Guidance Notes for Prospective Partners Completing a Grant Application and Proposal Form for. Knowledge Transfer Partnerships

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1 Guidance Notes for Prospective Partners Completing a Grant Application and Proposal Form for Knowledge Transfer Partnerships Knowledge Transfer Partnerships A guide for Company and Knowledge Base Partners A PRODUCT SUPPORTING INNOVATION This guidance will help prospective Company and Knowledge Base Partners prepare a Knowledge Transfer Partnership grant application and proposal form. Please read these notes CAREFULLY before you begin and follow all instructions Version 3.6 October

2 Contents of the Guidance Notes Introduction The proposal Developing and training Associates Facilitation General information to facilitate completing and submitting your proposal Glossary of terms Data protection Notes on how to complete Sections A and B of the Form Version 3.6 October

3 Contents of the Partnership Proposal and Application Form Part A Section 1 Section 2 Section 3 Section 4 Section 5 Section 6 Identifier Sheet The Partnership strategy The business case The project plan The KTP Associate The knowledge base team Section 7 Section 8 The project management team Funding for the Partnership Part B Section 9 to 12 Section 13 Section 14 Section 15 Data collection on behalf of KTP Sponsors The Joint Commitment Statement Declaration Company Ethnicity Information (Optional) Version 3.6 October

4 Knowledge Transfer Partnerships Introduction 1. The objectives of every Knowledge Transfer Partnership are to: Facilitate the transfer of knowledge and the spread of technical and business skills; Provide company-based training for graduates 1 in order to enhance their business and specialist skills; and Stimulate and enhance business relevant research and training undertaken by the knowledge base. 2 The Proposal 2. Before a grant application can be considered, an Outline proposal form must have been submitted to your KTP Adviser and the Partnership subsequently invited to submit a proposal. The resultant proposal must continue to meet the overarching criteria for Knowledge Transfer Partnerships set out in Annex 1 of the Outline proposal form. 3. There are two variants of the Grant Application and Proposal Form, one for Partnerships that comprise one Associate Project and the other for Partnerships that comprise two to five Associate Projects. If your Partnership has more than five Associate Projects you should complete two or more Grant Application and Proposal Forms. 4. Each variant of the Grant Application and Proposal Form has two parts: Part A: information considered during the Partnership Approvals Process Part B: data collection. The questions are the same in the two variants of the form. 5. You must complete and submit both Part A and Part B of whichever variant of the form is appropriate to your Partnership. 6. Your proposal should demonstrate how and when the proposed Knowledge Transfer Partnership will achieve the three objectives in the Introduction with the resources identified. Completion and submission of a Knowledge Transfer Partnership Grant Application and Proposal Form should be regarded as: An application for a government grant to be offered to the proposed Knowledge Base Partner identified at Section 1.1 and Section 10.1 of a completed form in order to support the defined project(s). The grant will be supplemented by funds provided by the proposed Company Partner 3 identified at Section 1.4 and Section 9 of a completed form; 1 For the purposes of being a KTP Associate, a graduate may be a person recently qualified with a first or higher degree, a Scottish/National Vocational Qualification (S/NVQ) Level 4 or a Higher National Certificate, a Higher National Diploma (HNC/HND) or a Foundation Degree 2 In this context the knowledge base includes higher education institutions in the UK, further education institutions in the UK teaching at S/NVQ Level 4 in subjects relevant to Knowledge Transfer Partnerships, independent research and technology organisations in the UK and public sector research institutes or establishments in the UK. 3 For the purposes of Knowledge Transfer Partnerships, a Company Partner need not necessarily be a commercially oriented business. Your KTP Adviser can give further advice on this point. Version 3.6 October

