Republic of Zambia Ministry of Education, Science, Vocational Training and Early Education. Youth Innovation Fund Guidelines

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1 Republic of Zambia Ministry of Education, Science, Vocational Training and Early Education Youth Innovation Fund Guidelines

2 Table of Contents Page DEFINITION OF TERMS...II ACRONYMS... III 1.0. INTRODUCTION RATIONALE OVERALL OBJECTIVE Specific Objectives MANAGEMENT AND IMPLEMENTATION Management Structure Fund Management Committee Technical and Financial Committee Implementation mechanisms Fund operations mechanisms Approved Areas for Support and Eligibility Monitoring and Evaluation (M&E) Selection Criteria for Innovations Ethics Requirement Intellectual Property Management Ownership Benefit Sharing Protection of Innovations and Discoveries Review of Proposals The Grant Call for Proposals and Review Process Institutional affiliation Contractual Agreement Progress Reports and Conditions of Disbursement Legal and Institutional Framework Mechanisms of Identifying Innovations How to Apply APPENDIX I: APPLICATION FORM FOR THE YOUTH INNOVATION FUND APPENDIX II: SCORE SHEET FOR THE SELECTION CRITERIA i

3 DEFINITION OF TERMS Ethics: A system of moral principles Grant: Money given to the innovator to develop the innovation and it is not to be paid back. Innovation: A new idea, an improved process or a new dimension of performance Intellectual Property: Creations of the human mind Inventor: The person who actually devised the invention and includes the legal representative of an inventor, but does not include a person to whom an invention has been communicated to either from within or outside Zambia Youth: Any person between the ages of 15 and 35 years of age ii

4 ACRONYMS CBU Copperbelt University CEEC DBZ ERC JETS MDGs M&E MESVTEE NISIR NSTC NTBC PACRA R&D TDAU TEVET UNZA VET YIF ZARI ZACCI ZBF Citizen Economic Empowerment Commission Development Bank of Zambia Ethics Review Committee Junior Engineers Technicians and Scientists Millennium Development Goals Monitoring and Evaluation Ministry of Education, Science, Vocational Training and Early Education National Institute for Scientific and Industrial Research National Science and Technology Council National Technology Business Centre Patents and Companies Registration Agency Research and Development Technology Development and Advisory Unit Technical Education and Vocational and Entrepreneurship Training University of Zambia Vocational and Entrepreneurship Training Youth Innovation Fund Zambia Agriculture Research Institute Zambia Chambers of Commerce and Industry Zambia Business Forum iii

5 1.0. INTRODUCTION The Government of the Republic of Zambia created the Youth Inventors Fund (YIF) in 2007, aimed at assisting the youth to develop their scientific and technological innovations for possible commercialisation with specific focus on innovations that are relevant to the creation of wealth and employment. The Youth Inventors Fund will now be called the Youth Innovation Fund, after reviewing the 2008 guidelines. The Fund is focused at enabling the youth innovators play a more significant role in the development of key sectors of our economy. It is Government s desire that the Fund facilitates the development of the innovations and piloting of these innovations. The Fund is administered under the Ministry of Education, Science, Vocational Training and Early Education (MESVTEE) through a Fund Management Committee and a Technical and Financial Committee. The implementation of the Fund is done through the National Science and Technology Council (NSTC) under the supervision of MESVTEE. The commercially viable innovations may be supported through the Technology Business Development Fund (TBDF) managed by the National Technology Business Centre (NTBC), and any other funds that may be available. This document highlights the rationale, objectives and the implementation and management framework within which the Fund shall be managed RATIONALE The Government of Zambia recognised that the scientific and technological gap in Zambia was characterized among other things by low funding for Research, Development and Innovation (RDI). The Government further recognized that the country had lagged behind in technological advancement due mainly to poor development, diffusion, transfer, and commercialisation of scientific and technological innovations. Therefore, the Zambian Government developed the Science, Technology 1

