sadrŽaj studije izvodljivosti i analize troŠkova i …
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SADRŽAJ STUDIJE IZVODLJIVOSTI I ANALIZE TROŠKOVA I KORISTI
Za programsko razdoblje 2014. - 2020. pri izradi Studije izvodljivosti/predizvodljivosti s
analizom troškova i koristi potrebno je uzeti u obzir Smjernice za izradu analize troškova i
koristi (dalje: Smjernice) koje je izradila Europska komisija, a nalaze se na linku:
http://ec.europa.eu/regional_policy/sources/docgener/studies/pdf/cba_guide.pdf
Studiju izvodljivosti izrađuje neovisna konzultantska kuća koja ne smije imati nikakve koristi
od projekta.
Studiju predizvodljivosti izrađuje neovisna konzultantska kuća ili sama institucija
/organizacija ako ima sposobnosti (mogućnosti) za to.
Razlika između studije predizvodljivosti i studije izvodljivosti je u tome što za studiju
predizvodljivosti nije potrebno izraditi Socijalno-ekonomsku analizu troškova i koristi
(CBA), a za studiju izvodljivosti to je potrebno te je studija izvodljivosti detaljnije opisana
nego studija predizvodljivosti.
U Smjernicama, koje se nalaze na priloženome linku, CBA se objašnjava po točkom 2.8.
Economic analysis i pod točkom 7.8. za područje Istraživanja, razvoja i inovacija.
OBRAZAC ZA IZRADU STUDIJE IZVODLJIVOSTI ZA ZNANSTVENU
INFRASTRUKTURU OD JASPERS STRUČNJAKA
Studija se izrađuje na hrvatskome jeziku.
JASPERS – STANDARD FRAMEWORK TEMPLATE FOR A FEASIBILITY
STUDY FOR RDI INFRASTRUCTURE
JASPERS has prepared an indicative Framework Template for a Feasibility Study, which can be used as reference. This document complements JASPERS Working Paper “Project Preparation and CBA of RDI Infrastructure Projects”. The scope of the Template is to provide a common basis to structure and develop Feasibility Studies in a way to fulfil all the requirements (including the CBA and environmental impact assessment analysis) adopted by the EC for major Research, Development and Innovation (RDI) infrastructural projects in order to apply effectively for EU grant financing, and to give a comprehensive view to beneficiaries of the main issues and concerns that the Feasibility Study should address in order to give decision makers sound justification of the project’s feasibility and sustainability. The JASPERS Template is not to be treated as an obligatory manual for beneficiaries. It may be used as a check list to ensure that all relevant aspects for the design and completion of the RDIRDI infrastructure have been taken into account. While all sections and sub-sections may be applicable, some might require more detailed attention than others depending on the particular features of the project. The beneficiary will have to judge on a case by case the use of the Template to serve their analytical purpose of providing detailed information on the key aspects of the RDI infrastructure.
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CONTENTS 1. EXECUTIVE SUMMARY OF THE STUDY .................................................................................................... 5
1.1.1 Summary of the proposal ............................................................................................................ 5
1.1.2 Area of specialisation and alignment with national smart specialisation strategy ......... 5
1.1.3 Location .......................................................................................................................................... 5
1.1.4 Brief Description of the Project, its research aims, and the steps to commercial/socio-economic gains ............................................................................................................................................ 5
1.1.5 Management Structure ................................................................................................................ 5
1.1.6 Total Value ..................................................................................................................................... 5
2. INTRODUCTION ........................................................................................................................................... 5
2.1 The title and description of the project ........................................................................................ 5
2.1.1 Brief Description of the content of the Feasibility Study ...................................................... 5
2.1.2 The applicant and co-operating entities .................................................................................. 5
1.1.3.1 Authors of the Feasibility Study ............................................................................................. 5
1.1.3.2 Scope of Feasibility Studies and relations to other relevant linked activities .............. 6
1.1.3.3 Critical Methodological assumptions ................................................................................... 6
2.2 A summary of the proposed outcomes .......................................................................................... 6
3. ANALYSIS OF THE SOCIO-ECONOMIC CONTEXT .................................................................................... 6
3.1 Location of the Project ..................................................................................................................... 6
3.1.1 Geographic aspects ....................................................................................................................... 6
3.1.2 Demographics ................................................................................................................................ 6
3.2 Socio-Economic Background ........................................................................................................... 6
3.2.1 Local, regional and national socio-economic characteristics relevant to the Project ..... 6
3.2.2 Sources of financing and their budget coverage ..................................................................... 6
4. THE LOGIC OF THE INTERVENTION ......................................................................................................... 7
4.1 Status of the Research Base ............................................................................................................. 7
4.1.1 Infrastructure benchmarking at national and International level ..................................... 7
4.2 Research performance ..................................................................................................................... 7
4.2.1 Track record and evidence of critical mass ............................................................................. 7
4.2.2 Research management ................................................................................................................. 7
4.3 The RDI Strategy ................................................................................................................................ 7
4.3.1 The Research Strategy and its main targeted domains ......................................................... 7
4.3.2 Research applications .................................................................................................................. 8
4.3.3 Routes to Market ........................................................................................................................... 8
4.3.4 Research results dissemination ................................................................................................. 8
4.4 Project Objectives ............................................................................................................................. 8