5 Evidence that detailed planning has taken place so that the Partnership is likely to meet its objectives; and Agreement between the proposed Partners, and between them and the government bodies funding any grant offered, that appropriate actions will be taken to manage processes for achieving the agreed objectives. 7. It is important that Part A - Sections 1, 2, 3, 4, 5, 6, 7 and 8 are completed on behalf of both proposed Partners after they have jointly developed plans and agreed actions that meet realistic and ambitious objectives for both Partners and provide a demanding development and training experience for the KTP Associate(s). The KTP Associate(s) may be recruited once the Knowledge Transfer Partnership has been approved and that approval communicated to the Knowledge Base Partner by means of a grant offer letter issued on behalf of the Technology Strategy Board (hereinafter referred to as TSB ) on behalf of all the organisations funding KTP. 8. Part B - Section 9 of the form should be completed on behalf of the senior company staff member named at Section 9.2. This should be the person who authorises expenditure by the Company Partner in the proposed Knowledge Transfer Partnership activity. This person should also sign the joint commitment statement at Section 13. Section 10 should be completed on behalf of the official named at Section 10.2 in the proposed Knowledge Base Partner organisation. This person should also sign the Joint Commitment Statement at Section 13 and the Declaration at Section 14 on behalf of the proposed Knowledge Base Partner. 9. Company ethnicity information is optional and for monitoring equal opportunities and diversity policies only. Developing and Training Associates 10. All KTP Associates must have the opportunity to achieve the CMI Diploma in Management (Level 5) and must participate in the KTP Associate Training and Development Programme, including its residential modules. 11. Additionally, all Associates must have the opportunity to engage in the KTP Coaching and Mentoring Programme delivered by a KTP Adviser in support of the Diploma in Management. 12. It is important that the proposed work programme for each Associate provides opportunities for them to develop and demonstrate these skills and that their Supervisors jointly provide mentoring support Facilitation 13. A Partnership Facilitator, normally a senior staff member of the proposed Company Partner, will co-ordinate the Partnership so that it achieves, at least, the tangible outcomes set out at 2.5 of the application form. The Facilitator will also review and, if appropriate and with the agreement of all the parties involved, extend the planned deliverables. This person should be identified at Section 9.3. Version 3.6 October

6 Completing and Submitting your Proposal 14. You will find it helpful to contact your KTP Adviser and discuss the proposed application before attempting to complete your grant application and proposal form. 15. You MUST use the latest version of both Part A and of Part B of the Grant Application and Proposal Form from the KTP Portal (and the version numbers must match), except if it is a resubmission of a proposal previously rejected by the Partnership Approvals Group. 16. The Grant Application and Proposal Form MUST be completed in at least 10 point size, preferably using Arial. Please answer ALL questions - if a question does not apply to you, put 'N/A'. You MAY expand the boxes provided for answers if necessary, but DO NOT add additional rows. This form will be read electronically, therefore DO NOT: AMEND the question or table headings; ADD additional rows or columns to tables; AMEND or INSERT additional text in greyed-out boxes; AMEND the footers and footnotes; DELETE questions or sections of the form even if they do not apply to you: if yours is a multi-associate Partnership, do not delete the Associate boxes not being used. If you do any of these things you run the risk of your Grant Application and Proposal Form being rejected. 17. The individuals who are required to sign the Joint Commitment Statement at Section 13 and the Declaration at Section 14 should read the completed proposal and application form before signing it. Remember, by signing the form you are taking legal responsibility for the content. Failure to maintain this commitment may jeopardise payment of claims. We will publish certain data you provide in the proposal form. Please see the section on the next page about data protection. Both Partners should complete Sections 1, 2, 3, 4, 5, 7, 8, 12, and 13. Sections 6, 10 and 14 should be completed by the Knowledge Base Partner. Sections 9 and 15 by the Company Partner. Section 11 should only be completed when the Knowledge Base Partner is not an HEI or FE College. Parts A and B must be submitted at the same time. 18. Having taken advice from a KTP Adviser that your proposal meets the criteria of the government organisations providing the funding for KTP, an unsigned copy of BOTH PART A AND PART B OF THE PROPOSAL, IN MICROSOFT WORD, together with any other supporting documents, should be ED to a copy should be ed to the KTP Adviser who advised on the preparation of your proposal. The must arrive at BEFORE PM ON THE CLOSING DAY DEADLINE for submission of proposals. This is the version that will be considered for approval. 19. A SIGNED COPY of the Joint Commitment Statement in Section 13 and the Declaration in Section 14 from Part B of your proposal should then be sent to KTP Programme Office, AEA, B329, Wing H, Harwell, Oxon, OX11 0QJ (tel: ). Proposals will not be considered unless the signed Joint Commitment Statement and Declaration are received BEFORE 12.30PM ON THE CLOSING DAY DEADLINE. There is no need to send in a full, hard copy of Part A and Part B - we just need a hard copy of the signed Joint Commitment Statement and Declaration from Part B. 20. It is the responsibility of the Partnership to ensure that the electronic proposal and the signed copy of the Joint Commitment Statement and Declaration are received by the KTP Programme Office before the above deadline. Version 3.6 October

7 Glossary of terms Partnership. The relationship between the company and UK knowledge base organisation. Project. An individual project between the company, knowledge base organisation and an Associate. A partnership can include more than one project, and therefore more than one Associate. Input. The resources required, including money, time or effort, to produce a result. Output. The immediate, visible, concrete and tangible consequences and/or deliverables of project inputs. Project Stages. The major project tasks required to complete the project aim typically 4-6. Outcome. The medium to long-term effect of the project. This is generally at the level where the beneficiaries or end-users take ownership of the project and KTP funding comes to an end. Project work plan. A description of the work required to complete each project stage. Data Protection We will process the information provided in proposals and applications in accordance with the principles set out in the Data Protection Act. The data controller is the TSB. The information provided, including any supplementary information that may be provided at a later date, will be used for the following purposes: Processing and assessing the proposal and application for grant by the KTP Programme Office in AEA for the TSB and the public sector organisations that are funding Knowledge Transfer Partnerships; Statistical and performance reporting by AEA for the TSB and the public sector organisations that are funding Knowledge Transfer Partnerships (this will not result in the publication of any information that would enable any organisation, company, institution or individual to be identified); Publishing contact information relating to knowledge base organisations, businesses and individuals participating in Knowledge Transfer Partnerships, descriptions of the aims of the Knowledge Transfer Partnership (see Sections 1.1 to 1.7), the type and size of business involved and the amount of grant offered; and Providing the contact information referred to above to public sector supported business support organisations, for example Business Link Operators in England, who may contact you in order to offer other appropriate services. Apart from these purposes, information provided in Knowledge Transfer Partnership proposals and grant applications will not be revealed to any other organisation for any purpose other than detecting or preventing fraud. You have the right to request a copy of the information held about you at any time. If you wish to do this you should write to: The Data Protection Act Officer Technology Strategy Board Floor B1 North Star House North Star Avenue Swindon SN 2 1JF Version 3.6 October

8 Guidance notes on completing Parts A and B of the Knowledge Transfer Partnership Grant Application and Proposal Form At the start of each part of the form is a box marked Unique Identifier Number (UIN). This field must be completed by the Partnership and should reference the number allocated to or used for the Outline previously submitted. You may, if you wish, add a suffix and version number. Thus, the UIN provides the Partnership with the opportunity to apply version controls to the application as it is filled in. This is particularly useful when discussing revisions with the KTP Adviser. The UIN must be quoted on each Part of the form. At the start of each part of the form there also is a box for the KTP Programme Number. The KTP Number is allocated to the application on receipt by the KTP Programme Office once it has been approved for submission by the KTP Adviser, and is not the same as the Outline number. The KTP Number remains with the proposal throughout its lifecycle and will be quoted on any correspondence. You do not normally need to add anything in this box. However, if this is a resubmission of a proposal that has been rejected by PAG, please add the KTP number allocated to the original proposal. Part A. Information considered during the Partnership Approvals process. This information will be used to reach a decision as to whether the Partnership proposed fits the criteria for KTP and is supportable by the KTP Sponsors. Section 1 Identifier Sheet The identifier sheet provides the KTP Programme Office and Advisers with information that enables each part of the proposal form to be linked together throughout the approvals process. Section 1.1 Insert the name of the University, Research Organisation or FE College submitting the proposal and providing the primary academic inputs to the partnership. Section 1.2 Insert the name of the knowledge base department taking the lead on meeting the needs of the KTP project team. Section 1.3 Insert the RAE rating of the department (identified in 1.2 above) using the latest published results. Version 3.6 October

9 Section 1.4 Insert the name of the organisation that will be acting as the Company Partner. Use the official registered name of the company. Do not use trading names. Insert also the Town together with the postcode of the company premises at which the Associate will be located, to support decision-making on requests made for additional funding for Travel and Subsistence. Section Starting in the left hand column mark the boxes with an X to show clearly the length the Associate(s) project and where it starts and finishes in relation to other Associates projects included in this application. Section 1.6 Summarise the work to be carried out during the lifetime of the Partnership. Please commence the sentence To, eg To develop. Section 1.7 The amount shown here should be the amount of grant applied for in Section 8 and must include any additional funds applied for in Section 8.1. Section 1.8 The likely Funding Organisation or Funding Organisations of the proposed Partnership should be entered here. You will need to consult your KTP Adviser on this. Section 2 - Partnership Strategy Section 2.1 Where in the company s business does it generate revenue that keeps it viable. Please start with a single, concise sentence summarising the company s business. You may use the rest of the word-count to elaborate on this. Section 2.2 a, b and c - In completing this Section the Company Partner will be able to show that it has taken the opportunity to consider the use of KTP strategically across the whole of its business activity including any other stand alone business units. It is expected that large companies or groups would consider the use of KTP across the company and take account of previous or current KTP Partnerships undertaken. The individual named in 2.2c should demonstrate the company or group s commitment to the partnership. Section In specifying the problems and opportunities that this Partnership represents, explain why the company cannot undertake this themselves and provide reassurance that the solution cannot be bought off the shelf or by accessing some consultancy. a) Why the project(s) is strategic to the Company Partner. b) What specific problems or opportunities will be addressed by the project(s). c) What knowledge, technology or skills the company hopes to gain from the Knowledge Base Partner. Section 2.4 Thinking about the project plan and outputs include here the immediate, visible, concrete and tangible consequences of project inputs. For example, such project outputs could be presented in terms of products (e.g. designs, prototypes, reports, markets), operations (e.g. reduced lead times, waste reduction, production rates) or business performance (e.g. increased sales, reduced costs). Where possible Bullet points are preferred. Section 2.5 This question addresses the short-medium term effects of the project. This is generally at the level where the beneficiaries or end-users take ownership of the project outcomes and KTP funding comes to an end. Section 2.6 Where more than one Associate project is involved, consider the relationship between them all and include an explanation of why the Partnership has chosen to carry out the project work in this particular order. Please also explain the relationship with previous KTPs undertaken jointly by the Partners in this Partnership. Section Describe here what makes this a particular challenge for the academic team, or in the case of an RTO the research team, especially if those individuals involved have undertaken a number of similar projects in the past. What is looked for here is how the proposed Partnership contributes to research, adds to understanding and the feedback into teaching. Version 3.6 October

