S&E Regional OP : Implementation Plans for Innovation and the Knowledge Economy Priority 1 Themes

Transcription

1 S&E Regional OP : Implementation Plans for Innovation and the Knowledge Economy Priority 1 Themes Operational Programme S&E Region OP Priority Innovation and the Knowledge Economy Intervention/Theme Development of Region s RTDI capacity Sub-Theme ARE Applied Centres of Excellence / Technology Gateways Programme (applicable for contracts approved from 2013) Categorisation Code 02 ERDF Certifying Body Department of Finance Managing Authority S&E Regional Assembly Intermediate Body Enterprise Ireland Beneficiary Body Institutes of Technology Grant Rate 100% to set up for a period of up to 5 years EU Co-financing Rate 40% Description of the Intervention (including eligible works) The Applied Research Enhancement programme was created to enhance the capabilities within the Institutes of Technology to conduct applied research for the benefit of local and national industry. The role of the Institutes of Technology in research and development is still a relatively new and evolving one. The sector is recognised as having developed a track record in industry-relevant and applied research. Significant research expertise in niche areas exists throughout the sector, and recent years have seen an incremental increase in levels of postgraduate research taking place. These developments have been achieved against a background of inadequate resources, both current and capital, for the Sector s research activities. This initiative aims to strengthen the role that Institutes can play in the innovation infrastructure in the regions, in order to improve the innovativeness and competitiveness of existing industry and the creation of new high-tech startup businesses. Given the importance of the Institutes of Technology to balanced regional development the Applied Research Enhancement Programme operates on a national basis. The programme will support the establishment of specific Centres of Applied Research in the Institutes of Technology, to develop research capability in areas of strategic importance to the individual college and of relevance to industry both regionally and nationally. The programme will provide funding support for applied research facilities and staff necessary to make the centre operational.

2 The programme is run on an open call basis with a total funding for a centre in the region of 1,250,000 over a duration of 3-5 years. EI conducted an extensive review of the current ARE programme in 2011 and published revised programme guidelines and process documentation in This included a published call process in which existing ARE centres and potential new research groups were eligible to apply. The programme has been renamed the Technology Gateway programme. The focus of the programme continues to be to harness the applied research and technology expertise within the IoT sector for the benefit of industry in Ireland. The new Technology Gateway programme has a 5-year funding term, with funding amounts of up to 1.2 million broadly similar to the outgoing ARE programme. The call process has been completed and all applications have been evaluated, and contracts will be awarded to successful applicants in Q The new programme comes into operation in Q1 2013, and the new contracts will operate from 2013 to end Objectives To generate regional economic activity through the creation of a strong applied research base for the Region by bringing together researchers into the Institutes of Technology which will Provide a centre of excellence in applied research capable of exploiting opportunities in science, engineering, and technology to the benefit of the Regional and National economy. Compete successfully for National and International research funding to support a growing applied research presence in the Institute of Technology. Responsibilities of Intermediary Body Enterprise Ireland will manage this initiative through the Programme Coordination unit (within the Research & Innovation Business Unit) which, in collaboration with the agency s Policy Department is responsible for the design of the scheme, project selection and related information and publicity. It works closely with the agency s Finance Department in the administration and financial management of payments to the beneficiary bodies. Enterprise Ireland is responsible for the selection/evaluation processes and ongoing monitoring of projects during the funding period. In so doing, Enterprise Ireland ensures that a clear audit trail exists for external independent auditing of projects. An administrative agreement will be entered into between Enterprise Ireland and the Managing Authority setting out the respective roles and responsibilities of each. Responsibilities of Public Beneficiary Body The Enterprise Ireland ARE/Technology Gateways initiative supports Centres of Excellence in the Institutes of Technology to engage industry in applied R&D. The Institutes perform the scheme s administration and constant monitoring and evaluation of