4.4.1 Proposed RDI objectives of the project .................................................................................... 8
4.4.2 Expected Project impacts in terms of indicators .................................................................... 8
4.5 The project in terms of the national and EU/regional Objectives ........................................... 9
4.5.1 Proposed RDI Objectives of the Project in relation to sector policies and the OP ........... 9
4.5.2 Smart Specialisation Strategy ..................................................................................................... 9
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4.5.3 Links with European research roadmap and other relevant research programmes ...... 9
4.5.4 Relations with other EU horizontal policies (e.g. equal opportunity, sustainable development, energy efficiency) .............................................................................................................. 9
5. ANALYSIS OF DEMAND ............................................................................................................................... 9
5.1 Macro-economic analysis of project region and sector ............................................................. 9
5.2.1 Academic users (by relevant discipline) ...................................................................................... 9
5.2.2 Industrial users (by relevant sector) .......................................................................................... 10
5.2.3 Facility/infrastructure gap analysis ............................................................................................ 10
5.3 Demand for project outputs ................................................................................................................. 10
Evidence for expected financial revenues and other financing sources ............................................ 10
5.4 Marketing Strategy................................................................................................................................. 10
6. TECHNICAL ANALYSIS .............................................................................................................................. 10
6.1 Option Analysis or Description of Significant Technological Alternatives ................................. 11
6.1.1 Do Nothing or do minium option (BAU) ..................................................................................... 11
6.2.1 Do Something option/s .............................................................................................................. 11
6.2.2 Option assessment ...................................................................................................................... 11
6.3 The Technical Description of the investment ............................................................................ 11
6.3.1 Methodological approach to identifying technical requirements ..................................... 11
6.3.2 Buildings ....................................................................................................................................... 11
6.3.3 Choice of equipment ................................................................................................................... 11
6.3.4 Choice of ITC services ................................................................................................................. 11
6.3.5 Choice of laboratories ................................................................................................................ 11
6.4 Choice of Site and its Characteristics ........................................................................................... 11
6.4.1 Climatic Conditions ..................................................................................................................... 11
6.4.2 Site or Territory .......................................................................................................................... 11
6.4.3 Government Regulations ........................................................................................................... 11
6.4.4 Policies of the Local Authorities ............................................................................................... 11
6.4.5 Description of the Pre-chosen Site (details in the Appendix) ............................................ 11
6.4.6 Location and building permit requirements and status ..................................................... 11
6.5 Infrastructural characteristics of site and requirements........................................................ 12
6.5.1 Road and Transport.................................................................................................................... 12
6.5.2 Communications ......................................................................................................................... 12
6.5.3 Water and Electricity Provisioning ......................................................................................... 12
6.5.4 Waste Disposal ............................................................................................................................ 12
6.5.5 Energy Requirements................................................................................................................. 12
6.6 Environmental Impact Assessment ............................................................................................. 12
6.6.1 Analysis of relevant EU and member state environmental legislation ............................ 12
6.6.2 Analysis of environmental analysis requirement (environmental screening) .............. 12
6.6.3 Summary and conclusions on the environmental assessment .......................................... 12
6.6.4 Environmental approvals and permitting ............................................................................. 12
7. THE PLAN FOR IMPLEMENTATION OF THE PROJECT ........................................................................ 12
7.2.1 Project Implementation task force .......................................................................................... 12
7.2.2 Staff Hiring ................................................................................................................................... 13
7.2.3 Personnel Hiring and Training ................................................................................................. 13
7.3 Time-Table for implementing the project .................................................................................. 13
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7.3.1 Building Planning and Contract Scheduling .......................................................................... 13
7.3.2 Procurement Plan ....................................................................................................................... 13
7.3.3 Timing for construction of any related infrastructure outside project scope ................ 13
7.3.4 Definition of Information System ............................................................................................ 13
7.3.5 Negotiations for the Purchase of Know-how and Machinery ............................................. 13
7.3.6 Financing Negotiations .............................................................................................................. 13
7.3.7 Acquisition of Land and Licences ............................................................................................. 13
