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Industrial Research Fund (IOF) Guidelines In October 2009, IOF guidelines were amended, new conditions and regulations were added (e.g. the introduction of different leverage types, IOF Award, review of applications etc), in accordance with the Flemish government’s IOF Interface Order. The changes outlined below form part of the annual review of IOF guidelines and take effect from 1 October 2010. 1. Aims of the IOF The Industrial Research Fund (IOF) provides funding for strategic basic research and applied research conducted at a university or at university colleges participating in the association with which the university is affiliated. These associations provide added value because they include a wide range of research activities: groundbreaking research and strategic basic research, technological innovation, valorisation and services. The Notes accompanying the previous IOF Order (8 December 2006) stipulate the following: “To play an even more active role in the process of innovation, institutions should expand basic research programmes, strengthen the link between basic research and technological innovation and develop the transfer of knowledge to third parties. Increasingly, it is the quantity but particularly the quality of the knowledge that universities and university colleges produce that will determine whether they can play a successful role in economic and social innovation through the efficient transfer of knowledge (what follows is an excerpt from the Notes on the Order of 28 May 2004) The Industrial Research Fund should allow each university to develop its own policy in building a portfolio of application-oriented knowledge with an economic orientation, situated along the continuum between strategic basic research and technological innovation, including any property rights. In close alignment with the university’s valorization policy and its interface structures, the IOF therefore aims to support the valorization of knowledge that is developed, e.g. by collaborating with industry, the government and the non-profit sector, or by setting up new companies”. This is in accordance with the most recent IOF Order, which explicitly states that interface services must be closely coordinated with IOF activities and objectives, and vice versa. The IOF Order and the Interface Order have now been merged into one government order, whose main additional requirement is the development of a strategic plan (Art. 8). The management of the fellowships and projects funded by the IOF and the functioning of the IOF are overseen by the interface service, supported by IOF support services. Given the increasing role of associations, the term “university” in the second part of the quotation should be read as “university and university colleges.” The aim of the IOF is to conduct strategic basic research is in order to develop knowledge that can be used for economic and societal valorisation (cf. the government and the non-profit sector as possible collaboration partners) and for research paving the way for valorisation (cf. the continuum ranging from strategic basic research to technological innovation).

The IOF also manages the so-called additional resources for academisation. These are made available “to strengthen the research involvement of university college programmes with an academic focus, i.e. to strengthen the capacity for research and innovation, to promote interdisciplinarity and

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transdisciplinarity and to support the valorization of research results in collaboration with industry” (Art.VI.9ter §1, which was added to the Decree of 19 March 2004 – Belgisch Staatsblad 29.12.2006) With regard to the IOF funds not earmarked for academisation purposes, recommendations on funding applications are made by the IOF Council. Funding decisions are made by the Board of Governors of the Association on the recommendation of the Executive Board followed by the Academic Council. With regard to the additional resources for academisation, the IOF Council plays an advisory role in the development of funding plans and the criteria to be used if funding is awarded on the basis of internal competition at university colleges. The present guidelines only apply to regular IOF funding, and not to the additional resources earmarked for academisation. Four categories of funding can be distinguished: Person-based funding: IOF fellowship holders (IOF-M) and the L(euven) da Vinci Prize (LdVP). Activity-based funding: Leverage Projects or Knowledge Platforms (IOF-HB and IOF-KP) 2. Provisions applicable to all application categories In the case of references to persons, personal pronouns must be construed as including both genders. Scope. The duration of projects and fellowships and the amount of funding are determined by category. Start and end date of projects and fellowships. Projects, fellowships or scholarships can only start after approval by the Association’s Board of Governors. The award letter will specify the starting date and the conditions applicable to each category. Projects have a fixed start and end date. Fellowships are open-ended. The starting date is flexible within certain limits. Length of service conditions and pregnancy. If maximum length of service has been specified, this limit will be raised by one year per child in the case of suspension due to pregnancy (maternity leave, pregnancy leave in the case of hazardous activities, breastfeeding leave, parental leave) Duration of fellowships in the case of suspension due to pregnancy. If a fellowship is suspended due to pregnancy (maternity leave, pregnancy leave in the case of hazardous activities, breastfeeding leave, parental leave), the term of the fellowship will be extended by the length of the suspension. Financial arrangements are covered by the general rules applicable to the fellowship holder’s staff category. Other suspensions / exemptions from regulations / requests. With regard to suspensions not due to pregnancy (which are covered by the standard rules), e.g. a period spent abroad, the rules laid down by the institution remain fully applicable, in addition to any rules set out in these guidelines. Requests for exemptions from regulations, suspension or possible problems should be submitted to the chair of the IOF Council by letter or by email. Staff category of the applicants. An important category of applicants consists of the researchers indicated as independent investigators in the BOF Guidelines (Category 1): - members of senior academic staff, tenured FWO fellowship holders, associate heads of clinic (if holders of a PhD), IOF fellowship holders with an open-ended contract, postdoctoral researchers receiving ERC-funding as a ‘young independent investigator’ or Type 2 Odysseus funding (this category can be extended after approval by the University authorities);

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- researchers at university colleges included in the K.U.Leuven Association holding at least the rank of Associated Lecturer at K.U.Leuven at the start of the project. A second category of applicants (Category 2) consists of university college staff member holding at least the rank of lecturer, holding a PhD (or being included in the ad hoc list of possible project coordinators approved by the Executive Board on 20 November 2006) and who are affiliated researchers at K.U.Leuven. Project coordinators and co-coordinators appointed as independent investigators should be reasonably expected to keep the position which entitled them to apply for funding for the full duration of the project Project coordinators and co-coordinators cannot be paid as employees on a project or fellowship for which they applied. In general, the following conditions apply to project coordinators: - Unless otherwise indicated, coordinators should hold at least a half-time appointment as an independent investigator. In the case of Leverage Projects, Category 2 applicants can also act as a project coordinator. Exceptions to the requirement of half-time appointment will only be allowed if it can be guaranteed that coordinator will be able to lead the project successfully. In general, the following conditions apply to co-coordinators: - Co-coordinators may include part-time K.U.Leuven researchers at the level of postdoctoral researcher and above, highly qualified K.U.Leuven administrative and technical staff, or Category 2 researchers. The responsibilities of project coordinators and co-coordinators can be described as follows - The project coordinator is the initiator, with overall responsibility for the research project / programme or the research fellowship. He holds ultimate responsibility for the funds awarded, the achievement of objectives and the reporting of results. He acts as a spokesperson and coordinates the research in consultation with any co-coordinators. - The co-coordinator makes a significant substantive contribution and – under the overall coordination of the coordinator – contributes to the implementation of the research project / programme or the supervision of the research fellowship. Under the overall responsibility of the coordinator, a co-coordinator may be allowed to use part of the funds awarded. For funding applications regarding an IOF Fellowship or an IOF Knowledge Platform or regarding research projects with a societal orientation or research in the fine arts, please contact the IOF Contact Point. Research applications - Forms: All research proposals should be submitted electronically through K.U.Loket and also through e-Application (e-sol) in the case of applications for fellowships. All proposals should be submitted in English. An overview of the application procedure by category is available on GeDOC Online (http://www.kuleuven.be/gedoc) under ‘Research funds - Submission of research proposals or on the Call for Proposals page (http://www.kuleuven.be/industrieelonderzoeksfonds/intern/fintern/oproepen.htm). Brief guidelines on

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the call for proposals, the application procedure and the sections included in the application form as well as information for referees is available in English. Selection process: All research proposals are first reviewed by the IOF Council or by a committee to which this responsibility is delegated. Subsequently, the recommendations made are endorsed by the Executive Board (in consultation with the chair and the director of the Association) and approved by the Association Board of Governors. Funding decisions are ratified by the Academic Council. The available funds are not divided between research fields, disciplines, or institutions in advance, with the possible exception of the fine arts if part of the OPK Fund is transferred to the IOF. With respect to IOF applications regarding artistic research, the Advisory Committee of the Research Platform for the Arts (OPK) is charged with the responsibility to advise the IOF Council on artistic/scientific objectives and valorisation objectives relevant to the fine arts Refereeing. If funding decisions are subject to peer review, the following procedure should be followed, unless otherwise stated. - In consultation with the Chair of the IOF Council and the Vice Rector for Research, the IOF Contact Point appoints a number of referees, taking into consideration possible conflicts of interest (see the IOF Council internal regulations) as well as the need for confidentiality. Applicants should suggest at least six referees who are sufficiently independent: in the case of IOF Leverage Projects, these referees should include three academic and three industrial referees (two of which should be based in Flanders); in the case of IOF Fellowships and IOF Knowledge Platforms, the list should include at least four academic referees and four industrial referees (two of which should be based in Flanders). ‘Sufficiently independent’ means that the applicant(s) and the referee(s) or their organisation have not collaborated on joint publications or projects in the last five years. In total, research proposals should be assessed by at least four referees external to the IOF Council, including at least one from the list suggested by the applicants. The assessment is only valid if the required number of referee reports are available: IOF Leverage Projects should be assessed by at least three referees, including at least one referee external to the IOF Council; applications for IOF Fellowships and IOF Knowledge Platforms should be assessed by at least four referees, including at least two referees external to the IOF Council and one external to K.U.Leuven. - Individual assessments by external referees and by members of the IOF Council are used anonymously during discussions by the IOF Council. Only the chair of the IOF Council, the Vice Rector for Research and administrative support staff at the Research Coordination Office know the identity of the referees. Notification Applicants are notified in writing of the outcome of their application as soon as possible. In advance of formal notification, applicants can already be informed unofficially, either by the Chair of the IOF Council or by the IOF Contact Point. If the research proposal has been rejected, reasons will be given. If applications were refereed, referee reports are made available to applicants in anonymized form. The manner of notification depends on the application category (see below). Additional information on the decisions can be obtained from the chair of the IOF Council or by delegation from the IOF Contact Point. Reporting. A final report is required for all types of application; in the case of Fellowships and Knowledge Platforms, interim reports are also expected. Specific instructions on the scope and frequency of reporting are included in the award letter.

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Review of reports. Reports are reviewed by the IOF Council or, if delegated, by the Executive Board of the IOF Council. In the assessment of future applications, reports on previously awarded grants will also be taken into account. Failure to submit the required reports may compromise future IOF applications. Annually, the university submits an evaluation report on projects funded to the relevant Minister(s) (mandatory under the new IOF Interface Order). Valorisation and technology transfer. Applicants must be willing and able to collaborate with K.U.Leuven R&D on valorisation initiatives. Research groups involved in partnerships that have developed their own valorisation strategies (e.g. VIB, IMEC) are not eligible for funding. The issue of intellectual property rights (IPR) should be addressed in the valorisation section of the research proposal. For K.U.Leuven – and the associated university college (if applicable) - the intellectual property rights to the research results obtained from funded projects are covered by provisions of Art.169 ter of the Flemish Decree of 12 June 1991 on universities and university colleges in the Flemish Community. K.U.Leuven Research & Development is authorised to support and implement the exploitation of these results, either nationally or internationally. Results must be exploited in accordance with K.U.Leuven’s valorisation policy. This implies that K.U.Leuven must be able to exploit project results independently. If K.U.Leuven researchers collaborate with external researchers (e.g. VIB, IMEC, etc.) or with researchers at associated university colleges, an agreement should be put in place to ensure a streamlined approach to valorisation. Pre-existing knowledge should remain the property of K.U.Leuven / the university college or should be made available to K.U.Leuven / the university college to such an extent that project results can be valorised without IPR or other constraints Contact persons Bruno Hoste, IOF Programme Coordinator, 016/32.09.40 bruno.hoste@doc.kuleuven.be Inge Lerouge, DOC Coordinator for University Colleges, 016/32.09.41 inge.lerouge@doc.kuleuven.be Gerard Cielen, Head of the DOC Policy Support Unit, 016/32.40.63 gerard.cielen@doc.kuleuven.be Paul Van Dun, General Manager K.U.Leuven Research & Development, 016/32.65.03 paul.vandun@lrd.kuleuven.be 3. IOF Fellowships – IOF-M IOF Fellowships are postdoctoral fellowships offering structural support for strategic basic research and other activities aimed at the valorisation of the research results obtained by the research groups concerned. To this end, fellowship holders carry out the proposed research plan while actively supporting the researchers of the research group(s) concerned in maximizing their valorisation potential.

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IOF Fellowships fall within the category of “research managers” in the research management structure. See Appendix 1 for the regulations relating to IOF fellowship holders. The official title used by IOF fellowship holders is “Industrial Research Manager” (either Junior ~ or Senior ~). The application procedure for IOF Fellowships comprises in 2 stages: - Stage 1: a fully developed research proposal is submitted through K.U.Loket by the coordinator of an IOF Fellowship: a candidate is not yet selected at this stage. The application is assessed on the basis of the work plan and research proposal. If the proposal is selected, funding will be conditionally awarded, while a suitable candidate is recruited. - Stage 2: an IOF-vacancy must be announced (through the e-sol procedure). As is the case for senior academic staff, the vacancy is advertised in (international) professional journals. IOF and LR&D are involved in the shortlisting of candidates: a shortlist is drawn up no later than one and half month before the next IOF Council meeting. The candidate(s) selected by the coordinator (maximum 3) are invited for an interview at the next IOF Council meeting (within one year of conditional approval of funding). IOF Fellowships can be awarded unconditionally (positive funding decision), conditionally (provisional – positive funding decision subject to a successful probationary period under the terms of the contract) or not awarded. If the candidate(s) is / are not deemed suitable, the fellowship is not awarded. Fellowships can also be awarded for a limited period, after which funding from another source will be needed, as is the case for BOFZAP. A fellowship can also be awarded without operational funds, for instance when a Knowledge Platform project and a Fellowship (with similar content) are both approved. If the Fellowship is terminated for any reason, the entire procedure must be repeated if a new fellowship holder is recruited. • Amount of funding At least 30% of total IOF funds must be earmarked for IOF Fellowships. The salary of an IOF fellowship holder is determined within the range applicable to the new Research Management structure (category ‘Research Managers’), with regard to both grade and salary scale, and linked to length of service. The reference amount is € 125 000 per year, including a ‘bench fee’ (research support fee). The use of a bench fee must be supported by expenditure statements, and expenses must be in accordance with the Memo on this topic (Appendix 2) . From the third year onwards, the bench fee should be phased out, see Appendix 1. • Duration In principle, fellowships are open-ended. During the first four-year period, Fellowships are annually reviewed. In this four-year period, the results obtained are assessed on the basis of IOF criteria and the assessment and promotion criteria laid down by Research Management (see below). The original research proposal contained a work plan for four years: after this period, a new work plan for the next four-year period should be submitted. • Conditions and restrictions The project coordinator must be an ‘independent investigator’ (see Section 2, Category 1). Researchers at university colleges can also act as a coordinator, provided they hold the rank of Associated Lecturer or above. If the coordinator is a member of a university college, the application should be submitted jointly with at least one K.U.Leuven co-coordinator.

