Directive on the submission and evaluation of applications for financial support of energy research, pilot and demonstration projects

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Directive

on the submission and evaluation of applications for financial support of energy research,

pilot and demonstration projects

22.12.2021 version

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Directive of the Swiss Federal Office of Energy 2/30 Source cover photo: Zürcher Hochschule für angewandte Wissenschaften ZHAW

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Directive of the Swiss Federal Office of Energy 3/30

1 Generalities

1.1 Purpose of the Directive

Since 1984 the Swiss Federal Office of Energy (SFOE) has been responsible for the coordination and promotion of basic research, application oriented research, and the development of new, research-based technologies in the energy sector.

Within this framework, support is given to energy research projects and pilot and demonstration projects.

The Directive lays down the principles and conditions for submitting applications for financial support (subventions) for energy research projects as well as pilot and demonstration projects and for the evaluation of such projects. This document applies exclusively to projects, which are supported according to the conditions of Art 49 EnG¹. It specifies the subject of the support, the procedures involved, and the requirements for applications.

1.2 Legal bases

The State’s involvement in research and in the promotion of research is legitimised by Art. 64 of the Federal Constitution (SR 101), which determines that the Confederation shall promote scientific research and innovation. State participation in promot- ing the development of energy technologies, in particular in the area of energy efficiency and renewable energies is grounded in Art. 89 of the Federal Con- stitution (SR 101). Support is given by the SFOE for energy research projects based on Article 49, paragraph 1 and Article 51, paragraph 3 of the Energy Act of 30 September 2016 (EnG; SR 730.0), on the stipulations of the Federal Act on the Promotion of Research and Innovation of 14 December 2012

(FIFG; SR 420.1) and on the Subvention Act of 5 Oc- tober 1990 (SuG; SR 616.1). The legal bases for supporting pilot and demonstration projects by the SFOE are found in Article 49, paragraphs 2 and 4, and Article 53 of the Energy Act (EnG; SR 730.0) and in particular in Articles 54, 61, 63, 64, 66 and 67 of the Energy Ordinance (EnV; SR 730.01). The stipulations of the Subvention Act (SuG; 616.1) and of the Administrative Procedure Act (VwVG; SR 172.021) also apply.

The right of the Federal Chambers to approve the budget is reserved.

1.3 Types of project

In principle the SFOE promotes the types of projects indicated below (according to the definitions in the OECD: Frascati Manual and the SFOE)

Basic research: Basic research consists of experi- mental or theoretical work which is intended in the first place to gain greater knowledge about the fundamental causes of phenomena and observa- ble facts. In this sector the SFOE only supports

1 This directive is not applicable for the research programmes Dam Safety and Radioactive Wastes

goal-oriented basic research which addresses long term questions of research in the energy sector.

Application oriented research: Application ori- ented research comprises of work carried out in order to acquire new knowledge with the principle aim of contributing towards the solution of a prac- tice-related problem.

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Directive of the Swiss Federal Office of Energy 5/30 Experimental development: Experimental develop-

ment is systematic work in which existing knowledge from research or from experience is used to create new products or processes, or to substantially develop products or processes that already exist.

Pilot and demonstration projects: The pilot and demonstration programme (abbreviation: P+D) is designed for projects at the interface between the laboratory and the market. Specifically, this programme focuses on testing and evaluation in the appropriate environment (laboratory experiments

or field testing and analysis) of new solutions (technical plant, prototypes) and approaches (including socio-economic concepts and business models) in the areas of renewable energies and energy efficiency sectors (including storage technology and grids). A differentiation is made between pilot and demonstration projects (see Ap- pendix I). Particularly interesting demonstration projects may be recognised as lighthouse projects by the SFOE. Applications for funding for sub-projects are also permitted (e.g. exploratory studies, planning, measurement of results)

1.4 Guiding principles and aims of promotion

Guiding principles

Payment of subventions by the SFOE for promotion of research is contingent on observance of the following guiding principles:

Integrated approach: An integrated approach is es- sential to the promotion of projects. In particular, great attention should be paid to strengthening the relationship between technology and the environment, as well as to societal and economic aspects of projects, while the focus of interest is on interdisciplinary and transdisciplinary projects.

The SFOE is mainly committed to researching seminal topics, which have either not been handled or have been insufficiently handled by the private sector.

Focus on security of supply: In correspondence with the strategic direction taken by the SFOE, the project promotion of the office focuses on security of supply for Switzerland and efficient knowledge and technology transfer.

Goal-oriented research projects: The SFOE mainly supports goal-oriented and application oriented research in the energy field.

Value creation in Switzerland: Project promotion by the SFOE gives precedence to those research projects which are conducted by competent partners; which serve to strategically expand skills;

from which it can anticipate high scientific and/or economic value creation for Switzerland or those which deliver a significant contribution to global sustainability. Support for projects conducted abroad is only given if they result in the creation of value in Switzerland or if the findings are required for Swiss researchers or for the SFOE’s own departmental research.

Cooperation with the private sector: A require- ment for allocation of State funding to the private sector is that the companies participate to an appropriate extent in the costs, dependent on the market proximity of the project. This ensures that preference is given to projects with good prospects of being implemented. It is a priority that the intellectual property acquired by the private sector with the aid of public subsidies is broadly used. To this end the findings gained within the framework of SFOE project promotion are published.

Aims of promotion

Innovative energy projects can be supported either within the SFOE’s energy research or the pilot and demonstration programme.

2 http://www.bfe.admin.ch/ec-publications-en

To specify the actual research targets, every four years the SFOE develops an energy research concept based on the State energy research concept².

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Directive of the Swiss Federal Office of Energy 6/30 Promotion of research is divided into research pro-

grammes according to category, for some of which a detailed concept may also be available.

