Research application and contract management

All applications must be approved by the Head of Division and the Head of Department. The budget must be checked by an EU economist before the application is sent to the funding body or coordinator. This is important even if you only enter the application as a 3rd party or subcontractor.

Support for applications is available from Research Support Office, Application support , and from the ITM EU economy group. It is mandatory to contact RSO when preparing the application as coordinator.

Procedure for research applications – EU projects

1. Carefully read KTH's pages about applying for EU funding: EU-funding

2. Use the school’s budget templates: Forms for Research Application and Contract Management

3. If the project needs to be co-financed with FoFu funds, it is the researcher's responsibility to secure the support of the Head of Unit (up to 250.000 SEK) or Head of Division (up to 1 million SEK). Any co-financing is stated in the budget template. If the total co-financing exceeds 1 million SEK, the application must be approved by the head of school before the application is submitted.

4. The budget template and complete application are submitted well before the deadline to the ITM EU economy group to the address eu@itm.kth.se . If the EU application requires a formal commitment, such as a Letter of Intent (LoI), Non-Disclosure Agreement (NDA), Letter of Commitment (LoC) or a letter of support, then the ‘Information for Civil Law and Contracts unit’ and the ‘School Confirmation’ forms must be attached (both are to be completed by the responsible researcher). Both of these forms can be found here: Forms for Research Application and Contract Management

5. The ITM EU economy group checks the budget and sends a complete application to the department operations controller, Head of Division and Head of Department for approval. If the application has already been approved when it reaches the ITM EU economy group, this must be indicated in the e-mail exchange.

6. If the application requires a formal commitment, the school's confirmation must be signed by the Head of School in order for the lawyers to handle the case. The ITM EU economy group sends this document to the Head of School.

7. The ITM EU economy group sends the complete case to RSO's lawyers. The lawyers will respond by sending any opinions and comments they may have to the responsible researcher.

8. Once the commitment has been reviewed/negotiated by a lawyer, it is returned to the ITM EU economy group for signature according to the delegation of authority.

9. If the application requires the signature of the Head of Department or the Head of School, this step is handled by the ITM EU economy group.

10. Following approval, the applicant researcher sends the application to the funding body or coordinator.

11. In the event that the application is granted, please refer to the school's procedure for the contract management of EU projects. In the event of a rejection, please notify the ITM EU economy group eu@itm.kth.se .

All applications must be approved by the Head of Division and the Head of Department. The budget must be checked by the department's operations controller before the application is sent to the funding body or coordinator.

If the application is linked to the researchers own research company, this must be clearly reported to KTH. See KTH's guideline for Secondary Occupation for more information.

Support for applications is available from the Research Support Office, Support with proposals , and from the department's operations controller.

Procedure for research applications – other projects

1. Use the school’s budget templates: Forms for Research Application and Contract Management

2. If the project needs to be co-financed with FoFu funds, it is the researcher's responsibility to secure the support of the Head of Division (up to 250.000 SEK) or Head of Unit (up to 1 million SEK). Any co-financing is stated in the budget template. If the total co-financing exceeds 1 million SEK, the application must be approved by the head of school before the application is submitted.

3. The budget template and complete application are submitted to the department's operations controller. These documents are to be sent via e-mail to the respective department:

• Energy Technology avtal-egi@itm.kth.se

• Production Engineering avtal-ipu@itm.kth.se

• Industrial Economics and Management avtal-indek@itm.kth.se
• Learning avtal-les@itm.kth.se
• Machine Design avtal-mmk@itm.kth.se
• Materials Science and Engineering avtal-mse@itm.kth.se

4. The operations controller checks the budget and sends a complete application to the Head of Division and Head of Department for approval. If the application has already been approved when it reaches the operations controller, this must be indicated in the e-mail exchange.

