Biobased Performance Materials TA-BPM

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1 Chemical Sciences Technologiestichting STW Call for proposals Biobased Performance Materials TA-BPM 2015 The Hague, July 2015 The Netherlands Organisation for Scientific Research (NWO)

2 2 Contents 1 Introduction Background Available budget Validity of this brochure 3 2 Aim 4 3 Guidelines for applicants Who can apply? What can be applied for? When can proposals be submitted? Preparing a proposal Specific conditions Submitting a proposal 8 4 Assessment procedure Procedure Schedule Criteria 12 5 Contact Contact Other information 14 6 Annexes IPR and arrangement for knowledge transfer; Project Agreement Scheme for in-kind contributions by private parties Scope of BPM and focus topics in the call

3 3 1 Introduction 1.1 Background NWO makes funding available for a TA Biobased Performance Materials call. This TA call is strongly connected to the second Biobased Performance Materials call at the applied research institute Wageninegn UR - Food & Biobased Research that also receives financial support from Government through the Top Sector Chemistry. History Active since 2009, the Biobased Performance Materials (BPM) programme, funded by the Dutch Ministry of Economic Affairs and industry, is a national research programme aimed at the development of high performance materials derived from biomass. Using a chain approach, BPM has been aiming at creating technology for producing and processing new or substantially improved biobased materials for amongst others application in packaging, electronics and car industry, using a wide range of primary or secondary raw materials, such as oil-crops, sugar beets, potatoes and high-fibre residues. The BPM programme was established using a market-oriented approach, with the material requirements as the starting point and governed by the companies wishes. BPM The objective of BPM is the conducting of pre-competitive research in private-public partnerships (PPP), aimed at further development of biobased polymer materials and products from these materials. Dutch knowledge institutions are working together with researchers from the industry sector in conducting the research. It is a combination of precompetitive, applied research, aimed at answering questions leading to bringing the implementation of biomaterials closer and fundamental, understanding-raising research as well as research aimed at answering questions regarding which new classes of biobased materials with unique properties are possible. There are two main directions in the developmental movements towards biobased materials. On the one hand, there is the development of polymer materials from building blocks derived from biomass and on the other hand, there is the development of materials based on polymers produced by plants and micro-organisms (natural polymers). The second tranche of the BPM programme consists of an applied part to be carried out by Wageningen UR - Food & Biobased Research. This applied part will be complemented by a fundamental part to be carried out by Dutch universities through the NWO New Chemical Innovations Fund (TA-BPM call). NWO, BPM and DPI work closely together to realize and to execute this TA-BPM call. 1.2 Available budget NWO will contribute up to M 1,5 and the private contribution will be minimal k 750. Projects will be granted up to a total budget of M 2, Validity of this call This call for proposals is valid until the closing date, 22 September 2015, CEST.

4 4 2 Aim Aim of TA-BPM The aim of TA-BPM is the execution of a coherent, demand driven, fundamental research programme focusing on the research and development of biobased polymeric materials for industrial applications. Dutch universities will execute the research in collaboration with industry. The TA-BPM programme bears upon a combination of: 1. Fundamental research leading to increased understanding and development of new classes of biobased materials with unique properties; 2. Demand driven research leading to accelerated industrial implementation of biobased materials. The drive behind the research of biobased polymeric materials is provoked by the possibility to obtain (novel) materials from renewable resources and to expand the range of material functionalities and their applications based on nature s concepts and/or bioprocesses. Topics of focus To be more precise, the scientific research is preferably focused on the following topics (see section 6.3 for more information): 1. Polymeric Materials derived from biobased building blocks* or natural polymers** with novel functionalities and/or with novel applications. 2. Investigation of structure-property relationships, focused on polymers derived from biobased building blocks* or on natural polymers**. *Biobased building blocks An important research direction is the production of biobased polymeric materials from novel or modified building blocks, possessing an unique structure and, related to that, own unique properties, thereby introducing new (multi-)functionalities. **Natural polymers This research direction focuses on the direct application of natural polymers, such as cellulosics, starch, chitin, lignin, pectin, natural oils and polypeptides, such as silk and collagen. It may concern both agricultural and horticultural (residual) streams as well as industrially produced natural polymers. Important research questions relate to: - Functionalisation of these polymers to develop new products, thereby using the intrinsic properties of the natural polymer without breaking it down; - Development of new processing technologies to extract these embodied polymers without loss of functionality. The research lines set out above aim at creating new products based on renewable feedstock and exhibiting new (multi-)functionalities to create novel and smart materials (sustainability assessment may be part of a proposal). An example could be a new technology to produce carbohydrate-peptide links through chemical/enzymatic synthesis, thereby yielding improved functional properties. Another example concerns new methods to increase the hydrophobicity via chemo/enzymatic modification to introduce improved surface properties which is important for e.g. the coating and the compounding industry. Another research direction tangent to the design of polymeric carbohydrates (water soluble or dispersible) to encapsulate unstable substances for optimal delivery. Possible applications may be found in the paper & cardboard, coatings, adhesives, nutrition, personal care (cosmetics) and health care (medical/pharma) sectors. Other types of materials may include biocompatible polymers for biomedical implants and new natural rubbers.