Support can be given under the pilot and demon- stration programme for projects, provided they meet the conditions of Art. 61, para. 1 EnV:

 Projects serve to promote the economic and efficient use of energy or the use of renewable energies;

 The application potential and the likelihood of success are sufficiently great;

 Projects are in conformity with the energy policy of the State; and

 The findings gained are accessible to the public and interested parties are informed about such.

The criterion of conformity with the State energy policy is based on the targets and measures laid down in Energy Strategy 2050³. In addition, State energy research priorities as stated in the energy research concept also apply⁴.

3 Cf. Dispatch on the initial package of measures of Energy Strategy 2050.

4 http://www.bfe.admin.ch/ec-publications-en

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2 Framework conditions

Funds

The SFOE disposes of its own funds, which are dis- pensed subsidiarily to other funding, for the implementation of the SFOE’s research concept and to support pilot and demonstration projects. This means on the one hand that the projects are not

planned by the SFOE, but rather by project participants, and on the other that support by the SFOE can be called upon if project funding cannot be as- sured elsewhere, or if only partial funding is available because of the specific nature of the project.

Submitting a project

A project can be submitted in either a bottom-up or a top-down procedure. Using the bottom-up approach, applications for projects can be submitted in principle at any time (open approach) The top-down approach (oriented approach) involves responding to a call for submission of projects published by the SFOE (ten- dering procedure). Information about whether projects should be submitted, when and under what

conditions can be found on the SFOE website. Ap- plications on the topics contained in the calls for projects can only be taken into consideration within the framework of the corresponding competitive procedure. Thereafter, a 12-month exclusion period gen- erally applies across the SFOE research programmes from the submission deadline of the first round of the call for projects.⁵

Persons entitled to subventions

Applicants for subventions may come from the private sector and from public companies, trade and in- dustry associations, universities, research institutes, non-governmental organisations, the public sector (cantons, cities, municipalities), and joint undertak- ings (composed of a number of the organisations or institutions named above) that participate in carrying out the project or in financing it. In the case of applications for building projects at least the names of the building owners must be stated in the application.

Suppliers of goods or services are not counted as project participants and do not need to be named in the application. Projects proposed by units of the State administration⁶ are excluded from the schemes.

Among the project applicants, a project lead has to be formally defined that will then be responsible for managing and coordinating the project with the SFOE.

Consent and solvency of project participants

By signing the application form applicants confirm that they consent to the project being carried out.

Project participants who only finance a project are not required to sign the application form but confirm their intentions in a separate declaration of intent (see chapters 3.3).

5 International calls for projects are exempt from this exclusion period.

6 State and FLAG offices (FLAG: Management by Performance Mandate and Global Budget) and or first and second circle,

To assess the financial risks associated with pilot and demonstration projects, the solvency of all project participants (apart from organisations in the public sector) will be validated (see Evaluation Criteria).

If the contribution requested exceeds the sum of CHF 500'000, the most recent annual accounts and,

see https://www.bk.admin.ch/dam/bk/de/dokumente/kommu- nikation/CDBund/kreismodell.pdf

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Directive of the Swiss Federal Office of Energy 8/30 if applicable, the latest auditor’s report should be

submitted for this check. In exceptional cases, the SFOE may also request documentation for projects with a funding contribution of less than CHF 500'000

if the economic viability of the project is not clearly evident.

Project location

Pilot and demonstration facilities located abroad and pilot and demonstration projects which will be carried

out abroad, may be supported as an exception if value is created in Switzerland.

Project duration

In the absence of other conditions (tenders) there is no predefined limit on the project duration. The dura-

tion of the project should be specified in the application and a contract will be made on this basis. A project may be developed in phases if required.

Level of contributions

The SFOE takes various factors into consideration to determine the amount of financial support: the type of project (plant, field trial or analysis), readiness for implementation (see technology readiness level in Appendix I), the financial situation of the applicants and (in the case of pilot and demonstration projects and facilities) the degree of amortisation of capital and operational costs of plant. An appropriate own contribution of project participants is a prerequisite for funding.

The only expenditure which can be eligible is that which is actually incurred and is absolutely necessary for the practical implementation of the project (Art. 14, para. 1 SuG). Double funding is not permitted.

In general, costs for Open Access / Data / Model are not eligible (see below).

VAT can be listed in the project costs for goods and services obtained from third parties. Project partners’

professional fees, which are directly payable for work on the project, are not subject to VAT⁷. Only the effective costs (that is internal hourly rates excluding reserves, profit, etc.) can be taken into consideration when calculating the hourly rates for professional fees. The hourly rates (see Appendix VI) for work

7 MWST-Branchen-Info 25 Forschung und Entwicklung, Eidg.

Steuerverwaltung, Bern, 2017

within SFOE energy research are applicable for research projects.

No retroactive support will be granted (Art. 53, para.

1 EnG). Advance payment made to a Preliminary work delivered before the official start of the supported project cannot be included in the eligible cost.

The date agreed for the project to commence as indicated in the contract is valid. Further, support from another State programme for the project must also be indicated. In cases where the maximum amount permissible under the legislation is exceeded, any amount paid by the SFOE will be reduced corre- spondingly.

If a profit is achieved, a request can be made for re- payment of the financial support in accordance with the earnings achieved (Art. 53, para. 4 EnG).

Within the energy research programme projects may receive up to 100% support from the SFOE. No overhead contributions will be paid to compensate for research costs. Measuring devices, laboratory facilities and similar items are not financed by the SFOE but may be taken into consideration as an own contribution.