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The application consists of a research proposal in which a postdoctoral candidate is nominated by a coordinator and possible co-coordinators. The candidate must hold a PhD degree obtained prior to 1 October of the year in which the application is submitted. At the time of submission, the candidate’s length of service as a postdoctoral researcher should not exceed 8 years (in accordance with the BOF tenure track rule). This does not apply to external candidates. The start date of the fellowship can be postponed up to one year after the official date of award. However, it is advisable that the fellowship should start as soon as possible, preferably at the start of a new academic year. In accordance with legal provisions, K.U.Leuven retains the property rights to the findings. As fellowship holders are K.U.Leuven staff (possibly conducting research at a university college), Art.169ter of the Decree is applicable. K.U.Leuven retains ownership of the intellectual property, but the researcher concerned may be entitled to a fair remuneration. The fellowship holder will need to sign a confidentiality agreement with regard to the projects in which he will participate. In line with IOF principles, research conducted at an institution that is not a member of the K.U.Leuven Association will not be funded. Short stays of up to one month are allowed. For stays of more than one month, written approval must be obtained from both the chair of the IOF Council and the Vice Rector for Research (single letter). After an absence of more than three months, a report must be submitted before local activities can be resumed. If the researcher is staying at a company or in other cases involving intellectual property, a contract will need to be signed with the host organisation through LRD. • Selection criteria Stage 1: Eligibility Consideration of eligibility: the application must be complete and meet application requirements

The evaluation seeks to determine the extent to which the proposed fellowship project will contribute to IOF

parameters

The evaluation will consider the extent to which the fellowship holder will be integrated in a research group

involved in the application or collaborate with any other researchers whose valorisation potential is

considered to be sufficiently high. The project’s valorisation potential is explored by the Research

Coordination Office (IOF Contact Point) in collaboration with. K.U.Leuven R&D on the basis of an analysis

of the IOF parameters (to be considered differently for projects with a societal orientation)

Scientific quality /applicability-of the work plan

Scientific /application-oriented challenges

Work plan / research

proposal

Scientific quality /

applicability

Contribution of the work plan to development and to more efficient strategic

basic research and research promoting valorisation

Extent to which the work plan is in line with the research group’s research

focus and valorization policy

Valorisation

General valorisation potential

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Willingness of the researchers / department concerned to collaborate with the

candidate according to an agreed protocol

Stage 2:

CV: education, PhD quality, publications

Basic research knowledge of the field

Candidate Scientific quality /

applicability

Critical research attitude

Knowledge of valorisation routes (possibly field-specific) Valorisation

The candidate’s experience, contacts and dynamism with regard to

collaboration with different actors (companies or possibly governmental or non-

profit organisations)

• IOF Fellowship applications There is at least one application round per year (if this is possible within overall budget constraints). Applications should be submitted electronically. The application procedure for IOF Fellowships comprises in 2 stages: Stage 1: submission of a research proposal through K.U.Loket

• description of the proposed research within the context of IOF objectives; • description of the valorisation process to be developed by the coordinator(s) with the

assistance of the candidate; Stage 2:

• announcement of an IOF vacancy • submission of the candidate(s) personal details through e-sol:

o CV, brief description of the candidate’s PhD research and publication list ; o a statement by the coordinator confirming that the candidate has the capacities and

skills required to carry out research and coordination tasks • Selection Candidates are selected by the IOF Council. The following is taken into account: 1. Consideration of eligibility on the basis of the recommendation by the IOF Contact Point to the chair of the IOF Council and the Vice Rector for Research, who may decide to submit the outcome of this assessment to the IOF Executive Board. 2. Evaluation of the research proposal by the IOF Council according to the criteria above (Stage 1). 3. Evaluation of the candidate by the IOF Council according to the criteria above (Stage 2).

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For each conditionally approved proposal, up to three candidates can be nominated for appointment by the IOF Council. For organisational reasons, the chair of the IOF Council and the Vice Rector for Research may decide to draw up a shortlist of candidates, on the basis of a presentation and interview, after which the IOF Executive Board will make a recommendation to the IOF Council. The candidates (shortlisted after the first selection round if this was organised) will be asked make a presentation to the IOF Council, followed by a short interview with the council members. The research director of the relevant group of faculties is entitled to attend meetings as an observer. The project coordinator is invited to attend the presentation and the interview, in order to respond to questions from Council members and to discuss his assessment of the candidate(s). A representative of the HR Department will also be invited. On the basis of the referee reports (see general section of the guidelines), the presentation and the interview amongst other aspects, the IOF Council will then make a funding recommendation. • Notification The recommendation of the IOF Council will be communicated to the candidate and the applicant by the IOF Contact Point or the chair of the IOF Council, subject to confirmation of the official decision. If the proposal has been rejected, reasons will be given. Additional information on the decisions can be obtained from the chair of the IOF Council or by delegation from the IOF Contact Point. • Follow-up and reporting For information on reporting, follow-up and career options, please see the Special Regulations for IOF fellowship holders (Appendix 1). Close follow-up, including regular interviews with fellowship holder(s), will be coordinated by the IOF Contact Point. The annual plan will be taken as a starting point. Bench fees awarded to fellowship holders should be used in accordance with the relevant guidelines (Appendix 2). 4. L(euven) da Vinci Prize A second type of person-based funding is the ‘L(euven) da Vinci Prize. • Definition The L(euven) da Vinci Prize is awarded to a junior researcher, with less than five years' seniority as a postdoctoral researcher, who has made a valuable contribution to the implementation or future development of valorisation strategies by means of research activities, research management activities or research support activities. The prize is not limited to IOF activities, but may include more general valorisation-oriented research or activities. It can also be awarded to candidates outside the university provided they meet the conditions and restrictions. The Industrial Research Fund (IOF) Council is asked to select a candidate according to the established criteria. The prize is awarded in parallel with the Research Council Prize. • Funding Type and duration of funding The prize is 5,000 Euro