5 3 Guidelines for applicants Who can apply? Applications are always submitted by a researcher on behalf of a consortium of companies and researchers. Applications can be submitted by full, associate or assistant professors and other researchers with a comparable faculty position as long as they: are employed by (i.e. have a paid appointment at) a Dutch research university or a research institute that is recognised by NWO 1 and are in the possession of at least a master's degree (MA or MSc) or are otherwise equally qualified and have a position of employment that is secure for at least as long as the throughput time of the application process and the research for which the funding is being requested. An exception to the required length of the appointment can be made for: main applicants with a tenure-track appointment that covers at least half of the required duration. In that case, the applicants must demonstrate in a letter that adequate supervision will be guaranteed throughout the entire length of the research project for all researchers for whom funding is being applied. co-applicants if they can demonstrate that adequate supervision can be guaranteed throughout the entire length of the research project for all researchers for whom funding is being applied. Researchers employed at the non-university part of Wageningen UR (WUR), DLO, the Federation TO2 2 and RIVM are eligible to be co-applicants or members of a consortium. In that way, they can contribute to a project and have access to the knowledge. They will not be eligible for direct financing from NWO, however. Researchers from at least two knowledge institutions are involved in the application as applicant and co-applicant(s). At least two companies must act as co-applicants. Companies are not eligible for direct funding from NWO, but contribute to the research in cash and/or in kind. Commitment of the participating companies must be clear upon submitting the proposal. Other types of organisations that are not eligible for funding directly from NWO can nevertheless also act as co-applicants or as members of a consortium. In this way, they can contribute to a project and have access to the knowledge (for details, see Section 3.5) NWO aims to encourage the participation of SME 3 in the projects and programmes on a large scale. To that end, SMEs are cordially invited to take part in the consortia. 1 See the NWO Regulation on Granting 2 The members of the Federation TO2 are TNO and the 'Grote Technologische Instituten' (GTIs: major public research institutes): Deltares, the Energy research Centre of the Netherlands (ECN), the Maritime Research Institute Netherlands (MARIN) and the National Aerospace Laboratory of the Netherlands (NLR). 3 In determining if a project participant is an SME entrepreneur the European Commission's definition of SME is used. See ec.europa.eu/enterprise/policies/sme/facts-figures-analysis/smedefinition/index_en.htm.

6 6 3.2 What can be applied for? The costs that are eligible for compensation are those for: - scientific staff (PhD students, postdoctoral researchers) hired temporarily for the project at the research institution; - analysts and technical support; - material costs directly related to the project. Those could include the costs of chemicals, materials, equipment, knowledge transfer and knowledge utilisation, but also domestic and international travel expenses. Staff costs are eligible in accordance with the most recent Agreement for Funding Scientific Research, signed by NWO, VSNU, NFU, ZonMw, KNAW and VFI. The agreement and the maximum amounts for staff costs can be found (in Dutch) on and A person-specific bench fee will be granted to each PhD student or postdoctoral researcher to (partially) cover things like travel expenses and the printing costs involved in publishing their PhD thesis. The New Chemical Innovations Fund puts the emphasis on the appointment of new scientific staff. The consortia are free to gear the mix of costs that they would like to see reimbursed through the New Chemical Innovations Fund to match their project activities. It will be necessary to present good arguments for the proposed mix in the application. The participating knowledge institutions and companies will use their own resources to bear the costs of the necessary infrastructure and for the supervision of the project staff. In case an applicant or co-applicant works together with other institutions that are not eligible for financing through NWO, for example TNO or a foreign university, those noneligible institutions will bear their own costs. 3.3 When can proposals be submitted? The deadline for submission is Tuesday, 22 September 2015, CEST. Once submitted, proposals may not be revised or supplemented. 3.4 Preparing a proposal If you would like to submit a project application, we advise you to contact one of the individuals listed in Section 5.1. Note that no preliminary application is necessary for any project proposal. The full application is to be submitted all at once. The application must be written in English. The grant application comprises four parts: a fact sheet, the application form, the list of suggestions for referees and a letter of commitment of each participating company. - When filling in the fact sheet you may use only ASCII characters ( plain text ). It is not possible to use formulae, cursive, etc. in the fact sheet, although those may be used in the application itself. - The application form, the form for providing the names of referees and the format for a letter of commitment can be found on the call website. - The form for providing the names of referees and the letter(s) of commitment must be submitted simultaneously with the application form as separate PDF documents via Iris.

7 7 3.5 Specific conditions To encourage the collaboration between industry and knowledge institutions, the private sector and NWO will each finance the partnership projects in different proportions. Every company participating in an application contributes in cash and/or in kind to the project the consortium wishes to carry out. The total amount companies are contributing to the project is of importance for the calculation of the NWO contribution. Cash and in kind Within a TA-BPM project, collaborations between at least two companies and at least two knowledge institutions is required. The participating companies jointly contribute one-third of the project costs; NWO contributes two-thirds. That means that for every euro contributed by industry, NWO contributes two euros. - A preferred research proposal includes 2-4 PhD and/or postdoc positions at different universities such that the proposal complies with the chain of knowledge principle (complementary competences). One PhD position only is allowed under the condition that at least two academic research groups are involved (co-applicants!) and the PhD will combine the groups complementary expertise such that the proposal will comply with the chain of knowledge principle. - Companies contribute to a project in cash and/or in kind. See Annex 6.2 for specific rules. - Only companies that (also) contribute in cash to the consortium count for setting the number of company TA contributors and for the calculation of the contribution from NCI Fund. - Next to the cash contribution, part of the in kind contribution counts for the calculation of the contribution from the NCI Fund. - If an SME contributes in kind, of this 1.8 times the cash contribution of the SME counts for the calculation of the contribution from the NCI Fund. So for a SME that contributes with in cash to a project, a maximum amount of (1.8* =) in kind, and with that in total, counts for the calculation of the contribution from the NCI Fund. If an SME contributes less in kind then is maximal allowed, the lower committed amount counts for the calculation of the contribution from the NCI Fund. See Annex 6.2 for specific rules. - If an non SME contributes in kind, of this 1/1.8 times the cash contribution of this company counts for the calculation of the contribution from the NCI Fund. So for a non SME that contributes with in cash to a project, a maximum amount of ( 3.000/1.8 =) in kind, and with that in total, counts for the calculation of the contribution from the NCI Fund. - In-kind contributions must be essential to the project and be included in the budget for research costs in the project proposal. See Annex 6.2 for the conditions that in-kind contributions will need to meet. - The approved projects will be monitored by the BPM office and the NWO office. - All private cash contributions will be provided to the project via NWO. - All in-kind contributions from private partners must be approved by NWO before the start of the project. - The approved projects will be part of the project portfolio of the BPM programme. Participants are thus part of the BPM consortium and will meet once a year in a private setting, and once a year during a public symposium.

8 8 TKI allowance 4 The Ministry of Economic Affairs can contribute to the project budget of a public-private partnership project. On the basis of the cash contribution of the companies, the TKI Chemie can apply for a TKI allowance from the Netherlands Enterprise Agency (RVO). The TKI allowance amounts to approximately 25% of the cash contributions of the companies to the project budget. 5 TKI Chemie distributes the TKI allowance to the project that generates the allowance. In other words: extra cash input from industry will be advantageous. Thanks to the TKI allowance, projects can normally have access to greater budgets, after the settlement of costs for project management by the NWO office. The project budget is calculated using the tables in the proposal forms. General terms and conditions The following applies to this call: - The NWO Regulation on Granting (see Projects that have been awarded grants are to start within nine months of the date of the grant decision. NWO can decide to withdraw the grant in case this condition is not met. - NWO charges 5% of the total cash project budget for project management. This amount covers partly the organisation and execution of the activities of the New Chemical Innovations Fund and also the organisation of meetings. - The IP-regulation as described in paragraph 6.1. The project partners (the knowledge institutions and companies concerned) must sign a project agreement with each other and with NWO prior to the start of the project; in this agreement, amongst other things, specific arrangements on IP should be made. The project partners are advised to have a draft project agreement ready prior to submitting their application. That will help ensure a rapid start for the project once the grant has been awarded. As a guide, NWO has made a model agreement available on the website of the New Chemical Innovations Fund, > Projectbeheer. 3.6 Submitting a proposal An application can only be submitted to NWO via the electronic application system Iris. Applications not submitted via Iris will not be admitted to the selection procedure. A main applicant is required to submit his/her application via his/her own Iris account. If the main applicant does not yet have an Iris account, he/she must create one via the Iris website of NWO at least one day prior to submission. This is to ensure that any problems with registration can still be resolved on time. If the main applicant already has an Iris account, he/she will not need to create a new account to submit a new application. 4 The TKI allowance scheme initiated by the Ministry of Economic Affairs is carried out by the Netherlands Enterprise Agency (RvO). Everything that this call mentions in that regard is based on the articles as published in the Staatscourant (Government Gazette). In the event of any dispute, the official wording in the Staatscourant is leading. This call assumes that the scheme will still exist at the moment that a grant from the NCI Fund is awarded and the project concerned will meet the conditions of the TKI allowance scheme. 5 The precise amount of the TKI allowance depends in part on the extent to which amount that the Ministry of Economic Affairs has budgeted for a given year has been exhausted. If TKIs apply for a larger number of allowances than there is budget for, the percentage of the allowance will decrease proportionally. Other factors are also of importance. An allowance percentage of 25% nevertheless gives a good indication.