The financial support granted by the SFOE to pilot and demonstration projects is restricted to 40%

(60% in exceptional cases) of the eligible project

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Directive of the Swiss Federal Office of Energy 9/30 costs according to Art. 53 EnG. Supplementary costs

incurred by a project when compared to the costs for conventional technology available on the market (see Appendix II) are deemed to be eligible project costs. Project costs are deemed to be both capital costs (professional fees, material including measuring devices, laboratory facilities and technical con- sumables) and operational costs over the service life of the facilities. In determining the level of financial support the SFOE takes into consideration the type of project, its proximity to the market and its potential for attracting national interest (Art. 61, para. 3 EnV).

Article 53, para.2 EnG is valid for application of the exception clause. To be precise, a project must be supported as a lighthouse project or meet all of the following conditions to receive support of between 40% and 60% of the eligible costs:

 The qualitative assessment of the project (see Appendix IV) results in a high number of points;

and

 The project has to be of high strategic relevance for the Confederation and/or the SFOE, or it will be carried out as part of international cooperation, for which special conditions have to be adhered to.

Open Access / Data / Model in Research

The SFOE is committed to the idea of Open Science and expects the results of the funded research projects to be publicly accessible. Measures must be provided to enable Open Access (OA, e.g. according to the "Gold" model) to scientific publications that will result from the project.

The SFOE also supports the "Open Data" and "Open Model" principles. Provided that there are no legal, ethical, copyright or other clauses to the contrary, the SFOE welcomes the fact that results, data and models generated in the course of research work are made publicly available.

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3 Call for project proposals procedure

The submission process varies depending on the approach (see chapter 2). Chapter 3.1 describes the procedure with a top-down approach (tenders). If it is possible to use the open project approach when submitting a project, it is recommended that the project proposal be checked by the SFOE before the

complete process of drawing up an application is completed (see chapter 3.2). How to submit the application is explained in detail in chapter 3.3 and the evaluation procedure is described in chapter 3.4

3.1 Tenders ( top-down approach)

Figure 1 shows the procedure in the top-down approach (also known as oriented approach or tender- ing). If an oriented approach is used, the procedure can be carried out in one or two stages. In the case of a two-stage procedure, timely submission of a pre- proposal and a check of the proposal’s form and con-

tent with corresponding prospects of success are required before finally submitting the application. This step is omitted in the one-stage procedure. A full proposal is submitted and evaluated instead. The exact deadlines and modalities can be found in each call for project proposals, as published on the SFOE website.

Figure 1 Funding award procedure after a call for project proposals.

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3.2 Open project submission ( bottom-up approach)

If a project is submitted using the open approach (bottom-up approach), it is recommended to contact the programme management in question and, if necessary, to submit a draft before completing the application. This helps avoid drawing up an application

which has no prospect of success on formal or budg- etary grounds or because of its content. Figure 2 shows the evaluation procedure for the open project submission.

Figure 2 Evaluation procedure for the open project submission.

3.3 Submitting the application

In principle, applications have to be submitted to the SFOE at least two (in the case of pilot and demonstration projects: three, cf. Art. 64 EnV) months before the project commences. In the case of calls for project proposals the deadlines and dates can be found in the specific call for proposals.

Applications must be submitted on the official SFOE forms. No application will be accepted if it is submitted in another format or if it is incomplete. The application file must contain the following paperwork:

Application form. By signing the application form applicants confirm that they consent to the project being carried out. The completed application form

has to be signed by all applicants who will be participating in the project.

Declaration(s) of intent. Parties who only finance a project are not required to sign the application form but confirm their intentions by signing separate declarations of intent.

Finance sheet on project costs and financing (submit as an Excel file).

Further requirements for pilot and demonstration projects: Completed copy of the “Non-amortisable supplementary costs (NASC)” form (part of the finance sheet).

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Directive of the Swiss Federal Office of Energy 12/30 All documents with the exception of the Excel files

have to be submitted in PDF format. Documents created in Excel should be delivered as Excel files.

The entire application file can be submitted in Ger- man, French, Italian or English to the programme management concerned. Use of a variety of lan- guages in the application dossier is permitted. The SFOE will confirm receipt of the entire dossier.

By signing the application form the applicants de- clare that they agree to the publication and distribu- tion of the findings gained from the project in compli- ance with the Federal Act on Freedom of Information in the Administration (FoIA). Specifically, interim reports, final reports and the main project information will be published on the ARAMIS information plat- form (www.aramis.admin.ch) and if required on the State geoportal (http://map.geo.admin.ch).

3.4 Evaluation of applications

Formal criteria, the content and the quality of a project are taken into consideration to assess whether it is worthy of support (criteria for research projects, see Appendix III; for P+D projects, see Appendix IV, for calls for proposals see the modalities described in the text of the call). The SFOE may consult external experts to evaluate the applications submitted. If formal criteria are not met even after an extension in time has been granted to complete the paperwork, the SFOE will not accept the application. Applica- tions which meet formal criteria are then checked for content. When a call for project proposals is made, the proposals will be ranked in a list.

If the financial scope of applications submitted, or anticipated, exceeds the funds available, the order of priorities determined in Appendix V will be applied to pilot and demonstration projects. Demonstration projects can be recognised by the SFOE as light- house projects if they serve to publicise and spread new, ground breaking concepts and technologies and develop a high degree of interest thus supporting a greater dialogue on energy topics among the

general public (Art. 54, para. 2 EnV). Significant ad- ditional costs are incurred by lighthouse projects because of the communication of the findings anticipated or gained. Whether a project is suitable to be classified as an SFOE lighthouse project will be de- cided by the SFOE when the application is evaluated. The evaluation is based on whether the SFOE estimates the project has high strategic relevance, great potential for attracting national interest, and if it is easily communicable. Applicants will be informed in writing about the possibility of the project being recognised as a lighthouse project. If there is mutual interest in such an arrangement, a feasible communication plan will have to be drawn up and approved by the SFOE; which will define the objectives, target groups and measures, and verify that the necessary competence is available. The supplementary cost for various methods of communication can be attributed to the eligible costs. The level of contributions for lighthouse projects can be up to 60% of the eligible project costs (see chapter 2).

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3.5 Decision on funding

If an application is approved, the mode of cooperation will be agreed as a rule by means of a contract between the SFOE and the applicants (cf. Art. 16, para. 2 and Art. 19 SuG).

The SFOE declines applications which do not meet the requirements with respect to content and quality and those which it is not able to support with the funds which are currently available by issuing a decision, against which there is a right of appeal.

In the case of a call for project proposals, applications which cannot be taken into consideration because of their ranking will also be rejected. If there is substantial overlap in the proposed themes, the best ranked application will be approved. Applicants will be informed about the ranking list – their position will be indicated – in an anonymised form.

There is no legal entitlement to funding.

3.6 Publication of project information

After a contract has been concluded the SFOE pub- lishes the following project information on www.aramis.admin.ch: Name and institution of recipients of contributions, project title, brief description, duration,

sum contributed. After the project is concluded, a final report will be published. Interim reports may be published during the course of the project depending on the programme and contractual stipulations.

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4 Implementation of a project

Start of the project

The starting date for the project is not to set before the research or subvention contract document has been finalized. The SFOE can grant an exception in

cases where there is good reason to do so. As a rule the project should start no later than 6 months after the subvention decision has been given.

Monitoring and reporting

The SFOE should be informed in writing at least once every year about the state of the project and about the interim findings (interim report). The SFOE can publish such reports on Aramis. Any special conditions are determined in the research contract or the subvention contract.

When the project has been concluded, a comprehensive final report should be submitted for approval on the SFOE template including a detailed description of the results and findings from the project. After the project has been concluded the final report must be published on www.aramis.admin.ch. In cases where there is good reason to do so, publication can take

place at later date, which has to be determined in consultation with the SFOE.

A detailed description of the methodology and results in the final report may, by referring to academic publications with corresponding content that are available with open access at the time of publication of the final report, and in consultation with the SFOE, be omitted.

After the project has been concluded, a detailed financial report (on the basis of the finance sheet) should be submitted for approval. This rule applies even if the project is not completed as planned (if it is stopped or cancelled).

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5 Miscellaneous

Protection of intellectual property

The SFOE does not claim any right to intellectual property created by projects. Protection of intellectual property arising from a project promoted by the

SFOE is expressly permitted to the extent this does not restrict implementation of the findings.

SFOE contact

The contacts for specific programmes are indicated on the SFOE website.

The SFOE can engage external experts to evaluate applications and to monitor projects later if required.

Confidentiality

All applications submitted will be handled confiden- tially as will information exchanged in the course of project support.

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Appendix I: Technology readiness levels

Research projects serve in the search for new sci- entific findings in a methodical manner. Such projects include both basic research and application oriented research (technology readiness levels 1‒6 according to Table 1). The TRL system cannot be applied directly to research in the social sciences and humanities sector, where basic research and application oriented research are permitted.

Pilot projects serve to test technical systems. Such systems are built to a scale which permits researchers to gather scientific, technical, economic and societal data that cannot be gained in laboratory tests.

Such projects are a necessary stage in the develop-

ment of industrial products, concepts and procedures (technology readiness level stage 4-7 according to Table 1).

Demonstration projects serve to test the market.

Such projects are realised in full scale and facilitate the comprehensive technical, economic and societal evaluation with a view to effectively introducing a product to market. Answers to questions about the costs of maintenance and upkeep are gained from these projects. They also help to attract the attention of potential users to the new technology, product, form of organisation or new tool (technology readiness levels 7-9 according to Table 1).

R P D

TRL 9 Actual system operated over the full range of expected conditions.

The technology is in its final form and operated under the full range of operating conditions.

TRL 8 Actual system

completed and qualified through test and demonstration.

The technology has been proven to work in its final form and under expected conditions. In almost all cases, this TRL represents the end of true system development. Supporting information includes operational procedures that are virtually complete.

TRL 7 Full-scale, similar (prototypical) system demonstrated in relevant environment

This represents a major step up from TRL 6, requiring demonstration of an actual system prototype in a relevant environment. Examples include testing full-scale prototype in the field. Supporting information includes results from the full-scale testing and analysis of the differences between the test environment, and analysis of what the experimental results mean for the eventual operating system/environment.

Final design is virtually complete.

TRL 6 Engineering/pilot-scale, similar (prototypical) system validation in relevant environment

Engineering-scale models or prototypes are tested in a relevant environment. This represents a major step up in a technology’s demonstrated readiness. Supporting information includes results from the engineering scale testing and analysis of the differences between the engineering scale, prototypical system/environment, and analysis of what the experimental results mean for the eventual operating system/environment. TRL 6 begins true engineering development of the technology as an operational system. The major difference between TRL 5 and 6 is the step up from laboratory scale to engineering scale and the determination of scaling factors that will enable design of the operating system. The prototype should be capable of

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Directive of the Swiss Federal Office of Energy 17/30 performing all the functions that will be required of the operational system. The operating environment for the testing should closely represent the actual operating environment.

TRL 5 Laboratory scale, similar system validation in relevant environment

The basic technological components are integrated so that the system configuration is similar to (matches) the final application in almost all respects. Examples include testing a high-fidelity, laboratory scale system in a simulated environment. Supporting information includes results from the laboratory scale testing, analysis of the differences between the laboratory and eventual operating system/environment, and analysis of what the experimental results mean for the eventual operating system/environment. The major difference between TRL 4 and 5 is the increase in the fidelity of the system and environment to the actual application. The system tested is almost prototypical.