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The award money can be spent as the recipient chooses, but preferably it will be (partially) used to support research partnerships or valorization activities or to encourage entrepreneurship among the university community. • Conditions and restrictions Candidates should have obtained a PhD degree prior to the submission date but no longer than five years ago. They must be a staff member at K.U.Leuven or at a university college included in the K.U.Leuven Association or have been employed there within the past five years. They must be nominated by a coordinator or co-coordinator at a university or university college, belonging to Category 1 or 2 respectively as described in the Industrial Research Fund guidelines, “Provisions applicable to all application categories”, under “Staff category of the applicants” (http://www.kuleuven.be/industrieelonderzoeksfonds/intern/fintern/iof-richtlijnen.html#gempunt). Candidates should have contributed to a valorisation project (IOF or similar) conducted by this (co)coordinator, although not necessarily under project funding. • Selection Selection criteria The criteria are as follows:

• the candidate’s personal contribution to the valorisation-oriented study (may include contributions beyond the scope of the specific project conducted by the nominator);

• successful valorisation or (at an earlier stage) anticipated valorization, determined in accordance with IOF valorisation parameters (patents, revenues from contracts and licensing agreements with companies, spin-offs, participation in European Framework Programme projects);

• additionally, the promotion of collaboration with companies or similar actors. Selection procedure Candiates are selected and ranked by the IOF Council. The prize is awarded to the highest ranked candidate. It can only be awarded to one person. • Submission of applications The application should contain the following:

• project coordinator, co-coordinator(s) (if any), title, abstract, date of award and duration of the project;

• description of the candidate’s own contribution to the valorisation-oriented study, including any contributions beyond the scope of the specific project on the basis of which he or she is being nominated;

• description of the (expected) valorisation results;

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• description of the collaboration with companies or similar actors; • two letters of recommendation by actors outside universities or university colleges, i.e.

companies, , umbrella organisations or similar actors; • statement by the coordinator or co-coordinator of the valorisation project (IOF or similar),

justifying the nomination. Applications should be submitted through K.U.Loket . The nominator’s statement must be sent to the IOF Contact Point in a sealed envelope (Research Coordination Office, Schapenstraat 34 – post box 5100, 3000 Leuven) and by email to iof@kuleuven.be. • Notification The chair of the IOF Council will inform all candidates of the recommendation made by the IOF Council. Candidates will receive official notification of the decision as soon as possible. Unsuccessful candidates will also receive feedback on their application. 5. IOF- Leverage Projects – IOF-HB Leverage Projects are short feasibility studies with a specific focus, a realistic objective and clear goal orientation. These are high-risk, well-considered studies likely to attract independent follow-up funding. Leverage Project grants support specific, focused research efforts contributing to validation-oriented valorisation (e.g. proof-of-concept research, feasibility study, validation and support of patent applications) or research activities conducted in the context of a Leverage-to-Knowledge-Platform Project. In addition to standard Leverage Projects, other types of Leverage Projects are possible: 1) Leverage Projects (Satellite Projects), based on existing IOF initiatives and creating IOF-relevant added value; 2) Leverage Projects (EU Co-Funding), which can provide co-funding for EU projects requiring matching funding (Joint Technology Initiatives, Joint Programming Initiatives, etc.) and involving one or more companies or company clusters, provided post-project plans are sufficiently clear (individual collaboration & follow-up funding or contract research); 3) Leverage Projects (International Initiatives), which may prepare the ground for international projects by setting up collaborations with one or more international companies. The primary goal of these projects is to develop a joint international project (including contract(s) with companies and EU projects); an additional goal is to foster long-term collaboration with industrial partner(s); 4) Successive Leverage Projects (Leverage² projects), which involve the development of a roadmap for successive Leverage Projects (e.g. patent portfolio – international network & contract research – spin-off) on the basis of specific phased IOF objectives. • Amount of funding Funding up to € 100 000. For standard Leverage Projects, minimum funding is € 50 000. • Duration

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In principle, projects run for one year, but the grant can be used over the next year. The project should be started as soon as possible after the award decision (preferably within three months). It is recommended that research resources (particularly staff) should already be available prior to the start of the project. In principle, projects cannot be extended, unless – exceptionally – at the joint proposal of the chair of the IOF Council and the Vice Rector for Research. • Conditions and restrictions In the case of non-standard Leverage Projects, pre-application consultation with the chair of the IOF Council and the Vice Rector for Research is required. The project coordinator and co-coordinator(s) fall into Category 1 or 2 (specified under Section 2). Researchers with at least 3 years’ seniority as a postdoctoral researcher at the time of submission can also act as a coordinator. Exceptionally, a researcher holding an IWT postdoctoral fellowship (Type 2 or 3)1, can serve as a coordinator with the approval of the Vice Rector concerned, the chair of the IOF Council and the Vice Rector for Research and of his coordinator(s). If the coordinator is a member of a university college, the application should be submitted jointly with at least one K.U.Leuven co-coordinator, unless the coordinator belongs to Category 1. • Selection criteria Projects funded by the IOF must meet specific requirements related to the aim of making scientific progress / breakthroughs available for commercialization or societal applications. Projects will therefore be selected according to the following criteria: 1. In general Consideration of eligibility: the application must be complete and meet application requirements

The evaluation seeks to determine the extent to which the proposed project will contribute to the

IOF parameters (to be considered differently for projects with a societal orientation).

Scientific / technological quality of the work plan, feasibility

Scientific/technological or application-oriented challenges, orientation, innovation, ingenuity

2. Scientific /

technological quality

Extent to which the work plan is in line with the research group’s research focus

3. Valorisation General valorisation potential and relevance of the proposed research for external actors,

including possible valorization routes

1 IWT Postdoctoral Fellowships - Type 1-3: Type 1 A Type 1 research fellowship is specifically aimed at the creation of a spin-off firm. For this type of research fellowship, the candidate is expected not only to have adequate scientific knowledge and insight, but especially an entrepreneurial attitude, combined with a realistic approach and sufficient background knowledge regarding the set-up of a spin-off company. The project proposal should highlight the potential for economic valorisation, preferably in Flanders, and the added value for industry and society. Type 2 A Type 2 research fellowship is aimed at the transfer of basic research from a research institution to an existing enterprise (including existing spin-offs) with a view to effective valorization / implementation by the company at a later stage. Research is mainly conducted at the company to which the industrial coordinator is affiliated. Important selection criteria include the quality of the project and whether the grant holder’s will be able to carry out the project alongside the company’s regular R&D activities. Type 3 A Type 3 research fellowship is aimed at the valorisation (or preparation of valorization) of research results obtained at a Flemish university or research institution where the research activities are mainly conducted. The fellowship holder should either be a staff member at this institution or an (ex) employee at a company wishing to carry out this project as part of a “sabbatical". This type of research fellowship corresponds with the traditional concept of an IWT Flanders research fellowship, as used prior to 2003.