6 and Innovation (STI) Policy, which advocates for the stimulation of technological innovations with potential for commercialization in Zambia and the need for a whole range of incentives and support mechanisms required to ensure the transfer, diffusion, adaptation and commercialisation of innovations in the key sectors of the nation. In the recent past, efforts to address the development and commercialisation gap have focused on establishing institutional framework and on research activities that are taking place in recognised research institutions. However, Government has recognised that there are a lot of innovations developed by ordinary Zambians, especially the youth, and many local research results that have not been commercialised. In instances where such has been done, diffusion has been very little; hence the impact of research and development has been very low. One of the main constraints has been lack of financial resources to support youth innovators and possible entrepreneurs to take up such technologies. To this effect, the Youth Innovation Fund seeks to support development of innovations from the youth with a view to commercialisation OVERALL OBJECTIVE The overall objective of the Youth Innovation Fund is to promote the development and piloting of technological innovations by the youth for employment and wealth creation Specific Objectives The specific objectives of the Fund are: (a) To build capacity in youth innovators for the development, piloting and management of technological innovations; (b) To encourage the acquisition and application of Intellectual Property Rights (IPR) by innovators; (c) To Create awareness on innovation and the existence and objectives of the YIF at all levels of society 2

7 (d) To provide empowerment mechanism support to the youth innovators 4.0. MANAGEMENT AND IMPLEMENTATION 4.1. Management Structure The Management structure will comprise two committees, namely the; i) Fund Management Committee, and ii) Technical and Financial Committee The Department of Science and Technology (DST) in the Ministry of Education, Science, Vocational Training and Early Education shall be secretariat to the Fund Management Committee (FMC) while National Science and Technology Council (NSTC) shall be the Secretariat to the Technical and Financial Committee (TFC) Fund Management Committee This is the main committee of the Fund and it shall be responsible for: (a) Mobilizing and managing the funds; (b) Identifying the thematic areas of focus based on the national priorities; (c) Considering and approving the reports and recommendations of the Technical and Financial Committee; (d) Approving the projects to receive support from the Fund; (e) Considering recommendations of monitoring and evaluation reports and decide on follow up action; and (f) any other responsibility as assigned by the Ministry of Education, Science, Vocational Training and Early Education. The committee shall comprise the following: 1. Permanent Secretary MESVTEE as Chairperson 2. Director Budgets Ministry of Finance 3. Director Economic Empowerment Citizen Economic Empowerment Commission 4. Director Micro, Small and Medium Enterprises Division - Zambia Development Agency 3

8 5. Director Planning and Development - MESVTEE 6. Director Standards and Curriculum MESVTEE 7. Director VET - MESVTEE 8. Director Youth Affairs - Ministry of Sport and Youth Development 9. Zambia Business Forum 10. Executive Secretary NSTC 11. Director Science and Technology MESVTEE as Secretary Technical and Financial Committee This Committee shall report to the Fund Management Committee and shall be responsible for: (a) Calling for scientific and technological innovation proposals; (b) Assessing and selecting the proposals in terms of technical feasibility and financial viability; (c) Assessing the institutions of affiliation in terms of infrastructural, human resources and financial capacities and capabilities; (d) Affiliating innovators to suitable institutions of affiliation; (e) Considering progress reports on approved innovations; (f) Creating awareness on innovation and the existence and objectives of the YIF at all levels of society; (g) Any other responsibility as assigned by the Fund Management Committee The Committee shall comprise the following: 1. Director DST MESVTEE as Chairperson 2. Dean School of Engineering (CBU) 3. Manager TDAU 4. Manager Research and Development NISIR 5. Chief TEVET Officer (E) MESVTEE 6. Manager Technology and Marketing NTBC 7. Chief Accountant - MESVTEE 8. Chief Planner MESVTEE 4

9 9. Manager Administration and Finance NSTC 10. National JETS Coordinator 11. Patents and Companies Registration Agency (PACRA) 12. Manager Programme Development and Implementation NSTC as Secretary 4.2. Implementation mechanisms Fund operations mechanisms The Youth Innovation Fund will operate as a grant. (a) The Innovation grants shall be disbursed by MESVTEE through the National Science and Technology Council once projects recommended by the Technical and Financial Committee have been approved by the Fund Management Committee. Funds provided as a grant shall be disbursed to institutions of affiliation which will provide the technical support and financial oversight to facilitate the development of the innovations. Such funds shall cover costs of developing the approved Innovation and other related costs as per approved budget and funding agreement, under the supervision of MESVTEE through the National Science and Technology Council. (b) Recipients of the grant for the development of innovations from the Youth Innovation Fund shall be required to sign financing agreements which will oblige them to use the funds as agreed. The grant shall be administered under a tripartite arrangement involving the National Science and Technology Council, the Innovator and the institution of affiliation. (c) The Institutions of affiliation to the projects shall access funds for Monitoring and Evaluation (M&E) of innovations being supported under the Fund. The cost for M&E shall not exceed 5% of the costs of approved projects. The 5% shall be broken down in two categories and accessed as follows: 5

10 i. 1% for the principal supervisor as honorarium at the end of the project ii. 4% for the institution of affiliation to undertake M&E activities (d) The costs related to servicing the operations of YIF Committees handling Fund matters shall have separate budget lines; the one for the FMC will be held at MESVTEE while that for the TFC will be held at NSTC Approved Areas for Support and Eligibility Approved Areas for Support The Youth Innovation Fund shall provide financial support to youth innovators for the development of their technological innovations in the following sectors and emerging areas: Agriculture Archaeology Construction and Building, Engineering, Manufacturing and Industry Environment Climate Change Forestry and Wildlife Human and Animal Health Indigenous Knowledge System Information and Communication Technology Livestock and Fisheries Mathematical Sciences Mines and Minerals New and emerging technologies Renewable and alternative Energy Space science Transport Value addition to raw and processed materials Water management Any other sectors or areas with scientific and/or technological innovations. 6

11 Eligibility The Fund shall be available to Zambian youth with technological innovations. The youths shall be eligible as individuals or as groups. The innovations to benefit from the Fund should be locally developed or adapted, and should as far as possible utilise local raw materials. In the case of technologies at the commercialisation stage, the innovators shall be referred to the commercialization agency or Industry. Eligible proposals for innovations shall also be those: Addressing the objectives of the National Development Plans, the Science and Technology Development Programme, the Millennium Development Goals and the National Science, Technology and Innovation Policy; Addressing or falling into one or more approved areas for support; Coming from the Zambian youth who can innovate Monitoring and Evaluation (M&E) All funded innovation projects will be monitored at three levels. At the first level, the institution of affiliation under which the innovator is carrying out research will monitor the project. The second level will be undertaken by the NSTC, where necessary some members of the TFC may be involved. The Ministry of Education, Science, Vocational Training and Early Education (MESVTEE) will undertake M&E at the third level. Reports generated from the three levels will be submitted to the Fund Management Committee Selection Criteria for Innovations Proposals for funding under the Youth Innovation Fund will be selected based on the score sheet (appendix II). Project proposals scoring above 70% will be eligible for the award of the grants Ethics Requirement Innovations that require ethics clearance shall be referred to appropriate ethics committees by the TFC, for ethics approval before forwarding the application to the FMC for consideration. 7

12 4.6. Intellectual Property Management Ownership The project proposal shall indicate who shall be the owner(s) of the discovery, innovation or improvement Benefit Sharing The innovator, Institution of affiliation, commercializing institution and the funding institution shall develop an agreement on how to share the benefits prior to the development and commercialization of the innovation Protection of Innovations and Discoveries Innovators will be encouraged to protect the innovations or discoveries according to the Intellectual Property laws of Zambia Review of Proposals Once projects have been received, the Technical and Financial Committee will evaluate them and the selected proposals will be submitted to at least three Reviewers per proposal for review within 21 days from the date of receipt. Concurrently, the National Technology Business Centre (NTBC) will also review all the selected proposals to ensure that all selected proposals to be supported have marketability and commercialization potential. Comments and recommendations on the proposals will be resubmitted to the Technical and Financial Committee for a final decision. The reviewers will be drawn from a pool of Reviewers who have different backgrounds and expertise. The comments from the Reviewers and NTBC, and the extent of their incorporation in the proposal will be taken into consideration in the approval process. The Reviewers can be drawn from the following: a) Copperbelt University (CBU); b) Ethics Committee (UNZA); c) Junior Engineers, Technicians and Scientists (JETS); 8