3 the programme s recipients. The ARE Centres/ Technology Gateways will enhance the research and innovation capacity of the Institute to engage in applied R&D and Technology Transfer with industry both in the geographical region of the Institutes and nationally. The Institute s responsibilities will also be in the areas of grant administration, financial management and control, the scoping and submission of applications, the certification of eligible expenditure, compliance with issues such as public procurement and tax clearance along with providing expert advice on commercialisation through the technology transfer office. This support will be provided in conjunction with mirroring support from Enterprise Ireland s Research & Innovation Business Unit. Contribution to (prioritised) Horizontal Themes The focus of the programme continues to be to harness the applied research and technology expertise within the IoT sector for the benefit of industry in Ireland both locally and nationally. Gender Equality Principle: This initiative is a competitive programme whereby awards are made on the merits of individual applications. Thus the gender split within the programme is reflective of the existing gender split within colleges. Applicant colleges will be required to consider equality issues in line with the Equality Authority s guidelines when applying for funding as stated in the programme guide documentation. ARE Programme - Project Selection (prior to 2013 contracts) Phase 1 Expression of Interest The programme will run on a continuously open basis and eligible Institutes of Technology are invited to submit Expressions of Interest at any stage. The Centre selection process will be initiated by Enterprise Ireland following receipt of the Expressions of Interest. The output from this Expression of Interest phase will be mutual agreement on a prioritised list of proposed Centres for progression to the next Phase of the process. The proposals from any given college will be progressed in ranked order. Expressions of Interest which fail, or are unlikely to satisfy, the above selection criteria will be declined. Phase 2. Proposal Development The proposal development phase may be considered in three stages: Firstly, following selection of the Centre, Enterprise Ireland will offer direct assistance in the relevant technology area to guide the college and the selected research team in the development of the full proposal. Secondly, the research team will prepare the full proposal. Lastly, the research team will be invited to present their proposal to an internal Enterprise Ireland panel for appraisal. Enterprise Ireland may decide to accept and bring the proposal forward to Phase 3 or, the research team may be required to further develop the submission.

4 Phase 3. Proposal Evaluation The proposal evaluation will be undertaken by an independent site visit panel. The panel will be comprised of at least three experts, drawn from industry and academia, with an independent chairperson. It is envisaged that the chairperson will act for a period of time (probably one year) to ensure consistency in the evaluation process as it is applied across a range of proposals. The independent panel will be supported by relevant Enterprise Ireland personnel. The site visit will provide an opportunity for the research team and the college to present the proposal directly to the evaluators and respond to issues raised by the panel both in advance of the visit and on the day. The panel then present their recommended ARE Centre proposals to the Enterprise Ireland s Industrial Research and Commercialisation Committee, for their approval to fund or otherwise. This committee is composed of senior members of Enterprise Ireland, the Department of Enterprise Trade and Employment, the Department of Agriculture, the IDA, senior academics and independent industrial experts and members of the business community. Selection Criteria Proposals will be prioritised for consideration and selected as follows: Expression of Interest evaluation: 1. Achievement of balanced regional development. Specifically, prioritisation will be given to colleges that were unsuccessful in previous rounds of the ARE programme. 2. Achievement of a sectoral balance. 3. Mutual agreement between Enterprise Ireland and the college authority on an appropriate research agenda for the region. Full Proposal evaluation: 1. Prospect for Commercialisation (20 marks) 2. Exploitation in the Region (20 marks) 3. Technical Merit (15 marks) 4. Degree of Technological Novelty or Innovation (10 marks) 5. Overall Work Plan and Centre Management Structure (10 marks) 6. Synergy with Institute Capabilities and Commitment by the Institute (10 marks) 7. Value for Money (15 marks) Technology Gateway Programme Project Selection (contracts from 2013 onwards) The call process will comprise two stages: Stage 1: Industry needs assessment The objective of this phase of the evaluation is to assess whether there is sufficient industry need for, and institutional commitment to, the proposed Gateway.

5 Applications will be assessed by a panel of independent industry representatives, and technical and sectoral expertise from Enterprise Ireland. The scoring scheme for the Technology Gateway Stage 1 Industry Needs Assessment will rate applicants against 3 main criteria out of a total of 100 marks: 1. Industry Rationale (30 marks) 2. Proposed Technology Themes (30 marks) 3. Institution and applicant team capability (40 marks) Successful applicants (who meet a threshold mark of 70%) will be invited to submit a Stage 2 Full Applicant for a Technology Gateway. Stage 2: Full Technology Gateway Application: The evaluation of Stage 2 applications will be undertaken by a panel comprised of representatives from industry, technology experts drawn from the research community, other sources of independent expertise as required, and Enterprise Ireland. The evaluation of the application will be undertaken in two parts: Panel evaluation of the submitted application; Applicant Team presentation (including Q & A) to the Panel. The scoring scheme for the Technology Gateway Stage 2 Full Application will rate applicants against the following criteria out of a total of 100 marks: 1. Technology Themes and work programme (20 marks) 2. Industry engagement plan (10 marks) 3. Capability and track record of applicant team (15 marks) 4. Host college commitment and support (20 marks) 5. Management structures and project planning (15 marks) 6. Performance metrics and value for money (20 marks) The evaluation panel may make one of the following recommendations: Recommended for funding as presented. Recommended for funding subject to a set of specified conditions / clarifications. Not recommended for funding. Recommendations for funding will be submitted to relevant committees/board in Enterprise Ireland including the Industrial Research and Commercialisation Committee (IRCC) for approval. Performance Indicators (including horizontal indicators, where appropriate) Class Indicator Baseline Mid-term Dec 2010 Final Output No of ARE Centres in place /extended Result No. of industrially focused projects 4 92* 130**

6 * 92 Industrial projects include 21 HPSU; 47 SME; 23 MNC ** Projected breakdown of Industrial projects: 32 HPSU; 65 SME; 33 MNC Performance Indicators (including horizontal indicators, where appropriate) (contracts from 2013 onwards) Class Indicator Baseline Mid-term Final Output No of Technology Gateways in operation* Result No. of industrial projects completed per annum ** * It is very unlikely that the no of centres which meet the funding criteria will go beyond the number currently in operation of 9. * Expected breakdown of industry projects: approx. 50% SMEs, 25% HPSU/start-ups, 25% MNCs Financial Management The gross public expenditure in respect of projects funded under this measure will be provided annually in the estimates of the Implementing Body (Department of Enterprise, Trade and Employment), from SubHead F1 of the Department s Vote. Enterprise Ireland draws its funding from the Office of Science, Technology and Innovation of D/ETE. Grants in respect of projects approved under the selection procedures outlined above will be paid to institutions by Enterprise Ireland in arrears, on the basis of certified returns of expenditure. Grants will include the ERDF contribution, which will be reclaimed by the Certifying Authority for the benefit of the Exchequer. Claims, once approved and certified, in respect of ERDF assistance will be submitted to the Commission by the Certifying Authority (please see flow chart attached). The final beneficiary will be required to have in place separate accounting arrangements in respect of project expenditure under the sub-measure. Roles and responsibilities will be formally documented at all levels of the control chain, i.e. the Certify Authority, Managing Authority, Intermediary Body and project management. Documentation is required specifying the duties, tasks and implementation arrangements for personnel involved. Written statements of the tasks and responsibilities at each level will document specifically the degree of detail required in assignment and completion of tasks. Document Retention In accordance with Article 90 of the General Regulation (EC) 1083/2006, the Intermediary Body and Beneficiary Bodies will ensure that all supporting documents regarding expenditure, verification checks, certification and audits on the interventions concerned are kept available for the EU Commission and Court of Auditors for a period of three years following the closure of the Operational Programme.

7 Monitoring and Reporting arrangements The necessary reports will be provided in the required formats that are to be agreed with the Managing Authority. A dedicated unit within Enterprise Ireland be responsible for the compilation of data and reporting. These actions will be facilitated by a recently upgraded, dedicated IT system. Information and Publicity The contribution of the EU Structural Funds will be acknowledged in all brochures, promotional material, press releases, publicity activity, advertisements, signage, applications forms, annual reports, letters of offer, etc., by use of appropriate logo and text references. A dedicated commercialisation communications unit within Enterprise Ireland will be responsible for continued promotion of the scheme and commercialisation in general. This may include, advertisement campaigns, road shows, and dedicated websites. North/South Co-operation ARE Centres / Technology Gateways are open to engagement with industry and 3 rd level institutions in the North re collaborative projects in R&D and on consultancy to industry.

8 E.U. Commission *Article 61 Management Checks by Certifying Body (DOF) Certification of all Expenditure Certifying Body Department of Finance Certification of all Expenditure *Article 62 ERDF FCU System Based & Verification Audits Managing Authority / Regional Assembly Certification of all Expenditure *Article 62 ERDF FCU System Based & Verification Audits Intermediate Body Enterprise Ireland *Article 60 Management Checks by Managing Authority and Intermediary Body Certification of all Expenditure Beneficiary Body Institutes of Technology Return of Expenditure *Article 62 ERDF FCU System Based & Verification Audits *Article 62 ERDF FCU System Based & Verification Audits Final Recipient * Council Regulation (EC) No 1083/2006

9 Annex 2 Steps to gender equality in the planning period Policy development Include gender equality as a policy objective in relevant areas, particularly in human resources measures, community and rural development, business. Undertake gender impact assessment, where appropriate, to ensure that the different needs of women and men are reflected. Work with gender equality experts to identify best practice. Consult with client groups on meeting needs and ensure that both men and women s concerns are addressed; Check if budgets provide for special needs issues such as childcare, transport, etc., and ideally provide some flexibility to ensure that the activity supports Government objectives on gender equality, e.g. be in a position to respond to requests for part-time provision.; Allocate a portion of mainstream budgets for specific actions on gender equality and for innovation; Monitoring Develop meaningful indicators to track gender equality outcomes, results and impacts. Set gender equality targets where appropriate. These need to be related to the baseline position (not necessarily 50:50) Ensure gender equality is included in all evaluations and surveys. Promote gender balance on relevant committees and, if necessary, allocate a place/places to the unrepresented gender. See Unit s guide: How to promote gender balance in decision-making Delivery.Allocate specific responsibility for gender equality to a named individual Ensure gender equality is included in project selection criteria o See unit guide how to incorporate equal opportunities into project selection criteria Promote equality of access for women and men in practical ways by identifying and removing barriers to their participation. e.g. information, publicity and communication flexible provision and delivery childcare supports

10 transport and facilities Put named actions in place to ensure that both women and men will benefit equally; Consider if additional progression supports are needed for particular groups. Regional OPs : Implementation Plan Template 1 Operational Programme S&E Region OP Priority Innovation and the Knowledge Economy Intervention/Theme Development of the Region s RTDI Capacity Sub-Theme Commercialisation Fund Categorisation Code 01 ERDF Certifying Body Department of Finance Managing Authority S&E Regional Assembly Intermediary Body Enterprise Ireland Beneficiary Body Universities and Institutes of Technology Grant Rate 100% direct project costs EU Co-financing Rate 40% Description of the Intervention (including eligible works) The Commercialisation Fund is concerned with generating project outputs suitable for commercial exploitation opportunities for the benefit of the Irish economy. Third-level researchers and researchers in other research producing organisations (RPOs) can apply to carry out applied research that may lead to licensing agreements and spin-out companies. This Fund does not support purely exploratory research, nor does it support applied research for companies. Objectives The objectives of the programme are to foster a dynamic and commercially aware research community and to create an environment that promotes entrepreneurship. In so doing an accessible route to commercialisation is established for the transfer of knowledge from the research base into industry. The programme was updated as follows: A new support was introduced called the Commercial Case Feasibility support, which provides funding to scope and develop the commercial case for a Commercialisation Fund Support project. 1 subject to official sign off on implementation provisions.

11 Previous supports Proof of concept and Technology development were combined as one support - Commercialisation Fund Support with the Commercialisation Fund Plus support recently integrated into this support. Thus, the current funding supports available in the sub-theme comprise the Commercialisation Fund support, and Commercial Case Feasibility support. In addition to the published calls for Commercialisation Fund support projects, an open call system was introduced to the programme to allow proposals with the requisite commercial and technical merit to be invited into the programme outside of the published call dates. Commercialisation Fund Support projects are structured in stages comprising either single-stage or multi-stage projects. Selection Process up until 2010 Proof of Concept Purpose Application Process to Enterprise Ireland Evaluation Criteria To establish that a scientific concept, from whatever source, is sufficiently robust, is seen to address a viable market and is not encumbered by intellectual property considerations. Three Calls for Proposals per year and proposals will be assessed on their own merit. Technical Merit (Methodology, Utility, Feasibility, Novelty) Commercial/market Potential Project Planning Technology Development To research platform technologies or groups of products built around a new technology that will attract the interest and investment of Irish Industry. Three Calls for Proposals per year and proposals are assessed on their own merit. Technical Evaluation: Technical Feasibility Novelty & Innovation Project Work Plan Team Track Record Commercial Evaluation: C Plus Follow-on support for Commercialisation funding projects where justified. Open application process. The application was initially reviewed by EI Commercialisation Executive to confirm its technical merit and commercial potential and compliance with broad criteria of the commercialisation theme. If satisfactory, proposal documentation was submitted to EI Industrial Research and Commercialisation Committee with a funding recommendation. Business Case and technical merit Commercial potential Project team track record Team skills and capability Project costs Value for money

12 Assessed by Recommend ed by Decision to fund by Financial justification / Value for Money Track Record of Applicants Panel of internal and in some cases external reviewers & domain experts Evaluation panel chaired by Head of Technology Development Market Opportunity Exploitation, Plan In addition to panel, by at least four external evaluators Evaluation panel chaired by Head of Technology Development / Div al Manager IRCC IRCC IRCC Consensus decision of the IRCC that the business case presented for the C-Plus project met the evaluation criteria. Head of Technology Development / Div al Manager The funding recommendations were presented to the Industrial Research and Commercialisation Committee in Enterprise Ireland for approval. This committee is composed of senior members of Enterprise Ireland, the Department of Enterprise Trade and Employment, the Department of Agriculture, the IDA, senior academics and independent industrial experts and members of the business community. Selection Process from 2010 onwards Commercial case feasibility support projects are typically assessed internally in Enterprise Ireland for the relevance of the project to scoping the commercial case for the project idea or innovation. The Head of the relevant Technology Directorate makes the funding decision which is reported to the Industrial Research and Commercialisation Committee. CF Support projects are assessed for their commercial merit and where applicable for their technical merit by internal and in some cases external reviewers and panels which may include external experts. The criteria considered by reviewers in assessing Commercial Case Feasibility Support and Commercialisation Fund Support proposals include: Evaluation Criteria 1) Commercial opportunity 2) Exploitation potential (Economic Impact in Ireland) 3) Innovation 4) Project team 5) Project Management and Workplan 6) Project Costs The funding recommendations are presented to the Industrial Research and Commercialisation Committee in Enterprise Ireland for approval. This committee is composed of senior members of Enterprise Ireland, the Department of Enterprise Trade

13 and Employment, the Department of Agriculture, the IDA, senior academics and independent industrial experts and members of the business community. For approved multi-stage projects, funding is provided on a phased basis requiring a review against defined technical and commercial deliverables to determine if funding will be released for the next project stage. In this way, the aim of Enterprise Ireland is to secure the greatest commercial return on the available funding.' Responsibilities of Intermediary Body Enterprise Ireland will manage this initiative through the Programme Coordination unit (within the Research & Innovation Business Unit) which, in collaboration with the agency s Policy Department is responsible for the design of the scheme, project selection and related information and publicity. It works closely with the agency s Finance Department in the administration and financial management of payments to the beneficiary bodies. Enterprise Ireland is responsible for the selection/evaluation processes and ongoing monitoring of projects during the funding period. In so doing, Enterprise Ireland ensures that a clear audit trail exists for external independent auditing of projects. An administrative agreement has been entered into between Enterprise Ireland and the Managing Authority setting out the respective roles and responsibilities of each. Responsibilities of Public Beneficiary Body The public beneficiary bodies will support individuals and groups of researchers to successfully execute their duties in respect of delivering the project output. This support will be in the form of grant administration, financial management and control, the scoping and submission of applications, the certification of eligible expenditure, compliance with issues such as public procurement and tax clearance along with providing expert advice on commercialisation through the technology transfer office. This support will be provided in conjunction with mirroring support from Enterprise Ireland s Research & Innovation Business Unit. Contribution to (prioritised) Horizontal Themes Gender Equality Principle: This initiative is a competitive programme whereby awards are made on the merits of individual applications. Thus the gender split within the programme is reflective of the existing gender split within colleges. Applicant colleges will be required to consider equality issues in line with the Equality Authority s guidelines when applying for funding as stated in the programme guide documentation. Performance Indicators (including horizontal indicators, where appropriate) Class Indicator Baseline Actual outturn 31 Dec 10 Final

14 Output Number of approved projects Result Licenses achieved as a result of funded research Impact Start-up Enterprises arising from funded research Financial Management The gross public expenditure in respect of projects funded under this measure will be provided annually in the estimates of the Implementing Body (Department of Enterprise, Trade and Employment), from SubHead F1 of the Department s Vote. Enterprise Ireland draws its funding from the Office of Science, Technology and Innovation of D/ETE. Grants will include the ERDF contribution, which will be reclaimed by the Certifying Authority for the benefit of the Exchequer. Claims, once approved and certified, in respect of ERDF assistance will be submitted to the Commission by the Certifying Authority (please see flow chart attached). The public beneficiary body will be required to have in place separate accounting arrangements in respect of project expenditure under the sub-measure.. Document Retention In accordance with Article 90 of the General Reulation (EC) 1083/2006, the Intermediary Body and Public Beneficary Bodies will ensure that all supporting documents regarding expenditure, verification checks, certification and audits on the interventions concerned are kept available for the EU Commission and Court of Auditors for a period of three years following the closure of the Operational Programme. Monitoring and Reporting arrangements The necessary reports will be provided in the required formats that are to be agreed with the Managing Authority. A dedicated unit within Enterprise Ireland be responsible for the compilation of data and reporting. These actions will be facilitated by a recently upgraded, dedicated IT system. Information and Publicity The contribution of the EU Structural Funds will be acknowledged in all brochures, promotional material, press releases, publicity activity, advertisements, signage, applications forms, annual reports, letters of offer, etc., by use of appropriate logo and text references. A dedicated commercialisation communications unit within Enterprise Ireland will be responsible for continued promotion of the scheme and commercialisation in general. This may include advertisement campaigns, road shows, and dedicated websites.

15 North/South Co-operation (where appropriate) The funding is solely for researchers in the state.

16 Annex 2 Steps to gender equality in the planning period Policy development Include gender equality as a policy objective in relevant areas, particularly in human resources measures, community and rural development, business. Undertake gender impact assessment, where appropriate, to ensure that the different needs of women and men are reflected. Work with gender equality experts to identify best practice. Consult with client groups on meeting needs and ensure that both men and women s concerns are addressed; Check if budgets provide for special needs issues such as childcare, transport, etc., and ideally provide some flexibility to ensure that the activity supports Government objectives on gender equality, e.g. be in a position to respond to requests for part-time provision.; Allocate a portion of mainstream budgets for specific actions on gender equality and for innovation; Monitoring Develop meaningful indicators to track gender equality outcomes, results and impacts. Set gender equality targets where appropriate. These need to be related to the baseline position (not necessarily 50:50) Ensure gender equality is included in all evaluations and surveys. Promote gender balance on relevant committees and, if necessary, allocate a place/places to the unrepresented gender. See Unit s guide: How to promote gender balance in decision-making Delivery.Allocate specific responsibility for gender equality to a named individual Ensure gender equality is included in project selection criteria o See unit guide how to incorporate equal opportunities into project selection criteria Promote equality of access for women and men in practical ways by identifying and removing barriers to their participation. e.g. information, publicity and communication flexible provision and delivery childcare supports transport and facilities

17 Put named actions in place to ensure that both women and men will benefit equally; Consider if additional progression supports are needed for particular groups. Regional OPs : Draft Implementation Plan Operational Programme S&E Regional OP Priority Innovation and the Knowledge Economy Intervention/Theme Development of the Region s RTDI Capacity Sub-Theme Incubation Centre Development Categorisation Code 02 ERDF Certifying Body Department of Finance Managing Authority S&E Regional Assembly Intermediary Body Enterprise Ireland Public Beneficiary Body Universities and Institutes of Technology Grant Rate Up to 90% for the Institutes of Technology Up to 40% for the Universities EU Co-financing Rate 40% Description of the Intervention (including eligible works) This Intervention is concerned with the provision of supports and business space within the environment of a third level institution that will advance the development of emerging high potential start-ups. Objectives The programme aims to accelerate the development of high potential start-up companies through a combination of business support services, infrastructure and access to the expertise of the host third level institution. As such, its objectives can be seen as three-fold: - Fostering entrepreneurship and campus company activity - Providing a route to commercialisation of research underway in the higher education institutions, - Supporting balanced regional development. Responsibilities of Intermediary Body Enterprise Ireland will manage this initiative through its campus incubation unit (within the Research & Innovation Business Unit) which, in collaboration with the agency s Policy

18 Department is responsible for the design of the scheme, project selection and related information and publicity. It works closely with the agency s Finance Department in the administration and financial management of payments to the public beneficiary bodies. Enterprise Ireland is responsible for the selection/evaluation processes and ongoing monitoring of projects during the funding period. In so doing, Enterprise Ireland ensures that a clear audit trail exists for external independent auditing of projects. Consideration of horizontal principles is undertaken between the Campus Incubation Unit, IRC management and the agency s Policy Department. Enterprise Ireland has entered into an administrative agreement with the Managing Authority which will set out the respective roles and responsibilities of each. Responsibilities of the Public Beneficiary Body The public beneficiary bodies will be responsible for the maintenance and operation of the centres. They will also be responsible for management of the incubation process, including appropriate tenancy policies and development of links between the host institution and client companies. The IoT s responsibilities will also be in the areas of design/procurement of incubation space, grant administration, financial management and control, the scoping and submission of applications, the certification of eligible expenditure, compliance with issues such as public procurement & tax clearance along with providing expert advice on commercialisation through the technology transfer office. This support will be provided in conjunction with mirroring support from Enterprise Ireland s Research & Innovation Business Unit. Contribution to (prioritised) Horizontal Themes Gender Equality Principle: This initiative is a competitive programme whereby awards are made on the merits of individual applications. Thus the gender split within the programme is reflective of the existing gender split within colleges. However, gender specific data is collated by the intermediary body. Applicant colleges will be required to consider equality issues in line with the Equality Authority s guidelines when applying for funding as stated in the programme guide documentation. Project Selection Selection Process A competitive call will be launched for the extension of incubation facilities in the Institutes of Technology. Applications received will be assessed by a combination of internal and external evaluators and brought to the relevant Committee of the Intermediate Body (the Industrial Research and Commercialisation Committee) for approval. This

19 committee is composed of senior members of Enterprise Ireland, the Department of Enterprise Trade and Employment, the Department of Agriculture, the IDA, senior academics and independent industrial experts and members of the business community. Where required, applications will be then submitted to the Board of the Intermediate Body. Applications from universities will be received on a case-by-case basis and assessed in a similar manner to the Institutes of Technology. Selection Criteria Applications received will be assessed on the basis of: - Track record to date - Value for money - Commitment of the host institution - Contribution to balanced regional development Performance Indicators Indicator Baseline Midterm Final No. of business incubation centres in place/ extended No of companies in centres No of employees in these companies Financial Management The gross public expenditure in respect of projects funded under this measure will be provided annually in the estimates of the Intermediate Body, from SubHead F1 of the Department of Enterprise, Trade and Employment (DETE). Enterprise Ireland draws its funding from the Office of Science, Technology and Innovation of DETE. Grants in respect of projects approved under the selection procedures outlined above will be paid to institutions by Enterprise Ireland in arrears, on the basis of certified returns of expenditure. Grants will include the ERDF contribution, which will be reclaimed by the Certifying Authority for the benefit of the Exchequer. Claims, once approved and certified, in respect of ERDF assistance will be submitted to the Commission by the Certifying Authority (please see flow chart attached). The public beneficiary body will be required to have in place separate accounting arrangements in respect of project expenditure under the sub-measure. Roles and responsibilities will be formally documented at all levels of the control chain, i.e. the Certify Authority, Managing Authority, Intermediate Body and project management. Documentation is required specifying the duties, tasks and implementation arrangements for personnel involved. Written statements of the tasks and responsibilities at each level will document specifically the degree of detail required in assignment and completion of tasks.

20 Document Retention In accordance with Article 90 of the General Regulation (EC) 1083/2006, the Intermediate Body and Public Beneficiary Bodies will ensure that all supporting documents regarding expenditure, verification checks, certification and audits on the interventions concerned are kept available for the EU Commission and Court of Auditors for a period of three years following the closure, i.e. the last payment from the EC to the Programme, of the Operational Programme. Monitoring and Reporting arrangements The necessary reports will be provided in the required formats that are to be agreed with the Managing Authority. A dedicated unit within Enterprise Ireland be responsible for the compilation of data and reporting. These actions will be facilitated by a recently upgraded, dedicated IT system. Information and Publicity The contribution of the EU Structural Funds will be acknowledged in all brochures, promotional material, press releases, publicity activity, advertisements, signage, applications forms, annual reports, letters of offer, etc., by use of appropriate logo and text references. A dedicated commercialisation communications unit within Enterprise Ireland will be responsible for continued promotion of the scheme and commercialisation in general. This may include advertisement campaigns, road shows, and dedicated websites. North/South Co-operation (where appropriate) The measure focuses on investment in infrastructure within Ireland. Efforts will be made to network incubator management with equivalent groups in the North

21 Policy development Annex 2 Steps to gender equality in the planning period Include gender equality as a policy objective in relevant areas, particularly in human resources measures, community and rural development, business. Undertake gender impact assessment, where appropriate, to ensure that the different needs of women and men are reflected. Work with gender equality experts to identify best practice. Consult with client groups on meeting needs and ensure that both men and women s concerns are addressed; Check if budgets provide for special needs issues such as childcare, transport, etc., and ideally provide some flexibility to ensure that the activity supports Government objectives on gender equality, e.g. be in a position to respond to requests for part-time provision.; Allocate a portion of mainstream budgets for specific actions on gender equality and for innovation; Monitoring Develop meaningful indicators to track gender equality outcomes, results and impacts. Set gender equality targets where appropriate. These need to be related to the baseline position (not necessarily 50:50) Ensure gender equality is included in all evaluations and surveys. Promote gender balance on relevant committees and, if necessary, allocate a place/places to the unrepresented gender. See Unit s guide: How to promote gender balance in decision-making Delivery Allocate specific responsibility for gender equality to a named individual Ensure gender equality is included in project selection criteria o See unit guide how to incorporate equal opportunities into project selection criteria

22 Promote equality of access for women and men in practical ways by identifying and removing barriers to their participation. e.g. information, publicity and communication flexible provision and delivery childcare supports transport and facilities Put named actions in place to ensure that both women and men will benefit equally; Consider if additional progression supports are needed for particular group

23 S&E Regional OP Implementation Plan 1.2 Operational Programme S&E Regional Operational Programme Priority Innovation & the Knowledge Economy Theme Development of the Regions RTDI Capacity Sub-Theme Building the Research Capacity & Capability within Higher Education Institutions ERDF Certifying Body Department of Finance Managing Authority S&E Regional Assembly Intermediate Body Department of Education and Skills Level 1 Public Body Higher Education Authority (HEA) Grant Rate Aid will be in accordance with Regional Aid rates 2007 to EU Co-financing Rate 40% Description The intervention will focus on enhancing the research capacity and capability within the higher education institutions to support its continued development and the translation of knowledge for regional and local development. The sub-theme comprises Research equipment funded under the dedicated Research Equipment Renewal Scheme Research spaces funded under the Research Facilities Enhancement Scheme. Objectives The Operational Programme will support the objectives of the Strategy for Science, Innovation and Technology and will Provide high quality and strategically relevant research and capacity in higher education institutions in the region. Enhance the collaboration and networking across the higher education institutions so as to optimise return on investment. Strengthen the training of researchers. Strengthen the culture of intellectual property capture and management among research performers at a laboratory level within regional higher education institutions. In achieving these objectives due regard will be had at all times for the promotion and safeguarding of cross cutting issues of gender equality and environmental sustainability.

