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

1

Version 3.4 – April 2008

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

Contents of the Partnership Proposal and Application Form

Part A

Section 1 Identifier Sheet

Section 2The Partnership strategy

Section 3 The business case

Section 4 The project plan

Section 5 The KTP Associate

Section 6 The knowledge base team

Section 7 The project management team

Section 8 Funding for the Partnership

Part B

Section 9 to 12 Data collection on behalf of KTP Sponsors

Section 13The Joint Commitment Statement

Section 14Declaration

Section 15Company Ethnicity Information (Optional)

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

  1. 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.
  2. 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.
  3. 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.
  4. You must complete and submitboth Part A and Part B of whichever variant of the form is appropriate to your Partnership.
  5. 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 Formshould 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;
  • 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.
  1. 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.
  2. 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.
  3. Company ethnicity information is optional and for monitoring equal opportunities and diversity policies only.

Developing and Training Associates

  1. All KTP Associates must have the opportunity to achieve the CMI Diploma in Management (Level 5) andmust participate in the KTP Associate Training and Development Programme, including its residential modules.
  1. 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.
  1. 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

  1. 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.

Completing and Submitting your Proposal

  1. 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.
  2. 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), even if it is a resubmission having previously been rejected by the Partnership Approvals Group.
  3. 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;
    DELETE questions or sections of the form even if they do not apply to you;
    AMEND the footers and footnotes.
    If you do any of these things you run the risk of your Grant Application and Proposal Form being rejected.
  4. 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.
  1. 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 e-mailed to; a copy should be emailed to the KTP Adviser who advised on the preparation of your proposal. The email must arrive at before 12.30 pm on the closing day deadline for submission of proposals. This is the version that will be considered for approval.
  2. A SIGNED COPY of theJoint 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, Momenta, B329, Wing H, Harwell, Oxon, OX11 0QJ (tel: 0870 190 2829). 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 the signed Joint Commitment Statement and Declaration from Part B.
  3. 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.

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 proposaland 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

Guidance notes on completing Parts A and B of the Knowledge Transfer Partnership Grant Application and Proposal Form

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Version 3.4 – April 2008

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 marked KTP Programme Number; this is for KTP Programme Office use only. 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.

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.

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 1.5 - 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 Sponsor or sponsors 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 2.3 - 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.

Section 2.7 - 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.

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.