7.3.8 Consultancy Agreements ........................................................................................................... 13
8. THE PLAN FOR OPERATION OF THE PROJECT ..................................................................................... 13
8.2 Governance and Management Structure .................................................................................... 13
8.2.1 Organisational Structure ........................................................................................................... 13
8.2.1.1 Research management .......................................................................................................... 13
8.2.1.1.1 Experience and provisions for managing multidisciplinary research .................... 14
8.2.1.2 Governance board .................................................................................................................. 14
8.2.1.3 Scientific and technical advisory body ............................................................................... 14
8.3 Human Resources............................................................................................................................ 14
8.3.1 List of Personnel and Salary Parameters ............................................................................... 14
8.3.2 Timetable for recruitment ........................................................................................................ 14
8.3.3 Personnel Hiring and Training ................................................................................................. 14
8.3.4 Consultancy Agreements ........................................................................................................... 14
8.3.5 Staff evolution, career development and mobility ............................................................... 14
8.4 INSTITUTIONAL AND LEGAL ANALYSIS ....................................................................................... 14
8.4.1 The legal status of applicants and other participating in the project ............................... 14
8.4.2 Overview of legal statutes of the Beneficiary and relevant consortium arrangements 15
8.4.2.1 Staff recruitment..................................................................................................................... 15
8.4.3 Experience of the applicants and participants in the implementation of infrastructure projects ....................................................................................................................................................... 15
8.4.4 Analysis of state aid aspects...................................................................................................... 15
8.4.5 Intellectual Property Policy ...................................................................................................... 15
8.4.6 Any other legal risks / legal approvals pending ................................................................... 15
9. FINANCIAL ANALYSIS ............................................................................................................................... 15
9.2 Financial Analysis of the Project .................................................................................................. 15
9.2.1 Time Horizon and Financial Discount Rate ........................................................................... 16
9.2.2 Cost Estimation Method ............................................................................................................. 16
9.2.3 Financial cash flows .................................................................................................................... 16
9.1.3.1 Investment Costs .......................................................................................................................... 16
9.1.3.2 Operating Revenue and Costs .................................................................................................... 16
9.1.3.4 Sources of Financing/Co-financing ........................................................................................... 16
9.2.4 Analysis of financial return on investment ............................................................................ 17
9.1.5 Calculation of the EU grant amount ......................................................................................... 17
9.1.6 Analysis of financial return on national capital .................................................................... 17
9.1.7 Financial sustainability analysis .............................................................................................. 17
10 SOCIO-ECONOMIC COST-BENEFIT ANALYSIS .................................................................................. 17
10.1 Methodology and assumptions ..................................................................................................... 17
10.2 Conversion of investment costs into economic costs ............................................................... 17
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10.3 Identification and evaluation of economic costs and benefits from RDI .............................. 17
10.4 Economic Rate of Return and Net Present Value ...................................................................... 17
10.5 Non-quantifiable economic benefits and costs .............................................................................. 17
11 RISK ASSESSMENT ............................................................................................................................... 17
11.1.6 Sensitivity Analysis ................................................................................................................ 18
11.1.7 Qualitative Risk Analysis ...................................................................................................... 18
1. EXECUTIVE SUMMARY OF THE STUDY
This section should clearly present a short summary of the project and its beneficiaries. It is suggested that the
executive summary of the FS is no longer than 8000 characters.
1.1.1 Summary of the proposal
1.1.2 Area of specialisation and alignment with national smart specialisation strategy
Summarise which academic disciplines and industrial sectors the project will operate in and how it is aligned
with the national smart specialisation strategy
1.1.3 Location
1.1.4 Brief Description of the Project, its research aims, and the steps to commercial/socio-economic gains
Describe the project, the objectives of the research, and how the results will be disseminated to achieve a
commercial/socio-economic impact
1.1.5 Management Structure
Briefly summarise the structure of the management responsible for the operation of the infrastructure
1.1.6 Total Value
2. INTRODUCTION
2.1 The title and description of the project
Clearly present the official background of the project and a description of its main elements, including the
vision/mission statement and a concise summary of what the project is and why the facilities, equipment, and/or
services are required describing the purpose of the project, its location, and the size of the investment required
2.1.1 Brief Description of the content of the Feasibility Study
2.1.2 The applicant and co-operating entities
Name and legal set-up of RDI institutes/partners applying for the EU grant and a description of the decision
making authorities
1.1.3.1 Authors of the Feasibility Study
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The authors of the feasibility study should be detailed, including a description of the project preparation team
responsible for the project.