9 9 With questions of a technical nature, applicants can contact the Iris help desk, which is open Monday through Friday from 11 am to 5 pm. Telephone number: Unfortunately, not all foreign providers support calls to 0900 numbers. Questions can also be sent by to

10 4 Assessment procedure Procedure General In accordance with the agreement between NWO and the VSNU, applicants are to inform their institution that they are submitting a project application. The applicant is to give a copy of the application to the scientific director or dean of the institution or faculty. For each application submitted, NWO Chemical Sciences will assume that the applicant has informed the institution and that the university or the institution accepts the conditions for funding that are in effect for this programme. The NWO Regulation on Granting states that any research financed by NWO must be carried out in accordance with the nationally and internationally accepted standards of scientific practice as stipulated in the Netherlands Code of Conduct for Scientific Practice of 2012 (VSNU). The Regulation on Granting can be found on the NWO website: More information on the NWO scientific integrity policy can be found on the website: The NWO Code of Conduct on Conflicts of Interest is applicable to anyone (including NWO staff) involved in assessing or making decisions about applications. See also: Admissibility The first step in the assessment procedure is a check to see if the application is eligible for consideration. The application is checked for matching the aims of the New Chemical Innovations Fund (Section 2) and meeting the conditions as described in Section 3 of this Guide. The consortium can be requested to provide extra documentation/information of the participating companies. Referees The applicant is invited to provide the names of (a maximum of) ten possible referees with a foreign affiliation by filling in the referee list completely. To ensure confidentiality, the main applicant is requested to upload the referee names in a separate annex via Iris. This list may not include the names of anyone with whom the applicant has collaborated in the past three years, is currently collaborating with or plans to collaborate with. This applies not only to co-authorship, but also to other forms of collaboration. Only referees who are in no way involved with the applying research team and the research proposal are eligible to act as referees. The proposed referees may not be working in the Netherlands. In addition to those proposed by the applicant, other experts can also always be invited to act as a referee. 6 Non-referees The applicant also has the opportunity to indicate the names of a maximum of three individuals who should be EXCLUDED from acting as referees. This is not obligatory. To ensure the confidentiality of the request for exclusion, the applicant is asked to submit those names in a separate to This must also include clear arguments for requesting that this individual/these individuals should not be considered as referees. 6 The code of conduct regarding conflicts of interest can be found on the NWO website: This document mentions potentially conflictive involvements.

11 11 Referee reports and rebuttal International referees assess the applications on the basis of the criteria (see section 4.2). Applicants will be given the opportunity to respond to the anonymised referees' reports during an oral interview ( rebuttal ) with the PPP Committee (see below). If there is a high number of applications, applicants shall be requested to send in a written rebuttal which will supersede the oral interview. Also, the PPP Committee may invite selected applicants for an interview. Ranking The NWO Chemical Sciences Division Board is advised to determine the quality and prioritization of applications by a PPP Committee (PPS-Raad) consisting of experts from science and industry. The PPP Committee meets several times a year to discuss applications and rank them. The committee discusses and ranks the applications during a meeting. The members of the committee have copies of the applications and referee-reports (and if applicable the written rebuttals). The committee weighs the arguments of the referees (also between the referees) and the applicant's (verbal) rebuttal and issues both a final opinion and a ranking. If the committee considers the referee-reports insufficient to form its opinion, it can make an additional assessment. The PPP Committee uses the arguments of the referees and the applicant's rebuttal to arrive at an independent assessment of the proposal. The role of the PPP Committee differs from that of the referees in that: the PPP Committee also weighs the applicant's rebuttal in its decision, whereas the referee is not familiar with the rebuttal and thus cannot take that into consideration. the PPP Committee can consider all proposals, referees' reports and applicant rebuttals, whereas the referees normally never see more than one proposal, nor do they coordinate their assessments with each other. This means that the PPP Committee may arrive at a different assessment than the referees. For this TA-BPM call, the NWO Chemical Sciences Board can decide to temporarily complement the PPP Committee with additional experts. Decision-making The Board of NWO Chemical Sciences decides with regard to the acceptance and rejection of research proposals on the basis of the ranking advised by the PPP Committee. NWO assigns a qualification to all fully completed proposals. This qualification will be made known to the applicant in the same letter that informs the applicant about NWO's decision on whether or not to fund the proposed project. For more information about the NWO qualification system, see: Procedural steps for proposals 1. The main applicant is to submit his/her proposal to the NWO Chemical Sciences Division using the Iris electronic application system. 2. The NWO Chemical Sciences Division forwards the proposals to the PPP Committee. 3. The PPP Committee assesses if applications: match the scope of the call (section 2), match the New Chemical Innovation Fund, contains a substantial chemical component, and whether the application meets the conditions as described in section 3. DPI can advise the PPP Committee whether proposals match the scope of the call. The PPP Committee sends its advice regarding eligibility of the proposals to the Board of NWO Chemical Sciences. 4. Proposals that do not meet the above criteria are deemed not eligible by the Board of NWO Chemical Sciences and will therefore not be considered for further processing. 5. The Board of NWO Chemical Sciences sends the eligible proposals to international experts for comments. 6. The PPP Committee invites the applicants to further explain their proposals. They have the opportunity to orally respond to the referees' reports and further questions of the

