December Eric Flask Director, National Funding Unit National R&I Programme 2012 Information Session

December Outline National R&I Programme Overview R&I Programme 2012 –Scope and Focus –Submission Process –Evaluation Criteria –Funding Modalities –Project Considerations –Changes from Previous Programmes –Timeframes Preliminary Application Form run through Q&A

The National Research & Innovation Programme An Overview

December The National R&I Programme Programme Participation Programme Total Proposals Requested Funding Available Budget Total Projects Funded RTDI € 7.0M € 700K15 R&I € 7.0M € 930K7 R&I € 5.4M € 700K7 R&I €1.5M€1.5M € 300K3 R&I € 5.8M € 700K5 R&I € 5.8M € 1.1M8

December The National R&I Programme Programme Objectives 2004 Programme 2006 Programme 2008 Programme 2009 – 2011 Programmes 2012 Programme Thematic No preference4 priority sectors 4 Priority Sectors Offshore Solar Technology Project Focus AnyApplied research, innovation Collaborative research Consortium AnyPreference for industry- academia Required industry & academia Allocation Many small projects Few large projects ( € 50K - € 200K) Few large projects ( € 50K - € 200K) Few large projects ( € 50K - € 200K) Selection criteria Quality of scienceProspects for economic benefit BalancedBalanced with emphasis on Potential Impact

December The National R&I Programme 2012 Scope & Focus

December R&I Programme 2012 Scope & Focus Financial support for research, development and innovation in Science and Technology Focus on technology transfer between: –Knowledge providers (Academic Institution) –Knowledge users (Industrial Entity) Technology transfer to fulfill genuine need (funding limits apply) Focus on 4 Priority Areas 1.Environment and Energy Resources –Offshore Solar Technology Project 2. Information and Communications Technology 3. Value-added Manufacturing and Services 4. Health and BioTechnology

December R&I Programme 2012 State Aid Operates under de minimis state aid regime: –Projects in fisheries, aquaculture and agriculture ineligible –Industry to ensure they do not exceed allowable limit of aid (€200K gross over 3-year period) –Necessary reporting required Complements Malta Enterprise scheme to promote R&D in industry Double funding not allowed – checks are conducted

December Consortium –At least 2 participants, (a) an academic institution and (b) industrial entity –other partners may be included but must add value Maltese legal entities (academia, public, private, NGOs) eligible for funding Foreign entities eligible but not funded Project Coordinator must be Maltese legal entity Conflict with fundamental aim of Programme R&I Programme 2012 Participation

December R&I Programme 2012 Submission Process

December Process Pre-registration 2-stage submission and evaluation process Shortlisting stage –Lightweight preliminary proposal –Estimates of timeframes, costings Selection stage –Full project proposal –Details of participants –Activities, timeframes, detailed budgets and distribution –Draft IP Agreement 19/01/ /02/2012, noon 19/04/2012, noon

December Submissions of Proposals Electronic Submissions to OneOne single file in Ms Word (.doc) format (without signatures) OneOne single file in Portable Document Format (.pdf) (includes a scanned signed copy of the Participant Details Section for each participant + initialisation of every page) Files limited to 5MB per file All received proposals acknowledged by

December The National R&I Programme 2012 Evaluation Criteria

December Evalution Criteria Marking and Thresholds Evaluated on 4 criteria Each criterion allocated maximum of 5 marks No weighting Threshold of 3 for each criterion Overall threshold of 14

December Four Evaluation Criteria 1. Programme Objectives –Degree of fit with priority sectors –Extent of collaboration between academia and industry –Addresses a genuine need for knowledge transfer 2. Concept and Approach –Conceptually sound –Clearly defined objectives, ambitious but achievable –Clearly defined deliverables –Proposes suitable actions

December Evaluation Criteria cont. 3. Quality of Consortium –Participants have necessary knowledge and skills –Balanced participation and funding 4. Potential Impact –Application and uses of research and deliverables –Commercialisation of Project results. –Roadmap for realisation of benefits –Spillover effects –Other Benefits Cost Reduction Licensing Networking Organisational Benefits

December Evaluation Criteria Summary 1. Programme Objectives –Priority sectors –Industry Academia Collaboration 2. Concept and Approach –Workplan 3. Quality of Consortium –Knowledge and skills –Balanced participation and funding 4. Potential Impact –Commercialisation –Spillover effects –Cost Benefits –Licensing Maximum of 5 marks per criterion Threshold of 3 marks per criterion Overall Threshold of 14 marks

December The National R&I Programme 2012 Funding Modalities

December Project funding: €50K – €200K Project duration: 1yr – 3yrs Funding restrictions –Up to 75% for individual participant –Up to 75% for funding category –Up to 30% for Maltese Public Bodies Funding levels –Public, Academic, NGO: 100% –Business: 75% Funding Modalities Project Funding and Restrictions