1.1.3.2 Scope of Feasibility Studies and relations to other relevant linked activities
If the project is linked to any other projects or is part of a long-term or wider development plan, these plans
should be summarised here.
1.1.3.3 Critical Methodological assumptions
The structure/methodology of the Feasibility Study should be briefly discussed, including any benchmarking
and or methodological assumptions. Description of cost estimation methodology should be provided.
2.2 A summary of the proposed outcomes
This section should clearly describe the RDI that will take place at the proposed infrastructure and what benefits
it will bring.
3. ANALYSIS OF THE SOCIO-ECONOMIC CONTEXT
3.1 Location of the Project
A description of the location of the project (province, district, address) should be included, explaining the
strategic advantages of the chosen location.
3.1.1 Geographic aspects
Describe the relevant geographical aspects of the chosen location
3.1.2 Demographics
A description of the relevant demographic trends, including: migration, birth/death rates, age profile etc. Explain
whether these trends will provide a conducive environment for the successful operation of the infrastructure and
the detail the positive effect of this project on these trends.
3.2 Socio-Economic Background
This section should clearly demonstrate understanding of the positioning of the RDI in the wider socio-
economic world.
3.2.1 Local, regional and national socio-economic characteristics relevant to the Project
A description of characteristics such as GDP, income, education, and employment trends should be provided.
Explain whether these trends will provide a friendly environment for the successful operation of the
infrastructure and the detail the positive effect of this project on these trends.
3.2.2 Sources of financing and their budget coverage
Describe the national sources of funding for public RDI and the current trends in funding
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4. THE LOGIC OF THE INTERVENTION
4.1 Status of the Research Base
A description of the capacity and capability of the infrastructure in the relevant domains locally and nationally
should be provided, and why the current infrastructure is insufficient to serve the research needs, compared with
the expected targets.
4.1.1 Infrastructure benchmarking at national and International level
Provide an analysis of comparable infrastructure available at the local, national and EU level. Who in Europe
and in-country is undertaking similar activities? Please provide examples. Will they be competition or potential
collaborators? If comparable infrastructure exists, explain why the proposed infrastructure is required.
4.2 Research performance
Provide a description of the research performance of the beneficiary. It is suggested that a break-down of the
research budget is provided showing sources of funding.
4.2.1 Track record and evidence of critical mass
It is important to ascertain whether the size and quality of the current research base in the areas proposed is in
line with the capacity and the outputs of the proposed infrastructure. For this reason it is suggested that for each
domain, data on the universities, number of students, research projects, research budgets, publications etc.
should be provided. If possible, this data should be provided over time.
Example Table 1: Track record in the domain
2012 2013 2014 2015
Professors Researchers PhD students Graduates Students Research projects Research budget Publications
Companies in the sector in
Croatia
Companies in the sector in
Varazdin County
Companies in the sector in
Varazdin
4.2.2 Research management
A description of the how the beneficiary currently manages research grants and contracts should be provided.
4.3 The RDI Strategy
4.3.1 The Research Strategy and its main targeted domains
Explanation of the research strategy of the proposed infrastructure and a description the platforms envisaged and
the targeted domains.
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4.3.2 Research applications
This section should provide a description of the potential commercial applications for the proposed research
area, showing why this research will be of interest to industry and the wider economy.
4.3.3 Routes to Market
Clearly describe the routes to market. How will the project disseminate its research results and have an impact?
It is suggested that this section is used to describe the technology and knowledge transfer and research
management expertise of the beneficiary. If these activities are to increase, describe the strategy e.g. will more
administrative staff be hired?
4.3.4 Research results dissemination
For the majority of RDI projects, the generation of revenues and economic benefits in the financial and
economic analysis will be closely tied to the commercialisation and dissemination of research results. In order to
understand whether the predicted stream of outputs and revenues are realistic, it is often useful to understand the
past performance on the beneficiary in this area. As such, it is suggest that the beneficiary provides a summary
of their performance in dissemination and commercialization of research results.
