the participating institutes or research
establishments is sufficient which must be signed by the authorised signatory of the rectorate of the
university as well as by the responsible project manager or head of institute.
Annex 4: Letter of Commitment (LOC) of Company Partners
Please enclose the LOCs in alphabetical order of the CPs and list them on the first page of Annex 4. The
LOC must be signed by all Company Partners and must state the contribution amounts (Cash und In-Kind).
The document template may be used.
Annex 5: Declaration of Federal Provinces
Note: The core data of the partners in the consortia (partner applications) are only recorded electronically
in eCall and NO longer have to be enclosed as print-outs!
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GLOSSARY
Definitions
Additionality
Under the competition regulations of the European Union, research and development projects are only
eligible for funding if they are performed in addition to the ongoing business of companies and result in an
increase of a company’s research performance and consequently, a company’s research expenditures.
Area
A working area (Area) is defined as a methodically and thematically distinct unit in the research
programme of a K1/K2-Centre. In line with the general purpose of the centre, an Area must be structured so
as to achieve scientific results and commercial utilisation in the medium term. On the one hand, an Area
must be planned in sufficient detail to ensure that the main thrust of activities, the methodology used, and
the main objectives can be evaluated. The area must be clearly positioned within the overarching concept
(what does the Area contribute to the key objectives of the centre, how does it interact with other Areas).
On the other hand, the necessary degree of flexibility for a medium-term research project must be
maintained so that it is possible to adapt the Area to current developments during the course of
implementation. Thus, an Area must define a coherent research and development programme for the
medium term within the larger context of a K1/K2-Centre and may not just constitute the total of a number
of individual, short-term projects. Each Area is supervised by a key researcher as executive.
Bilateral research cooperations (“single firm projects”)
Projects within the scope of a Centre’s research programme involving just one Company Partner. The share
of such projects must be limited to a maximum of 20% of eligible costs.
Cash contributions and in-kind contributions
Cash contributions are cash payments.
In-kind contributions are contributions to financing in the form of non-cash contributions and/or human
labour.
Research programme
A research programme is defined jointly by science and industry and outlines the area of activity for the
entire centre/project in the K-area. A research programme must relate to a clearly defined subject matter
and is divided into Areas and projects.
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K and Non-K-area
The research programme of a K1/K2-Centre funded within the scope of the programme for competence
centres in accordance with the Programme document and funding guidelines, and evaluated by the
funding agency, is carried out within the framework of the so-called K-area.
To complement the K-area, K1/K2-Centres may also develop a Non-K-area as a second pillar. No public
funds from the programme for competence centres flow into this area. The Non-K-area carries out contract
research for companies (partners or other clients) in market-oriented fields with a full refund of costs and
also serves to implement complementary objectives of public interest, e.g. of the provinces. The K-area and
the Non-K-area of a K1/K2-Centre must maintain two separate clearing accounts.
Key Researchers
Key researchers are renowned scientists who owing to their expertise and standing will exercise a
significant influence on the further development of research topics and programmes. As a rule, such Key
Researchers will be recruited from among the ranks of Scientific Partners (i.e. university professors).
“Multi firm” criterion
The “multi firm" criterion stipulates the involvement of at least 3 (three) Company Partners in K centres,
and of at least 5 (five) Company Partners in K1 and K2-Centres.
Multilateral research cooperations (“multi firm projects”)
Projects within the scope of a Centre’s research programme involving more than one Company Partner.
Projects
Projects are defined as research units to be carried out within the framework of a work-area, or as
horizontal sectoral projects, generally in cooperation with several companies.
Guideline for volume (project costs) and duration: starting from � 100.000/ and more than one person
year. Work packages are sub-units of projects and don’t have to be detailed in the application.
Province of Domicile
The province of domicile is the province in which the K1/K2 centre has its main location.
Strategic research projects
In order to qualify as such, strategic research projects must be characterised by a high degree of novelty
and excellence. Beyond the short-term considerations of Company Partners, they are based on a centre’s
long-term objectives. They are established in line with the core competencies of the centre and are suitable
for expanding these competencies within the scope of creating unique selling propositions in an
international context. As a rule, such research is carried out in the interest of all or at least numerous
Company Partners and takes place at a stage still far short of development and implementation. However,
strategic research projects should be characterised by visible potential for innovation and be geared
towards long-term utility for Company Partners.
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Abbreviations
GDA Guide for drafting applications (Leitfaden zur Erstellung eines
Förderungsantrags
LOC Letter of Commitment
LOI Letter of Intent
FFG Austrian Research Promotion Agency (Forschungsförderungsgesellschaft)
FTE guidelines Federal guidelines for the promotion of the commercial and technological
development of research and technology
Programme document Programme document of the COMET programme for competence centres
CP Company Partners
SP Scientific Partners