TRL 4 Component and/or system validation in laboratory environment

The basic technological components are integrated to establish that the pieces will work together. This is relatively "low fidelity" compared with the eventual system. Examples include integration of ad hoc hardware in a laboratory and small scale tests. Supporting information includes the results of the integrated experiments and estimates of how the experimental components and experimental test results differ from the expected system performance goals. TRL 4-6 represent the bridge from scientific research to engineering. TRL 4 is the first step in determining whether the individual components will work together as a system. The laboratory system will probably be a mix of on hand equipment and a few special purpose components that may require special handling,calibration, or alignment to get them to function.

TRL 3 Analytical and experimental critical function and/or characteristic proof of concept

Active research and development (R&D) is initiated. This includes analytical studies and laboratory-scale studies to physically validate the analytical predictions of separate elements of the technology.

Supporting information includes results of laboratory tests performed to measure parameters of interest and comparison to analytical predictions for critical subsystems. At TRL 3 the work has moved be- yond the paper phase to experimental work that verifies that the concept works as expected on simulants. Components of the technology are validated, but there is no attempt to integrate the components into a complete system. Modeling and simulation may be used to complement physical experiments.

TRL 2 Technology concept and/or application formulated

Once basic principles are observed, practical applications can be in- vented. Applications are speculative, and there may be no proof or detailed analysis to support the assumptions. Examples are still lim- ited to analytic studies. Supporting information includes publications or other references that outline the application being considered and that provide analysis to support the concept. The step up from TRL 1 to TRL 2 moves the ideas from pure to applied research. Most of the work is analytical or paper studies with the emphasis on under- standing the science better. Experimental work is designed to cor- roborate the basic scientific observations made during TRL 1 work.

TRL 1 Basic principles observed and reported

This is the lowest level of technology readiness. Scientific research begins to be translated into applied R&D. Examples might include paper studies of a technology’s basic properties or experimental

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Directive of the Swiss Federal Office of Energy 18/30 Table 1: Technology readiness levels (TRL) and authorized segments for Energy research projects (R, blue), pilot pro-

jects (P, red) and demonstration projects (D, orange)⁸

8 Source: Technology Readiness Assessment (TRA) / Technology Maturation Plan (TMP) - Process Guide, U.S. Department of Energy, Office of Environmental Management, 2008.

work that consists mainly of observations of the physical world. Sup- porting Information includes published research or other references that identify the principles that underlie the technology.

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Appendix II: Eligible project costs for P+D projects

The eligible costs are deemed to be the non-amortisable supplementary costs incurred by the project after the realisation of the subvention contract. The supplementary costs are calculated against the costs for similar, conventional technology or solutions (schematic representation Figure 3). The Excel

form ”Non-amortisable supplementary costs” is es- sential to determining the subvention contribution;

this form has to be submitted along with the application form (see chapter 3.3) and will be checked by the SFOE with the application.

Figure 3: Determination of eligible P+D costs (yellow) and the maximum permissible financial support (green).

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Appendix III: Evaluation criteria for research projects

The evaluation criteria for technology-oriented projects differ in some respects from those for the social sciences and humanities (SSH) (please note the details in the table). A project has to fulfil all the conditions for admission to the programme so that it can

be evaluated qualitatively. If one or more of the criteria for admission to the scheme are not fulfilled, the project will be rejected.

Criteria for admission

Formal criteria

Criterion Fulfilled?

F1 Is the paperwork that has been submitted complete (application and any attach-

ments)? Yes No

F2 Are the required details and information complete (e.g., budget plan, payment plan)? Yes No F3 Is the request clearly written? Are the targets clearly formulated and distinguishable? Yes No F4 Has written approval been submitted by all project partners involved? Yes No F5 Has the project topic not been dealt with in the last 12 months within an SFOE call for

project proposals and is there not any SFOE call for project proposals currently open that addresses the same project topic?

Yes No

F6 In the case of a call for project proposals: Was the submission date adhered to? Yes No F7 In the case of scientific publications: Is Open Access granted? Yes No

Content criteria

Criterion Fulfilled?

C1 Does the project concern the security of supply of Switzerland and does it have the potential in the mid-term or long-term future to reduce energy consumption and/or greenhouse gas emissions or to help substitute non-renewable energies or to expand the use of renewable energies?

Yes No

C2 Does the project conform with scientifically recognised principles (e.g., physical

laws)? Yes No

C3 May the findings of the project be made accessible to the public? (See provisions on

monitoring and open access.) Yes No

C4 Does the project lie within the competence of the SFOE or within the scope of the

topics called for? Yes No

C5 Is the project purposeful and application oriented and will the results serve in some

practical application (State, business or customer driven targets)? Yes No C6 Is the current technology readiness such that it lies in an appropriate value creation

segment for the programme (TRL according to Appendix I)? For SSH: Is this applica-

tion oriented basic research or application oriented research? Yes No

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Directive of the Swiss Federal Office of Energy 21/30 Qualitative criteria

The evaluation is done on a scale of 1-5 which has the following significance: 1 poor, 2 fair, 3 good, 4 very good, 5 excellent.

For a project to receive support, the minimum evaluation per qualitative criteria (Q1 to Q5) has to be at- tained or exceeded. Evaluations of the sub-criteria

flow into the evaluation and serve as indicative points for the overall evaluation. The sub-criteria marked with ** must be fulfilled.

Criterion Minimum

evaluation

Q1 Organisation ø 3

Competencies, organisation, responsibility **

Are all the competencies crucial to the project covered? Has a clear project organisa-

tion been established? Are the responsibilities laid down clearly? At least 3 Approach, methodology ** and data

Applies to all projects (technical and SSH): Is the proposed approach suitable to deal with the issue? Is the methodology adequate to solve the issue? For SSH: Is access to the data required guaranteed/has the strategy to compile data been clearly defined?