Example Table 2: Track record in technology transfer
2010 2011 2012 2013
TT staff Academic disclosures Open projects Patents filed Licence deals Consultancy deals Spinouts Annual T/O
Source of data
4.4 Project Objectives
4.4.1 Proposed RDI objectives of the project
Provide an explanation of the RDI objectives of the infrastructure and the proposed research platforms. What are
the goals and objectives or the research in terms of impact?
4.4.2 Expected Project impacts in terms of indicators
The CBA will quantify the economic benefits created by the project outputs such as those detailed in the
example table below. It is suggested that these are also detailed here.
Example Table 3: Main RDI Outputs
2014 2015 2016 2017 2018 2019..
Creation of research base
No. of research jobs created X X X…
Education Outputs
No. of Masters graduates
No. of Graduates, PhD
No. of peer-reviewed articles
published
Research Outputs
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No. of research contracts
No. of Spinouts
No of national patents granted
No. of Licence deals
Source of data
4.5 The project in terms of the national and EU/regional Objectives
Detail how the project will help to fulfil the broader EU and national policy objectives
4.5.1 Proposed RDI Objectives of the Project in relation to sector policies and the OP
4.5.2 Smart Specialisation Strategy
Provide details of projects consistency with the national smart specialisation strategy
4.5.3 Links with European research roadmap and other relevant research programmes
e.g. horizon 2020, what else?
4.5.4 Relations with other EU horizontal policies (e.g. equal opportunity, sustainable development, energy efficiency)
5. ANALYSIS OF DEMAND
5.1 Macro-economic analysis of project region and sector Evidence to show that the show that the macro and socio economic conditions of the country and the region will
provide a conducive environment for the successful operation, and long term sustainability of the RDI
investment. The analysis should include data such as macroeconomic projections (GDP etc., share of research
expenditures as % of GDP, inflation), household income projections, demographic projections, and growth
trends etc.
5.2 Demand for infrastructure: Analysis of target groups of users
A description of the target group of users should be provided. Typically the target group will consist of some
mix of students, researchers, non-commercial and commercial research institutions and industry.
The analysis should include information on the size of the respective target groups at the local, national, and,
where appropriate, the EU level, showing that a critical mass of users exists.
Provide evidence of demand for the infrastructure itself i.e. that once constructed it will be consistently used,
and show how research budgets will be maintained and increased. Information such as the following may be
useful to consider:
Trends and prospects in the research domain
Evidence of dialogue with the research community in the definition of the facilities
Letters of intent, partnership agreements, or MoUs from research institutions
5.2.1 Academic users (by relevant discipline)
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5.2.2 Industrial users (by relevant sector)
Example Table 4: Main Academic Users
2014 2015 2016 2017 2018 2019..
Researchers in 1st field of expertise
Local level X X X…
National level
EU level
Researchers in 2nd field of expertise
Local level
National level
EU level
…
Source of data
5.2.3 Facility/infrastructure gap analysis Do similar facilities exist at local, national and European level? What are there utilisation rates? Are the
facilities oversubscribed? Is there competition or synergies between the facilities?
5.3 Demand for project outputs
Provide evidence demand for the output (research, graduates, technologies, etc.) of the infrastructure.
Information such as the following may be useful to consider:
Relevant businesses located locally and nationally
Letters of intent
Evidence of dialogue with industry in the definition of the facilities
Evidence of contract research and licensing potential
Evidence for expected financial revenues and other financing sources
The revenues that can be expected from the sale of outputs (e.g. revenues from tuition fees, licensing, rental
space etc.) are quantified. Also, the assumption for the expected other cash in-flows during the operational
period of the project (i.e. financing sources, such as national and international (competitive) research grants) is
provided. Evidence needs to be presented and can be based on track records of participating researchers/research
institutions as well as relevant benchmarks.
5.4 Marketing Strategy
Describe competitive advantages and how these can be marketed to ensure sustainable robust growth, and how
research budgets will be maintained and increased.
6. TECHNICAL ANALYSIS
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6.1 Option Analysis or Description of Significant Technological Alternatives
The basic approach of any investment appraisal aims to compare the situations with and without the project.
6.1.1 Do Nothing or do minium option (BAU)
To select the best option, it is helpful to describe a baseline scenario. This will usually be a forecast of the future
without the project, i.e. the ‘business as usual’ (BAU) forecast.
6.2.1 Do Something option/s
A description of the options assessed during the configuration of the project. Typical aspects considered during
the option of analysis of RDI projects include the type of equipment, the architectural design, the spatial
organisation of the project activities in old, refurbished or newly built buildings, and the scope of intervention,
the institutional set-up to name a few. Only those options should be considered that allow achieving the project
objectives. The list of “do-something” options should be exhaustive and contain to some extent technical details
and cost estimates. The different options as well as the criteria used to compare the options and select the
proposed option should be described in detail.
6.2.2 Option assessment
Detail the results of the options assessment and how the options were assessed
6.3 The Technical Description of the investment
6.3.1 Methodological approach to identifying technical requirements
Describe the approach used to choosing the projects technical requirements. If a peer-review process was
undertaken, please describe.
6.3.2 Buildings
6.3.3 Choice of equipment
6.3.4 Choice of ITC services
6.3.5 Choice of laboratories
6.4 Choice of Site and its Characteristics
Explain why the site has been selected in terms of infrastructure endowment and attractiveness as a place to
work, and drawing attention to competitive advantage of the chosen site.
6.4.1 Climatic Conditions
6.4.2 Site or Territory
6.4.3 Government Regulations
6.4.4 Policies of the Local Authorities
6.4.5 Description of the Pre-chosen Site (details in the Appendix)
6.4.6 Location and building permit requirements and status
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6.5 Infrastructural characteristics of site and requirements
6.5.1 Road and Transport
6.5.2 Communications
6.5.3 Water and Electricity Provisioning
6.5.4 Waste Disposal
6.5.5 Energy Requirements
Are the buildings energy-efficient? What will be the expected energy consumptions and costs?
6.6 Environmental Impact Assessment
This section should provide an in-depth analysis on whether depending on the laboratories and buildings, which
will be constructed, a full Environmental impact assessment is required or not.
6.6.1 Analysis of relevant EU and member state environmental legislation
Due consideration should be paid to all relevant environmental legislation affecting RDI infrastructure. This is
listed below.
EU EIA Directive 85/337/EEC, amended by Directives 97/11/EC and 2003/35/EC
Hazardous Waste Directive 91/689/EEC, as amended by Directive 94/31/EC
Urban Wastewater Directive (in particular Annex III) 91/271/EEC
For Health and Safety, there are several Directive that are applicable, see the attached link:
http://osha.europa.eu/en/legislation/directives/@@legislation_overview
Another Directive that might be useful, for medical research and installations is the following
Directive 2001/20/EC related to the implementation of good clinical practice in the conduct of clinical
trials on medicinal products for human use.
6.6.2 Analysis of environmental analysis requirement (environmental screening)
6.6.3 Summary and conclusions on the environmental assessment
6.6.4 Environmental approvals and permitting
7. THE PLAN FOR IMPLEMENTATION OF THE PROJECT
In this chapter all aspects of implementation should be taken in duly consideration, with a critical assessment of
the management process, procurement aspects and contingencies. Provide mechanisms for project management,
and how management of the parent body will ensure that working arrangements are sufficient to ensure that the
project is delivered on time to suitable costs and quality
7.2.1 Project Implementation task force
The project implementation management group should be responsible for all phases of implementation,
including the procurement strategy, should be described. This should include an organisation chart that
identifies the various participants, their interfaces and reporting relationships, and theirs roles and
responsibilities and the place of the task force in the organisational structure of main beneficiary/consortium.
Detail who is ultimately responsible at construction/ procurement and during operation phases. The following
positions are seen as crucial to the success of the projects implementation:
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Project management director
Procurement manager
Chief Engineer/Lab manager
Describe the background and experiences of these key staff. Crucial that these staff have the correct experience.
It should be noted that the group cannot simply offload the entire management task to a contractor, as they are
responsible for the overall project and have specialised knowledge that is needed for making key decisions.
7.2.2 Staff Hiring
7.2.3 Personnel Hiring and Training
7.3 Time-Table for implementing the project
It is important to define what defines completion or end result of the implementation phase. The research project
is implemented or operational when the RDI infrastructure is capable to deliver its benefits.
