FOR OFFICE USE ONLY
Application Ref #
Official Date Stamp
Received By:
Captured By:
Date Captured:
RESEARCH AND DEVELOPMENT (R & D) TAX INCENTIVE
PROGRESS REPORT FOR APPROVED ACTIVITIES
Part 1:
Particulars
of a
company
Part 2:
Project
Identification
Part 3:
Project/
programme/
technology
area specific
information
Part 4:
Supporting
documentation
Part 5:
Research
Outputs
Part 6:
Summary of
actual R&D
expenditure
incurred
Part 7:
Consolidation
of all projects
costs
Part 8:
Additionalities
Part 9:
Declaration
by Applicant
For assistance in completing this form, please consult the Line-by-Line R&D tax incentive explanation guideline, available on
www.dst.gov.za/r-d.
This form must be submitted to the DST within 12 months following the year in which approval is granted.
This form must be completed in full and submitted to Department of Science and Technology using one of the following methods:


Hand or courier to Building 53, Scientia Campus, Meiring Naudé Drive, Brummeria;{After hours use the drop box at the DST
entrance}; or
Registered mail to:
Private ector R&D Activities Unit, Department of Science and Technology
PostNet Suite 133
Private Bag X844
Silverton
0127
Enquires can be directed to [email protected], or send a fax to 086 685 9528, or phone 012 843 6829.
Dept Of Science and Technology
Progress Report
Version 1.0
Page 1 of 11
PART 1 – PARTICULARS OF THE COMPANY
101
Name of the Company
102
Tax reference number
103
Financial Year End
M
M
Y
Y
Y
Y
Dept Of Science and Technology
Progress Report
Version 1.0
Status
(In-progress or Completed)
204
Date at which the application
was received by DST
203
Application Reference Number
202
Technological Area Name
Programme or
Project,
201
PART 2 – PROJECT IDENTIFICATION
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PART 3: PROJECT/PROGRAMME/TECHNOLOGICAL AREA - SPECIFIC INFORMATION
For each of the projects, programmes or technological areas listed above please provide the
following information (you may reproduce Part 3 - Part 6 in case of multiple projects)
Name of project/programme/technological area:.........................................................................................
301
(a)
Classify the current stage of development of the product/process/service/function/device
according to the options below.
(i)
Basic research
(ii)
Technology proof of concept or prototype
(iii)
Applied research for technology development
(iv)
Product testing/trialling & product development
(v)
Production/manufacturing/industrialisation
(vi)
Other, specify:............................................................................................................
(b) What technological uncertainties did you have to overcome to achieve the technological and
or scientific advancements indicated in the application submitted for approval?
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(c) What R&D activities have been performed in the previous financial year to overcome the
technological uncertainties described in Line 301(b)?
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(d) Describe how the project/programme/technological area has progressed toward achieving
the key outcome of the project/programme/technological area.
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(e) What R&D activities will be and/or have been performed in the current financial year to
overcome the technological uncertainties described in Line 301(b)?
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Project/Programme/Technological Area Collaborations
Has another entity unrelated to the applicant carried out part of this project, programme or technological area?
Y
N
If yes, please complete lines 302 - 307
302
Entity
Universities
303
Name
304
Local/
Foreign
305
Actual Amount
Incurred
306
% actual
amount
outsourced
1
2
3
Public science
councils
1
2
3
Other companies
(unrelated)
1
2
3
307
Total
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308
If some of the R&D work was performed outside the borders of South Africa, please state the main
reason(s) as to why such activities were conducted in a country other than South Africa.
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Nature of R&D work
Estimate the approximate distribution of your total R&D activities across the following categories:
R&D Category
% of eligible
R&D Spend
309
Basic research (no specific application in view)
310
Applied research (specific practical application in view)
311
Development of new product, process and/or technical services
312
Improvement to the existing product, process, service, function or performance
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PART 4: SUPPORTING DOCUMENTATION
Please indicate with an X the type of supporting documentation kept to support your R&D activities
Laboratory notebooks
401
402
Progress Reports, Minutes of the meetings
403
Employee activity reports
404
Prototypes or pilot run results
405
Project planning reports
406
Design, system architecture
407
Issues/failure logs
408
Records of resources allocated to the projects, time sheets
409
Engineering or computer drawings
410
Flowcharts and diagrams
411
Other, specify:…………………………………………………………………………………
PART 5: RESEARCH OUTPUTS FOR THE PROJECT/PROGRAMME/TECHNOLOGICAL AREA
Indicate in the appropriate block - records of publications (501-502), patents (503-506), presentations
(507-509) and/or other similar modes of protection of intellectual property (510-512).
501
502
Publications Title
Date
Patents and design applications arising from the R&D supported through the incentive during the tax
year in question, if applicable.
503
Title
504
505
506
Status
Date of filing
Country
(pending, lapsed or in force)
Presentations
507
Title/subject of Conference
510
Document Title
Dept Of Science and Technology
508
Conference venue
Other modes of protection of intellectual property
511 Type of protection of IP or know-how
Progress Report
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509
Date
512
Date
Page 6 of 11
PART 6: SUMMARY OF ACTUAL ELIGIBLE R&D EXPENTIURE INCURRED
Qualifying R&D Operational expenditure (for the tax year being reported)
Expenditure Item
Amount (R)
Salaries or wages
Expenditure on salaries or wages of employees directly engaged in R&D
601
Percentage of time spent on R&D performed in South Africa (%)
602
Total expenditure in salaries and wages x % of time spent on R&D(=601 * 602)
603
Expenditure on cost of materials used in the execution of R&D activities
604
Overheads and other expenditures
605
Expenditure on Contracts for R&D performed on behalf of the company
606
Total operational expenditure ( = 603+604+605+606)
Non- Qualifying Expenditure
607
Proportion of the total R&D expenditure incurred outside SA?
R........................................
Other - Non- qualifying R&D expenditure incurred within the borders of SA
R.....................................
608
Government grant received in the tax year stated above (if applicable)
609
610
611
612
Project/Programme/Technological Area
Name
Government grant
support programme
name
Total
government
grant amount
received
Portion
towards
eligible R&D
613
614
Sources of funds for R&D activities
Funding Source
(i) Internal company sources
615
(ii) Parent, subsidiaries or affiliated local companies
616
(iii) R&D contract work performed for other companies on their behalf
617
(iv) Other foreign sources funding
( e.g. from foreign governments, donor agencies)
Total
Dept Of Science and Technology
Progress Report
Amount (R)
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PART 7: CONSOLIDATION OF ALL PROJECT COSTS
Information requested in this part must be provided for all projects/programmes/technological areas
claimed in the year. Expenditures should be recorded and allocated on project/programme/technological
area basis.
701
702
703
704
705
Project/Programme/Technological
Area Name
Salaries or
wages in
the tax
year
Cost of
materials
in the tax
year
Overheads
in the tax
year
Contract
expenditures for
R&D performed on
behalf of the
company
706
Total
Total
PART 8: ADDITIONALITIES
801
R&D personnel directly involved in the project(s)
Total R&D
employees
at financial
year end
Number of
new
Appointments
during the
financial year
Male
African
White
Female
Coloured
Indian/Asian
African
White
Coloured
804
Full-time
Part-time
Indian/
Asian
Scientists
Engineers
Technologists
Technicians
Managers
Other
technical
staff
Total R&D
personnel
Employment created as a result of the project(s) (excludes R&D personnel)
802
Indirectly R&D related Personnel
803
No. of indirectly R&D
related personnel
Supporting R&D personnel ( quality assurers, etc)
Production personnel
Administrative and finance personnel, etc
Security, cleaning, maintenance personnel, etc
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805
Skills Development
Did you provide training to advance the scientific and technological knowledge of your R&D
employees?
N
R…………………..…
….
If yes, how much was spent on training?
806
Y
Input Additionality
Would your company have undertaken R&D activities if the R&D tax deduction had not been
introduced?
Give an estimate of the additional amount your company invested as a result of the
R&D tax deduction?
Y
N
R…………………………
Please read each of the following statements carefully and mark the box that best reflects your opinion with an X
where applicable:
Yes
No
1. Without the R&D tax deduction, our R&D activities would have proceeded with:

a smaller budget

at a slower rate

with an intended smaller range of potential applications
807
808
Output/Result Additionality
1.
The R&D tax deduction led to investment in new R&D equipment
2.
Did the R&D activities lead to the introduction of a:

New or improved product

New or improved production process

New or improved device

New or improved function

New or improved service

New or improved knowledge
3.
The R&D tax deduction increased competitiveness of the company
4.
The R&D tax deduction increased the market share of the company
Yes
No
Yes
No
Behavioral Additionality
1.
The R&D tax deduction eventually led to a change in business strategy
2.
The R&D tax deduction resulted in a more formalised innovation process within the firm
3.
The R&D tax deduction allowed my company to undertake research in areas beyond our shortterm business needs.
Dept Of Science and Technology
Progress Report
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Page 9 of 11
809
Technology Balance of Payments
Did the company export its technologies (through patent, licensing, disclosure of knowhow)?
Y
N
If yes, please specify and state the amount received
R……………...............................
Did the company import technologies (through patent, licenses disclosure of knowhow)?
Y
If yes, please state and specify amount paid as fees or royalties
R……………...............................
Did the company export its developed or improved products, processes, systems?
Did the company import raw materials to be used in R&D projects?
N
Y
If yes, please state amount paid for imported raw material
N
R…………….............................
Did the company transfer its services with technical content, including technical and
engineering studies, as well as technical assistance to foreign countries?
If yes, please specify and state fees charged for rendering of services
Y
N
R……………..............................
Did the company transfer (through sale or licensing) its designs or patents abroad?
If yes, please specify and state revenue generated from sales or fees charged.
Progress Report
Y
R……………................................
If yes, please specify and revenue received in exports
Dept Of Science and Technology
N
Version 1.0
Y
N
R……………..............................
Page 10 of 11
PART 9: DECLARATION BY APPLICANT
I hereby declare, to the best of my knowledge that, the information in this application is true and correct
and accurate in all material details.
Name
Capacity
Contact details
Contact No.
E-mail address:
Signature
Date signed:
DECLARATION BY A CONSULTANT ACTING ON BEHALF OF THE APPLICANT
I hereby declare that the information compiled by me in completion of this application form on behalf of
........................................................ .........................is a true reflection of the affairs of the applicant as they were
presented to me.
Name
Position
Business name
Contact details
Contact No:
E-mail address:
Signature
Date signed:
FOR OFFICE USE ONLY
Attachments included?
Y N
Received by:
Comments:
Dept Of Science and Technology
Progress Report
Version 1.0
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