13 d) Ministry of Lands, Energy and Water Development (MLEWD); e) Ministry of Finance; f) Ministry of Health (MoH); g) Ministry of Mines and Natural Resources (MMNR); h) Ministry of Education, Science, Vocational Training and Early Education (MESVTEE); i) Ministry of Local Government, Housing and Environment Protection (MLGHEP); j) Ministry of Commerce, Trade and Industry (MTCI); k) Mulungushi University (MU); l) National Institute for Scientific and Industrial Research (NISIR); m) National Science and Technology Council (NSTC); n) National Technology Business Centre (NTBC); o) Technology Development and Advisory Unit (TDAU); p) The University of Zambia (UNZA); q) Zambia Agriculture Research Institute (ZARI); r) Zambia Chambers of Commerce and Industry (ZACCI) and s) Any other relevant institutions and Experts The Grant The FMC will award grants of up to a maximum of One Hundred and Fifty Million Kwacha (K150,000,000) per proposal. However, for those viable projects that need more funds, special consideration would be made by the FMC Call for Proposals and Review Process The Technical and Financial committee will call for innovations proposals from January to March every year, using the Application Form as in Appendix I. The Technical and Financial Committee will meet by the third week of April to evaluate the submitted proposals. The selected proposals will be forwarded to reviewers by the first week of May of that year. The reviewers comments and recommendations will be received by the Secretariat by the first week of June. The Technical and Financial Committee will meet by the second week of June to make a final decision 9

14 on the proposals. The list of successful proposals will be submitted to the Fund Management Committee for approval in the first week of August. The successful applicants will be notified of the result in the third week of August Institutional affiliation The TFC shall recommend institutions to which the innovator shall be affiliated to facilitate the realization of the proposed innovation. The funds for the project shall be disbursed through the institution of affiliation Contractual Agreement After the approval of the proposals by the Fund Management Committee, a contract will be drawn up based on the proposal and its budget. This will specify the terms of disbursement of the grant, the responsibilities of the person or institution receiving the funds including dates of submission of the first and second drafts and final proposal. The agreement will also give a summary of the proposal and what is expected of the institution of affiliation and the innovator Progress Reports and Conditions of Disbursement The funds will be disbursed by NSTC according to the approved budget and in accordance with the method approved by the Fund Management Committee on a project-by-project basis. An inception report will be submitted to NSTC and also a midterm progress report at dates determined by the NSTC. The applicant will submit three bound copies of the final report at the end of the project. Recipients of grants will be expected to present their findings at the science forum. However, provisional protection or permission may be sought for information deemed proprietary where necessary Legal and Institutional Framework The Fund shall initially operate within the legal and financial systems governing MESVTEE and NSTC with a view of developing a separate legal identity once the fund is fully operational. 10

15 4.14. Mechanisms of Identifying Innovations The issue of public awareness will be tackled in two ways, free thinking and guided innovations. The guided innovation will be where the Ministry of Education, Science, Vocational Training and Early Education identifies the priority areas and then the youth start coming up with innovation. This will be through the electronic and print media and through the Junior Engineers, Technicians and Scientists (JETS) exhibitions and competitions. The free thinking innovations will be those that the youth come up with and these are recognized by the communities in which they operate as having positive impact on the people. For these innovations the Ministry will be proactive as to identify and promote such innovations. The ministry will develop linkages with the provincial and district offices under line Ministries in the science and technology sector How to Apply Applications must be done through an application form (Appendix II) to be accessed from either MESVTEE website (www.mstvt.gov.zm), or NSTC website (http://www.nstc.org.zm), or obtained from MESVTEE or NSTC offices. Applications in envelopes clearly marked Youth Innovation Fund, should be submitted to the following address not later than 31 st March of every year: The Permanent Secretary Ministry of Education, Science, Vocational Training and Early Education Maxwell House, Los Angeles Road Longacres P. O. Box Lusaka Attention: Director Science and Technology Telephone: Fax: Website: 11

16 APPENDIX I: APPLICATION FORM FOR THE YOUTH INNOVATION FUND 12

17 SECTION 1 Title of Innovation/Project: Republic of Zambia Ministry of Education, Science, Vocational Training and Early Education YOUTH INNOVATION FUND APPLICATION FORM Indicate relevant field of innovation (see details in section 3) Desired Starting Date: Amount applied for: Desired Completion Date: Amount in words: Amount in figures: SECTION 2: DETAILS OF APPLICANT (if it is a group application, the group leader should fill in the section below and then provide details of other members on a separate sheet) Full name: (surname first) Date of birth NRC Number Gender: Address: Telephone No.: Fax No.: Signature: Date: 13

18 SECTION 3: RELEVANT FIELDS OF INNOVATIONS: 1. Human and Animal Health 2. Engineering, Manufacturing and Industry 3. Agriculture 4. Livestock and Fisheries 5. Renewable and alternative Energy 6. Environment Climate Change 7. Water management 8. Mines and Minerals 9. Forestry and Wildlife 10. Archaeology 11. Information and Communication Technology 12. Transport 13. Construction and Building, 14. Indigenous Knowledge System 15. Mathematical Sciences 16. Space science 17. Value addition to raw and processed materials 18. New and emerging technologies 19. Any other sectors or areas with scientific and/or technological innovations. (The fields will change from time to time according to what is identified as priority for each particular year) 14

19 SECTION 4: WRITTEN DESCRIPTION OF THE INNOVATION (Preferably typed, extend space where necessary) A description of the innovation should be written in the space below, describing it in such a way as to be comprehensible to a non-specialist. Please describe: 1. Abstract/summary (in 500 words or less) 2. Statement of the problem 3. Literature review/origin of idea; 4. Objective(s); 5. Description of the innovation and how it will solve the identified problem; 6. Methodology; 7. Materials; 8. Significance/importance of the proposed innovation; 9. Anticipated outputs; 10. Possible socioeconomic benefits; 11. Reference 4.1. Abstract/Summary (in 500 words or less) 15

20 4.2. Statement of the problem 4.3. Literature review/origin of idea 16

21 4.4. Objective(s) 4.5. Description of the innovation and how it will solve the identified problem 17

22 4.6. Methodology (attach separate diagrams where necessary) 4.7. Materials 18

23 4.8. Significance/importance of the proposed innovation 4.9. Anticipated outputs 19

24 4.10. Possible socioeconomic benefits References 20

25 SECTION 5: BUDGET A description of the budget to achieve the innovation should be written in the space below. Please indicate: 1. Cost of materials; 2. Cost of fabrication; 3. Administrative costs; 4. Any other necessary costs; 5. Contingency at 5% of the total budget; 6. Monitoring and evaluation cost at 5% of the total. (Extend space or provide additional attachment where required) 5.1. Cost of materials; Item Cost Subtotal % of total budget 5.2. Cost of fabrication/services; Subtotal % of total budget 5.3. Administrative costs (travel, etc); Subtotal % of total budget 5.4. Any other necessary costs. Subtotal % of total budget 5.5. Contingency at 5% of the total 5.6. Monitoring and evaluation cost at 5% of the total; 5.7. Budget total 21

26 APPENDIX II: SCORE SHEET FOR THE SELECTION CRITERIA 22

27 Republic of Zambia Ministry of Education, Science, Vocational Training and Early Education YOUTH INNOVATION FUND SCORE SHEET Name of Innovator: Title of Innovation/Project: Indicate relevant field of innovation: Desired Starting Date: Desired Completion Date: Amount applied for: (Amount in words): (Amount in figures): 23

28 No. Criteria for Assessment Points awarded Maximum points 1 Clarity of Abstract 5 2 Clarity and validity of the statement of the 10 problem 3 Clarity and validity of the objectives 5 4 Literature review (understanding of 5 scientific knowledge and technological background) 5 Description of the innovation and how it will 15 solve the identified problem 6 Methodology (linkage of methodology to 10 the stated objectives) 7 description of the key components and 5 materials (suitability of the materials) 8 Significance/importance of the proposed 15 innovation 9 Expected outputs (results) Possible socioeconomic benefits to society Environmental friendliness of Innovation 5 12 Breakdown of Budget 5 Total points awarded 100 COMMENT(S) AND SUGGESTION(S) NAME OF EVALUATOR:.. SIGNATURE: DATE: 24

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