All steps necessary for the preparation, implementation and launch of the project, including all relevant tenders,
should be identified and scheduled in the project time chart;
7.3.1 Building Planning and Contract Scheduling
7.3.2 Procurement Plan
7.3.3 Timing for construction of any related infrastructure outside project scope
7.3.4 Definition of Information System
7.3.5 Negotiations for the Purchase of Know-how and Machinery
7.3.6 Financing Negotiations
7.3.7 Acquisition of Land and Licences
Describe any completed public consultations and those that are still outstanding
7.3.8 Consultancy Agreements
8. THE PLAN FOR OPERATION OF THE PROJECT
8.2 Governance and Management Structure
The management and governance structures should be clearly defined here, detailing the separation of
responsibilities between the two. The procedure for the transition from implementation to operation should also
be clearly described.
8.2.1 Organisational Structure
Provide organigramme. How will the Research Infrastructure be organised; How will decisions be taken? Which
measurement systems are in place to appraise performance and research quality? Who allocates the budget?
Who audits finances?
8.2.1.1 Research management
Which decision-making bodies will decide on research projects ? What is the relevant experience in running a
leading research infrastructure ? Will a ‘gateway’ system function to select, approve or decline research projects
to be undertaken in the RDI infrastructure?
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8.2.1.1.1 Experience and provisions for managing multidisciplinary research
Experience has shown that bringing together many disciplines on a scientific or technical problem is generally
more difficult to manage than bringing together people from a single discipline. As such the organisational
designs of research centres are usually more complex and diverse than those of traditional academic
departments.
8.2.1.2 Governance board
RDI
This section should provide a description of the Board, detailing the representatives, responsibilities, and its
relationship to the operation of the facility.
8.2.1.3 Scientific and technical advisory body
If applicable, this should be detailed here.
8.3 Human Resources
8.3.1 List of Personnel and Salary Parameters
Clearly describe the human resource requirements and the salary parameters. State the number of staff required
for the successful implementation and operation of the facility by position e.g. Prof, group leader, technicians,
administrative etc. detailing the number of additional staff required.
8.3.2 Timetable for recruitment
Provide a timetable for recruitment during the implementation and operative stages of the project, detailing the
transition between the phases.
8.3.3 Personnel Hiring and Training
Describe the strategy for recruitment and training. If possible, indicate which staff that will be recruited from
the local labour market, and those that will be recruited from elsewhere. If international recruitment is required,
describe the strategy.
8.3.4 Consultancy Agreements
8.3.5 Staff evolution, career development and mobility
8.4 INSTITUTIONAL AND LEGAL ANALYSIS
8.4.1 The legal status of applicants and other participating in the project
Please explain in detail the legal status of the applicants, the financial situation of the applicants and the
governing bodies of the RDI process/objectives
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8.4.2 Overview of legal statutes of the Beneficiary and relevant consortium arrangements
Detail the legal status of the project once in operation – will it be operated by an existing organisation, will it be
a company, a not for profit company, an International Organisation, a Foundation etc..
If a consortium agreement is in place, confirm its status and compliance with legal requirements. Summarise the
elements of the statute, including:
The frame of the agreement
The scope
The governance and management
Data management
The resources and commitments (financial, in kind, human)
The controls, repairs, and folding up when needed
8.4.2.1 Staff recruitment
Explain who staff will be employed by. If a consortium is in place, detail whether the collaboration is the legal
employer or whether staff will be employed by the consortium members and seconded to the collaboration.
If the collaboration is set up as a Limited Liability Company under national law, explain whether the
employment rules will be aligned with those of the public service sector or the private sector.
8.4.3 Experience of the applicants and participants in the implementation of infrastructure projects
Provide examples of the previous experience of the participants in implementing major projects over the five
years before. Indicate lessons and best practices useful for the current project.
8.4.4 Analysis of state aid aspects
Confirm that the project is compatible with state aid rules. Refer also to statutes of the beneficiary as
appropriate, which set rules for operational activities and remuneration for the RDI activities, which should be
in line with EU requirements. If the project has been notified to European Commission’s DG Comp, please
provide results or status of notification in detail.
8.4.5 Intellectual Property Policy
Describe the prevailing IP policy. An IP policy will typically detail aspects such as:
ownership of intellectual property generated by staff and students;
transfer of rights between the institution and researchers;
revenue sharing arrangements;
arrangements for formation of spin-out companies;
identifying and managing conflicts of interest;
dispute resolution framework.
8.4.6 Any other legal risks / legal approvals pending
Detail any legal issues that are still pending.
9. FINANCIAL ANALYSIS
9.2 Financial Analysis of the Project In the following only a structure is suggested.
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For further details and guidance on the different sections, refer to the 2008 EC CBA guidance and JASPERS
Staff Working Paper on Project Preparation and CBA of RDI Infrastructure Projects.