At least 3

Schedule and milestones

Is the proposed schedule realistic and efficiently drawn up? Have clearly measurable milestones been stipulated (stage-gate targets)?

Q2 Excellence ø 3

Preliminary work, suitability, expertise

Can the project team build on previous work? Does the project team have the expertise required (suitability)?

Academic record, recognition

Does the project team have broad experience (academic record) or are they recognised specialists in their field?

Teams’ potential for success

Is clear potential for success discernible in this project team?

Q3 Content of project ø 3

Relevance, national and international cooperation **

Is the project scientifically, politically and strategically relevant and does the content contribute to a priority in the SFOE energy research concept? Is it part of an international cooperation within the IEA or the EU research programme, or is it part of other national or international collaboration schemes (e.g., DACH)?

At least 3

Value creation, innovative content

Do the findings lead us to expect high value creation for Switzerland - in an economic or scientific respect? Does the project build up a large body of knowledge or know- how and/or does it pursue an innovative or novel approach?

Cost-benefit ratio, subsidiarity

Does a project hold out the prospect of significant benefits in relationship to the costs involved? Have sufficient own contributions and third-party funds been promised?

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Q4 Opportunities, risks ø 3

Energy potential

Does the technology/procedure hold out the prospects of more energy savings or a higher energy yield; or does it have the potential to influence societal behaviour?

Acceptance, discussion in public or before a professional audience

Is the technology/procedure a subject of controversy among the general public or professionals and/or are there known pronounced opponents to it? For SSH: Are the research findings of interest to the general public? Do the findings constitute a useful foundation for the opinion building and decision-making processes among informed people?

Sustainability

Will the findings contribute to sustainable development in all three dimensions (eco- logical, economic and social) at national or global level?

Q5 a) Diffusion: applicable to all technical projects None

Potential for implementation

Is an implementation plan included in the project application? Is the project team competent enough in its own right to further develop the technology or does the team already have potential customers? Are the business partners required for implementation adequately integrated commensurate with the readiness of the technology (Ap- pendix I)?

Potential as a multiplier

When compared to the current state of technology, does the technology/procedure display technical or economic advantages leading to the conclusion that it has potential as a multiplier?

Public interest

Does the plan/project generate interest among the general public? Is an open access / data / model strategy included?

b) Diffusion: only applicable to SSH projects None

Monitoring

Is a monitoring or other accompanying activity such as workshops or a monitoring group planned?

Knowledge transfer

Are knowledge transfer and publications planned? Is an open access / data / model strategy included?

Promotion of doctoral candidates

Are doctoral candidates working on the project?

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Appendix IV: Evaluation criteria for P+D projects

Formal criteria, the content and the quality of a project are taken into consideration to assess whether a P+D project is worthy of support, whereas the qualitative criteria are based on Art. 61, para. 1 EnV (see chapter 1.4). If formal criteria are not met even after an extension in time has been granted to complete the paperwork, the SFOE will not accept the application. Applications which meet formal criteria are then

checked for content. If the SFOE finds after this check that one of the criteria as to content and quality is not fulfilled, the application will be rejected. While the questions to content criteria can be answered with yes or no, the qualitative criteria are evaluated by grading various sub-criteria..

Formal criteria

F1: Completeness of the paperwork submitted;⁹ F2: Completeness of the statements and infor-

mation required;

F3: Comprehensibility of the proposal;

F4: Adherence to deadlines;⁶

F5: Proof of projected overall financing of the pro- ject;

F6: Solvency of all project partners;

F7: Proof of consent of all participating partners (signatures, declarations of intent).

Content criteria

C1 The project serves to promote economic and ef- ficient use of energy or use of renewable energies;¹⁰

C2: Compatibility of the project with legislation;

C3: Conformity with scientific principles;

C4 Technology readiness within the technology readiness levels permitted;¹¹

C5 Project location and/or realisation mainly in Switzerland;

C6: Uniqueness of tested technology/solution in the language region;

C7: Tenability of any unavoidable risks to humans and the environment;

C8: Public access to results¹² gained and to con- structed facilities.

9 see chapter 3.3

10 Art. 61, para. 1a EnV.

11 See Appendix I

12 see chapter 3.6

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Qualitative criteria

The project will be graded with respect to the following aspects to evaluate the qualitative criteria.

Q1: Conformity with the State energy policy¹³ (see Table 2)

 Strategic relevance according to the principles cited in chapter 1.4 ;

 Innovative content;

 Societal acceptance;

 Sustainability;

 Public interest.

Q2: Sufficient application potential¹⁴ (see Table 3)

 Energy potential;

 Potential for implementation;

 Potential as a multiplier;

 Value creation;

 Cost-benefit ratio.

Q3: Sufficient probability of success¹⁴ (see Table 4)

 Competencies of the project team;

 Organisation of the project team;

 Experience of the project team;

 Approach/methodology.

 Schedule.

The evaluation takes place according to the description in the three tables below: Each of the aspects highlighted below is given a grade from 0 to 4. An average grade per criterion is then calculated from these grades. The criterion is not fulfilled if grade 0 has to be given to one of the pertinent aspects or if the average achieved is less than 2.

Table 2 Criterion Q1: Conformity with the State energy policy.