12 12 Council, or to respond in writing to the referee s reports ('rebuttal') in case of a high number of applications. In case of a high number of applications, the PPP Committee may also invite a selection of applicants for an oral response. 7. The PPP Committee assesses the dossiers at hand, which comprise the proposal and the referees' reports along with any input obtained from the oral explanation or the written rebuttal, and ranks them. 8. The PPP Committee sends its ranking, along with its arguments for that ranking, as an advice to the NWO Chemical Sciences Board. 9. The Board of NWO Chemical Sciences reviews the assessment procedure and based on the advice of the PPP Committee and dependant on the resources available, assesses whether the proposals that have been nominated for acceptance fit within a responsible management of the Fund New Chemical Innovations and decides to make funds available to the accepted proposals. 10. The Board of NWO Chemical Sciences informs the applicants of the decision about their proposal. 4.2 Schedule The indicative schedule for the TA-BPM call for proposals is as follows: July 2015 Call, brochure, application forms, referee lists and guidelines available 22 Sept 2015, CEST Final deadline for submitting proposals September-October 2015 Obtaining opinions from referees End October/early November opportunity to write a rebuttal (only when there is a high number of applications) 26 November 2015 Interview with PPP Committee (in case of a high number of applications this step may be skipped ) 26 November 2015 PPP Committee ranks the proposals & nominates proposals for funding to the Governing Board of Board of NWO Chemical Sciences 10 December 2015 Funding decisions by Board of NWO Chemical Sciences December 2015 Applicants are notified about funding decisions 4.3 Criteria The following assessment criteria hold for this call: 1. Match within the New Chemical Innovations Fund and the presence of a substantial chemical component 2. Match within the topic of the call 3. Scientific quality a. Novelty in chemical research b. scientific approach; b. scientific relevance; c. clarity of focus and objectives; d. feasibility. 4. Quality of the consortium a. track record of the university partners; b. track record of the private partners; c. complementarity and added value in the partnership; d. availability of infrastructure within the consortium. 5. Innovative potential and knowledge utilisation

13 13 a. Prospect for innovation and/or application of results: what is the (expected) need/demand for the envisaged application and the products/processes? On what term can application be expected? Is the anticipated feasibility realistic? What is the success rate that the proposed innovation is realised? Is indicated what is needed to achieve the innovation, either during the project or afterwards? What are the possible bottlenecks in achieving the innovation? Which potential end users has one in mind and how will these be involved? b. contribution concerning content and involvement of private partners in the project and the (actual) commitment (cash and in kind). 6. Programmatic criteria a. balance between goals and the available means (budget, staff); b. effectiveness of the organisational structure and the project/programme management; c. clear pledge of collaboration and in cash contribution from the participating industry.

14 14 5 Contact 5.1 Substantive questions If you have substantive questions regarding this call for proposals, please contact one of the following individuals: Dr Marijn Hollestelle (NWO) Telephone +31 (0) Ir. Christiaan Bolck (BPM) Telephone +31 (0) Technical questions regarding the Iris electronic application system If you have technical questions concerning the use of Iris, you can contact the Iris help desk. Please read the manual before asking the help desk for advice. The Iris help desk is open for service Monday through Friday from 11 am to 5 pm. Telephone number: Unfortunately, not all foreign providers support calls to 0900 numbers. You can also send us your question by to