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Quality of the valorisation plan and discussion of the specific contributions that the project will

make to strengthening the research group’s valorisation potential

• Submission of research proposals Annually, at least one call for proposals will be issued. Proposals should be submitted to the IOF Contact Point. The research proposal should include a summary of the proposed research, a detailed description of the valorisation objectives according to IOF parameters, a budget and work plan. • Evaluation 1. Consideration of eligibility on the basis of the recommendation by the IOF Contact Point to the chair of the IOF Council and the Vice Rector for Research, who may decide to submit the outcome of this assessment to the IOF Executive Board. 2. Evaluation of the dossier by the IOF Council according to the established criteria. If the referee reports are unequivocally positive, the IOF Executive Board can already approve the research proposal following written consultation with the IOF Council. This allows the best research proposals to be funded without further delay. Given the strong goal orientation of Leverage Projects, this is often important. The other research proposals will be submitted for consideration at the IOF Council meeting. • Notification The IOF Contact Point will communicate the recommendation of the IOF Council to the applicant(s) subject to confirmation of the decision. If the research proposal has been rejected, reasons will be given. • Reporting and follow-up Interim progress reports may be requested by the coordinator, the representative of the IOF Contact Point, the members of the IOF Executive Board or the chair of the IOF Council. Within a month of the end date, a final report detailing the contributions made to IOF parameters (or equivalent contributions to society), should be submitted to the IOF Contact Point, along with an IOF summary chart (link to template). An updated version of the summary chart may be requested annually. Reporting guidelines are included in Appendix 3. 6. IOF- Knowledge Platform Projects – IOF-KP Knowledge Platforms are projects providing funding for collaborative high-quality research with clearly measurable, application-oriented objectives. The aim of the funding is to create a platform for promising basic research up to the proof-of-concept level. Preferably, Knowledge Platform projects should involve multidisciplinary collaboration between several research groups, with an emphasis on technology and the potential for valorisation (or equivalent contributions to society) The combination of technologies within the platform should allow researchers to respond to the needs of industry or other

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actors. IOF funding serves as a catalyst, merging disciplines and technologies and generating new, relevant knowhow. • Amount of funding Funding for Knowledge Platform Projects ranges from € 150 000 to van € 200 000 per year. • Duration Projects run for four years. The project should be started within a year of the award decision, preferably at the start of the academic year. • Conditions and restrictions Coordinators of IOF Knowledge Platform projects belong to Category 1 (see Section 2). Researchers in Category 1 of 2 can serve as a co-coordinator. • Selection criteria Projects funded by the IOF must meet specific requirements related to the aim of conducting strategic basic research and making scientific progress / breakthroughs available for commercialization or societal applications. Projects will therefore be selected on the basis of the following criteria: 1. In general Consideration of eligibility: the application must be complete and meet application

requirements

The evaluation seeks to determine the extent to which the proposed project will

contribute to IOF parameters(to be considered differently for projects with a societal

orientation)

Scientific / technological quality of the work plan

Scientific/technological and application-oriented challenges; contribution of the work plan

to development and to more efficient strategic basic research and research promoting

valorisation, attention to organisational and coordination tasks, networking

2. Scientific/ technological

quality

Extent to which the work plan is in line with the research group’s research focus

(complementary, multidisciplinary, generic)

General valorisation potential and relevance of the proposed research for external actors,

including possible valorisation routes

3. Valorisation

Quality of the valorisation plan and discussion of the specific contributions that the project

will make to strengthening the research group’s valorisation potential

• Submission of applications Annually, there is at least one application round, including the submission of a Letter of Intent and a full research proposal.

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The Letter of Intent should describe available resources, the project's scientific and valorisation objectives and the network of the various actors involved. The full research proposal consists of the Letter of Intent accompanied by a fully developed research plan as well as an organisational and financial plan. Applicants seeking leverage funding for a leverage towards a Knowledge Platform should also submit a Letter of Intent, but will be allowed to submit a full research proposal without preselection. • Evaluation 1. Consideration of the eligibility of the Letter of Intent on the basis of the recommendation by the IOF Contact Point to the chair of the IOF Council and the Vice Rector for Research, who may decide to submit the outcome of this assessment to the IOF Executive Board. 2. Evaluation of the research proposal according to the established criteria. The IOF Executive Board reviews the Letters of Intent and draws up a shortlist on the basis of recommendations by IOF Council members and external referees. The full proposals will be refereed as described in the general section of these guidelines. The IOF Council will then make a funding recommendation based on the referee reports (amongst other aspects). • Notification The IOF Contact Point will communicate the recommendation of the IOF Council to the applicant(s) subject to confirmation of the decision. If the research proposal has been rejected, reasons will be given. • Reporting and follow-up Guidelines for the submission of annual reports and annual plans can be found in the document entitled ‘IOF Knowledge Platforms – Reporting and planning guidelines’ (cf Appendix 4). On the basis of the progress reports submitted, the IOF Council may suggest changes following consultation with the coordinator. An updated version of the IOF summary chart referred to in the guidelines may need to be submitted annually.

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Appendix 1. Research Management and Special Regulations for IOF Fellowship Holders Special Regulations for IOF Fellowships Article 1. Context In pursuance of the new IOF Order 2009 and the updating of IOF guidelines, and taking developments in the professional world into account, a new Research Management structure was developed with a view to funding person-based funding applications, i.e. IOF Fellowships2. These Special Regulations for IOF Fellowships include specific regulations on the evaluation of IOF fellowship holders and the circumstances leading to promotion or dismissal. These regulations apply to all IOF Fellowship holders. For the composition of the IOF Executive Board and the IOF Council, referred to in the present regulations, please see the IOF Guidelines. Article 2. Appointment As stated in the IOF Order of the Flemish Government, IOF Fellowships are awarded to postdoctoral researchers following a selection process within the Research Management structure (category: Research managers). IOF Fellowship holders have an open-ended contract. Fellowships should start within 12 months of the award decision. This term can only be extended in the case of pregnancy, long-term illness or for other serious reasons (cf. IOF Guidelines, Section 2). The establishment of the Research Management structure has provided a new employment framework for IOF fellowship holders. Research Management staff are covered by Belgian employment legislation with regard to the termination of employment. The Articles from the Decree and the Academic Staff Regulations (cf. Articles 80 - 92 ) are not applicable. Article 3. Rights, duties and outside activities of an IOF fellowship holder Rights and benefits - IOF Fellowship holders have the same staff category, rights and duties regardless of the group of faculties or unit to which they belong.

2 Article 4 of the IOF Interface Order of the Flemish Government, 2009. 3° At least 30 % of resources will be spent on open-ended fellowships. Two different types of fellowships can be distinguished, i.e. junior and senior fellowships. Selection of the type of fellowship – junior or senior – depends on the fellowship’s scope, objective and strategic importance. These fellowships are awarded to candidates meeting the IOF’s specific objectives. When appointing these researchers, the universities will take the necessary measures to ensure that they are placed in an attractive staff category. The IOF’s special regulations should also specify that the performance of IOF fellowship holders will regularly be reviewed. Unsatisfactory performance will result in termination.”

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- Fellowship holders have an open-ended contract with the possibility of promotion (see “Research Management” career). Group insurance is provided. - The research group (as defined in Section 4 under ‘Duties’) to which the fellowship holder belongs within the context of the research project should provide full support for the research activities and involve him/her in valorisation-oriented activities. - Fellowship holders are allowed to take a maximum teaching load of two teaching hours per semester (60 teaching hours per academic year) within the K.U.Leuven Association, provided these teaching commitments are in line with their other duties and are approved by the Vice Rector of the relevant Group of faculties and the Vice Rector for Research. However, Fellowship holders cannot be required to undertake teaching duties. - Fellowship holders can apply for both BOF and IOF funding as a coordinator; they can also apply for EU and IWT project funding. - In the start-up phase, they are entitled to a bench fee (up to 50,000 Euro), to be used as they see fit, see Appendix 2. - In accordance with existing rules, fellowship holders are entitled to a return on services provided. As inventors, they may be entitled to up to 40% of the net revenues from inventions (depending on the sum). - If a fellowship is suspended for any other reason than those listed under ‘IOF guidelines- Section 2. Provisions applicable to all application categories’ (e.g., a study visit abroad or secondment), the following rules should be followed. In line with IOF principles, research conducted at an institution that is not a member of the K.U.Leuven Association will not be funded. Short stays of up to one month are allowed. For stays of more than one month, written approval must be obtained from both the chair of the IOF Council and the Vice Rector for Research (single letter). After an absence of more than three months, a report must be submitted. If the researcher is staying at a company or in other cases involving intellectual property, a contract will need to be signed with the host organisation through LRD. At the request of the fellowship holder, the reference period for evaluating the fellowship can be extended by a period equivalent to the suspension. Duties - Fellowship holders must meet general contractual obligations, IOF guidelines and the Special Regulations for IOF Fellowships. - More specifically, they should perform their duties as described in the research proposal and in progress reports. - To this end, they should be sufficiently involved in the research group to which they are affiliated. IOF Fellowships are postdoctoral fellowships offering structural support for (1) strategic basic research and other activities aimed at the valorisation of the research results obtained by the research groups concerned (2) research directly leading to valorisation To this end, the fellowship holders should (3) carry out a research plan that should be integrated with the research group (4) support the research group in the development and implementation of the valorisation potential up to the transfer of knowledge.

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A research group is defined as any group of senior academic staff collaborating in order to attract research funding that will enable them to obtain certain research findings. This definition is used by both BOF and IOF. A research group is not an organisational unit, although it may coincide with one. The fellowship holders should be aware of possible valorisation routes related to the available research resources and should pursue these opportunities for collaboration with industry in close consultation with the Research Coordination Office and particularly with K.U.Leuven Research & Development. K.U.Leuven R&D should provide the necessary support in the process leading up to the implementation of technology transfer. An IOF fellowship holder’s main task is to make research findings available for valorisation and to develop partnerships with external actors in order to facilitate the transfer of knowledge. This will increase output indicators in terms of IOF parameters. Three types of IOF parameters can be distinguished: - research findings: parameters 1 and 2 - financial resources: parameters 3 and 4 - valorisation results: parameters 5 and 6 The first two parameters relate to PhD supervision (parameter 1) and publications and citations (parameter 2), which are less important objectives for IOF fellowship holders. They are only expected to publish their research findings, insofar as this does not compromise the valorisation of these results. And if this benefits their own research project (e.g. by conducting strategic basic research), they can contribute to ongoing PhD research or even act as a supervisor, provided this is allowed by the regulations of the relevant Group of faculties. The other parameters include revenues from contracts and licensing agreements with companies (parameter 3), EU-projects (parameter 4), patents (parameter 5) and spin-offs (parameter 6). As IOF fellowship holders belong to the category of ‘research managers’ within the research management structure, the eight activity areas for research managers may also be relevant. Outside activities - Teaching activities within the K.U.Leuven Association are covered under ‘Rights and benefits’ above. Teaching activities and other activities undertaken outside the K.U.Leuven Association are covered by the regulations for junior academic staff (BAP). In these cases, the approval of the Vice Rector for Research and the Vice Rector of the Group concerned is also required. - With regard to participation in spin-off activities, the following rule applies: fellowship holders are not encouraged to engage in spin-off activities while employed at K.U.Leuven. They are only allowed to work part-time (less than 50%) for the spin-off firm in the start-up phase, provided the combined appointments do not exceed 100 %. Such a part-time transitional appointment is only possible with the support of the fellowship holder’s research group, the Vice Rector for Research and the Vice Rector of the Group concerned.

Article 4. Reporting by IOF fellowship holders

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In line with the research proposal submitted, each IOF-fellowship holder is required to produce an annual plan outlining the specific objectives to be achieved and the activities to be completed during the next working year. These objectives relate to an increase in the number and scope of collaboration projects with industrial partners, an increase in the number of patent applications and grants, an increase in the number and scope of research projects undertaken in the context of European Framework Programmes, the creation of spin-off companies, and any additional parameters that may have been specified by the IOF Council when the fellowship was awarded. These annual plans should be submitted to the IOF Contact Point by the following deadlines: • Annual plan for the first working year: by the end of the first month. • Annual plans and progress reports for subsequent year: annually on 15 April An annual progress report should also be submitted. Article 5. Evaluation and promotion of IOF fellowship holders The evaluation of IOF fellowship holders will be undertaken and coordinated by the IOF Contact Point, K.U.Leuven, in collaboration with the Research Coordination Office and K.U.Leuven R&D. It will be in line with the procedures developed for the evaluation and promotion of ‘Research Management’ staff. Within 6 months of receipt of the annual plan or of the annual report and the evaluation report by the IOF Contact Point, the fellowship holder will be informed of the evaluation outcome. In its meeting of 12 March 2009, the Executive Board laid down the rules and procedures relating to research management staff, in particular with regard to evaluation, promotion to a higher level and the transition to a higher salary scale within the same level. IOF fellowship holders belong to the category of “research managers” in the research management structure, more specifically to the job family of research managers. Within this job family, the following provisions and procedure apply to IOF fellowship holders: §1. Evaluation Fellowship holders are subject to formal appraisal of their performance over a specified period. A performance appraisal form is used to assess the performance of the research manager/expert, with regard to the job family’s key result areas. Three possible ratings can be given:

• A: the research manager/expert satisfactorily performs his / her duties (good & very good) • B: to receive an A-rating, the research manager/expert needs to meet certain additional

conditions (conditional) • C: the research manager’s /expert’s performance is unsatisfactory.

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An A-rating does not automatically lead to promotion. A performance review takes place at least every 4 years (in the fourth year of a fellowship term) or sooner, at the request of the head of department or the research manager/expert. Applications for promotion must be supported by prior evaluation (cf. below). The performance appraisal form is an official document that will also be filed by the HR Department. Two types of evaluation are used by the IOF - annual review Annually, the progress report submitted by the fellowship holder is reviewed by the IOF Executive Board. Possibly, feedback will be given during a performance appraisal interview between the fellowship holder and the coordinator. - four-yearly evaluation Every four years, the fellowship holder’s performance is reviewed by a committee including the Vice Rector for Research, the chair of the IOF Council, and other (external) parties involved, (see below). The evaluation takes into account the key result areas of the research management job family on the one hand and the IOF parameters on the other hand. The fellowship holder is given the opportunity to discuss the results obtained in the previous four years with the committee. On the basis of its review, the committee will make a recommendation on whether the IOF fellowship should be continued; in the case of requests for promotion or for progression to a higher salary scale, the committee will also recommend whether the application should be approved. The three evaluation ratings are used regardless of the type of evaluation.

