Guidelines for Cooperative R&D Projects

Transcription

1 Guidelines fr Cperative R&D Prjects Versin 2.3 Valid as f 13 Nvember 2017

2 Preface General Infrmatin What are cperative R&D Prjects? What demands are placed n the cnsrtium? What are the respnsibilities f the cnsrtium leader? Wh is eligible t receive funding? Can partners frm utside Austria participate? Hw much supprt is granted? What csts are eligible? What abut intellectual prperty rights? What criteria are used t assess applicatins fr funding? What dcuments are required fr submissin? Is it necessary t mentin ther prjects? Is scientific integrity ensured? Submissin Prcedure What is the prcedure fr submissin? What abut the security f cnfidential prject data? Assessment and Decisin What is the frmal check? Hw is the evaluatin prcedure rganised? Wh takes the funding decisin? Funding Prcedure Hw is the Funding Cntract cncluded? Hw are requirements and recmmendatins taken int accunt? Hw are the instalments f funding paid? What reprts and accunts are required? Hw shuld changes t the prject be cmmunicated? Can the funding perid be extended? What happens after the cnclusin f the prject? Annex Research Categry Industrial Research Research Categry Experimental Develpment Technlgy Readiness Levels Call milestnes (up t first instalment) List f Tables Table 1 Funding rates... 7 Table 2 Funding criteria Table 3 FFG instalment scheme Table 4 Technlgy Readiness Levels Austrian Research Prmtin Agency Cperative R&D Prjects Page 2 f 23

3 Preface The FFG is yur partner fr research and develpment. These Guidelines are designed t supprt yu in submitting yur Cperative Research and Develpment Prject (R&D Prject). It describes: hw t btain funding what cnditins must be met hw the applicatin prcess wrks The gals and pririties, the budget and the submissin deadlines that are relevant t yur prject are described in the crrespnding call annuncement. 1 General Infrmatin 1.1 What are cperative R&D Prjects? Cperative Research and Develpment Prjects are cllabratins f several cnsrtium partners wrking tgether n a cmmn prject with defined R&D gals. Research and develpment has the target t develp new prducts, prcedures r services r t imprve existing prducts, prcedures r services significantly. The rights and duties f cnsrtium partners are stipulated in a Cnsrtium Agreement. The fllwing criteria must be met: Maximum duratin 3 years Funding amunts between apprx. 100,000 and max. 2 millin eurs The cnsrtium leader must have a branch ffice in Austria The cnsrtium leader is the cntact pint fr the FFG The cnsrtium leader submits the applicatin fr funding 1.2 What demands are placed n the cnsrtium? The cnsrtium must cnsist f at least 1 cmpany with 1 r mre partners that are independent 1 f each ther. It must include at least: 1 small r medium-sized enterprise (SME) 2 r 1 research institutin 3 r 1 partner frm anther EU member state r cntracting party t the EEA Agreement 1 Enterprises that are independent f each ther hld less than 25% f the capital r vting rights in ne anther. This rule als applies t sharehldings via parent cmpanies. Fr mre infrmatin see SME definitin 2 Details see SME definitin: 3 See RTI Guidelines 2015 (Themen-FTI-Richtlinie 2015), 12.1 Definitin f terms Austrian Research Prmtin Agency Cperative R&D Prjects Page 3 f 23

4 Bth cllabratins between enterprises and cllabratins between enterprises and research institutins are pssible. Additinal criteria: Individual enterprises accunt fr a maximum f 70% f the eligible prject csts with shares f affiliated cmpanies cunting as ne enterprise. The research institutins tgether accunt fr a maximum f 70% f the eligible prject csts Research institutins must have the right t publish the results they have btained in the prject Cntract research and the prvisin f research services are nt cnsidered as cllabratins within the definitin f a Cperative R&D Prject The Cnsrtium Agreement regulates the cllabratin within the cnsrtium and the intellectual prperty rights (IPR) relating t the prject results. A sample Cnsrtium agreement 4 is available t help yu in drawing up a Cnsrtium Agreement. The requirements t the cnsrtium have t be fulfilled at all times after prject start until the end f the prject. Otherwise funding can be reclaimed. 1.3 What are the respnsibilities f the cnsrtium leader? The cnsrtium leader has the fllwing respnsibilities thrughut the prject duratin: prject management cmmunicatins with the funding agency and the prject partners examining the reprts and accunts prvided by the cnsrtium partners In yur capacity as cnsrtium leader yu cnfirm t us that: yu manage and distribute the funding yurself the csts charged can be clearly attributed t the prject the prject csts and cntent are in accrdance with the apprval yu cmmunicate any changes in due time yu prvide accunts and reprts in accrdance with the Funding Cntract Befre payment f the 1st funding rate, the cnsrtium leader cnfirms that befre the start f the prject a cnsrtium agreement was in place. 4 Sample Cnsrtium agreement: Austrian Research Prmtin Agency Cperative R&D Prjects Page 4 f 23

5 1.4 Wh is eligible t receive funding? Legal entities, partnerships and sle traders that are nt part f the Austrian federal administratin are eligible t receive funding. The fllwing are eligible fr funding: Cmpanies f any legal frm Institutins f research and knwledge disseminatin Universities 5 Universities f applied sciences Nn-university research institutins Technlgy transfer institutins, innvatin agents and ther researchriented rganisatins such as assciatins with a relevant purpse Other nn-cmmercial institutins Lcal authrities 6 and autnmus bdies Nn-prfit making rganisatins such as NPOs 7 The fllwing may participate but may nt receive funding: Subcntractrs: they are nt partners within the definitin f a Cperative R&D Prject. They prvide defined tasks fr partners which are listed under the cst categry third-party csts and are nt entitled t explit the prject results. Other participants: these are persns r institutins that d nt receive funding, but are mentined in the Funding Cntract, including the scpe f their participatin. Their rights and duties are als stipulated by cntract. Their participatin needs t be justified in the applicatin. Ptential ther participants may als include persns r institutins f the Austrian federal administratin. 1.5 Can partners frm utside Austria participate? A cnsrtium may have partners frm utside Austria prvided these are nt affiliated with any f the Austrian cmpanies in the cnsrtium. 5 The smallest pssible unit f an rganisatin, which can participate in the name f the university is an institute f the university r a cmparable unit f the rganisatin accrding t UOG 2002/ 20. It is a cnditin that the participating unit f the rganisatin (institute r cmparable unit) is prvided with an apprpriate authrity accrding t UOG 2002/ 27. Units which are embedded belw (e.g. wrking grups) cannt act as cnsrtium partners. 6 Activities f lcal authrities falling within their statutry mandate are nt eligible fr funding. 7 Nn-prfit making rganisatins d nt distribute prfits t their wners, members r ther natural persns r legal entities in accrdance with their legal status r articles f assciatin. Austrian Research Prmtin Agency Cperative R&D Prjects Page 5 f 23

6 Partners frm utside the EU may als receive funding unless this is specifically excluded in the relevant call. The fllwing cnditins apply: The nn-austrian partners create benefit fr the Austrian cnsrtium partners and/r Austria as a business and research lcatin; This benefit is explicitly indicated in the applicatin fr funding; Grants paid t partners frm utside Austria d nt exceed 20% f the ttal funding amunt; The evaluatin cmmittee recmmends prviding funding t the nn-austrian partner; The partner frm utside Austria prves its credit-wrthiness and liquidity in accrdance with the criteria applied t Austrian partners prir t cntract frmatin; The nn-austrian partner accepts the FFG s bligatin and entitlement t review the prject as specified in the Funding Cntract and submits relevant dcumentary evidence in German r English. Alternatively, nn-austrian rganisatins may cver their csts frm wn funds and/r frm funds prvided by their hme cuntry. Cllabrative agreements fr jint funding are in place with several Eurpean and nn-eurpean cuntries. The Eurpean EUREKA 8 initiative, fr example, prvides funding supprt fr crss-brder cllabratins acrss prgrammes. The call annuncement will specify whether these cllabrative agreements can be used fr a specific cperative R&D Prject. Organisatins frm utside Austria may als be invlved as subcntractrs. 1.6 Hw much supprt is granted? Supprt is paid in the frm f nn-repayable grants and is limited t a maximum f EUR 2 millin per prject. The funding rate varies depending n the type f partner. The funding rate fr enterprises is based n the research categry and cmpany size The funding rate fr research institutins and ther institutins is based n the research categry nly, prvided that the cntributin invlves a nn-cmmercial activity. If the cntributin t the prject invlves a cmmercial activity the funding rates are the same as thse fr enterprises. 8 r Austrian Research Prmtin Agency Cperative R&D Prjects Page 6 f 23