5. If the application requires a formal commitment, for example a Letter of Intent (LoI), Non-Disclosure Agreement (NDA), or a Letter of Commitment (LoC), the form ‘Information for Civil Law and Contracts unit’ and the ‘School Confirmation’ forms must be attached (both are filled in by the responsible researcher) since those documents requires an approval from RSO before signing. The operations controller sends in the complete case to RSO. Please consider the time aspect so there is also time for the signing according to the delegation procedure.

6. If the application requires the signature of the Head of Department or the Head of School, this step is handled by the operations controller.

7. Following approval, the applicant researcher sends the application to the funding body or coordinator.

8. In the event that the application is granted, please refer to the school's procedure for contract management. In the event of a rejection, please notify the operations controller via the agreement e-mail above.

The Research Support Office (RSO) negotiates agreements with the European Commission and partners and provides support for the implementation of projects of which KTH is the coordinator. All agreements relating to the EU must be signed by the Head of RSO. Please note that it may take a long time to review/negotiate an agreement. Therefore it is important to immediately provide as much information as possible about the project.

Procedure for contract management

1. Was your application granted? Congratulations! In that case you will be contacted by RSO for the start of the contract phase.

2. In order to start this process, the following documents (in the form of a complete case) should then be sent to the ITM EU economy group to eu@itm.kth.se  by the responsible researcher. All the requisite documents can be found here: Forms for Research Application and Contract Management

• Form with information for the lawyers (this must be filled out).
• Does the research contain products or services that may be subject to export control? For some products, authorisations must also be granted for movements within the EU. The principal researcher has the ultimate responsibility for conveying and ensuring the information needed to investigate possible export control issues. Read more: Export control
• Confirmation of the School. To be completed by the responsible researcher, but the ITM EU economy group coordinates signature by the Head of School.
• Research agreement (this must be completed and signed by each participating researcher). The ITM EU economy group coordinates signature by the Head of School. Read more about the research agreement: Contract Management
• Updated budget template based on the amount granted and persons listed by name (if this was missing in the budget that was produced at the time of application).

3. The ITM EU economy group sends all documentation to the Head of Department for approval before the Head of School’s approval is obtained by having her/him sign the ‘Approval of the School’ form and the research agreements.

4. The ITM EU economy group sends the complete case to RSO's lawyers. The lawyers will respond by sending any opinions and comments they may have to the responsible researcher.

5. The EU Grant Agreement and the CA Consortium Agreement are signed by the Head of RSO.

6. Once it has been signed, the responsible researcher sends the agreement to the funding body or coordinator.

These agreements can usually be handled directly by the school, so long as they are based on standard agreements. When several schools or departments participate in a project, internal agreements are required which indicate the proportion of the total sum each participant should receive.

Procedure for grant agreements where KTH is the only party

1. Was your application granted? Congratulations! Send the following documentation to your department´s operations controller (see e-mail addresses below).

• Updated budget template based on the amount granted, with persons listed by name (if this was missing in the budget that was produced at the time of application). The budget templates can be found here: Forms for Research Application and Contract Management
• Agreement
• Any attachments
• Research agreements that must be completed and signed by each participating researcher. The operations controller coordinates the Head of school's signature. Read more about the research agreement: Contract Management
• Any internal agreements (link to the agreement), if the project is shared between several schools or departments. The internal agreement must state the proportion of the total sum each participant should receive. It is the responsible researcher who is responsible for ensuring that this template is filled out and is agreed upon with the other internal party.

E-mail addresses for agreements

• Energy Technology avtal-egi@itm.kth.se
•  Production Engineering avtal-ipu@itm.kth.se
• Industrial Economics and Management avtal-indek@itm.kth.se
• Learning avtal-les@itm.kth.se
• Machine Design avtal-mmk@itm.kth.se
• Materials Science and Engineering avtal-mse@itm.kth.se

2. All documentation is reviewed by the department's operations controller, who also coordinates signature of the agreement with the Head of Department or Head of School, according to the delegation of authority, who at the same time approves any co-financing in accordance with the delegation procedure.