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§2. Promotion IOF fellowship holders belong to the category of research managers within the research management structure. The salary scales applicable to research managers are given below.

Specifications: https://admin.kuleuven.be/personeel/wedde/wedde_onderzoekskader 1° Initial placement on the salary scale From March 2009, new research managers can immediately be appointed to the second or third grade within the job family and the second or third scale within this grade. Initial placement on the salary scale is based on the candidate’s expertise, competences and relevant professional experience. The selection committee will submit a reasoned recommendation to the Group’s Executive Committee and the K.U.Leuven Executive Board. In the case of IOF fellowship holders, the committee comprises an HR Consultant, the Vice Rector for Research, the chair of the IOF Council and the Group’s research director. From Grade 2, Scale 3 onwards, fellowship holders fall within the ‘senior researcher’ category referred to in the IOF Order and the Interface Order. Other fellowship holders belong to the IOF’s ‘junior researcher’ category. Note that within K.U.Leuven’s research management structure, the term “senior” is only used from Grade 3 onwards. As the remuneration policy for research management staff was approved by the Board of Governors in December 2008, the salary of newly appointed research managers can immediately be determined. 2° Progression to a higher salary scale within the same grade No length-of-service conditions apply to the progression to a higher salary scale within the same grade. The procedure is as follows:

• It is checked whether sufficient funds are available. • On the basis of the key result areas and candidate’s performance, the head of department

provides reasons for the progression to a higher pay scale. A set of guidelines will be developed for this purpose.

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• The application is reviewed by the IOF Council or, by delegation, the IOF Executive Board; progression to a higher salary scale is merit-based: the candidate must have received an A rating in the annual or four-yearly performance review.

• The application is submitted for approval to the Group’s Executive Committee and the K.U.Leuven Executive Board through the HR Department.

Applications for salary progression can be submitted once a year, by 15 April. If a salary increase is approved, it will take effect on 1 January of the next year. If progression to a higher salary scale is urgent; the application can exceptionally be submitted ahead of schedule to the Group’s Executive Committee and K.U.Leuven’s Executive Board. 3° Promotion to a higher grade Promotion can be defined as the advancement to a higher grade. A different procedure is followed than that used for the progression to a higher salary scale within the same grade. Conditions To be eligible for promotion, candidates need to meet the following criteria: • A-rating in performance review • four years’ service in the current grade, • sufficient funds available. Exceptionally, the length-of-service requirement referred to above can be waived Procedure 1. Availability of funds The Vice Rector for Research determines whether sufficient funds are available for the promotion of IOF fellowship holders. 2. Promotion dossier In principle, candidates are nominated for promotion by their head of department, but the application is countersigned by the candidate. The promotion process should not be initiated by the research manager without the support of the head of the department. Problems should be reported to the Vice Rector for Research and the Vice Rector of the relevant Group. The promotion dossier should include the following documents: • the candidate’s CV and publication list • detailed reasons for the application based on the job family’s key result areas • a report including:

- an overview van projects and / or valorisation results IOF fellowship holders are expected to report their achievements in terms of the four valorisation parameters (patents, creation of spin-offs, revenues from licenses and contracts with companies,

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participation in EU projects). - a vision statement regarding the further development of the research field IOF fellowship holders are expected to submit a work plan for the next four years, with special emphasis on their contribution to IOF-parameters.

• evaluation In the case of IOF fellowship holders, the application for promotion (to a higher grade) coincides with the four-yearly evaluation of their performance. Hence, the Promotion Advisory Committee is the same as the Evaluation Committee. This committee first reviews the candidate’s performance and then considers his / her application for promotion. The outcome of the first step, i.e. performance review, is taken into consideration in evaluating the candidate’s application for promotion.

3. Career assessment A committee is appointed that will serve as both the Evaluation Committee and the Promotion Advisory Committee. The committee is selected in consultation with the relevant Group’s Executive Committee and the HR Department. In the case of IOF fellowship holders, the Vice Rector for Research and the chair of the IOF Council are also consulted. The committee comprises at least the following members: • For the IOF: the Vice Rector for Research, the chair of the IOF Council and an HR manager of the

HR Department. At the request of the Group’s Executive Committee, the Promotion Advisory Committee may also include the head of department (Biomedical Sciences / Science & Technology), dean (Humanities and Social Sciences), research director, a member of the research management working group , a member of the Executive Committee,… For the career assessment of IOF fellowship holders, additional members may be added, on the recommendation of the Vice Rector for Research and the chair of the IOF Council and in consultation with the Group’s Executive Committee and the HR Department. Formal committee members must have no conflicts of interest. The dossier is submitted to the IOF Contact Point, which forwards all documents to the HR Department and conducts a career assessment. During the career assessment, the fellowship holder is given the opportunity to clarify the dossier, make a presentation and respond to the advisory committee’s questions. The fellowship holder is not present when his dossier is discussed and assessed. In addition to the candidate’s head of department, the Vice Rector for Research and the chair of the IOF Council may also invite other persons, from within or outside the university (e.g. from industry) with whom the fellowship holder has collaborated. In principle, the head of department and these invited persons are not formal members of the committee as they are involved parties (either as the applicant or as collaborating parties). After the

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fellowship holder has left the room, the head of department and the other invited members can discuss the dossier and explain why they support the candidate’s application for promotion. The committee will then review the application. The head of department, the other invited parties and the fellowship holder are not present during this discussion. The committee evaluates the application and formulates a recommendation with regard to the candidate’s grade and salary scale. The committee may decide to conduct an assessment in order to determine the competences that the fellowship holder has acquired and to identify areas for development. This may be useful in deciding on promotion to a higher grade. Such an assessment can support the candidate’s further professional development, as it identifies the skills that need to be developed, through coaching or a programme of training. The assessment is not mandatory, however. Decision The application is submitted to the Group’s Executive Committee and to K.U.Leuven’s Executive Board for approval.

