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

COMET

2

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)

COMET

3

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

COMET

4

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

COMET

5

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

COMET

6

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.

COMET

7

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.

COMET

8

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

COMET

9

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).

COMET

10

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%

COMET

11

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: sigrid.hajek@wibag.at

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: office@kwf.at

Lower Austria Tecnet Capital

Bahnhofsplatz 10, A-3100 St. Pölten, AUSTRIA

DI Kerstin Koren

Tel. 02742/36544 – 202, Fax 02742/36544 - 400

E-mail: koren@tecnet.co.at

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: gerlinde.poechhacker@tmg.at

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: heinz.maier@salzburg.gv.at

COMET

12

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: alexandra.nagl@stmk.gv.at

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: hans-joerg.hoermann@sfg.at

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: office@zukunftsstiftung.at

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 karlheinz.ruedisser@vorarlberg.at

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 czernohorszky@zit.co.at

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.

COMET

13

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

COMET

14

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).

COMET

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

COMET

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.

COMET

18

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: otto.starzer@ffg.at, 057755/2101

Ingrid Fleischhacker: ingrid.fleischhacker@ffg.at, 057755/2102

Barbara Kunz: barbara.kunz@ffg.at, 057755/2103

Budiono Nguyen: budiono.nguyen@ffg.at, 057755/2104

Anna Tropper: anna.tropper@ffg.at, 057755/2106

For information on controlling:

Andreas Herrmann: andreas.herrmann@ffg.at, 057755/2601

Christa Meyer: christa.meyer@ffg.at, 057755/2604

Martina Amon: martina.amon@ffg.at, 057755/2602

Martina Daschl: martina.daschl@ffg.at, 057755/2603

COMET

19

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.

COMET

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.

COMET

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

COMET

22

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.

COMET

23

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.

COMET

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).

COMET

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:

COMET

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

COMET

27

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.

COMET

28

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).

COMET

29

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.

COMET

30

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.

COMET

31

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!

COMET

32

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.

COMET

33

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.

COMET

34

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