10 Section 2.8 In outlining the challenge and opportunities for the Associate, please make clear how this project will enable them to gain exposure to the business and commercial environment of the Company Partner. Will the experience give them the opportunity to become a business leader of tomorrow? This is of particular importance if the Associate is working on a highly technical/scientific project or when the needs of the project require the Associate to spend a substantial amount of time at the premises of the Knowledge Base Partner. Typically Associates should spend no less than 50% of their time at the company. Section 2a - Company Financial Summary Section 2.9 Please discuss with your KTP Adviser before any significant work takes place on the development of the application and proposal. If the proposed Company Partner is part of a group it is necessary to submit financial information for both the Company Partner and the group. If the accounts are consolidated and the Company Partner s accounts are not available, information on the group accounts should be provided with evidence from a senior executive in the group that the group will provide financial support to the proposed Company Partner for the duration of the proposed Knowledge Transfer Partnership. Where the financial viability of the company to sustain its costs for the duration of the partnership and allow the company to exploit the knowledge/skills gained in the commercial world is in doubt the KTP Adviser will consider sending the appropriate financial information to the TSB Delivery Manager in order for them to take a view. When this is the case a full proposal should not be submitted for consideration until such a response has been received by the KTP Adviser. Any letters of support from a Group or bank/loan holder must be included at the same time as the electronic proposal is received. Sections 2.10 to This information is used to determine the correct application of grant rates. Section 3 The Business Case Section 3.1 The answer to this question should show the Company s position in its target markets. Section Examples of commercial impact include, but are not limited to, the following: increased market share or sales; reduction in waste; process improvement; efficiency gains; and increased margins. This quantification of the commercial impact should be for the period during the project and for 3 years after the project has been completed. As such, this should show a direct link with the expected outcomes in section 2.5. Not for profit organisation can also present a strong business case for carrying out the project. The impacts are however more likely to be described in terms of, costs savings, reducing waste, improved efficiencies and business operations and enhancing the skills and abilities of staff. Section 3.3 Answers to this question should indicate revenues where appropriate and should tie in with the outputs in Section 2.4. For example, commercial improvements could be presented in terms of products (e.g. designs, prototypes, reports, markets), operations (e.g. reduced lead times, waste reduction, production rates) or business performance (e.g. increased sales, reduced costs). For multi-associate Projects, you should clearly identify the commercial benefits of each Project. The KTP Adviser Recommendation in support of a proposal should be used to explain any anomalies/trends in the financial position of the company. Comment on any other current liabilities indicated should be provided. Version 3.6 October

11 Section 4 - The Project Plan Section 4.1 This section will provide the information needed to determine whether the partnership has the appropriate level of project planning to result in a successful KTP. Typically a project would be expected to comprise 4-6 individual project stages. The project plan should show the work required to complete each of the project stages listed. Areas that could be included within the project stages are: definition of the problem; solving the problem; implementing the solution; and embedding the solution within the company, whether it is through technology, knowledge or skills. Stages common to all projects are listed as tasks 1-4 (knowledge base & company induction; training and development including the KTP mini-project and modules; completion by the Associate of a detailed project action plan to include, e.g. Gantt charts/ Critical Path Networks, and risk assessment as required; and Associate holidays). Each partnership is expected to outline how each of these tasks 1-4 will be achieved and the associated outputs. For the project specific stages each partnership should state each project stage (in bold). Tasks effort should be expressed in months rather than weeks. Tasks for the first 9 months of the work plan should be included in greater detail (e.g. ~0.5 months per task description). Provide a short narrative description to each of the tasks that will be undertaken to meet each stage. Tasks should be annotated as follows: Project Stage 1, task 1 = 1.1, task 2 = 1.2, task 3 = 1.3; Project Stage 2, task 1 = 2.1, task 2 = 2.2 etc. Where more than 1 task is described, dividing lines should be used to separate the tasks. You must restrict the number of project stages to 16. Subsequently, the work plan should be in less detail but the narrative should provide the reader with a general description of Why and how the work is being done, and how long each individual stage will take. The level of detail should be appropriate to ensure inclusion in the left hand column of all the projects outputs and key decision points. Section 4.2 This chart should correspond with Section 4.1. A separate Time Plan should be completed for each Associate project. Please shade the months when the Associate will be working on each project stage. Section 4.3 When completing this section, please state the additional actions and investments over and above the KTP required by the company to translate the project outputs identified in 4.1 into the outcomes summarised in Section 2.5. The text should illustrate how the knowledge, technology or skills will be embedded within the company. Section 5 - The KTP Associate Section Please insert the qualifications, experience and personal attributes the partnership would require of the successful Associate(s) at the start of the project. These should be of a sufficient level to meet the challenge of the partnership. Section 5.2 Examples of managerial and technical competencies could include, but not be limited to, leadership skills, managerial skills, project management, people management, and financial skills. Section 5.3 When completing this section, please note that further professional, vocational or academic qualifications could include, but not be limited to, post graduate degrees in technical, financial or managerial subjects. Version 3.6 October