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§3. Timeline for progression to a higher salary scale and promotion to a higher grade To keep an overview of applications and to ensure a consistent approach across the University, applications for progression to a higher salary scale (Section 2.2) and for promotion to a higher grade (Section 2.3) are reviewed once a year according to the timeline below: Applications for promotion to a higher grade: • Submission of promotion dossiers to the IOF Contact Point by 15 April • Career assessment between 16 April and 30 June • Submission to the Group’s Executive Committee and K.U.Leuven's Executive Board, preferably in

June and no later than 15 November • Notification of research managers/experts, preferably in June and no later than 20 December • Promotion takes effect on 1 January of the next year The same timeline is followed for the progression to a higher salary scale. §4. Transitional arrangements In 2009 and 2010, a number of transitional measures were introduced, making it possible to assign candidates to a grade and salary scale and to adjust salaries if necessary The following specific arrangements apply to IOF fellowship holders: The performance of IOF Fellowship holders is reviewed in the fourth year; a number of fellowship holders will be reviewed in 2009. On the basis of performance review and career assessment, these IOF fellowship holders will be assigned to a specific grade and, if necessary, to a higher salary scale in the Spring of 2009 Applications must be submitted to the HR Department by 15 April. Between 16 April and 15 June, the committee convenes according to the procedure described above and formulates a recommendation on the performance, the grade and salary scale of the researchers involved. This recommendation is submitted to the Executive Board in June, making it possible to finalise placement on the salary scale before the start of the academic year. In April 2010, a new round will take place: in this way, appointed fellowship holders whose placement on the salary scale was not determined at the time of appointment will not need to wait 4 years before they can be placed on a salary scale / promoted. Requirements include the submission of an application in 2010 and a trial run evaluation in 2009. In both procedures (2009 and 2010), a promotion will take effect immediately, retroactive to 1 January of the same year. This transitional measure does not apply to fellowship holders appointed from 1 October 2009 onwards.

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Appendix 2. Bench fee for IOF fellowship holders Memo on operational funds for IOF fellowship holders Use of operational funds Operational funds included in the bench fee awarded to IOF fellowship holders are made available by the Research Coordination Office. The funds are managed by the fellowship holders, who are personally responsible for the judicious use of these resources in accordance with project objectives (i.e. with the scientific and valorisation objectives specified in the research proposal and annual plan). Fellowship holders can spend the bench fee as they see fit (on staff, operations, equipment) in accordance with the general financial regulations applicable to expenses in these categories. After the funds have been made available, it is also possible to shift funds between categories, as long as time limits are not exceeded and the implementation of the project is not compromised. Preferably, bench fee resources should not be used to employ a PhD student (or similar), unless the fellowship holder and the coordinator can offer guarantees that the PhD will be fully funded. Calculation of the amount The annual amount that can be made available as a bench fee is calculated by deducting the employment cost (gross salary + group insurance) from the amount that will be allocated annually. This amount is specified in the award letter. In Year 3 and 4, operational funds are reduced (to 100,000 Euro). From Year 5 onwards, a bench fee is no longer awarded. Availability The bench fees awarded in the first and second year of the fellowship are available for 3 years each. The bench fees awarded in Years 3 and 4 will remain available for 2 years. These resources should be spent as efficiently as possible. Fellowship holders who wish to depart from these time limits (e.g. to ensure longer availability of the bench fee) should submit a substantiated request in writing (in consultation with the coordinator). This request will be considered by the chair of the IOF Council and Vice Rector for Research. If the fellowship is terminated, the bench fee is not transferable.

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Appendix 3. Reporting on IOF Leverage Projects Guidelines for reporting on Leverage Projects On behalf of the IOF Council, the Research Coordination Office requires project holders to submit the following:

1. IOF-summary chart: detailed list of achieved IOF parameters and specifications 2. final report

The completed summary chart (summary chart template is available at: link) and the final report should be submitted within a month of the end of the project period. Please submit both documents electronically through the IOF Contact Point (iof@kuleuven.be). Note: After the completion of the project, an updated summary chart may need to be submitted Final report 1. Objective Description of the project’s objective(s) and brief discussion of the results obtained. Were the original objective(s) achieved? If not, why not? 2. Output 2.1. Briefly specify how the project has contributed to (one or more of) the following IOF parameters and describe the specific output (for definitions, see the IOF website):

• Patents: clearly indicate the reference code (type of application, e.g. PCT, …) and number of the patents filed or granted within the context of the project and during the project period

• Industrial revenues o Contract(s) with trading company (amount, company or actor, period) o Contract income generated through IWT (direct contracts with trading companies through

IWT projects) (amount, company, period) o Licensing income generated (amount, type of agreement, company, period) o Revenue from clinical trials (up to Stage 2) (amount, company, period)

• EU Projects (7KP): project funding requested and / or granted under the current framework programme.

• Creation of spin-off companies: in principle, the Leverage Project prepares the ground for the formation of a spin-off company. Provide all information showing that the business plan can / will be developed (direct agreement, exclusive transfer through licensing, capital contribution). Can transfer be achieved within the next 12 months?

2.2. Did the Leverage Project indirectly contribute to the acquisition of other types of (project) funding (e.g. other project funding: IWT - SBO, VIS, OZM, TETRA) that may contribute to IOF parameters? What other initiatives were launched that may also produce results with an impact on IOF parameters?

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3. Description of the post-project stage of the Leverage Project (technology transfer) Describe the steps still to be taken to achieve the transfer of knowledge or technology and the expected return. 4. Budget To be added by the Research Coordination Office.

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Appendix 4. Reporting on IOF Knowledge Platforms Guidelines for reporting on Knowledge Platforms Reporting guidelines On behalf of the IOF Council, the Research Coordination Office requires project holders to submit reports as follows. Documents must be submitted within one month of expiry of the relevant period (at the latest by the end of October of the year being reported). Please submit all documents electronically through the IOF Contact Point (iof@kuleuven.be). 1. Context In setting up the Industrial Research Fund, the Flemish government has provided universities with a funding instrument for application-oriented research. To support further growth of the IOF, it must be ensured that funding is in line with IOF objectives. Hence, holders of IOF Knowledge Platforms are expected to submit a report after 2 and after 4 years. This approach makes it possible to determine the added value of IOF funding with regard to overall valorization output at universities. This will also enable us to estimate the potential for growth and to make adjustments if necessary. The data are also useful in accounting for the use of resources to the Flemish Government. 2. Review of IOF Knowledge Platform projects The starting point is the full research proposal, outlining the four-year work plan for the project. The starting date of the project serves as a reference point for determining project periods. The interim report (after 2 years) consists of:

• an IOF summary chart including the following data: o general IOFparameter output o non-IOF parameter output o specification of IOF-oriented output (detailed description in summary chart worksheet)

An IOF summary chart template is available here: link. The report is reviewed by the IOF Council, which may delegate this task to the IOF Executive Board. If it is deemed necessary, the Knowledge Platform coordinator will be invited to present this report and the activities described to the IOF Council. Following consultation with the coordinator, the IOF Council may suggest changes. The final report (after 4 years) consists of:

• an updated IOF summary chart • a cover letter (brief report)

This report will be reviewed by the IOF Council, which may delegate this task to the IOF Executive Board. Note: An updated summary chart may need to be submitted upon completion of the project.

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Important: Knowledge Platform coordinators are invited to involve the IOF Contact Point and LR&D in the annual or bi-annual KP (follow-up) meetings, as specified in the management section of the application. If necessary, advice and information can be provided. Budget To be added by the Research Coordination Office at each reporting stage. If funds were reallocated between budget categories, this should be specified in the final report and the approved justification should be added. Also specify the remaining funds after 4 years and justify any planned expenditure to be undertaken at the post-project stage. The remaining funds will be available for one year, subject to approval of the final report. Practical and administrative arrangements are made by the IOF Contact Point.