3. Once it has been signed, the responsible researcher sends the agreement to the funding body or coordinator.

Collaboration agreements should always be reviewed, and if necessary drawn up and negotiated, by the Civil Law and Contracts Office of RSO (Research Support Office). A collaboration agreement is usually co-funded by, e.g. Vinnova, the Swedish Energy Agency, FORMAS or the Swedish Research Council, together with other external parties.

Please note that it may take a long time to negotiate an agreement with external parties. Therefore it is important to immediately provide as much information as possible about the project.

Procedure for contract management

1. Was your application granted? Congratulations! In that case, the following information must be submitted to the respective department (see e-mail addresses below) so that RSO's lawyers can start the contract process:

• Updated budget template based on the amount granted and persons listed by name (if this was missing in the budget that was produced at the time of application). Budget templates can be found here (in Swedish only): Forms for Research Application and Contract Management
• Agreement in an editable format
• Any attachments
• Form with information for the lawyers, containing the following questions which must be answered. The form can be found here: Forms for Research Application and Contract Management
  • What is KTH's duty with regard to the research? What will KTH do? (project description). The description must clearly indicate and define the work that is to be carried out, how it will be done, who will do what, according to what timetable, at what costs, how the reporting will be conducted, etc.
  • Project partners? (name and contact details)
  • Who is responsible at KTH? (name and contact details)
  • Do any of KTH's researchers participate with their own company (research company)? (side activities may be permitted but conflict may arise in the research project and must then be prevented)
  • How is the collaboration/assignment being funded? Does KTH get full cost recovery?
  • Will doctoral students admitted to doctoral studies at KTH participate? Are they employed by KTH or do they have other funding? (students should not participate, as they are not employed)
  • Will all contracting parties participate in the research?
  • Is either party providing background information? (e.g. previously generated results, know-how, materials)
  • What type of results are expected to come out of the project? (written reports, computer programs, patents, other)
  • Are the results likely to be generated by KTH researchers alone, or will they be generated together with other project partners?
  • Is any project partner interested in using the results for commercial purposes?
  • Will confidential information be exchanged?
  • Do KTH researchers intend to publish the results?
• Does the research contain products or services that may be subject to export control? For some products, authorisations must also be granted for movements within the EU. The principal researcher has the ultimate responsibility for conveying and ensuring the information needed to investigate possible export control issues. Read more: Export control
• Confirmation of the School: Forms for Research Application and Contract Management . Completed by the responsible researcher.
• Research agreements that must be completed and signed by each participating researcher. The operations controller coordinates the Head of school's signature. Read more about the research agreement: Contract Management

E-mail addresses for agreements

• Energy Technology avtal-egi@itm.kth.se
• Production Engineering avtal-ipu@itm.kth.se
• Industrial Economics and Management avtal-indek@itm.kth.se
• Learning avtal-les@itm.kth.se
• Machine Design avtal-mmk@itm.kth.se
• Materials Science and Engineering avtal-mse@itm.kth.se

2. The department's operations controller sends all documentation to the Head of Department for approval before the Head of School’s approval is obtained by having her/him sign the ‘School Confirmation’ form and the research agreements.

3. The department's operations controller sends the complete case to RSO's lawyers. The lawyers will respond by sending any opinions and comments they may have to the responsible researcher.

4. Once the agreement has been negotiated by a lawyer, it is returned to the operations controller for signature according to the delegation of authority, alternatively to an administrator within the RSO for agreements that require the head of the RSO's or vice rector's signature.

5. The department's operations controller coordinates signature of the agreement with the Head of Department or Head of School, according to the delegation of authority.

6. Once it has been signed, the responsible researcher or the RSO administrator sends the agreement to the funding body or coordinator.

An agreement must be established between the relevant school at KTH and the externally employed doctoral student's primary employer, in order to regulate issues such as working methods, management, remuneration levels, intellectual property, etc. It is KTH's (the supervisor's) responsibility to establish this agreement with the employer.

KTH has an agreement template for externally employed doctoral student agreements. If the template is followed without changes, it can be signed by the Head of School, the company and the doctoral student. However, any adjustments to the agreement must be reviewed by RSO’s Civil Law and Contracts Office prior to signature.

The agreement between KTH and the employer provides a funding basis for the admission of the externally employed doctoral student.

Procedure for agreements with externally employed doctoral students

1. The supervisor sends a prepared agreement to each department's operations controller (see e-mail addresses below). Alert the operations controller to any changes that have been made to the original template. If changes have been made, the forms ‘School Confirmation’ and ‘Form with Information for Lawyers’ must also be attached, as the agreement must now be reviewed by KTH's lawyers. All the forms can be found here: Forms for Research Application and Contract Management

2. All documentation is reviewed by the department's operations controller, who also coordinates signature of the agreement/approval by the Head of School with the Head of School.

3. If necessary, the department's operations controller sends the complete case to RSO's lawyers. The lawyers will respond by sending any opinions and comments they may have to the responsible supervisor.

4. Once it has been signed, the supervisor sends the agreement to the externally employed doctoral student’s company.

E-mail addresses for agreements

• Energy Technology avtal-egi@itm.kth.se
• Production Engineering avtal-ipu@itm.kth.se
• Industrial Economics and Management avtal-indek@itm.kth.se
• Learning avtal-les@itm.kth.se
• Machine Design avtal-mmk@itm.kth.se
• Materials Science and Engineering avtal-mse@itm.kth.se

‘Contract research’ refers to research or assignments that require scientific solutions to a problem, where an external client defines the content of the work. One example may be research that an individual researcher or a research group performs on behalf of a government authority, municipality, organisation or company. Contract research is paid in full by the client and may never be co-funded with KTH funds. Contract research is subject to VAT.

Contract research should yield research benefits for the university. This usually means that the results can be published and presented in academic contexts and benefit further research and teaching.

In contract research, a contract research agreement must always be signed. There are no formal obstacles to the client taking over ownership of the results of the assignment. However, separate regulation is required when transferring ownership of the invention and in some cases there are sufficient rights of use. Ultimately, it is up to the client and the performing researcher to come to an agreement about this, and the issue should be regulated first in the contract research agreement signed between the client and the university before the work begins and second in a separate agreement between the client and the performing researcher. The latter agreement is an agreement of a private law nature and cannot be negotiated by the Research Support Office (RSO). The researcher can instead turn to e.g. KTH Innovation

For externally funded assignments, it is particularly important that the principle of full cost recovery is adhered to. Within KTH's contract-funded activities, full cost recovery is required. This is because this type of activity may not be co-funded, as to do so could mean that KTH (in its capacity as a government authority) sidelines a prevailing competitive situation.

RSO’s Civil Law and Contracts Office establishes, reviews and negotiates agreements between KTH and companies, organisations and government authorities: Contract Management

Please note that it may take a long time to negotiate an agreement. Therefore it is important to immediately provide as much information as possible about the project.

Procedure for contract research agreements

1. Use the budget templates found on this page (in Swedish only): Blanketter för Forskningsansökning- och avtalshantering . There is one template for calculating sporadic hours and a more complex template for larger projects. Please note that the contract project must be fully funded by the client. In order for KTH's lawyers to be able to start the review of the project, the following information is needed. It should be sent to the department's operations controller via the e-mail addresses below. Even if KTH's standard template has been used, the routine below must be followed.

• Budget template based on the draft agreement, wherein the people who will work in the project are mentioned by name.
• Agreement in an editable format (when KTH's template should exceptionally not be used)
• Any attachments
• Form with information for the lawyers, containing the following questions which must be answered. The form can be found here: Forms for Research Application and Contract Management
  • What is KTH's duty with regard to the research? What will KTH do? (project description). The description must clearly indicate and define the work that is to be carried out, how it will be done, who will do what, according to what timetable, at what costs, how the reporting will be conducted, etc.
  • Project partners? (name and contact details)
  • Who is responsible at KTH? (name and contact details)
  • Do any of KTH's researchers participate with their own company (research company)? (side activities may be permitted but conflict may arise in the research project and must then be prevented)
  • How is the collaboration/assignment being funded? Does KTH get full cost recovery?
  • Will doctoral students admitted to doctoral studies at KTH participate? Are they employed by KTH or do they have other funding? (students should not participate, as they are not employed)
  • Will all contracting parties participate in the research?
  • Is either party providing background information? (e.g. previously generated results, know-how, materials)
  • What type of results are expected to come out of the project? (written reports, computer programs, patents, other)
  • Are the results likely to be generated by KTH researchers alone, or will they be generated together with other project partners?
  • Is any project partner interested in using the results for commercial purposes?
  • Will confidential information be exchanged?
  • Do KTH researchers intend to publish the results?
• Does the assignment contain products or services that may be subject to export control? For some products, authorisations must also be granted for movements within the EU. The principal researcher has the ultimate responsibility for conveying and ensuring the information needed to investigate possible export control issues. Read more: Export control
• Confirmation of the School: Forms for Research Application and Contract Management  Completed by the responsible researcher.
• Research agreements that must be completed and signed by each participating researcher. The operations controller coordinates the Head of school's signature. Read more about the research agreement: Contract Management

E-mail addresses for agreements

• Energy Technology avtal-egi@itm.kth.se
• Production Engineering avtal-ipu@itm.kth.se
• Industrial Economics and Management avtal-indek@itm.kth.se
• Learning avtal-les@itm.kth.se
• Machine Design avtal-mmk@itm.kth.se
• Materials Science and Engineering avtal-mse@itm.kth.se

2. The department's operations controller sends all documentation to the Head of Department for approval before the Head of School’s approval is obtained by having her/him sign the ‘School Confirmation’ form and the research agreements: Forms for Research Application and Contract Management

3. The department's operations controller sends the complete case to RSO's lawyers. The lawyers will respond by sending any opinions and comments they may have to the responsible researcher.

4. Once the agreement has been reviewed/negotiated by a lawyer, it is returned to the operations controller for signature according to the delegation of authority, alternatively to an administrator within the RSO for agreements that require the head of the RSO's or vice rector's signature.

5. The department's operations controller coordinates signature of the agreement with the Head of Department or Head of School, according to the delegation of authority.

6. Once it has been signed, the responsible researcher sends the agreement to the client.

The Vice President for Research decides whether KTH should apply for a fee-based membership in an association or similar organisation for research purposes, when said membership is in KTH's name. The membership fee is paid by the applicant researcher's funds, unless another decision is made by the Head of School or Head of Department.

Procedures for memberships/networks

1. Send the following information to the respective department's operations controller (see e-mail addresses below):

• A brief justification / description of the membership, as well as information about its cost. For example, is the membership necessary for participation in a project?
• Link to the organisation's website
• The Confirmation of the School form is filled out by the responsible researcher. Signature is coordinated by operations controller. The form can be found here: Forms for Research Application and Contract Management

E-mail addresses for agreements

•  Energy Technology avtal-egi@itm.kth.se

• Production Engineering avtal-ipu@itm.kth.se

• Industrial Economics and Management avtal-indek@itm.kth.se
• Learning avtal-les@itm.kth.se
• Machine Design avtal-mmk@itm.kth.se
• Materials Science and Engineering avtal-mse@itm.kth.se

2. The department's operations controller sends all documentation to the Head of Department for approval before the Head of School’s approval is obtained by having her/him sign the ‘School Confirmation’ form: Forms for Research Application and Contract Management . If the membership has already been approved by the Head of Department when it reaches the operations controller, this must be indicated in the e-mail exchange.

3. The department's operations controller sends the complete case to RSO's lawyers. The lawyers will respond by sending any opinions and comments they may have to the responsible researcher.

4. Once the documents have been reviewed by a lawyer and signed by the Vice President, they are returned to the operations controller who forwards them to the responsible researcher.

5. Once they have been signed, the responsible researcher sends the documents to the relevant organisation.