Where appropriate please make reference to national CBA guidance. Please describe the process, sources,
methods and the underlying data and assumptions used to develop the estimations.
9.2.1 Time Horizon and Financial Discount Rate
9.2.2 Cost Estimation Method
9.2.3 Financial cash flows
9.1.3.1 Investment Costs
9.1.3.2 Operating Revenue and Costs
9.1.3.4 Sources of Financing/Co-financing
The following table provides an overview of typical cash flow items to be considered in the above sections.
Table 5: Typical cash flows of RDI projects Typical items 2014 2015 2016 2017 2018 2019..
1. Cash Out-flows
2. Investment Costs
- Planning / design fees
- Land purchase
- Building and construction
- Plant and machinery
- Contingencies
- Price adjustment
- Technical assistance / start-up grant
- Publicity
Supervision during construction
2. Operating costs
- salary costs management
- salary costs research team
- material costs (specify)
- repair and maintenance (specify)
- services (specify)
- travel (specify)
- rent (specify)
- others (specify)
3. Re-investment
- building 1...n
- machine 1...n
- equipment 1...n
- others (specify)
Cash inflows
4. Operational revenues from research
- contract research (specify)
- selling of patents (specify)
- others (specify)
5. Non-research operating revenues
- renting (specify)
- sale of buildings
- other (specify)
6. Sources of financing
- Loans (specify also interests and loan
reimbursement payments)
- National competitive grants
- International competitive grants
- Institutional funds
- Specific support for sustainability of
projects from OP R&DI
- Subsidy for educational activity
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other sources (specify)
9.2.4 Analysis of financial return on investment
9.1.5 Calculation of the EU grant amount
9.1.6 Analysis of financial return on national capital
9.1.7 Financial sustainability analysis
10 SOCIO-ECONOMIC COST-BENEFIT ANALYSIS
For further details and guidance on the different sections, refer to the 2008 EC CBA guidance and the JASPERS
RDI working paper and the 2006 EC CBA guidance.
Where appropriate please make reference to national CBA guidance. Please describe the process, sources,
methods and the underlying data and assumptions used to develop the estimations.
10.1 Methodology and assumptions In particular justification of assumptions as regards discount factors, reference period etc.
10.2 Conversion of investment costs into economic costs
10.3 Identification and evaluation of economic costs and benefits from RDI
The identification of economic benefits should be directly linked to the quantifiable output indicators and
project objectives. For further guidance and examples of typical economic benefits to be considered and
quantified refer to the JASPERS Working Paper, section 3 and annexes 1,2 and 3. Please make sure that all
(quantitative) assumptions used to quantify the economic costs and benefits are explained and justified in detail.
Table 6: Example of presentation of research outputs and respective economic benefits
Indicator Output - Increase in number due to project per year
Unit Unit Value (EUR) Total value of economic benefit per year
Benefits related to the creation of research base No. of research jobs created
Education Benefits No. of Masters graduates
No. of Graduates, PhD Research Benefits No. of peer-reviewed articles published
No. of research contracts
No. of Spinouts
No of national patents granted
No. of Licence deals Sources of data
10.4 Economic Rate of Return and Net Present Value
10.5 Non-quantifiable economic benefits and costs
11 RISK ASSESSMENT
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For further details and guidance on the different sections, refer to the 2008 EC CBA guidance and the JASPERS
RDI working paper and the 2006 EC CBA guidance).
Where appropriate please make reference to national CBA guidance. Please describe the process, sources,
methods and the underlying data and assumptions used to develop the estimations.
11.1.6 Sensitivity Analysis
11.1.6.1 Identification of critical variables
11.1.6.2 Switching values
11.1.7 Qualitative Risk Analysis
11.1.7.1 Risk matrix The following elements should be included:
- List of adverse events project is exposed to
- A risk matrix showing possible causes of failure, the negative effects generated on project, ranked levels
of probability of occurrence, the severity of the impact and mitigation and/or prevention measures
Table 7: Example of presentation of project risks and mitigation measures
Description of risk and negative effects generated on project
Probability* Impact* Risk management measures/actions
Construction Risks
Operational Risks
Institutional Risks
Demand Risks
Risk of fulfilment of project objectives
Other
*Evaluation scale: low / medium / high
11.1.7.2 Assessment of acceptable levels of residual risks