Eric FlaskDirector, National Funding

Unit

National R&I Programme 2012Information Session

December 2011 2

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 ProgrammeAn Overview

December 2011 4

The National R&I ProgrammeProgramme Participation

Programme TotalProposals

RequestedFunding

Available Budget

TotalProjects Funded

RTDI 2004 85 €7.0M €700K 15

R&I 2006 58 €7.0M €930K 7

R&I 2008 40 €5.4M €700K 7

R&I 2009 17 €1.5M €300K 3

R&I 2010 40 €5.8M €700K 5

R&I 2011 40 €5.8M €1.1M 8

December 2011 5

The National R&I Programme Programme Objectives

2004

Programme

2006

Programme

2008

Programme

2009 – 2011

Programmes

2012

Programme

Thematic No preference 4 priority sectors 4 priority sectors 4 priority sectors 4 Priority SectorsOffshore Solar Technology Project

Focus Any Applied research, innovation

Collaborative research

Collaborative research

Collaborative research

Consortium Any Preference for industry-academia

Required industry & academia

Required industry

& academia

Required industry

& academia

Allocation Many small projects

Few large projects

Few large projects(€50K - €200K)

Few large projects(€50K - €200K)

Few large projects(€50K - €200K)

Selection criteria

Quality of science Prospects for economic benefit

Balanced Balanced with emphasis on Potential Impact

Balanced with emphasis on Potential Impact

December 2011 6

The National R&I Programme 2012Scope & Focus

December 2011 7

R&I Programme 2012Scope & 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 Areas1. Environment and Energy Resources

– Offshore Solar Technology Project2. Information and Communications Technology 3. Value-added Manufacturing and Services4. Health and BioTechnology

December 2011 8

R&I Programme 2012State 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 2011 9

• 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 2012Participation

December 2011 10

R&I Programme 2012Submission Process

December 2011 11

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

19/01/2012

19/01/2012

16/02/2012, noon

16/02/2012, noon

19/04/2012, noon

19/04/2012, noon

December 2011 12

Submissions of Proposals

• Electronic Submissions to rtdi.mcst@gov.mt

• OneOne single file in Ms Word (.doc) format (without signatures)

• OOnene 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 email

December 2011 13

The National R&I Programme 2012Evaluation Criteria

December 2011 14

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 2011 15

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 2011 16

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 2011 17

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 p

er criterio

n

Maximum of 5 marks p

er criterio

n

Threshold of 3 marks p

er criterio

n

Threshold of 3 marks p

er criterio

n

Overall Threshold of 1

4 marks

Overall Threshold of 1

4 marks

December 2011 18

The National R&I Programme 2012Funding Modalities

December 2011 19

• 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 ModalitiesProject Funding and Restrictions

December 2011 20

• 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 ModalitiesAllocation of funds

December 2011 21

Funding ModalitiesEligible 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 2011 22

• 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 ModalitiesIneligible Costs

December 2011 23

R&I Programme 2012Project Considerations

December 2011 24

• 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 ConsiderationsFinancial Considerations

December 2011 2528 Oct 1025

• 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 anton.bartolo@um.edu.mt– IP Check from Intellectual Property Office

Project ConsiderationsIntellectual Property (IP)

December 2011 26

• 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 ConsiderationsDuring Project

December 2011 27

• 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 ConsiderationsGetting Involved

December 2011 28

The National R&I Programme 2012Changes to Programme

December 2011 29

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 2011 30

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 2011 31

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 – 1st 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 2011 34

The National R&I Programme 2012

Timeframes

MilestoneMilestone DeadlineDeadline

Launch Announcement & Info Session Tuesday, 06 December 2011, noon

Additional Information Session Wednesday, 14 December 2011, 9AM

Pre-registration Cut-off Date Thursday, 19 January 2012

Deadline for First Stage Submission Thursday, 16 February 2012, noon

First Stage Evaluation Results Friday, 23 March 2012

Deadline for Second Stage Submission Thursday, 19 April 2012, noon

Second Stage Evaluation Results Friday, 29 June 2012

Signing of Grant Agreement (incl. IP) By end July 2012

Project Start Date Monday, 01 October 2012

December 2011 35

Preliminary Application Form Runthrough

December 2011 36

Q&A Session

December 2011 37

Thank You

For Further Information Contact:

Eric FlaskDirector, National Funding UnitMalta Council for Science and TechnologyVilla Bighi, BighiKalkara, KKR1320

Email: eric.flask@gov.mt / rtdi.mcst@gov.mtTel: (356) 2360 2123Fax: (356) 2166 0341 Web: www.mcst.gov.mt