7 It has t be stated in the applicatin if additinal funding is granted by any ther funding institutin. If multiple funding is gained the cumulative funding must nt exceed the Eurpean funding limit. 9 Table 1 Funding rates Type f rganisatin Industrial research Research categry Experimental develpment Small enterprise 80% 60% Medium-sized enterprise 70% 50% Large enterprise 55% 35% Research institutins (nn-cmmercial activities) Nn-cmmercial institutins (nn-cmmercial activities) 85% 60% 80% 60% Nn-cmmercial activities f research institutins include: primary activities such as educatin research and develpment, independent r as part f an effective cllabratin knwledge disseminatin and transfer 10 Nn-cmmercial activities f nn-cmmercial institutins include cntributins t R&D prjects related t the develpment f prducts, services and systems, where they act, e.g., as public agencies. The cmpany size is t be determined accrding t the SME definitin as specified by EU cmpetitin law: infrmatin n SME definitin 11. The research categry is determined fr the whle prject. A distinctin is made between experimental develpment and industrial research. 9 AGVO: Verrdnung (EU) Nr. 651/2014, ABl. L 187/ Cmmunity framewrk fr state aid fr research and develpment and innvatin (2014/C 198/8), 2.1.1, 19). 11 Infrmatin SME Definitin: Austrian Research Prmtin Agency Cperative R&D Prjects Page 7 f 23

8 Experimental develpment Experimental develpment invlves develping smething new frm smething that already exists and/r imprving smething that already exists. This includes: acquiring existing knwledge and abilities cmbining existing knwledge and abilities shaping existing knwledge and abilities using existing knwledge and abilities Irrespective f whether the prject invlves scientific, technical, ecnmic r ther knwledge and abilities the aim is t develp new r imprved prducts, prcedures r services. Experimental develpment des nt include rutine r regular adaptatins, even if these mdificatins wuld represent imprvements 12. Industrial research Industrial research has the fllwing characteristics: The fcus is n planned research r critical investigatin t acquire new knwledge and abilities Industrial research takes place mainly in the labratry r at labratry scale The develpment risk is higher than fr experimental develpment The technlgy readiness level is lwer The time hrizn fr market intrductin is lnger Fr details n bth research categries see the Annex. The evaluatin cmmittee decides t which research categry the prject belngs. A prject may als be predminantly assigned t industrial research if mre than half f the eligible prject csts are incurred fr activities f this categry. 1.7 What csts are eligible? Eligible csts must be allcable directly t the prject. This means that: they are incurred additinally t the nrmal perating csts during the funding perid they are in accrdance with the Funding Cntract they can be evidenced by receipts The earliest pssible date fr the start f the prject is after submissin f the applicatin fr funding. Fr details n the eligibility f csts see the Cst Guidelines Versin 2.1: 12 See RTI Guidelines 2015 (Themen-FTI-Richtlinie 2015), 12.1 Definitin f Terms. Austrian Research Prmtin Agency Cperative R&D Prjects Page 8 f 23

9 Special prvisins fr Cperative R&D Prjects: Third-party csts are limited t 20% f the ttal csts per partner. Any excess must be justified in the Prject Descriptin. 1.8 What abut intellectual prperty rights? Intellectual prperty rights relating t the prject results belng t the cnsrtium. The prvisins f the Cmmunity framewrk fr state aid fr research and develpment and innvatin, 2014/C 198/11, apply t cllabratins between cmmercial cmpanies and research institutins 13. This dcument stipulates that the intellectual prperty rights are t be allcated t the research institutins in a manner which adequately reflects their wrk, cntributins and interests. If the rights are assigned t the cmpanies invlved, the research institutins shall receive cmpensatin equivalent t the market price. Please nte in this cntext that expenditure fr the prtectin f intellectual prperty (IPR) is eligible fr funding. This includes csts fr patent applicatins and patent searches. Patent maintenance csts are nt eligible fr funding. 1.9 What criteria are used t assess applicatins fr funding? Applicatins fr funding are evaluated accrding t 4 criteria: Quality f the prject Suitability f the applicant / prject partners Benefit and explitatin Relevance t the call The table belw shws the relevant sub-criteria. In the curse f the assessment, pints will be assigned t each criterin. In additin, there is a threshld value fr each criterin. Reaching zer pints in ne f the subcriteria f the 4 th criteria Relevance t the Call the prject will be rejected. 13 Uninsrahmen: Austrian Research Prmtin Agency Cperative R&D Prjects Page 9 f 23

10 Table 2 Funding criteria Quality ft he prject 1.1. Hw well are the state f the art (level f knwledge/technlgy) and/r the cmmercially available prducts and services described and hw plausible is the assessment? 1.2. What is the level f innvatin beynd the state f the art and/r existing prducts and services and hw high is the assciated risk? 1.3. What is the quality f planning based n the fllwing criteria? Transparent structure f wrk packages Transparent presentatin f csts Transparent descriptin f wrk packages accrding t the scpe f wrk Adequate relatinship between csts and wrk plan Adequate scpe f prject management Prvisins fr risk management Realistic implementatin f plan (duratin, deadlines, milestnes, results) Clarity and cherence f cperative relatinships Efficient distributin f tasks amng the cnsrtium partners 1.4. If the prject relates t peple 14 : T what extent have gender-specific tpics been taken int accunt in prject planning? Quality f the analysis f gender-specific tpics Integratin in the methdical apprach f the prject Suitability f the applicant / prject partners 2.1. Des the cnsrtium have the scientific, technical, ecnmic and management skills required t achieve the prject gals? threshld Pints ,5 6 4, , T what extent d the cnsrtium partners have the required qualificatins and resurces t ensure successful implementatin f the cperative prject? 2.3. Des the cmpsitin f the prject team reflect the aim t imprve the gender balance in the sectr? 8 3,5 Benefit and explitatin What is the benefit fr thse applying the prject results and the explitatin ptential? Different dimensins are relevant depending n the research categry: Fr all research categries: If (grups f) persns are the research bject r persns will be affected by the research results, this must be reflected in the research design. Prjects whse cntent and fcus have n gender relevance accrding t this analysis will scre full pints in this subcategry. Austrian Research Prmtin Agency Cperative R&D Prjects Page 10 f 23

11 cmmunicatin f benefits t the relevant target grup has been dcumented in a transparent manner Benefits, advantages r USPs have been described quantitatively and qualitatively and are plausible Fr prjects f industrial research (IR) Knwledge increase in the relevant scientific-technical target grup Fr prjects f experimental develpment (ED) Users, markets and market segments have been specified and substantiated by turnver figures Turnver ptential f the innvatin r added value f market grwth in relatin t the planned prject csts Resurces required t bring the results t the market 3.2. What is the impact r strategic significance f the prject results fr the rganisatins invlved? Fr example by: increasing R&D capacities n a lng-term basis securing r extending their R&D psitin expanding existing R&D activities t include new fields f applicatin develpment f R&D platfrms pening up new business fields etc Hw cmplete and transparent is the explitatin strategy based n the fllwing criteria? Quality f explitatin and disseminatin strategy fr the scientific results Quality f explitatin strategy fr the ecnmically relevant results If peple are affected by the explitatin f the prject results: Cnsideratin f gender-specific issues in expliting the ecnmic ptential Adequate prtectin strategy r strategy fr ensuring a cmpetitive edge Explitatin skills either in huse r via existing cntacts and cllabratins in relatin t disseminatin and explitatin f prject results (IR) marketing t the planned users (ED) 9 10 Relevance t the Call T what extent des the prject address the call tpics? T what extent des the prject cntribute t achieving the gals f the call? 4.3. T what extent des the funding influence the prject psitively in ne r mre f the fllwing dimensins? Implementatin: the funding enables the prject t be implemented in the first place Acceleratin: the funding accelerates implementatin Scpe: the funding increases the scpe f the prject Range: the funding makes the prject mre ambitius thrugh: a mre radical innvatin apprach higher risk new r extended cllabratins lng-term strategic rientatin 8 4 Austrian Research Prmtin Agency Cperative R&D Prjects Page 11 f 23

12 1.10 What dcuments are required fr submissin? Prject applicatins may nly be submitted electrnically via ecall: Please uplad the fllwing dcuments via the ecall uplad functin: Online Cst-Plan (Kstenplan) Prject Descriptin: descriptive part f the applicatin (uplad as pdf file) Attachments t the electrnic applicatin: Annual statement f accunts (balance sheet, prfit and lss accunt) frm the past 2 financial years Declaratin f SME Status fr assciatins, sle traders and nn-austrian cmpanies If any additinal dcuments r attachments are required, this will be specified in the frm fr the prject descriptin (applicatin frm). If the prject invlves partners utside Austria, cllabrative agreements with Eurpean r nn-eurpean cuntries may require the submissin f dcuments that cannt be upladed via ecall. The relevant infrmatin will be given in the call annuncement. In individual cases additinal supprting dcuments may be requested. The call annuncement als specifies the language in which applicatins are t be submitted, which is usually German and/r English Is it necessary t mentin ther prjects? T supprt the assessment f the cntent f the prject, the applicatin fr funding must list thse prjects that have been r are being publicly funded by Austrian authrities and/r EU grants, prvided these are: Pre-prjects which deliver results fr this prject Onging r finished prjects (f the last 3 years) related t the applied prject The multiple acceptance f already funded csts r part f csts is nt pssible. The prpsed prject must be clearly distinguished frm prjects that have already received funding. Austrian Research Prmtin Agency Cperative R&D Prjects Page 12 f 23

13 1.12 Is scientific integrity ensured? Funding may nly be granted t applicants wh demnstrate high scientific integrity during applicatin and prject executin. The FFG is a member f the Austrian Agency fr Scientific Integrity OeAWI ( and is thus cmmitted t safeguarding gd scientific practice. If we suspect a lack f scientific integrity r miscnduct in the curse f the frmal checks r f the prpsal check, therelevant dcuments may be frwarded t the OeAWI s Cmmissin fr Scientific Integrity. The OeAWI will then decide whether t initiate an independent investigatin prcedure and, if necessary, will undertake the necessary investigatins. If the investigatin reveals a lack f scientific integrity r miscnduct (e.g. plagiarism), the applicatin has t be rejected due t frmal reasns. If funding has already been granted, the funding must be reduced, retained r reclaimed. 2 Submissin Prcedure 2.1 What is the prcedure fr submissin? Applicatins must be electrnically submitted via ecall ( befre the deadline. The funding applicatin may nt be submitted until all partners have submitted their partner applicatins via ecall. Hw des it wrk? Dwnlad applicatin frm via ecall and fill it Fill in the nline calculatin the system verifies, if the funding requirements are met (e.g. max. funding, max. size f the prject) Uplad the required dcuments Finalise applicatin in ecall and click Submit applicatin ( Einreichung abschicken ) Upn successful submissin, an acknwledgement will be sent autmatically by Nt necessary: additinal pstal submissin f duly executed cpy Nt pssible: Resubmissin r mdificatin f individual parts f the applicatin frm Revisin f the applicatin after submissin The applicatin dcuments are t be submitted by the cnsrtium leader r by a duly authrised representative. The FFG may request evidence that this persn is authrised t represent the cnsrtium leader. If yu are unable t prvide such evidence the FFG reserves the right t reject the applicatin fr frmal reasns. Austrian Research Prmtin Agency Cperative R&D Prjects Page 13 f 23

14 An ecall tutrial is available at: What abut the security f cnfidential prject data? The FFG is under a legal bligatin t maintain secrecy cncerning cmpany and prject infrmatin pursuant t Sec. 9 para 4 f the Austrian Research Prmtin Agency Act (FFG-G, Federal Law Gazette BGBl. I N. 73/2004 ). External experts wh are invlved in the assessment f individual prjects are als subject t cnfidentiality bligatins. Prject cntents and results may nly be published with the cnsent f the funding recipient. The FFG may use persnal data in accrdance with Secs. 7 t 11 f the Data Prtectin Act (DSG 2000 Federal Law Gazette, BGBl. I N. 165/1999): fr the cnclusin and perfrmance f the funding cntract fr fulfilling ur statutry mandate fr cntrl purpses This use may mean that the data must be transferred r disclsed in particular t bdies and authrised representatives f the Federal Audit Office, t bdies f theeu, t ther federal r reginal funding institutins, as well as t the ministries as wners f the FFG. There is als the pssibility t btain infrmatin frm the transparency prtal accrding t Sec. 32 (5) f the Transparency Database Act (TDBG 2012). The FFG shall btain a declaratin f cnsent fr any use f such data ging beynd this prvisin. Further infrmatin abut privacy during the duratin f the prject is available in the ecall tutrial. Austrian Research Prmtin Agency Cperative R&D Prjects Page 14 f 23