15 15 6 Annexes The original Dutch-language text of Annex 6.1 and 6.2 as stated in the Gids voor aanvragen uit het Fonds Nieuwe Chemische Innovaties (version November 2014) is the authoritative version. Where the English-language text is open to a different interpretation, no additional rights may be derived from it. 6.1 IPR and arrangement for knowledge transfer; Project Agreement The NWO IP policy forms the starting point in all matters concerning intellectual property in NCI. This leaves room for the parties involved in the project to make customised agreements, for example depending on the composition of the consortia and the amount of the (financial) contribution. The starting point is that the project parties (knowledge institutions, private parties) jointly claim the results of the research project. To that effect, agreements are made in advance as to who may claim which IP rights under which conditions. Prior to the start of the research project, parties involved in the project will enter into a Project Agreement with NWO, in which parties agree on matters such as IP and the transfer of knowledge (see further below). Entering into a Project Agreement is one of the conditions for receiving a grant for the project concerned. Approval from NWO is necessary before the project can start. The model Project Agreement should be used. This can be found on Project Agreement The Project Agreement contains agreements about: - (Private) funding of the project; - Ownership of knowledge and IP rights: background knowledge (contribution, access and use); foreground knowledge (rights to claim, access and use); - Spending of income generated; - Reporting requirements and the exchange of results; - Publication; - Confidentiality / secrecy; - Settlement of disputes; - Indemnity/liability. (Private) funding for the project NWO pledges to provide the grant to the project concerned by means of an allocation to the university main applicant conducting the research project. In the Project Agreement, the participating party / parties commit to the pledged co-financing to NWO and the possible in kind contributions. Ownership of knowledge and IP rights Background knowledge: Input of, access to and use of this knowledge - Prior to the start of the project, parties involved in the project shall check and/or agree with each other on which relevant background knowledge they will provide to help realise the project. During the project, supplemental background knowledge can be contributed. - Any background knowledge thus contributed will remain the property of the project party who provided it. The knowledge may be used by the receiving project party / parties in connection with the research project. The project party that provides the knowledge will make the necessary background knowledge available, upon a written request to that effect, at no cost to the requesting project party by means of a non-transferable and non-exclusive licence for the duration of the project. - If one project party wishes to gain access to background knowledge from another project party in order to commercially exploit the results, the latter project party shall, insofar as this is legally possible, be granted a licence by the project party that provides the background knowledge concerned, on market terms.

16 16 Foreground knowledge Ownership of results and IP rights - Parties involved in the project in principle jointly claim foreground knowledge (project results, hereafter: results). This implies that the inventing party does not automatically have the right to patent these results. Joint claims also do not imply that parties on their own may claim arbitrary results and patent those. Agreements on IP rights should be negotiated prior to the start of the project. - NWO does not have the intention to build a patent portfolio; NWO will not claim results. - When making agreements on IP rights, the European Framework with regard to publicprivate partnerships should be taken into consideration 7. For the published NWO IP Model 1, option 1, this means that on the distribution of rights, agreements are made in advance as much as possible, i.e. it should be stated which project party may claim which IP rights. A prerequisite for such a distribution is that the rights are allocated in a manner that constitutes an appropriate reflection of the efforts, contributions and respective interests of the parties in the project. Then, there is no unlawful state aid. If such agreements cannot be made, at least it should be stated which party / parties may claim rights under which conditions. In that case, the private parties in New Chemical Innovations Fund projects have the first right to claim IP on results ( right of first refusal ). An important condition that the European Framework prescribes here is that the private party involved pays a normal market compensation for the actual patenting. The compensation must be achieved through negotiation and the claiming private party may deduct its contribution to the project costs from the compensation. An additional advantage of this IP Model 1 is that there is no legal transfer of ownership, so no VAT has to be paid. If the private partners in advance or in the course of a project waive the claim of (specific) rights, the research institution involved is free to patent. - When agreeing on a distribution of IP rights between parties, the percentage categories used by NWO should also be taken into account. These categories have been created to ensure that companies receive more/more favourable use and access rights according to the amount of their contribution. See the NWO IP policy. - Foreground knowledge must be freely accessible to all parties involved in the project for use within the project. To that end, parties involved in the project should grant each other royalty-free licences. - Parties involved in the project shall inform NWO about (supplementary agreements regarding) the commercialisation of the project results, including mention of any compensation paid. Spending of income generated by the knowledge institution The knowledge institution concerned that receives compensation for knowledge transfer shall spend that compensation on further research to be conducted by the research group concerned. If the knowledge institution wishes, part of that compensation can be spent in accordance with that institution's policy. Reporting / exchange of results The parties involved in the project make agreements with each other about the reporting and exchange of results. These are separate from the reports that NWO, the TKI and the Ministry of Economic Affairs wish to receive in their capacity as research funders. Publication - In principle, the results are to be published in scientific literature. - Publications can be delayed a maximum of six months to ensure the patentability of the results. 7 See:

17 17 Confidentiality of information and secrecy - Foreground knowledge is strictly confidential and will only be made public after all parties involved in the project have given explicit permission to do so. - Parties involved in the project promise each other to keep secret any information (including background knowledge) that was provided on the basis of confidentiality and to use it only within the framework of the project. Settlement of disputes Parties involved in the project shall agree to a scheme for settling disputes. In the event of disputes, the parties shall make an effort to seek an amicable solution. NWO shall be notified of any dispute that arises and will make a binding decision in cases that are directly connected with the research and the grant. Indemnity NWO and the knowledge institution(s) shall be indemnified against claims by any private party that is involved and/or third parties due to damage stemming from the use of research results and/or IP by the latter.

18 Scheme for in-kind contributions by private parties Regeling In-Kind bijdragen door private partijen in Projecten gefinancierd uit het Fonds NCI (in Dutch, with English translation) (Zie ook de Gids voor aanvragen uit het Fonds NCI 2015) Definities 1. Private partijen Als private partijen worden in deze Regeling in kind bijdragen aangemerkt enerzijds ondernemingen (definitie hieronder) en anderzijds instellingen die onder de voorwaarden geldend voor private partijen mogen deelnemen aan NCI-projecten (zie paragraaf 3.1) 2. Onderneming Activiteit van een organisatorisch verband of een persoon gericht op duurzame deelname aan het economisch verkeer met behulp van arbeid en kapitaal en met oogmerk winst te behalen. 3. MKB De MKB-definitie van de Europese Commissie wordt gehanteerd. Onder een MKB wordt verstaan een onderneming die: minder dan 250 medewerkers heeft, en een omzet heeft die de EUR 50 miljoen niet overstijgt en/of een balanstotaal heeft dat de EUR 43 miljoen niet overstijgt; verder dient rekening gehouden te worden met participaties ( 25%) in en van andere ondernemingen die effect hebben op de autonomie van de onderneming. Documentatie DG Enterprise : Bepalingen 1. Mogelijkheid tot deelname in projecten gefinancierd uit het Fonds NCI door private partijen met in kind bijdragen: In programma s gefinancierd uit het Fonds NCI kunnen private partijen, voor zover aangegeven bij het desbetreffende werkvorm, participeren met een in kind bijdrage. Zie hiervoor paragraaf 3.5. In kind bijdragen/inspanningen moeten: essentieel zijn voor het project; opgenomen zijn in de door NWO goedgekeurde begroting van de onderzoekskosten van de projectaanvraag waarin de private partij participeert (zie voor in te brengen in kind bijdragen bepaling 3) en vallen binnen één van de onder 3 a t/m c vermelde kostencategorieën. 2. Committering Indien een private partij zal participeren in het onderzoeksproject met een gedeeltelijke in kind bijdrage zoals hierboven omschreven, zal de private partij zich voor de betreffende in kind bijdrage plus de financiële (cash) bijdrage aan NWO committeren middels een Project Agreement. De toegezegde financiële (cash) bijdrage zal door NWO worden gefactureerd. 3. In te brengen in kind bijdragen In een onderzoeksproject mogen door private partijen als in kind bijdragen worden ingebracht de volgende rechtstreeks aan het onderzoeksproject toe te rekenen en door de private partij gemaakte kosten (zie ook bepaling 1): a. In het kader van het project gewerkte uren: loonkosten, met dien verstande dat wordt uitgegaan van een uurloon, berekend op basis van het jaarloon bij een volledige dienstbetrekking volgens de kolom «loon voor de loonbelasting» van de loonstaat, verhoogd met de wettelijke dan wel de op grond van een individuele of collectieve arbeidsovereenkomst verschuldigde opslagen voor sociale lasten, en van 1650 productieve uren per jaar. Hierover mag een opslag worden opgevoerd voor overige algemene kosten, groot ten hoogste 50 % van de hierboven bedoelde loonkosten. Het hieruit volgende aan het project toe te schrijven uurtarief, inclusief de genoemde 50% opslag voor algemene kosten, is gemaximeerd op 100. Inbreng van kosten voor begeleiding of voor