PT: Project team:

T/P: Technology/procedure

13 Art. 61 para. 1c EnV.

a) According to the objectives and priorities of the programme mentioned in chapter 1.4

b) Society, economy, environment

14 Art. 61, para. 1b EnV.

Evaluation

table 0 1 2 3 4

Strategic relevance^a)

The project is not strategically relevant;

the project does not contribute any content to any strategic priority

The project is less relevant strategically;

the project only contributes content indi- rectly to a strategic priority

The project is strategically relevant and contributes content to a strategic priority

The project is strategically relevant and contributes content to a number of strategic priorities

The project is strategically relevant and contributes content to many strategic priorities

Innovative con- tent

The project is not innovative in any respect

The project is only innovative in a few respects

The project is innovative in some respects

The project is innovative in a number of respects

The project is innovative in all respects

Societal ac- ceptance

T/P is discussed very controversially and/or opposed by important groups

T/P is discussed controversially to some extent and/or there are some opponents to it

T/P is not discussed controversially and/or there are no pronounced opponents to it

T/P is not discussed controversially and/or the propo- nents are committed and in the majority

T/P is supported by significant proponent groups; no identifiable opponents

Sustainability T/P not sustainable in any dimension^b)

T/P not sustainable in one dimension

T/P sustainable in all dimensions

T/P also builds up re- sources in one dimension

T/P also builds up re- sources in all dimensions

Public interest

The plan/project does not generate any interest among the general public

The plan/project only generates marginal interest among the general public

The plan/project only generates moderate interest among the general public or is not relevant for the general public

The plan/project generates great interest among the general public

The plan/project is in the focus of current public interest.

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Directive of the Swiss Federal Office of Energy 25/30 Table 3 Criterion Q2: Potential for implementation

PT: Project team:

T/P: Technology/procedure Evaluation

table 0 1 2 3 4

Energy potential T/P exhibits a negative energetic potential or has the potential to influence societal behaviour negatively

T/P does not exhibit any energetic potential or has no potential to influence societal behaviour

T/P exhibits substantial energetic potential or has the potential to influence societal behaviour advantageously

T/P exhibits much energy potential or has the potential to influence societal behaviour even more advantageously

T/P exhibits absolutely indispensable energetic potential or has the potential to influence societal behaviour greatly

Potential for implementa- tion

Project proposal con- tains no reference to implementation of findings; project team declines to answer questions pertinent to implementation or there are no potential customers for the findings anticipated. Desig- nated implementation partners do not bear any financial risk

Implementation approaches in the proposal are of a speculative nature; the project team can neither support the further development of the technology nor accept responsibility for it and/or there are only iso- lated customers for the findings anticipated. Designated implementation partners only bear a minimal financial risk

Implementation approaches are indicated in the project proposal and are realistic; project team will initiate implementation and there are potential customers for the findings anticipated.

Designated implementation partners bear some financial risk

Implementation plan is available in the project proposal;

project team is competent enough to further develop the technology or has already identified potential customers.

Designated implementation partners bear a high financial risk

Implementation is an integrated part of the project; project team will participate in the further development of the technology or is already in contact with potential customers.

Designated implementation partners bear most of the financial risk

Potential as a multiplier

T/P exhibits no economic or technical advantages

T/P exhibits marginal economic or technical advantages (niche product)

T/P exhibits economic or technical advantages compared to other competitive procedures

T/P exhibits substantial economic or technical advantages

T/P exhibits most relevant economic and technical advantages

Value creation Project does not build up identifiable knowledge or know- how or economic value in Switzerland

Project builds up marginal knowledge or know-how or economic value in Swit- zerland

Project builds up substantial knowledge or know- how or economic value in Switzerland

Project builds up much knowledge or know-how or economic value in Swit- zerland

Project builds up indispensable knowledge or know- how or economic value in Switzerland Cost-benefit as-

pects

The use does not stand in any reasona- ble relationship to the project costs

The use stands in an unfavourable relationship to the project costs

The use stands in a good relationship to the project costs

The project holds out the prospect of high use in relationship to the costs

The project holds out the prospect of above-average use in relationship to the costs

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Directive of the Swiss Federal Office of Energy 26/30 Table 4 Criterion Q3: Probability of success

PT: Project team:

T/P: Technology/procedure

KTT: Knowledge and Technology Transfer Evaluation

table 0 1 2 3 4

Competencies of the project team

Main sectors of competency are not covered by the PT

Main sectors of competency are only partially covered by the PT

The main sectors of competency are covered by the PT

All sectors of competency addressed are covered by the PT

All sectors of competency addressed including communication and KTT are covered by the PT Organisation of

the project team

The responsibilities are not defined within the PT

The responsibilities are only partially defined within the PT

The responsibilities are clearly defined within the PT

The responsibilities are clearly defined within the PT and all spheres are covered

The responsibilities are clearly defined within the PT and all spheres are covered, from project management to KTT Experience of

the project team

PT has no notewor- thy experience and/or is not known for any earlier work

PT has only partially relevant experience and/or is only known for modest earlier work

PT has relevant experience and/or is known for relevant earlier work

PT has broad experience and/or is known for significant earlier work

PT has excellent experience and/or is known for indispensable earlier work

Approach The proposed approach is unsuitable to address the issue, the methodology is unconvincing

The proposed approach is outdated, wrongly concipated and/or only covers part of the issue to be addressed

The proposed approach is state of the art and/or suitable for the issue to be addressed; the methodological approaches seem to be acceptable

The proposed approach is based on the latest scientific knowledge and is suitable to address the issue

The proposed approach is seminal and/or is eminently suitable to address the issue; the methodology is novel and innovative

Project schedule The proposed schedule is not com- prehensible, faulty or rudimentary in nature

The proposed schedule is not complete or not arranged realistically

The proposed schedule is arranged realistically, appears feasible and adheres to the deadlines set

The proposed schedule is arranged realistically and efficiently

The proposed schedule is arranged convincingly and with clarity, and thought has been given to alternative plans

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Appendix V: Order of priority for P+D projects

Subject matter and area of application

In this section the order of priority is established for the dispensation of the annual budgeted funds available to support pilot and demonstration facilities and projects if the number of applications submitted or anticipated exceeds the available funds.