15 3 Assessment and Decisin 3.1 What is the frmal check? In the frmal check the applicatin is examined fr frmal crrectness and cmpleteness. Yu will be ntified f the result f the frmal check within 4 weeks via an ecall message. If the frmal criteria are nt met and the deficiencies cannt be crrected, the applicatin fr funding will nt enter the subsequent steps f the prcedure. If the deficiencies can be crrected, yu may rectify these prblems within a reasnable perid f time. Shuld it transpire after the frmal check that incrrect infrmatin has been given, the funding applicatin may als be remved frm cnsideratin at a subsequent pint in the prcedure. The relevant checklist can be fund in the Prject Descriptin template. 3.2 Hw is the evaluatin prcedure rganised? The dcuments submitted will be reviewed by natinal and internatinal experts based n the criteria given in Chapter 1.9. An evaluatin cmmittee will make a recmmendatin n funding taking int accunt the written reviews. It is pssible t exclude reviewers (individuals r staff f particular rganisatins) in justified cases. ecall cntains an entry field fr this purpse. FFG experts will check the financial ptential (credit rating and liquidity) f the participating enterprises. It is nt pssible t prvide funding t undertakings in difficulty Wh takes the funding decisin? The funding decisin is taken by the respnsible Federal Ministers n the basis f the funding recmmendatin made by the evaluatin cmmittee. 15 Undertakings in difficulty as defined in the General blck exemptin Regulatin (EU) N 651/2014 f 17 June 2014 Austrian Research Prmtin Agency Cperative R&D Prjects Page 15 f 23

16 4 Funding Prcedure 4.1 Hw is the Funding Cntract cncluded? If funding is granted, the FFG will send the cnsrtium an ffer f funding in the frm f a draft cntract, which must be accepted within a specified time. If the cnsrtium accepts the ffer within the specified perid f time, a Funding Cntract will be prepared. The Funding Cntract includes the fllwing infrmatin: funding recipients prject title level f eligible csts amunt f funding granted funding perid payment mdalities reprting requirements and any additinal bligatins and cnditins. The cnsrtium must sign and stamp the Funding Cntract and return the duly executed riginal t the FFG. 4.2 Hw are requirements and recmmendatins taken int accunt? Recmmendatins r binding requirements may be frmulated in the curse f the assessment. Requirements must be met prir t the cnclusin f the funding cntract. This may als include cnditins t be met by the cnsrtium during the curse f the prject. Befre payment f the 1st funding rate, the cnsrtium leader cnfirms that befre the start f the prject a cnsrtium agreement was in place. The Cnsrtium Agreement must meet all requirements f the call. 4.3 Hw are the instalments f funding paid? The first instalment will be paid nce the requirements have been met and the Funding Cntract has been signed. Payments are made t the bank accunt specified by the cnsrtium leader. Fr mre infrmatin, see the sample Cnsrtium Agreement 16. Subsequent instalments will be paid in accrdance with the prgress f the prject: 16 Sample Cnsrtium agreement: Austrian Research Prmtin Agency Cperative R&D Prjects Page 16 f 23

17 nce the interim reprts and interim accunts have been apprved (where necessary) nce additinal requirements have been met accrding t the FFG instalment scheme The payment f funding during the curse f the prject des nt imply apprval f the csts. Table 3 FFG instalment scheme Prject duratin in mnths Number f reprts (interim reprts and final reprt) 1 st instalment in % f funding amunt at cntract cnclusin % 50 % 30 % 2 nd instalment up t % f funding amunt 40 % 30 % 3 rd instalment up t % f funding amunt 30 % Final instalment up t % f funding amunt 50 % 10 % 10 % 4.4 What reprts and accunts are required? Within 1 mnth after the reprting deadlines specified in the Funding Cntract, an interim reprt and interim accunts must be submitted via the ecall reprting functin. Prjects with duratin f less than 19 mnths d nt require the submissin f interim accunts. Within 3 mnths f the cnclusin f the prject a final reprt, a (publishable) brief summary 17 and the final accunts must be presented, again via the ecall reprting functin. The reprts and accunts must meet the fllwing requirement: They cntain the descriptin f activities and in additin the cst statements f all cnsrtium partners wh are mentined in the funding cntract. Reprts must be prepared using the ecall templates. Supprt f public relatins: The funding recipients agree t wrk tgether with the FFG and the respnsible ministries t supprt PR wrk, if required. This includes in particular 17 The publicatin f the brief summary can be mitted if restrictin exist cncerning the cmmercial explitatin, due t duties f cnfidentiality because f security reasns r because f privacy rules. Austrian Research Prmtin Agency Cperative R&D Prjects Page 17 f 23

18 the prvisin f nn-cnfidential prject infrmatin and images fr electrnic disseminatin prtals and ther media purpses 4.5 Hw shuld changes t the prject be cmmunicated? Any changes t cntractual pints such as prject cntent, cnsrtium partners, csts, deadlines r funding perid must be substantiated and submitted fr apprval: via ecall message in the interim r final reprt All relevant dcuments shuld be upladed as an attachment t the ecall message r sent by pst. Any mdificatins t the cntract parameters require the apprval f the FFG. Immediate ntificatin is required fr: substantial changes t the prject changes t cnsrtium partners such as new wnership structure r inslvency prceedings The fllwing changes shuld be cmmunicated in the interim r final reprt: cst reallcatins between cst categries, e. g. material csts t persnnel csts cst reallcatins between partners 4.6 Can the funding perid be extended? If the prject gals have nt been achieved and the apprved level f csts has nt been exceeded, the funding perid may be extended fr up t ne year n a cst-neutral basis. The fllwing requirements must be met: the funding recipients are nt respnsible fr the delay the prject is still eligible fr funding an ecall applicatin fr extensin has been submitted within the apprved funding perid 4.7 What happens after the cnclusin f the prject? After the end f the prject, the FFG Prject Cntrlling & Audit Divisin will examine whether the funding has been used apprpriately. The audit will establish the final level f eligible csts. Yu will receive the result f the audit in writing: Austrian Research Prmtin Agency Cperative R&D Prjects Page 18 f 23

19 In the event f a psitive result, the apprpriate use f the funding will be cnfirmed. In the event f a negative result, prcedures may be initiated t secure repayment f funding. Funding details: The final instalment will be transferred nce the specified cst has been reached. If the prject is underspent the level f funding will be reduced accrdingly. The funding amunt may als be reduced fr scientific reasns, as well as n frmal and legal grunds. Fr mre infrmatin abut eligible csts, see the Cst Guidelines: Austrian Research Prmtin Agency Cperative R&D Prjects Page 19 f 23

20 5 Annex 5.1 Research Categry Industrial Research Industrial research includes planned research r critical investigatin t acquire new knwledge and abilities with the aim t develp new prducts, prcedures r services r significantly imprve existing nes. This may als include: develping parts f cmplex systems if required fr the validatin f technlgical fundamentals building prttypes in a labratry envirnment r in an envirnment with simulated interfaces t existing systems building pilt lines Industrial research des nt extend beynd the prf f cncept. The fllwing questins may help yu allcate yur prject t the apprpriate categry. If the answers t mst f these questins are yes the prject is t be allcated t industrial research: Des the prject exclude the direct cmmercial explitatin f the results? Des the prject invlve planned research r critical investigatin with the aim t acquire new knwledge and abilities? D the research activities mainly take place in the labratry r at labratry scale? Des the prject invlve a high research risk? Is the prject characterised by a lw level f technlgical maturity r integratin? Des the prject have a lng time hrizn in terms f market readiness with respect t the relevant sectr? Are the prttypes used exclusively fr the validatin f technical fundamentals and des the prject exclude the building f prttypes beynd the labratry envirnment? Des the prject exclude the develpment f a prttype whse frm, shape, scale, functin, peratin and manufacture are largely similar t the final prduct? Austrian Research Prmtin Agency Cperative R&D Prjects Page 20 f 23