19 19 projectmanagement is mogelijk bij actieve deelname van de beoogde begeleider of projectmanager aan het onderzoeksproject (zie onder 1). b. Kosten van te verbruiken materialen en hulpmiddelen, gebaseerd op de oorspronkelijke aanschafprijzen. c. Gebruik van apparatuur, machines en software: Kosten van aanschaf en gebruik van machines en apparatuur, met dien verstande dat wordt uitgegaan van de aan het project toe te rekenen afschrijvingskosten, berekend op basis van de oorspronkelijke aanschafprijzen en een afschrijvingstermijn van tenminste vijf jaar; kosten van consumables en onderhoud tijdens de gebruiksperiode. Kosten van aanschaf en gebruik van machines en apparatuur die niet uitsluitend voor het project zijn aangeschaft, worden slechts als projectbijdragen op de voet van het hier bovenstaande naar rato in aanmerking genomen, indien een door middel van een sluitende tijdschrijving vastgestelde urenverantwoording per machine respectievelijk van de apparatuur aanwezig is. In-kind bijdragen in de vorm van korting op de normale aanschafprijs in het economisch verkeer (list-prijs) van machines en apparatuur. De korting dient dan minimaal 25% van de listprijs te bedragen. De kosten die ten laste gebracht worden van het apparatuurbudget van het project bedragen dan de listprijs verminderd met die korting. 4. Verantwoording van in kind bijdragen Private partijen dienen hun in kind bijdragen aan NWO te verantwoorden middels een opgave van ingebrachte kosten, te verstrekken aan NWO binnen drie maanden na afloop van het onderzoeksproject waaraan de in kind bijdrage is geleverd. De aanvraag tot vaststelling van de in kind bijdrage dient tegelijkertijd met de aanvraag tot subsidievaststelling door de universitaire partner(s) te worden ingediend, vergezeld van een gezamenlijke eindrapportage. Indien de te verantwoorden in kind bijdrage hoger is dan k 125 dient een accountantsverklaring te worden aangeleverd; in andere gevallen volstaat een schriftelijke verklaring van de procuratiehouder dat de ingebrachte in kind inspanningen daadwerkelijk aan het project zijn toe te schrijven. Indien de private partij die zich met een in kind bijdrage aan een onderzoeksproject heeft gecommitteerd (een deel van) deze in kind bijdrage uiteindelijk niet inbrengt dan wel niet kan verantwoorden, zal NWO deze private partij factureren voor (dit deel van) de in kind bijdrage zodat de totaal toegezegde bijdrage gestand wordt gedaan.

20 20 Arrangement for in-kind contributions by private parties in NWO Projects funded from the NCI Fund (English translation) The preceding original Dutch text in this Appendix 6 as well as in the Manual for application in the NCI Fund is the authoritative version. Where the English translation is open to a different interpretation, no additional rights may be derived from it. Definitions 1. Private parties Private parties are deemed to be either enterprises (see the definition below) or knowledge institutes that are allowed to take part in NCI projects on the conditions that hold for private parties (see Section 3). 2. Enterprise Activity of an organisational unit or a person aimed at sustainable participation in economic transactions by means of labour and capital and with the objective of generating profit. 3. SME The SME definition given by the European Commission is the definition used. SME is understood to refer to any enterprise which: has a staff headcount of less than 250, and has turnover not exceeding EUR 50 million and/or has a balance sheet total not exceeding EUR 43 million; furthermore, account should be taken of holdings ( 25%) in and of other enterprises affecting the autonomy of the enterprise. Documentation: DG Enterprise, Provisions 1. Possibility of participation in NWO research projects funded from the NCI Fund by private parties with in-kind contributions Private parties can participate in NWO projects funded from the NCI Fund with an in-kind contribution provided this is indicated in the specific programme or project type concerned. See Section 3.5. In-kind contributions / efforts must: be essential to the project; be included in the NWO-approved budget for the research costs of the project application in which the private party participates (see provision 3 for permitted in-kind contributions) and be within one of the cost categories referred to under 3 a through c. 2. Commitment If a private party participates in the research project with a partial in-kind contribution as described above, the private party will commit itself to NWO for the in-kind contribution concerned plus the financial (cash) contribution by means of a Project Agreement. NWO will invoice the financial (cash) contribution. 3. Permitted in-kind contributions The following costs, directly attributable to the research project and incurred by the private party, may be contributed by private parties as in-kind contributions (see also provision 1): a. Hours worked within the scope of the project: wage costs, it being understood that these are based on an hourly wage, calculated on the basis of the annual wage at full employment according to the column «loon voor de loonbelasting» of the wage statement, plus the surcharges for social contributions payable by law or under individual contract or collective bargaining agreement, and based on 1650 productive hours per year. This amount may be increased with a surcharge for other general costs, subject to a maximum of 50% of the wage costs referred to above. The ensuing hourly rate to be attributed to the project, including said 50% surcharge for general costs, is capped at 100. Contribution of costs for supervision or for project management is possible in the event of active participation of the intended supervisor or project manager in the research project (cf. under 1). b. Costs of material and resources to be used, based on the original purchase prices. c. Use of equipment, machines and software Costs associated with the purchase and use of machines and equipment, it being understood that these are based on the depreciation costs to be attributed to the project, calculated on the basis of the original purchase prices and a depreciation period of at least five years; costs of consumables and maintenance during the period of use.

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