It applies to the financial support as foreseen in Art.

49, para. 2 of the Energy Act of 30 September 2016¹⁵

(EnG) and Art. 63, para. 1 of the Energy Ordinance of 1 November 2017¹⁶ (EnV) within the remit of the Swiss Federal Office of Energy (SFOE) operating under the aegis of the Federal Department of the En- vironment, Transport, Energy and Communication (DETEC).

Principle

In principle, pilot and demonstration facilities and projects may be promoted by the State on the basis

of the EnG and the enforcement provisions if they comply with the stipulations of Art. 61 EnV.

Priorities in the case of insufficient of funds

If the number of applications submitted or anticipated exceeds the funds available, applications will be evaluated and considered in accordance with the following priorities:

First priority is accorded to projects which are ac- credited with having high energy potential. Energy

potential is defined as the energy savings or the energy yield per solution unit multiplied by the esti- mated multiplication potential in Switzerland.

Second priority is accorded to all other projects.

Application process

If it is likely that a second priority application will not be given support because of insufficient funds and the order of priority, a decision will be made rejecting the application.

The explanation for rejection will contain a reference to this order of priority.

If the funds available are insufficient to take all first priority projects into consideration, applications for first priority projects may also be rejected.

Exceptions

As an exception, second priority projects can be taken into consideration if seasonal and strategically

urgent projects would otherwise not be carried out and could not be financed from another source.

15 ^{SR 730.0} ¹⁶ ^{SR 730.01}

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Appendix VI: Maximum remuneration for

activities carried out within the framework of SFOE energy research

Hourly rates for research projects

Category Universities

Universities of applied sciences

CHF/h Private persons CHF/h

A Project manager 115 Project manager 160

Deputy 95 Deputy 140

B Experienced scientists with at least 5 years’ experience after gaining a degree

80 Subject matter experts with at least 5 years’ experience

120

C Scientific assistants 65 Subject matter experts 100

D Technical staff, programmers 60 Technical staff, programmers 90

E Secretarial services 50 Secretarial services 75

A maximum of 20 % of the project time can be used for project management (including deputy, cate- gory A). A maximum of 1,400 hours per person per year may be used for scientific assistants (category C). The maximum that may be paid for doctoral students at universities is the effective cost of the salary (gross salary plus the employer’s share of social costs). If no proof of such payments is provided, rates for doctoral students will be paid in accordance

with the guidelines of the Swiss National Science Foundation (SNSF)¹⁷ .

No further payments for overheads will be made in accordance with Art. 16, para. 6 RIPA.

Working hours

The basic working time is 1,824 hours per person per year or 152 hours per person per month.

Expenses and attendance fees for experts

Expenses

Travel: Half price in 1st class or a vehicle allowance of CHF 0.70/km from the place of work.

Meals Main meal CHF 27.50, breakfast CHF 14.

Overnight accommodation The actual cost in- curred for accommodation away from home in a mid- range hotel (reference price CHF 180)

17 www.snf.ch  Funding  How to  Documents & down- loads  Regulations  Annex 12: Salary ranges, guidelines

for employees in SNSF-funded projects and blankets amounts for social security contributions”

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Directive of the Swiss Federal Office of Energy 29/30 Attendance fees for experts

Applies to monitoring groups, hearings, for example.

Duration of meetings

Up to 5 hours: maximum CHF 800 plus travel expenses;

More than 5 hours: maximum CHF 1,400 plus travel expenses.

These rates include expenses incurred for prepara- tion and follow-up work in connection with meetings and for travel and meals.

No attendance fees will be paid to administrative staff from the State, municipalities and cantons (including professors) nor to representatives of associations and organisations.

Compensation for members of the Federal Energy Research Commission CORE is regulated by the Or- dinance on the organisation of the government and the administration (RVOV).

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Directive of the Swiss Federal Office of Energy 30/30 Swiss Federal Office of Energy

Mühlestrasse 4 CH-3603 Ittigen

Postal address CH-3003 Bern

Phone: +41 48 462 56 11 Facsimile: +41 48 462 25 00

contact@bfe.admin.ch www.energyresearch.ch

Directive on the submission and evaluation of applications for financial support of energy research, pilot and demonstration projects

Directive

on the submission and evaluation of applications for financial support of energy research,

pilot and demonstration projects

Contents

1 Generalities

1.1 Purpose of the Directive

1.2 Legal bases

1.3 Types of project

1.4 Guiding principles and aims of promotion

Guiding principles

Aims of promotion

2 Framework conditions

Funds

Submitting a project

Persons entitled to subventions

Consent and solvency of project participants

Project location

Project duration

Level of contributions

Open Access / Data / Model in Research

3 Call for project proposals procedure

3.1 Tenders ( top-down approach)

3.2 Open project submission ( bottom-up approach)

3.3 Submitting the application

3.4 Evaluation of applications

3.5 Decision on funding

3.6 Publication of project information

4 Implementation of a project

Start of the project

Monitoring and reporting

5 Miscellaneous

Protection of intellectual property

SFOE contact

Confidentiality

Appendix I: Technology readiness levels

Appendix II: Eligible project costs for P+D projects

Appendix III: Evaluation criteria for research projects

Criteria for admission

Appendix IV: Evaluation criteria for P+D projects

Formal criteria

Content criteria

Qualitative criteria

Appendix V: Order of priority for P+D projects

Subject matter and area of application

Principle

Priorities in the case of insufficient of funds

Application process

Exceptions

Appendix VI: Maximum remuneration for

activities carried out within the framework of SFOE energy research

Hourly rates for research projects

Expenses and attendance fees for experts