12 Section 6 - The Knowledge Base Team Sections 6.1 and 6.2 Detail the expertise/experience that is relevant to meet the needs of the project. The individuals identified should be members of the academic teaching staff and may include research staff with knowledge /expertise relevant to the proposed Projects. This is particularly important where specialist expertise is called on but is not within the experience of the proposed Supervisors. In the case of an RTO or Research Institute the individuals will be from the appropriate research teams. For multi-associate Projects where the Knowledge Base Supervisor or Lead Academic is common to different projects, please do NOT write in See above but enter full details (you may copy and paste). This is to enable correct transcription of data. Section 6.3 Include in this section other resources required to meet the needs of the project and that are being made available by the Knowledge Base Partner. It should be made clear that these resources are being provided at cost. Section 6.4 Please ensure that each expected benefit (output) is quantified. Examples of benefits include: academic papers, trade papers, conference attendance, under/post graduate projects, feedback into research or new research themes, feedback into teaching and development of teaching programmes, etc. Section 7 - Project Management Sections 7.1 and Detail the expertise that is relevant to meet the needs of the project. The individuals identified should be full time members of the Company Partner s staff. It is important here to show what expertise is being brought to the project team. For multi-associate Projects where the Company Supervisor is common to different projects, please do NOT write in See above but enter full details (you may copy and paste). This is to enable correct transcription of data. Section Ideally, the Local Management Committee (LMC) should be chaired by the most senior executive at the Company Partner s site at which the Associate(s) will be based, and another senior member of staff should act as the Knowledge Transfer Partnership s Facilitator. The person appointed as Facilitator to a Knowledge Transfer Partnership LMC has a key role in ensuring that the partnership has the maximum possible impact on the company or organisation. This may be through support for the Associate, ensuring that company facilities are made available, communicating the objectives and importance of the Partnership to the wider company or protecting the Associate s time from the demands of non project work. It follows that the Facilitator should be a senior company stakeholder. The role does not present great demands upon the individual s time but they must be kept in the communication loop and invited to contribute to the direction of the project. The Facilitator s role is therefore quite separate from that of Company Supervisor or LMC Chair and the partners should be strongly encouraged to involve someone with the appropriate status within the company. In medium and large sized companies a separate facilitator should be nominated. Only in small companies should the role be taken by the LMC chairman. Secretarial and administrative staff should not be included. (Add additional rows when necessary, e.g. when there is more than one KTP Associate and, therefore, more than two Supervisors.) Version 3.6 October

13 Section Associate supervision is a key part of any partnership. The supervision described here is the minimum level that is expected to be made available throughout the lifetime of the partnership. Circumstances can arise where it is difficult for the knowledge base and/or Company Supervisors to provide 0.5 days per week or the equivalent (e.g. where there is a distance between Knowledge Base and Company Partners or where the Associate will need to spend significant periods of time away from the company premises). Please use this section to describe and justify the alternative arrangements that will be made for supervision in such circumstances. Section 7.5 This section provides an opportunity to outline how the knowledge will be embedded, publicised and spread within the Company Partner, the Knowledge Base Partner and to others, e.g. relevant business sectors and professional bodies. Such embedding is an important component of all KTPs. Sections 7.6 and As a part of the partnership building process it is expected that the Partners reach agreement on the treatment of any Intellectual Property (IPR) that is brought to, or that develops from the Associate s projects. An IPR agreement may be considered to be essential when proposals are reviewed, but the partnership may not have put one in place. The lack of such an agreement will not delay the issue of a grant offer letter but will delay the appointment of an Associate(s) until the IPR agreement is in place. If a restriction was put on the recruitment of an Associate until an IPR agreement was put in place, payment of the first claim will be delayed until the agreement is in place. Section 8 - Grant Funding 1. Introduction These Guidelines are designed to assist applicants determine a proposed KTP Project budget following the introduction of Full Economic Costing (fec) within the HEI sector and conforms to government policy. The old Standard (non-fec) budget method and 46% overhead can still be used where fec has not yet been implemented in the HEI or the Institution chooses to use the old method. FE Colleges also can still use the old Standard budget method or, if they are linked to an HEI and fec has been introduced, choose to use the fec method. Similarly, Research & Technology Organisations can choose either method. You must mark on the Form whether fec or the Standard budget is being used. The KTP Grant Application and Proposal Form includes a blank outline budget form and is completed before submission. The form covers both fec and Standard budgets. Further information and examples are given in the KTP Guidebook available through the Portal. However, advice should be sought, generally about the application process and particularly about the proposed budget, from the nominated KTP Adviser and, if necessary, the KTP Programme Office prior to submission. The Partnerships Approvals Group approves applications and successful applicants notified of the decisions through an Offer Letter (which also sets out the regulations governing expenditure) addressed to the Knowledge Base Partner. Each KTP budget is financed by a contribution from government (in the form of a grant and not subject to VAT) awarded to the Knowledge Base Partner with the Company Partner contributing to the balance of the Project costs direct to the Knowledge Base Partner. The company has, in addition, to find its own cost of participation. Version 3.6 October

14 You will need to add in the header to columns 2 and 3 of the blank outline budget table the percentage grant requested and company contribution, and use this percentage to calculate the amounts in the rows. For Partnerships eligible for 67% grant support, the amount of grant requested must be calculated by multiplying the eligible costs by 0.67, NOT by 2/3. The Local Management Committee (LMC), established for the particular Knowledge Transfer Partnership, controls the budget (within the regulations set out in the Offer Letter ). Definitions of the main financial terms are set out as follows: Directly Incurred Costs Associate employment: These costs relate to the employment of the Associate eg to salary, NI, pension etc. Where there is more than one Associate project this figure should be the total cost for all of them identified in the Partnership proposal. Associate development: These costs are for each Associate to manage, through the LMC, and is for additional developmental training that is specifically required for the particular project identified. Training that helps the all round development of the Associate is also covered by this contribution. Travel & Subsistence: These costs relate to the travel necessary to undertake each proposed project. A higher than the standard amount is identified for Associates in Northern Ireland and Scotland in view of their relatively higher travel cost to the Associate Development Course Modules. Consumables: These costs are a contribution to those consumable items that are essential to enable the project to progress and complete successfully. It can include the Associate s PC but should not include capital items that the Company Partner will require after the project has completed. Directly Allocated Costs Knowledge Base Supervisor: This represents the cost of the appropriate academic in the Partnership and their indirect cost element. Associate Estates Cost: Normally this will be zero as the Associate is located at the Company Partner s premises. Some projects, however, occasionally involve project work undertaken in HEI facilities. Where this time is estimated to be between 20% and 40% a realistic estimate figure should be used. Mentoring: This cost may be applied where an Institution has made a KTP Application but has not participated before or where there has been a long gap since they last participated. The cost relates to the time spent by a member of staff from an Institution who regularly participates in KTP, in helping the organisation new to KTP get to grips with it. Under the standard budget method this amount is 1,000. Indirect Costs Additional Associate support: The costs that relate to the management aspects of the Associate (such as learning resources, computing, personnel function, etc). 2. KTP Project Budgets The KTP Project budget includes categories covering the costs directly incurred in carrying out the project (the Directly Incurred Costs i resulting from employing the Associate). The Directly Allocated Costs ie those costs allocated to the Project by the Knowledge Base Partner for the support provided by the Knowledge Base Supervisor and, if appropriate, covering the use of laboratory or office space by the KTP Associate. Occasionally Mentoring support for the Associate is required from individuals not from the Knowledge Base Partner itself, the costs of such mentoring are regarded as Directly Allocated Costs. The budget also includes a category called Indirect Costs to cover those additional costs incurred by the Knowledge Base Partner associated with employing the Associate and providing them with access to support facilities. The budget does not cover costs (direct or indirect) of the supervision Version 3.6 October

15 and support of the Associate given by the Company Partner. These are met exclusively by the Company Partner. Calculating the Budget The total budget for a KTP Project depends on the following four parameters: the duration of the Project the plan of work to be undertaken the geographical location of the Company Partner the costs associated with the particular Knowledge Base Supervisor and the department within the Knowledge Base Partner that is providing the main support. Duration of the Project(s) Figures for Projects lasting more than twelve months can be obtained by multiplying on a pro-rata basis. The standard KTP Projects, are those in which only base levels of funding are required for Travel and Subsistence and for Consumables, and in which the work is undertaken entirely away from the premises of the Knowledge Base Partner. Higher than base levels may be proposed for Travel and Subsistence and for Consumables and costs for Associate Estates Provision may be included as Directly Allocated Costs. Limits and opportunities to obtain additional funding: Associate Employment standard amounts represent upper limits above which the grant does not make any contribution. Any expenditure on employing an Associate (salary plus additional costs) that exceeds these amounts must be met entirely by the Company Partner. Such topping-up by the Company Partner may be desirable to attract an Associate with appropriate qualifications and experience. It is essential that discussions with the company take place as early as possible so that it is aware of the possible requirement. If the KTP Project is based mainly at a company site in London, the Associate Employment category of the budget is enhanced by 3,000 to enable the payment of a London Allowance to the KTP Associate. Such an allowance is only permissible if the company site where the majority of the Project is to be carried out is within 16 miles of Charing Cross. The KTP Adviser will make use of the KTP Adviser Recommendation to support such requests. Associate Development Standard amounts cover additional developmental training for the Associate that is specifically required for the project. Training that helps the all-round development of the Associate is also covered by this contribution. No more than 700 per Associate ( 1,700 when the Knowledge Base Partner is not an HEI) may be used from the budget amount available for the Associate(s) personal development towards qualification registrations and examinations fees. Travel and Subsistence A standard budget is provided to cover the travel and subsistence expenses necessary to undertake each proposed project, wherever in the UK the project is to be undertaken. This budget is designed also to cover the Associate s attendance at KTP Associate Training Course modules and the Knowledge Base Supervisor s attendance at Supervisor Workshops. If the plan of work warrants it, higher than base levels may be proposed for Travel and Subsistence, but they will need to be justified. Consumables A Partnership may make a case for additional funds for the purchase of consumables that are considered to be essential to facilitate the successful completion of the Project and not required by the company at the end of the project. The Knowledge Base Supervisor (SC) costs will depend on the nominated individual, the department and the institution which provides the Supervisor s employment. Normally the Knowledge Base Supervisor will spend, on average, half a day per week in support of a Project and thus normally the multiplying factor of these costs (F1) is typically 0.1. Very exceptionally, in cases where the partners agree there may be a need for the Knowledge Base Supervisor to provide additional support, a higher value of (F1) Version 3.6 October

16 may be proposed but is unlikely to be approved, unless a justifiable case is presented. The Associate(s) Estate Costs provision for the KTP Associate is zero where a Project is being undertaken exclusively away from the Knowledge Base Partner s site. If a significant part of the Associate s time (say 20% to 40%) will be spent using facilities at the Knowledge Base Partner a realistic estimate should be proposed. Mentoring The purpose of mentoring support is to provide such knowledge base organisations with examples of good practice in the management of KTP Programmes, particularly regarding: Provision of adequate financial and personnel/administrative support Supporting and mentoring the Associate(s) As well as maximising benefits to the partner organisations. To enable this, the mentor (an experienced Knowledge Base Supervisor) would expect to at least: Attend four early meetings of the Local Management Committee to ensure good practice is implemented. Meet appropriate staff on three other occasions to discuss good practice in operational matters The typical cost currently is 1,000 This is split between 800 for Institution Staff Costs and 200 for Travel Costs. This is grant funded only and no contribution is made by the company. The amount is also ring fenced and may not be vired to any other budget heading. On occasions when additional mentoring support from an individual not employed by the Knowledge Base Partner is deemed to be appropriate then the additional costs should be included as Directly Allocated Costs. is unlikely to be approved unless a justifiable case is presented. The Directly Allocated Costs and Indirect Costs should reflect the real costs to the Knowledge Base Partner of employing the KTP Associate and providing support. The amounts will vary between institutions and, possibly, between departments within institutions. Section Please state in tabular form, and justify, any proposed changes from the standard amount. If requesting additional funding Partnerships must clearly show why no virement (headings b, c and d only) is possible. It is important to make clear what ADDITIONAL funding is being requested above the standard amount. Section 8.2 When considering this section please reflect on the profile of the Associate that the Partners consider necessary to undertake the project. In order to attract a suitable Associate with the appropriate skills and attributes it may be necessary for the Company Partner to provide a salary top up. Companies should indicate, where appropriate, any the estimated costs of additional equipment and or materials that will be required in order to exploit the outcomes from the Associate s projects commercially. If the additional costs do not match any of the categories in the table, please include under Other costs. Additional Associate Support Normally the additional support given to the Associate is shared approximately equally between the Knowledge Base Partner and the Company Partner. Thus the factor (F2) used to multiply the Additional Associate Support costs (AC) incurred by the Knowledge Base Partner is typically 0.5. In exceptional circumstances a higher value of (F2) may be proposed, but Version 3.6 October

17 Part B. Data Collection This information is collected on behalf of all KTP Sponsors in order that the partners are identified and to enable the take-up, value for money, cost effectiveness and outcomes from KTP to be measured against a common set of measures with other sponsor products. This information helps to ensure that KTP is run as efficiently as possible for all KTP stakeholders. Section 9 - Company Partner Company Data collected on behalf of Sponsors. All fields must be completed where applicable. Please use N/A when appropriate do not leave blank. Section 9.1. The legal status of the company is Ltd, PLC, Partnership, sole trader, charity/not for gain, NHS Trust etc. To determine in which sector the company operates the Standard Industrial Classification (SIC Code) is used. VAT numbers should be expressed without spaces; if registered in Scotland or Northern Ireland the number should start SC or NI. For help in determining the primary SIC go to: oduct.asp?vlnk= A link also is provided from the KTP Portal. PLEASE USE 2003 SIC CODES. We need to establish and record for the purposes of supporting the KTP marketing strategy where the company first heard about KTP. eg. through a KTP Adviser, KTP Office or business support organisation etc. This is a free text field. Sections 9.2 to 9.5. Please ensure all these sections are completed. Please provide all the details requested; do not write See Section 7.1 or similar. Please ensure that the names given in these Sections match up to the names given in Section 7 of Part A. Since we already know the company name, there is no need to include it in the postal address. Please state telephone numbers in UK format, rather than international format. You MUST provide addresses as these are used for correspondence. In the event that individuals change during the Application Process please ensure you notify the KTP Adviser and the KTP Programme Office. Section 9.5. This will be used to determine if London Weighting (LW) should be included in the Budget (Section 8.1). The KTP Adviser must also record eligibility for LW in the supporting Adviser Recommendation. Section 9.6. Which best describes the primary location of the Associate and where they will be undertaking the majority of the work and embedding of the knowledge in the company. Section 9.7. Where a proposal includes more than one Associate project please indicate using the number of the Associate the primary business function for each project i.e. Associate 1 Associate 2 etc. Section Please state the month in which the Company s financial year ends, not the actual date. Section Please state the year of the Company s most recent audited accounts, not the actual date. Section 9.15 to Please describe in s, using commas to separate the 000s. Please do not change to another basis, in order to simplify the reading of all applications from Partnerships and to reduce mistakes. Section 10 - The Knowledge Base Knowledge Base Data collected on behalf of Sponsors. All fields must be completed where applicable. Use N/A when appropriate please do not leave blank. Sections 10.1 to Please ensure all these sections are complete. Do not write See Section 6.1, See above or similar but provide all the details requested. Please ensure that the names given in these Sections match up to the names given in Section 6 of Part A. Since we already know the name of the Version 3.6 October

18 institution, there is no need to include it in the postal address. You MUST provide addresses as these are used for correspondence. In the event that individuals change during the Application Process please ensure you notify the KTP Adviser and the KTP Programme Office. Section We need to establish and record for the purposes of supporting the KTP marketing strategy where the Knowledge Base first heard about KTP. eg. through a KTP Adviser, KTP Office or business support organisation etc. This is a free text field. Section To be completed only where the Knowledge Base Partner leading the delivery of the Project is a College of FE. This should provide reassurance that the knowledge being transferred is also being taught at HND/HNC/NVQ/SNVQ Level 4 or equivalent. Section 11 - non-hei or FE Knowledge Base Partners This section should be completed by non- HEI or FE Knowledge Base Partners only. The section seeks information on the nature of the Research and Technology Organisations, Publicly funded or Private Research Institutes, or Knowledge Transfer Networks (Faradays) who are acting as the Knowledge Base Partner. Section 13 - The Joint Commitment Statement This Section is to be signed by both the Knowledge Base and the Company Partners. Whether or not the partnerships have previously been involved in KTP they should read carefully each paragraph to ensure they fully understand the commitment that is being made. If the proposal is a resubmission, the Joint Commitment Statement must be re-signed and re-dated. Section 14 - Declaration This section should be signed by the Partner identified in If the proposal is a resubmission, the Declaration must be re-signed and re-dated. Section 15 - Company Ethnicity Information Use for data monitoring purposes only, completion is optional and to monitor the equal opportunities and diversity policies. Section 12 - The Partnership Section 12.1 to Has the Company Partner applied for or received any TSB, BERR, DIUS, DEFRA, Research Council or other public sector funding (including from the European Commission) that is directly relevant to the proposed Knowledge Transfer Partnership? (Do not include TCS Programmes or CBP Projects.) Version 3.6 October

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