21 5.2 Research Categry Experimental Develpment Experimental develpment invlves acquiring, cmbining, shaping and using existing scientific, technical, ecnmic r ther relevant knwledge and abilities with the aim t develp new r imprved prducts, prcedures r services. This may als include: Activities fr the design, planning and dcumentatin f new prducts, prcedures and services. If the main aim is t imprve future prducts, prcedures r services: develpment f prttypes, demnstratin measures and pilt prjects as well as testing and validatin f new r imprved prducts, prcedures and services in a relevant envirnment under real-wrld perating cnditins. Develpment f cmmercially usable prttypes and pilt prjects if the develped prduct wuld be t expensive fr demnstratin and validatin purpses alne. Experimental develpment des nt extend beynd the demnstratin f the prttype (system) in a relevant envirnment. Exceptin: cmmercially usable prttypes and pilt prjects if the develped prduct wuld be t expensive fr demnstratin and validatin purpses alne. Experimental develpment des nt include rutine r regular adaptatins, even if the mdificatins wuld represent imprvements. The fllwing questins may help yu allcate yur prject t the apprpriate categry. If the answers t mst f these questins are yes the prject is t be allcated t experimental develpment: Des the prject build n existing scientific, technical, ecnmic r ther relevant knwledge and abilities s that it generates new expanded knwledge and abilities r recmbines existing knwledge? Des the prject exclude rutine r regular mdificatins t prducts, prductin lines, prductin prcesses, existing services r ther nging peratinal prcesses? Des the prject exclude the direct cmmercial explitatin f the results r the final prduct? Exceptin: cmmercially usable prttypes and pilt prjects if they inevitably represent the cmmercial end prduct and its prductin wuld be t expensive fr demnstratin and validatin purpses alne. Des the prject explicitly exclude activities aimed at series prductin? Des the prject explicitly exclude activities aimed at market intrductin? Austrian Research Prmtin Agency Cperative R&D Prjects Page 21 f 23

22 5.3 Technlgy Readiness Levels Where a call refers t the TRL scheme (Technlgy Readiness Levels 18 ), the fllwing definitins apply: Table 4 Technlgy Readiness Levels Research categry Oriented basic research Technlgy Readiness Level TRL 1 Basic principles bserved Industrial research Experimental develpment Market intrductin TRL 2 (Technlgy) cncept frmulated TRL 3 Experimental prf f (technlgy) cncept at cmpnent level TRL 4 Technlgy validated in lab (n lab scale) at system level TRL 5 Technlgy validated in relevant envirnment (industrially relevant envirnment in the case f key enabling technlgies) TRL 6 Technlgy demnstrated in relevant envirnment (industrially relevant envirnment in the case f key enabling technlgies) TRL 7 System prttype demnstrated in peratinal envirnment TRL 8 System cmplete and qualified TRL 9 System prven in peratinal envirnment (cmpetitive manufacturing in the case f key enabling technlgies) 18 Cmmunicatin frm the Cmmissin: A Eurpean strategy fr Key Enabling Technlgies A bridge t grwth and jbs : p 18: Austrian Research Prmtin Agency Cperative R&D Prjects Page 22 f 23

23 5.4 Call milestnes (up t first instalment) Submissin via ecall Opening f call Submissin deadline Yu receive the result f the frmal check Frmal check by FFG Peer reviews by natinal/internatinal experts FFG checks financial ptential Funding recmmendatin f the evaluatin cmmittee t respnsible Federal Minister(s) Funding decisin by respnsible Federal Minister(s) Apprval: Yu receive a cntract prpsal r Rejectin: Yu receive a letter f rejectin FFG ntifies funding applicants f decisin Acceptance f draft cntract Cmpliance with bligatins prir t cntract Funding Cntract Funding perid Type and amunt f funding Eligible csts Prject-specific cnditins and bligatins Reprting bligatins Signed by FFG and all prject partners Acceptance f funding cntract by returning a cpy duly signed by all prject partners Cmpliance with bligatins prir t first instalment First instalment & start f prject Austrian Research Prmtin Agency Cperative R&D Prjects Page 23 f 23