December Project Structured in stages (12 months per stage) Advanced payments in tranches Initial advanced payment 100% Further payments depend on reporting Retention of 10% of total project grant Retention of 20% for single-stage projects Funding Modalities Allocation of funds

December Funding Modalities Eligible Costs Eligible Direct Costs –Technical personnel –Project Management (limit 10%) –Purchase of specialised equipment –Travel, networking, dissemination, externalization –Subcontracting (limit 25%) –Other Expenses related to the project (e.g. kits) Eligible Indirect Costs –10% of eligible costs, excluding subcontracting, excluding equipment over €5,000

December Ineligible Direct Costs –Expenses related to loans, interest, etc –Recoverable value added tax. –Expenses which are recoverable through other funding mechanisms –Re-purchase of equipment originally procured through other funding mechanisms –Normal office equipment Funding Modalities Ineligible Costs

December R&I Programme 2012 Project Considerations

December Participants must maintain separate financial accounts and separate bank account Actual costs with fiscal receipts Costs determined in accordance with usual accounting and management procedures Expenses must be consistent with principles of economy, efficiency and effectiveness Refundable expenses limited to allocation Project Considerations Financial Considerations

December Oct Ownership of IP and all rights rests with participants Consortium IP agreement must be signed within 3 weeks of receiving evaluation result Start discussions early Get help –e.g. The IP office at UoM –IP Check from Intellectual Property Office Project Considerations Intellectual Property (IP)

December Need for professional record keeping and auditing Significant events – inform MCST Withdrawal of participant – agree with MCST for reallocation or replacement Default – MCST entitled to withdraw funding and claim refund Project Considerations During Project

December Submit your own proposal –Max length of proposal –Clarity and conciseness Get in touch with Academia / Industry –allow enough time for signatures Get in touch with the Council for Assistance –discuss your proposal with us before submission Project Considerations Getting Involved

December The National R&I Programme 2012 Changes to Programme

December Changes to the R&I Programme Financing –Increase Government Entity participation threshold to 30% –Set cap on Industry Salaries at +10% Academic Salaries Application Form –Earmarking of funding for an Offshore Solar Technology Project –Revise guidelines within application form

December Changes to the R&I Programme cont Rules for Participation –Clarification of Industrial Entity definition –Clarification of Academia definition –Increase Government entity allowance to 30% –Group of Government entities capped at 30% –Cap on Industry Salaries –Changes vis-à-vis conflict with the fundamental aims of the programme –Compulsory deliverables, (articles, events, business plans)

December Changes to the R&I Programme cont. Process –Include Academia deadlines for signature –Put date in pen near signatures by representatives –Initialisation of all pages –Transfer of funds done by cheque –Project Start Date – 1 st October 2012 to allow for: human resources calls get quotations opening of project bank accounts a possible IP check with the local Intellectual Property Office

December Role of NGOs and Government Entity in industry/academia collaboration Definition of Industry An Industrial Entity is defined as a legal entity, included but not limited to, a privately owned company or commercial enterprise the objects and activities of which include the output of a specified product and service. In addition to research and innovation contributions and knowledge transfer, the entity may contribute to the consortium by developing, testing, commercialising or using such a product or service. Provided that a public sector entity or a registered NGO is considered as forming part of this definition.

December Definition of Academia Academia is defined as an entity including but not limited to a higher education entity or a research institute, whether as a whole body or as a component unit or department within such body, whose primary goal is to conduct Research and Development and to disseminate research results and other knowledge by way of teaching, publication or Knowledge Transfer, the surplus / profits of which entity are reinvested in these activities, the dissemination of their results or teaching; and which entity is structured in such a manner that undertakings that can exert influence upon such an entity, in the quality of, for example, shareholders or members, shall enjoy no preferential access to the research capacities of such an entity or to the research results generated by it. Provided that the higher education entity must be in possession of a license for Higher Education according to Article 8(3) of the Act of Education, Chapter 327 of the Laws of Malta. This does not include the license for a tuition centre. Provided further that the University of Malta and the Malta College of Arts, Science and Technology are deemed a priori as Academia in terms of the above and any Academic Institution shall be construed accordingly.

December The National R&I Programme 2012 Timeframes MilestoneDeadline Launch Announcement & Info SessionTuesday, 06 December 2011, noon Additional Information SessionWednesday, 14 December 2011, 9AM Pre-registration Cut-off DateThursday, 19 January 2012 Deadline for First Stage SubmissionThursday, 16 February 2012, noon First Stage Evaluation ResultsFriday, 23 March 2012 Deadline for Second Stage SubmissionThursday, 19 April 2012, noon Second Stage Evaluation ResultsFriday, 29 June 2012 Signing of Grant Agreement (incl. IP)By end July 2012 Project Start DateMonday, 01 October 2012

December Preliminary Application Form Runthrough

December Q&A Session

December Thank You For Further Information Contact: Eric Flask Director, National Funding Unit Malta Council for Science and Technology Villa Bighi, Bighi Kalkara, KKR / Tel: (356) Fax: (356) Web: