Request for Proposals Terms, Conditions & Guidelines for Applications. Department of Electronics & Information Technology Government of India

Transcription

1 Indian Implementing Agency Indian Funding Ministry/Department Spanish Funding Ministry/Department - Spanish Implementing Agency Department f Science & Technlgy Gvernment f India Department f Electrnics & Infrmatin Technlgy Gvernment f India CONTENTS 1. Intrductin t the INDIA - SPAIN Prgramme f Cperatin n Industrial R&D. 2. Scpe f the Request fr Prpsals: Eligible Technlgy Sectrs - Thematic Areas in which Prpsals are invited. 3. Eligibility Criteria: Wh is eligible t apply? 4. Requirements - Selectin Criteria. 5. R&D Prject Funding - Financial Supprt t Successful Applicants. 6. Applicatin Prcess: Hw t Apply? 7. Imprtant Dates and Deadlines. 8. Screening f Applicatins. 9. Evaluatin and Selectin f R&D Prjects. 10. Applicatin Guidelines. 11. Funding Supprt Disbursement / Terms and Cnditins f Repayment f Fund. 12. Key Dcuments Needed. 13. Cntact Infrmatin. (Nvember 2015) Page 1

2 Jint Request fr Prpsals (RFP) 2015 Terms, Cnditins and Guidelines fr Applicatins 1. INTRODUCTION TO THE INDIA - SPAIN PROGRAMME OF CO-OPERATION ON INDUSTRIAL R&D On June 12 th, 2007 a Memrandum f Understanding (MU) fr c-peratin in the field f Science and Technlgy was signed between the Ministry f Educatin and Science (MEC) and the Ministry f Industry, Turism and Trade (MITyC) f Spain, with the Department f Science and Technlgy (DST) f India, whereby the Parties cmmitted themselves respectively t prmte direct scientific and technlgical c-peratin between Gvernment agencies, universities, public research bdies, academies f science, research institutins, institutes f higher educatin, enterprises and scientific scieties. Within the frame f the India-Spain S&T Agreement, the Department f Science and Technlgy (Ministry f Science and Technlgy, India) and the Centre fr the Develpment f Industrial Technlgy (Secretariat f State fr Research, Develpment and Innvatin, Ministry f Ecnmy and Cmpetitiveness, Spain)signed n January 30 th 2013, a Prgramme f Cperatin in rder t develp a jint mechanism t prmte and fund innvatin-driven research and technlgy develpment between S&T stakehlders f bth cuntries as well as t encurage partnerships and business-led R&D&I prjects in areas f mutual interest. Cmpanies and ther R&D-perfrming rganisatins may seek supprt fr jint India-Spain R&D prjects and ther activities intended t generate new r expanded research and technlgy-based partnerships between the tw cuntries. Fr India, funding and ther services will be prvided thrugh the Glbal Innvatin & Technlgy Alliance (GITA), a nt-fr-prfit cmpany, prmted by the Cnfederatin f Indian Industry (CII) and Technlgy Develpment Bard f the Department f Science & Technlgy, Gvt. f India engaged by the Department f Science and Technlgy (DST) and Department f Electrnics & Infrmatin Technlgy (DeitY), Gvernment f India fr this purpse. Fr Spain, funding and ther services will be prvided thrugh the Centre fr the Develpment f Industrial Technlgy (CDTI) under the Secretariat f State fr Research, Develpment and Innvatin, Ministry f Ecnmy and Cmpetitiveness, Gvernment f Spain. CDTI, Spain's Natinal Innvatin Agency is a public entity charged t prmte business R&D and fster the technlgical level and innvatin capacity f Spanish cmpanies. CDTI is the Spanish public entity that channels and supprts applicatins fr natinal and internatinal R&D&I prjects f Spanish cmpanies. This India-Spain prgram aims t fster and supprt the develpment f cllabrative Industrial R&D prjects cnsisting in the jint develpment f innvative prducts, prcesses and services, bringing tgether cmpanies, research rganisatins, academic institutins and ther cllabratrs frm bth cuntries. The referred R&D prjects (engaging small-t-medium-sized cmpanies and/r larger, well established cmpanies) must address specific market needs r sci-ecnmic challenges; demnstrate high industrial relevance and cmmercial ptential and be f mutual interest t all the (Nvember 2015) Page 2

3 participants, and bradly, t bth natins. Participatin in such industry-driven and market-riented cllabrative R&D prjects strive t enhance glbal cmpetitiveness and increase market access f Spanish and Indian cmpanies. Applicants are strngly encuraged t review the cmplete applicatin guidelines befre develping and submitting an Expressin f Interest r a cmplete prpsal. The referred infrmatin and guidelines are specific t the India-Spain Industrial R&D Prpsals t be submitted under this Request fr Prpsals. GITA and CDTI invite Indian and Spanish participants t submit cllabrative R&D prpsals as per the cnditins and terms laid dwn herewith. Please nte that the prpsal preparatin guidelines shuld be regarded as suggestins. Applicants may chse t address while develping the prpsals the pints that they believe strengthen the prpsal and cllabratin. 2. SCOPE OF THE REQUEST FOR PROPOSALS: ELIGIBLE TECHNOLOGY SECTORS - THEMATIC AREAS IN WHICH PROPOSALS ARE INVITED Any cllabrative Research & Develpment prject, based n merit that include science and technlgy (S&T) develpment leading t cmmercial success, scial gd and benefit t bth cuntries. There is hwever a specific fcus n the fllwing technlgy areas: Electrnic System Design & Manufacturing (ESDM) * technlgies fcusing n: - Large Area Flexible Electrnics - Internet f Things (IOT) - Devices fr Internal Security Smart Cities (Sustainable Cities and Transprt Netwrks) - Smart energy systems - Building and space sustainability - Intelligent transprt and mbility - Scietal challenges: inclusin, educatin, health, turism, etc. - Electrnic, pen and participatry gvernment Clean Technlgies (Renewable Energies and Envirnment) ecnmically cmpetitive prductin prcesses and prducts that uses less r substitutes harmful r critical materials and/r energy, reduce, replace and reuse resurces". - Clean Energy - Energy Strage - Energy Efficiency - Transprtatin (Nvember 2015) Page 3

4 - Air & Envirnment - Clean Industry - Water and Agriculture - Applicatin f Remte sensing and GIS fr accurate inventry f natural resurces and envirnmental planning Advanced Materials, Advanced Manufacturing & Prcessing * IMPORTANT NOTE FOR INDIAN APPLICANTS: ESDM prjects will be supprted by DeitY in India. Specific funding criteria fr ESDM prjects: Additinal Eligibility Cnditins: One Indian Industry applicant (at least) and ne academic institutin applicant can jintly apply fr ne (jint) R&D prject alng with Spanish partners (same cnditins as abve fr the Spanish partners). Please refer the fllwing links fr understanding f ESDM, under DeitY prgram: Large Area Flexible Electrnics: Click the link fr detail infrmatin: - Internet f Things (IT): IT is a seamless cnnected netwrk f embedded bjects/devices, with identifiers, in which M2M cmmunicatin withut any human interventin is pssible using standard and interperable cmmunicatin prtcls. - Phnes, Tablets and PCs are nt included as part f IT. Click the link fr detail infrmatin - Technlgy fr Internal Security (NCETIS): Click the link fr detail infrmatin 3. ELIGIBILITY CRITERIA: WHO IS ELIGIBLE TO APPLY? Eligible prjects under the present RFP are R&D prjects falling under the thematic areas described abve in sectin 2, t be perfrmed by an internatinal cnsrtium f independent cmpanies frm India and Spain. This internatinal cnsrtium shall be frmed at least by ne qualified partner frm each cuntry (1 Indian cmpany + 1 Spanish cmpany), meeting the eligibility criteria fr Indian Applicants and Spanish Applicants laid dwn belw. R&D prject prpsals will be strengthened by the participatin f research centres, academic entities r ther R&D perfrming rganisatins as a cmpnent f the R&D. Indian Applicants Eligible Indian applicants must be researchers r managers f fr-prfit cmpanies that perate and are headquartered in India. Academic institutins, research centres, hspitals (including nt-fr-prfit (Nvember 2015) Page 4

5 research institutes recgnized by DST/DeitY/GITA) that are headquartered and perate in India are strngly encuraged t participate in the prject as c-investigatrs. Specific criteria fr eligible applicants are as fllws: The Indian Prject Lead (IPL) cmpany applying fr the prject must be incrprated in India under the Cmpanies Act 1956/2013. The cmpany must be at least 51% wned by Indian citizens ver the ttal duratin f the prject. The IPL shuld have the required expertise and team capacity t manage the prpsed prject. Applicants already pssesses basic infrastructures/test beds and develped basic Prf f Cncept (PC) Please nte fr Indian applicants: Sle prprietrs and partnership firms are nt eligible fr supprt under this prgramme. Cmpanies headquartered and wned utside India and their subsidiaries in India, r vice versa, are nt eligible t receive funding frm DST/DeitY/GITA under this prgramme. Preferences will be given t: Indian cmpanies having partnership with gvernment-funded Indian academic and R&D institutins. Indian cmpanies having in-huse R&D Centre which is recgnised by the Department f Scientific and Industrial Research (DSIR), Gvernment f India. Fr details, please refer t Cmpanies that fall under the Micr, Small and Medium Enterprise (MSME) categry, as defined by the Gvernment f India. Fr definitin f MSME, please refer t In the case in India where business entities are participants in a prject, but with n initial invlvement in R&D activities, the prject must shw a plan f hw capabilities are ging t be develped in the business entity in the fllwing years in rder t: perfrm future R&D prjects develp the human resurce capability within the business take technlgies that are being develped t market develp new intellectual prperty, and enhance the Indian technlgy based cmpanies ecsystem. Nte that applicants must already pssess basic infrastructure/test beds and develped basic Prf f Cncept (PC) Spanish Applicants Eligible Spanish applicants must be individualspanish cmpanies r an Ecnmic Interest Gruping (EIG) r a cnsrtium made up f at least tw independent cmpanies.the applicant cmpanies must beeither private r public, perating and registered in Spain, and hlding a valid Spanish cmpany tax cde (NIF). N minimum Spanish capital percentage wnership is required. Spanish subsidiaries f cmpanies headquartered utside f Spain may als be eligible fr supprt. (Nvember 2015) Page 5

6 Shuld the Spanish applicant be a cnsrtium f cmpanies, this Spanish cnsrtium shuld be led by a Spanish cmpany. Cllabratin with ther entities such as research centres, technlgical centres, universities, hspitals and ther R&D-perfrming rganisatins is permitted under CDTI s regulatins, CDTI will nt fund them directly, but may finance them indirectly as external cllabratins f the Spanish cmpanies invlved in the prjects. Accrding t the applicable EU state aid rules, cmpanies in difficulty are nt eligible fr CDTI s funding, neither are cmpanies subject t a pending recvery rder fllwing a prir decisin f the Eurpean Cmmissin declaring the aid illegal and incmpatible with the cmmn market. 4. REQUIREMENTS SELECTION CRITERIA Ind-Spanish jint prpsals under the present RFP shall fulfill the fllwing criteria: Identify an eligible Prject Lead frm India and Spain respnsible fr leading the Ind- Spanish cnsrtium, develping the R&D jint prject in each jurisdictin, and fficially submitting the applicatin fr funding in their cuntry t the respective implementing agency (CDTI in Spain and GITA in India).Indian and Spanish c-applicants must elabrate a jint and single prject prpsal applicatin. Jint R&D&I prpsals must be submitted in English t bth f the ndal agencies (GITA in India and CDTI in Spain), by May 13, Unilaterally submitted prpsals shall nt be cnsidered. Indian Prject Lead (IPL) and Spanish Prject Lead (SPL) must be "fr-prfit cmpanies". IPL Cmpany must be registered in India under the Indian Cmpanies Act (1956/2013) and with a minimum f 51% Indian wnership. SPL cmpanies, either public r private, shuld be perating and registered in Spain, hlding a valid Spanish cmpany tax cde (NIF); n minimum Spanish capital percentage wnership is required. Spanish subsidiaries f MNCs headquartered utside f Spain may als be eligible fr supprt. CDTI will nly cnsider prpsals f Spanish Cmpanies fr participating in Ind- Spanish R&D prjects with a minimum budget f 175,000 eurs. Minimum budget requirement will be f 500,000 eurs in case the Spanish participants are frming cnsrtium r an Ecnmic Interest Grup. Althugh nt mandatry, participatin (as partner) f ther R&D-perfrming rganisatins, such as research centres, universities, hspitals r thers is strngly encuraged. Prjects invlving industry and ther R&D-perfrming rganisatins must prve active participatin f industrial partners frm India and Spain. Prpsed R&D Prject's duratin must be frm 1 year (12 mnths) t a maximum f 3 Years (36 Mnths). Duratin fr ESDM prjects wuld be fr a maximum duratin f 2 years (24 mnths). Prpsals shuld be industry-driven and market riented and must cnsist in the jint develpment r substantial imprvement f a prduct, prcess r service. Prpsals shuld be in mutual interest f the parties invlved, leading t cmmercialisatin and aimed at generating ecnmic and scial benefits. (Nvember 2015) Page 6

7 Ind-Spanish prpsals shuld emphasise hw the prpsed cllabratin adds value, its main technlgy highlights and innvatins, the activities t be develped by the Parties invlved underlining the cllabrative wrk carried ut n each side and their expertise. Ind-Spanish cnsrtium and team's technical capacity and resurces required t manage and develp the R&D prpsal shuld be prved and demnstrated in the applicatin. Similarly, the added value f develping the R&D prpsal in cllabratin mde India-Spain shuld be emphasised. Prpsals shuld emphasise main technlgy highlights and innvatins, prgress beynd the state f the art and main differences f the prpsed technlgy with the already existing in the market, if that is the case. Cntributin f each f the partners f the cnsrtium t the prject (R&D tasks, technical capacity and expertise, cmmitted resurces) shuld be prved and demnstrated. Ind-Spanish prpsals must have equivalence f effrt f R&D activities and resurces bth in India and in Spain. Based n the principles f a true bilateral partnership, all prpsals shuld demnstrate equivalence in effrts frm the Indian and Spanish side f the cnsrtium. Prpsals shuld articulate clear cmmercial gals, and assciated cmmercializatin strategies f the prduct, prcess r service t be develped thrugh the jint R&D prpsal. It is essential t highlight the cmmercial impact that the R&D prpsal is prjected t have. Ind-Spanish prpsals shall include, alng with the applicatin frm, a Cnsrtium Agreement duly sealed (stamped) and signed by all Ind-Spanish c-applicants. This Cnsrtium Agreement must regulate wnership, access rights and explitatin f the intellectual prperty rights generated during the c-peratin (n prescribed frmat, ptinal draft template prvided in Annexure). Any Ind-Spanish team fulfilling the abve referred criteria is eligible t apply under this RFP in accrdance with the natinal laws, rules, regulatins and prcedures f their jurisdictin as well as respective implementing agencies. 5. R&D PROJECT FUNDING - FINANCIAL SUPPORT TO SUCESSFUL APPLICANTS GITA and CDTI will, after exchanging results f the technical and ecnmic evaluatins f the submitted prpsals by qualified evaluatrs, frm their mutual understanding n the prjects t be funded under the present RFP and make their funding decisins accrding t their nrmal practices. GITA and CDTI will infrm their respective beneficiaries abut their funding decisins accrding t their nrmal practices. Funding supprt will be given t each partner by its wn Implementing Organisatin (GITA in India, CDTI in Spain) in accrdance with their internal regulatins (Decentralized System f Financing), n a nn-exchange f funds basis and subject t budgetary availability in each cuntry. Althugh the individual type and value f individual cntributins allcated t Ind-Spanish prjects may vary, each bilateral prject must highlight the equivalent ttal cntributin frm each participating cuntry. Ttal cntributin may be defined as the cmbined value f cash, human resurce effrt, services/and r equipment that each cuntry invests in an R&D prject. (Nvember 2015) Page 7

8 In India - Applicatins received under ESDM sectr wuld be funded by the Department f Electrnics & Infrmatin Technlgy (DeitY), Gvt f India. DeitY prvides GRANT up t 50% f the apprved Indian budget with a limit f Rs 1.50 Crs t Indian cmpanies. - Applicatins received under ther sectrs (e.g. Smart Cities, Clean Technlgies Advanced Materials, etc) wuld be funded by the Department f Science &Technlgy (DST), Gvt f India. DST prvides SOFT LOAN up t 50% f the apprved Indian budget with a limit f Rs 1.50 Crs t Indian cmpanies. Applicants may chse their prjects in specific areas t avail GRANT/SOFT LOAN as explained abve. GITA n behalf f the Department f Science & Technlgy (DST) and Department f Electrnics & Infrmatin Technlgy (DeitY), Gvernment f India, will fund the successful prjects, with undermentined details: Ttal prject funding as Grant (by DeitY) / Sft Lan (by DST) fr Indian applicants is a maximum f INR 150 lakhs per prject. Indian industry share can range frm INR 100 lakhs minimum t INR 125 lakhs maximum, if partnering with Indian R&D rganisatin/academic institutin. Indian R&D rganisatin/academic institutin share can range frm INR 25 lakhs minimum t INR 50 lakhs maximum. Indian industry may receive up t 50% f their part f the eligible cst in frm f Grant / Sft Lan (as applicable) Indian R&D rganisatin/academic institutin may receive up t 100% f their csts (within applicable range specified abve and as per prpsal) DST/DeitY funding supprt fr the prject must be matched equally (1:1) by Indian Industry and R&D rganisatin/academic institutin. The exact amunt f funding will be apprved by the Indian Prject Evaluatin Cmmittee based n merit and the cntributin f industry, R&D rganisatin and academic partners respectively. Funding frm ther public sectr surces will be taken int accunt when awarding grant/sft lan, and applicants will be asked t declare funding frm ther surces in the applicatin. Ryalty will be 2% per annum n Net Sales generated frm the funded prject frm Indian industry Prject partners (applicable fr Grant funding under DeitY). Sft Lan will be Simple Interest per annum and repayable in 10 annual installments In Spain CDTI will fund the Spanish Cmpanies, Cnsrtia r EIG s participatin in the awarded jint prjects. CDTI can nly prvide funding t Spanish cmpanies subject t budget availability and as per the financing cnditins valid at the time f signature f the financing cmmitment between CDTI and the awarded cmpanies. Cllabratin with ther entities such as research centres, technlgical centres, universities, hspitals and ther R&D-perfrming rganisatins is permitted under CDTI regulatins. Althugh (Nvember 2015) Page 8

9 CDTI will nt fund these entities directly, it may finance them indirectly as external cllabratins f the Spanish Cmpanies invlved in the prject. CDTI financing cnditins shall abide by the Cmmissin Regulatin (EU) N 651/2014, f 17 June 2014, declaring certain categries f aid cmpatible with the internal market in applicatin f Articles 107 and 108 f the Treaty n the Functining f the Eurpean Unin ( GBER ). In particular, the amunt f the aid, in terms f grss subsidy equivalent, shall, in all cases, adhere t the maximum intensity limits laid dwn in the GBER.CDTI's financing cnditins valid n the date f the fficial launch f the Call are as fllw: Eligible expenditure: Persnnel expenses (researchers, technicians and ther ancillary persnnel, prvided that they are engaged exclusively in the research prject). Instrument and material csts, t the extent and during the perid in which they are used fr the research prject, including amrtisatins where apprpriate. Cntractual research csts, technical knwledge and patents bught r licensed frm utside surces at market prices, and csts fr cnsulting and equivalent services intended exclusively fr the research activity. Additinal general expenses resulting directly frm the research prject. Other perating expenses, including csts fr material, supplies and similar prducts, which result directly frm the research prject. Funding methd and amunt Sft lan f up t 75% (exceptinally up t 85%) f the eligible csts f the Spanish Cmpanies participating in the awarded prject at an annual fixed interest rate equivalent t Euribr (Eur Interbank Offered Rate).Sft lan must be paid back t CDTI in 10 years with initial mratrium frm 2 t 3 years. Out f the 75% f the sft lan granted t the awarded Spanish Cmpanies, up t 30% may be cnsidered a grant in aid, and therefre nn reimbursable. Prject applicants which might have already benefited frm any ther Gvernment funding agency supprt fr the same prject, might nt be entitled t either all the benefits f the financing cnditins granted by CDTI, r request further funding supprt fr the same prject. 6. APPLICATION PROCESS: HOW TO APPLY? T ensure the effective delivery f the RFP and reinfrce the principles f bilateral partnership, GITA and CDTI will fllw a jint applicatin prcess fr this RFP. The Bilateral Applicatin Frm, Guidelines and ther relevant dcuments and infrmatin regarding the RFP are made available n GITA's and CDTI's websites fr Indian and Spanish applicants respectively frm the date f fficial launch f the Ind-Spanish Call fr Industrial R&D Prpsals until the last date f submissin f the (Nvember 2015) Page 9

10 applicatin. During this perid Indian applicants can register n GITA's website ( access, dwnlad and submit the n line applicatin frm. Similarly, Spanish applicants can register n CDTI's website ( access templates and relevant infrmatin regarding the RFP, and submit electrnically the R&D prpsals. Spanish and Indian C-Applicants must develp a unique prject prpsal applicatin that shall be submitted in English using the bilateral applicatin frm (attached as Annex 1) agreed by bth institutins, GITA and CDTI, simultaneusly within the deadline f the RFP. HOW TO APPLY? Jint R&D prpsals must be submitted t bth f the ndal agencies (GITA in India, CDTI in Spain), by May 13, Unilaterally submitted prpsals shall nt be cnsidered. Indian and Spanish C-Applicants must elabrate a single prject prpsal applicatin (Annex 1 - Bilateral C-peratin Frm).Prject prpsals that are nt in the prescribed template r are handwritten shall nt be accepted. The Bilateral C-peratin Frm must emphasise hw the prpsed cllabratin adds value, main technlgy highlights and innvatins, activities t be develped by the Parties invlved underlining the cllabrative R&D wrk being carried ut n each side, their expertise, etc. Please nte that this Bilateral C-peratin Frm must be sealed (stamped) and signed by all c-applicants at the end f the dcument, expressly indicating name and designatin f the authrized signatry in the rganisatin. Any ther relevant infrmatin nt expressly mentined n the frm and that the applicants cnsider relevant may be included as Annexes. In additin t the Bilateral C-peratin Frm, c-applicants must submit the fllwing dcuments as relevant appendices: Cnsrtium Agreement in English whereby c-applicants shuld agree upn the wnership, access rights and explitatin f intellectual prperty generated during the c-peratin, t be submitted t GITA and CDTI. N prescribed frmat is prvided in Annexes. Similarly, the Cnsrtium Agreement needs t be sealed (stamped) and signed by all c-applicants. Funding rganisatin-specific dcuments t be submitted t GITA and CDTI respectively, as per their guidelines. INDIA - GITA Registratin and Online applicatin submissin prcess The Indian Prject Lead need t visits India-Spain Prgram f Cperatin n Industrial R&D 2015 ( Registratin fr nline applicatin submissin is mandatry. (Nvember 2015) Page 10

11 Registratin Prcess at GITA website: - Registratin is tw stage prcess - Stage I - Registrant needs t prvide basic infrmatin. - Stage II The system will send a Lgin ID and Passwrd t the ID prvided, and ask fr cmpletin f registratin. - Upn cmpletin f registratin, registrants will receive an autgenerated /sms acknwledgement shrtly after, cnfirming the registratin alng with registratin number. Pst registratin, registrants will be able t access and dwnlad RFP frms and cmmn guidelines t apply fr funding under the India-Spain Prgramme Applicatin Submissin Prcess: - Indian Prject Lead needs t submit the Applicatin nline (n ther mde f submissin will be accepted) by April 29, Lgin with the same ID and passwrd, created/used during registratin. - Cmplete and submit the desired Applicatin Frm by the deadline. - Upn Applicatin submissin, the system will send aut-generated SMS/ acknwledgement t IPL, alng with applicatin reference number. - Please uplad the necessary dcuments as per deadlines as per requirements. - Fr multiple applicatins, IPL needs t cntact GITA Prgramme Managers (cntact details given belw). The Indian prject lead must ensure that the cntent f the applicatin frm is identical t the ne being submitted t CDTI by the Spanish prject lead. The applicatin must reflect a cmbined effrt frm bth the SPL and IPL, be written in English, and submitted using the prescribed prcess by the stated applicatin submissin. Only nline mde f submissin will be accepted. Appendix D & E are mandatry fr Indian applicant at the time f applicatin submissin Additinal supprting dcuments required In additin t submitting the Online Applicatin Frm and its appendices, the Indian Prject Lead (IPL) will als be required t submit/uplad the fllwing: Where the IPL/Partners are recgnised by the Department f Scientific and Industrial Research (DSIR), Gvernment f India r any ther cmpetent authrity as an in huse R&D unit, supprting dcument fr the same. Knw Yur Custmer (KYC) dcuments f IPL/Partners. Cpy f the Cmpany Registratin Certificate f IPL/Partners. (Nvember 2015) Page 11

12 Audited Annual Reprts (including Balance Sheet, Prfit & Lss Accunt & Auditr s Reprts) f IPL/Partners fr the last three Financial Years. Annual Reprt can be exempted in case f institutins managed by a Gvernment Agency. The abve list is indicative and GITA, in India, may seek additinal dcuments/infrmatin frm individual prject applicants. SPAIN - CDTI "Infrme Preliminar" f the prject prpsal in Spanish (prescribed frmat). Applicant's declaratin stating that n financial supprt r benefit in cnnectin t the same R&D prpsals has been granted by any ther Gvernment funding agency. Applicant's declaratin stating that n financial supprt r benefit in cnnectin t the same R&D prpsal has been granted by any ther Gvernment funding agency. Applicant s statement n the type and categry f enterprise ("Declaración sbre tip y categría de empresa") Spanish applicants will submit their applicatins fllwing CDTI's nrmal guidelines and using CDTI's electrnic services. Further infrmatin n CDTI's funding is available in Spanish. Fr details visit CDTI's website The cmplete details f the Call are available n GITA's and CDTI's websites: and Indian Prject Lead (IPL) and Spanish Prject Lead (SPL) will receive cnfirmatin frm GITA and CDTI respectively upn successful receipt f their applicatins. Applicants shuld fllw their lcal guidelines and cntact the ndal persns at their natinal funding rganisatins, if any further clarificatin regarding the applicatin prcess r prpsal submissin is required. Cntact details are given belw: (Nvember 2015) Page 12

13 Indian side (GITA) Mr. Vimal Kumar Glbal Innvatin & Technlgy Alliance (GITA) 4th Flr, IGSSS Building, 28 Institutinal Area, Ldi Rad, New Delhi , INDIA Phne: vimal.kumar@gita.rg.in Website: Spanish side (CDTI) Freign Technlgy Actin Department Directrate f Internatinal Prgrammes Centre fr the Develpment f Industrial Technlgy Address: C/Cid 4, Madrid, Spain Phne: india@cdti.es Website: 7. IMPORTANT DATES AND DEADLINES Launch f Request fr Prpsals: December 16, 2015 Submissin Date fr Full Applicatin Frm / Prpsal: May 13, 2016 Release f Request fr Prpsals Results: Octber 2016 [Tentative] 8. SCREENING OF APPLICATIONS The eligibility f each applicatin will be screened and cmpleted by GITA and CDTI within ne mnth frm the clsing date f the RFP. GITA and CDTI may cntact the applicants requesting them t prvide missing r additinal infrmatin. All applicants will be ntified f the results f the initial review f their prjects by the respective Implementing Organisatin. Thereafter, GITA and CDTI will share infrmatin and prduce a final list f cmplete prject prpsals fficially submitted t bth Implementing Organisatins. This actin may result in: Rejecting prject prpsals nly submitted in Spain r India. Dismissing prject prpsals nt meeting the basic eligibility criteria mentined in the RFP guidelines; a separate cmmunicatin will be sent by GITA and CDTI infrming f this decisin. After prducing and agreeing upn the final list f cmplete prject prpsals fficially submitted under the RFP, GITA and CDTI will cmmunicate the final decisin t all the IPL and SPL applicants. 9. EVALUATION AND SELECTION OF R&D PROJECTS GITA and CDTI will cnduct a parallel but independent review f all applicatins fllwed by a jint review. Peer review evaluatin will be based n the principles f excellence, prgress beynd state f the art and market ptential (detailed list f evaluatin criteria indicated belw under the title Assessment Criteria). (Nvember 2015) Page 13

14 After exchanging the evaluatin results, GITA and CDTI will find cnsensus n the evaluatin results and will take a jint decisin n the prjects t be funded, as per the budget allcated t the specific RFP. All Ind-Spanish applicatins will be treated as strictly cnfidential. Each prject prpsal will be peer reviewed and evaluated either frm the technical as well as frm the financial pint f view. INDIA In the case f GITA, applicatins will be evaluated by an independent panel f experts, called the Prject Evaluatin Cmmittee (PEC). The full prpsal will be examined by sectrial and financial experts. PEC meeting will be cnvened by GITA, and IPLs will be invited fr presentatin and discussin. During the evaluatin prcess, IPL/Partners will be required t present the prject prpsal t the PEC in a face-t-face meeting. Schedule/venue fr the presentatin will be cmmunicated by GITA t the IPL/Partners in advance, alng with a check-list f supprting dcuments t be prduced. N travel/stay allwances will be paid t IPL/Partners fr this purpse. IPL/Partners will be required t present self-attested cpies f the dcuments referred t in sectin 6 regarding applicatin prcess and rganisatin-specific dcuments t be submitted t GITA by Indian applicants. GITA will nt send applicatins fr technical assessment t external Indian evaluatrs utside GITA withut first having a cnfidentiality r nn-disclsure agreement in place. SPAIN In the case f CDTI, each prject prpsal will be reviewed and evaluated by qualified evaluatrs wrking as permanent emplyees f CDTI and as per its evaluatin and review guidelines. Evaluatrs f GITA and CDTI will use the agreed evaluatin frm (attached, CDTI-GITA Bilateral Applicatin Frm) t execute ex-ante assessment f Ind-Spanish R&D prjects, befre their endrsement. As per the results f the assessments, evaluatrs frm CDTI and GITA will make recmmendatins t the Prgramme Management Cmmittee. A jint review Cmmittee cmpsed by representatives f GITA and CDTI will find cnsensus n the evaluatin results and make a jint decisin n the prjects t be funded, as per the budget allcated t the specific RFP. ASSESSMENT CRITERIA The jint prjects must meet the general requirements f the funding rganisatins. The prjects t be funded are chsen by evaluating them as a whle. Prjects are reviewed and evaluated against the evaluatin criteria utlined in the agreed evaluatin frm, mainly: Crucial Criteria Financial Capacity f Partner Frmal Agreement between Partners Basic Assessment Criteria Partnership and Partners Well balanced partnership (Nvember 2015) Page 14

15 Added value thrugh c-peratin Technlgy Capacity f all Partners Managerial Capacity f all Partners Prject Structure Methdlgy and Planning Apprach Milestnes and deliverables Cst and financing structure Financing Cmmitment f each partner Technlgy and Innvatin Technlgy Advance Degree f technlgical maturity and risk Technlgical achievements Innvatin Degree f innvatin Gegraphical/Sectrial Impact Market and Cmpetitiveness Market and prfitability Market size Market access and risk Return n investment Cmpetitive advantages Strategic imprtance f the prject Enhanced capabilities and visibility PUBLICATION OF RESULTS Prject leads will be infrmed by their respective implementing agency in their jurisdictin (GITA t Indian applicants and CDTI t Spanish applicants) f the utcme f the review prcess and the list f selected prjects under the present RFP will be annunced publicly. ADMINISTRATIVE AND LEGAL REQUIREMENTS TO BE ADDRESSED BY PROJECT LEADERS, PRIOR TO THE RELEASE OF FUNDS. Fllwing the award ntificatin, GITA and CDTI, will advise prject leaders in their jurisdictin f all administrative and legal requirements t be addressed prir t the release f funds. FUNDING SUPPORT DISBURSEMENT INDIA Fr SOFT LOAN (under DST prgram): (Nvember 2015) Page 15

16 The Indian Prject Lead (IPL), as an industry partner and its ther industry c-investigatrs will be supprted with sft lans as per the terms and agreement. Fr further infrmatin, please refer t sectin 5 f the present RFP titled "R&D Prject Funding - Financial Supprt t Successful Applicants". The funding supprt is released t the Prject Partners in Instalments. The first instalment is released immediately after the GITA Due-Diligence prcess and signing f the Agreement and culd range between 30-50% f the ttal fund t be supprted. The subsequent funding / instalments t the Indian prject partners will be released as per the a) agreed milestnes and deliverables laid dwn in the agreement between GITA an IPL and b) n-site peridic prject review (bimnthly r quarterly) by Experts nminated by GITA. A Prject Review cum Mentring Cmmittee, cmprising f Technical and Financial Experts, shall be cnstituted by GITA fr the purpse. Fr GRANT (under DeitY prgram): Pst prject apprval, as per the recmmendatins and apprval n the prject, the Indian Prject Lead (IPL), as an Industry lead and its ther Indian partners will be supprted with grant as per the terms and cnditins f the agreement. Please read the dcument carefully fr the exact funding supprt t the Indian Prject Partners. Grant will be in the frm f reimbursement fr csts already incurred. Prject partners are expected t use their wn funds fr the prject activity and seek quarterly reimbursement f GITA s cmmitted fund n prprtinal basis. Release f the first instalment will be subject t cmpliance with all terms and cnditins, which include Due-Diligence, signing f the agreement, etc. The subsequent funding/instalments t the Indian prject partners will be released as per the (a) agreed milestnes and deliverables laid dwn in the agreement between GITA and IPL and (b) n-site peridic prject review by Experts nminated by GITA. A Prject Review and Mentring Cmmittee, cmprising f Technical and Financial Experts, shall be cnstituted by GITA fr the purpse fr prviding advice/supprt twards achieving the defined bjectives f the prject within the time and csts prjected. SPAIN As per CDTI's financing cnditins valid n the date f the fficial launch f the Call, the funding mdality fr the prjects selected under this RFP will be a Partially Reimbursable Aid (sft lan), with financial cver f up t 75% f the ttal apprved budget which, by way f exceptin, may amunt t up t 85%. CDTI s financial supprt may cmprise a nn-reimbursable tranche (NRT) which shall depend n the characteristics f the prject and the beneficiary. CDTI financial supprt may be described as fllw: A reimbursable tranche (RT) within a time perid f 10 years, t be cunted frm the centre f gravity f the prject, which is calculated in accrdance with the prject duratin and the amunt f the budget targets. The first reimbursement is made 3 years after the centre f gravity f the prject and at least 2 years frm its cmpletin date. The interest rate f the afrementined RT shall be fixed and equal t the neyear Euribr (Eurpe Interbank Interest Rate) (Nvember 2015) Page 16

17 A nn-reimbursable tranche (NRT) f up t 30% (ut f the 75% sft lan) may be cnsidered a grant in aid, and therefre nn reimbursable. CDTI Advance Funding Fr R&D prjects nt c-funded by Eurpean Structural and Investment Funds, Spanish cmpanies may pt fr an advance payment f up t 25% f the financial supprt granted by CDTI with a maximum limit f eur 300,000, withut additinal guarantees. Fr R&D prjects c-funded by Eurpean Structural and Investment Funds, CDTI may grant advances f up t 75% f the funding awarded. These advances have t be underwritten by a bank entity. 10. APPLICATION GUIDELINES The purpse f this dcument is t prvide applicants with guidance n hw t develp a strng applicatin under the India-Spain Prgramme n Industrial Research and Develpment jintly managed by GITA, India and CDTI, Spain. This includes explanatry and relevant infrmatin, helping ptential applicants t understand the varius aspects t be cnsidered when develping the prpsal, prcedures t be fllwed fr its submissin, further evaluatin and finance. Applicants under the India-Spain Prgramme shuld cnsider the specificity f the Partner Cuntries as well as the targeted thematic sectrs indicated in the scpe f the RFP. GITA and CDTI R&D applicatins fr funding are usually accepted thrugh specific Request fr Prpsals' Annuncements. Additinal details such as minimum eligibility criteria, targeted sectrs and participatin f additinal funding agencies, will be clearly indicated in each RFP Annuncement. Applicants are encuraged t visit regularly GITA's and CDTI's website fr further infrmatin n R&D funding prgrammes, jint Calls fr internatinal technlgical c-peratin and RFPs' particulars. PROGRAMME OVERVIEW Key bjectives f the India-Spain Prgramme f C-peratin n Industrial R&D: Strengthen business-led R&D&I cllabrative prjects at bilateral level between Spain and India fr the purpse f generating ecnmic benefits fr the members f Ind- Spanish cnsrtia. Accelerate the develpment r adaptatin f new prducts, prcesses and/r services based n the paradigm f pen innvatin, as a successful path t wrldwide markets. Encurage S&T partnerships and cllabrative R&D based n the principle f pen innvatin and with emphasis n industrial utcmes. Share and facilitate access t S&T capacities and technlgies frm Spain and India. Encurage the mbility f researchers and technlgists between the 2 cuntries and prmte Spain and India as a career destinatin fr freign researchers and highly qualified persnnel. Strengthen verall bilateral S&T and business relatins between Spain and India, bringing the dimensins f Science, Technlgy and Business under the same umbrella, and thus, cnceiving generatin and explitatin f knwledge part f a unique and same prcess. Planned results f the Prgramme are as fllw: (Nvember 2015) Page 17

18 Encurage cmparative advantage and cmpetitiveness f the industrial sectr via transfer f technlgy and knwledge resulting frm internatinal S&T partnerships. Raise the technlgical level f Spanish and Indian Cmpanies, and thrugh their synergies, cmplementarities and jint develpments, psitining them effectively in target sectrs and markets. Increase awareness and understanding f glbal innvatin, scientific and business netwrks. Prjectin and prmtin f Indian and Spanish S&T capabilities and strengths. Access and participatin in glbal R&D netwrks in targeted markets and sectrs. Applicants are required t fllw paragraph 6 "Applicatin Prcess: Hw t Apply?", fr submissin f prpsals under the current RFP. GITA and CDTI will carry ut and integrated, merit-based prject evaluatin and selectin prcess. After exchange f evaluatin results and selectin f prjects by CDTI and GITA, a final jint reslutin will be issued indicating prjects recmmended fr funding by the bilateral panel. All applicants will be ntified f the results f the initial review f their prjects by their respective Implementing Organisatin. Prjects meeting all eligibility criteria and recmmended by CDTI and GITA fr funding in jint reslutin, will be invited t submit the Natinal Funding Applicatin based n the natinal prcedures and accrding t natinal rules that apply t GITA and CDTI. FINANCIAL SUPPORT TO SUCCESSFUL APPLICANTS INDIA GITA n behalf f the Department f Science & Technlgy (DST) and Department f Electrnics & Infrmatin Technlgy (DeitY), Gvernment f India, will fund the successful prjects, with undermentined details: Ttal prject funding as Grant (by DeitY) / Sft Lan (by DST) fr Indian applicants is a maximum f INR 150 lakhs per prject. Indian industry share can range frm INR 100 lakhs minimum t INR 125 lakhs maximum, if partnering with Indian R&D rganisatin/academic institutin. Indian R&D rganisatin/academic institutin share can range frm INR 25 lakhs minimum t INR 50 lakhs maximum. Indian industry may receive up t 50% f their part f the eligible cst in frm f Grant / Sft Lan (as applicable) Indian R&D rganisatin/academic institutin may receive up t 100% f their csts (within applicable range specified abve and as per prpsal) DST/DeitY funding supprt fr the prject must be matched equally (1:1) by Indian Industry and R&D rganisatin/academic institutin. The exact amunt f funding will be apprved by the Indian Prject Evaluatin Cmmittee based n merit and the cntributin f industry, R&D rganisatin and academic partners respectively. Funding frm ther public sectr surces will be taken int accunt when awarding grant/sft lan, and applicants will be asked t declare funding frm ther surces in the applicatin. Ryalty will be 2% per annum n Net Sales generated frm the funded prject frm Indian industry Prject partners (applicable fr Grant funding under DeitY). Sft Lan will be 3% Simple Interest per annum and repayable in 10 annual installments (Nvember 2015) Page 18

19 SPAIN CDTI will cnsider eligible fr funding the Spanish Cmpanies participating in the awarded Ind- Spanish prjects. CDTI can nly prvide funding t Spanish cmpanies subject t budget availability and as per the financing cnditins valid at the time f signature f the financing cmmitment between CDTI and the awarded cmpanies. Cllabratin with ther entities such as research centres, technlgical centres, universities, hspitals and ther R&D-perfrming rganisatins is permitted under CDTI regulatins, but CDTI will nt fund them directly, but may finance them indirectly as external cllabratins f the Spanish Cmpanies invlved in the prjects. CDTI's financing cnditins valid n the date f the fficial launch f the Call are as fllw: Eligible csts will include persnnel expenses (researchers, technicians and ther ancillary persnnel, prvided that they are engaged exclusively in the research prject); instrument and material csts, t the extent and during the perid in which they are used fr the research prject, including amrtisatins where apprpriate; cntractual research csts, technical knwledge and patents bught r licensed frm utside surces at market prices, and csts fr cnsulting and equivalent services intended exclusively fr the research activity; additinal general expenses resulting directly frm the research prject; ther perating expenses, including csts fr material, supplies and similar prducts, which result directly frm the research prject. CDTI will nly cnsider prpsals f Spanish Cmpanies fr participating in Ind-Spanish R&D prjects with a minimum budget f 175,000 eurs. Minimum budget requirement will be f 500,000 eurs in case the Spanish participants are frming a cnsrtium r an Ecnmic Interest Grup Sft lan f up t 75% (exceptinally up t 85%) f the eligible csts f the Spanish Cmpanies in the awarded prject at an annual fixed interest rate equivalent t Euribr (Eur Interbank Offered Rate). Sft lan must be paid back t CDTI in 10 years with initial mratrium frm 2 t 3 years. Up t 30% (ut f the 75% sft lan) may be cnsidered a grant in aid, and therefre nn reimbursable. Prject applicants which might have already benefited frm any ther Gvernment funding agency supprt fr the same prject, might nt be entitled t either all the benefits f the financing cnditins granted by CDTI, r request further funding supprt fr the same prject. APPLICATION PROCESS (FORMS AND SUBMISSION) Applicants are required t fllw paragraph 6 "Applicatin Prcess: Hw t Apply", fr submissin f prpsals under the current RFP. EVALUATION CRITERIA The fllwing criteria are cnsidered f extreme relevance when evaluating Ind-Spanish cnsrtia and submitted R&D prpsals. Therefre, it is strngly encuraged t read carefully the fllwing explanatry infrmatin and address all these aspects while cnceiving and drafting the prpsals: (Nvember 2015) Page 19

20 THE INNOVATION What is the current best practice? What are the current limitatins f existing technlgies? This is an pprtunity t elabrate n shrtcmings f existing technlgies, as a prelude t the descriptin f the technlgical develpment envisaged, prgress beynd the state f the art and innvatin highlights. Current limitatins culd include: sub-ptimal perfrmance, lack f attentin t specific market pprtunities, high cst, pr suitability t high r lw end markets, size, cmpatibility, nn-cnfrmance t standards. What is the idea? Sketches, diagrams, tables culd be included t help t describe the technlgy develpment envisaged. The descriptin shuld clearly identify in what ways the technlgy slutin prpsed vercmes the limitatins f existing technlgies, already available. Cst and duratin f the prpsed R&D prject. Hw lng it will take t carry ut the prpsed R&D prject t the cmmercializatin stage. Patent situatin, including backgrund patents and the ptential fr new patents. Evaluate and describe if there are any existing bligatins t ther agencies which have supprted any part f the develpment. Market standards in cnnectin t the prpsed develpment. Will the prpsed prduct, prcess r service develpment meet current and/r emerging standards? PROPOSED R&D PROJECT This sectin f the prpsal culd be rganized in tw main parts: "Analysis f the Prblem" and "Prpsed Apprach". a) Analysis f the Prblem The purpse f this sectin is t establish a credible basis fr the prpsed R&D prject, identifying specific prblem areas r challenges t be vercme, by the prpsed develpment. Fr example, at the beginning f the prject participants are at Psitin A, which relates t the current limitatins highlighted in the preceding sectin. At the end f the prject, befre the scale up and cmmercialisatin stage, participants expect t have reached Psitin B. What specific prblems must be slved r vercme by the participants t reach Psitin B, cnsistent with the prject budget and timetable? Clearly, these prblems and their slutin shuld be clearly specified and addressed by participants while frmulating their Prpsed Apprach and defining the Prgramme Plan. The prblems may fcus n a variety f technical issues - fr example hw t achieve lwer pwer cnsumptin r higher circuit speed with supprting data indicating bth the current situatin and the target values fr the innvatin. Prcess challenges may include hw t enhance measurement accuracy; imprve manufacturing yield, make a sftware platfrm independent, autmate a prcess, etc. Prduct targets may relate t issues such as the design f a mre streamlined system with fewer parts, imprved temperature perfrmance, greater reliability, smaller ftprint, greater flexibility, autnmy. In sme cases, the prblems may relate t the need fr fundamental technlgical breakthrughs in rder t develp a currently nn-existent prduct. In thers, fr example, the technlgical prblems may be (Nvember 2015) Page 20

21 relatively straightfrward, with key issues relating t a substantial imprvement f an existing prduct, prcess r service. Additinal issues that culd be addressed in this sectin, may include: Definitin f the required prperties and functins f the end-prduct that will be used in the service envirnment. Often, this is referred t as "the specificatins sheet". This is the "Psitin B" referred t previusly in this sectin. What market input has cntributed t frmulate the end-prduct characteristics. Identificatin and descriptin f prblems assciated with realising the required prperties and functins. This is an in-depth discussin f the prblems that shuld be slves, s as t reach the prject bjectives. The participants shuld indicate that any critical technlgies required are firmly under cntrl. b) Prpsed Apprach This sectin must be sufficiently detailed fr expert reviewers t assess the apprach being fllwed in the R&D prpsal. A general plan f the prpsed effrt setting the stage fr the mre detailed task descriptins. This plan shuld include the list f achievements required and that that will make pssible t attain the prject prpsal's verall bjective. Identificatin f any technical r ecnmic cnstraints. Identificatin and detailed descriptin f each task and wrking package. This is the cre f the technical part f the prpsal, stating the bjectives fr each task, activities t be perfrmed fr the same, cntributin f each f the partners t the tasks and member f the cnsrtium with primary respnsibility fr each and single wrking package. Describe fr each task the specific apprach that will be fllwed, i.e., detail the techniques t be used t slve the previusly identified prblems. In this sectin, the participants demnstrate that they are aware f the current best practice, its limitatins and the pprtunities inherent t the prpsed R&D prject. Besides this, the prpsal shuld make clear that the cnsrtium understands the prblems and risks derived frm develping the prduct, prcess r service t the stage f cmmercializatin. Discuss alternate appraches t slve the identified prblem/s and explain why the cnsrtium has preferred a certain apprach in detriment f thers. Even if a preferred apprach is nt yet selected at the time f submissin f the prpsal, the varius alternatives shuld be reviewed alng with their respective merits. The detailed descriptin f the technical apprach shuld prvide evaluatrs with precise and sufficient infrmatin t perfrm a cmplete and integrated assessment f the prpsal. Fr each task, it is strngly encuraged t (Nvember 2015) Page 21