24 Responsibilities of Intermediate Body The Intermediate Body in respect of this theme is the Department of Education and Skills which works closely with the Higher Education Authority (HEA) in discharging some elements of its mandate under this intervention. Responsibilities that are shared with the HEA are flagged in this section of the document. The Intermediate Body has overall responsibility for procuring resources from Government to enable the undertaking of necessary expenditure associated with this intervention. It is accountable for all State funding voted expenditure incurred within the sector including expenditure associated with the intervention. Allied responsibilities in this regard include monitoring expenditure throughout the year in the interest of optimising available resources and speedy delivery. Arising from these actions, the Intermediary Body makes the necessary arrangements for expenditure programmes in each succeeding year having provided initially for discharging contractual liabilities. For projects with a capital component, the Intermediate Body details procedures that institutions are required to address as part of the needs validation processes. For projects costing in excess of 5m, these include a preliminary appraisal of the need to establish that a sufficiently robust basis exists before proceeding to undertaking more comprehensive needs assessments including conducting a full cost benefit analysis where the value of the project exceeds 30m. The Intermediate Body outlines the requirements that institutions accessing State capital under the intervention are required to be addressed at project implementation stage. These include addressing procurement regulations, appropriate forms of contracts to be used, addressing tax requirements (C2 certificates / tax clearance certificates) and publicity requirements. The Intermediate Body is also responsible for conducting transaction tests of the Level 1 Public Body as part of the spot checks cascade. The Intermediate Body completes and submits Forms B2 to the Managing Authority to enable the drawdown of aid. In conjunction with the HEA, the Intermediary Body is responsible for determining the scope of both the Research Equipment Renewal Scheme and Research Facilities Enhancement Scheme An administrative agreement has been prepared between the Managing Authority and Intermediate Body which sets out in detail the responsibilities of each level. Further subdelegation to the Level 1 Public Body will be documented. Responsibilities of Level 1 Public Body The Level 1 Public Body in respect of this theme is the Higher Education Authority (HEA) which is the body with overall responsibility for the management of all research in higher education institutions under the Strategy for Science Technology and Innovation (SSTI).

25 The Level 1 Public Body works closely with the Intermediate Body to determine the shape and details of research measures that come within the ambit of the intervention. Accordingly, following agreement of the scope of a research measure with the Intermediate Body, the Level 1 Public Body draws up the detailed call for proposals or the governing terms and conditions of the scheme. In doing so, the Level 1 Public Body details all necessary measures that are required to be addressed as part of the application process as well as detailing the award criteria to be used to aid project selection. In effect, it assumes full responsibility for managing the measure or scheme on behalf of the Intermediate Body and is therefore the first point of contact for universities, institutions of technology and other eligible institutions. The Level 1 Public Body is likewise responsible for assessing all applications received in respect of a scheme. In doing so, it is responsible for ensuring that each application addresses prescribed needs validation requirements as appropriate including preparation of a cost benefit analysis for projects with an indicative capital value in excess of 30m. It is responsible for making awards under schemes using predetermined and published award criteria. It is also charged with keeping the Intermediate Body aware of all significant developments as a scheme evolves including details of awards, anticipated outputs, performance indicators, profiles of anticipated expenditure, and periodic progress reports as required by the Intermediate Body. Day to day management and execution of projects are devolved to individual institutions with the Level 1 Public Body monitoring and evaluating progress. Where delays or difficulties may emerge, it liaises with individual institutions to overcome such difficulties. The Level 1 Public Body disburses funding that it accesses from the Intermediate Body to institutions and in doing so is required to ensure that the taxation, publicity and procurement matters have been addressed. It performs spot checks as part of the transaction testing cascade and it completes and forwards Forms B 1 to the Intermediate Body to enable the drawdown of ERDF aid. Contribution to Horizontal Themes All programmes require proofing having regard for gender equality and environmental sustainability. In regard to gender equality, at project selection stage the composition of an independent selection committee appointed by the intermediate body to adjudicate on proposals, there is a commitment to ensuring that the Committee is gender balanced. Likewise, institutions are encouraged to have regard for gender equality in the composition of internal assessment boards tasked with formulating institutions proposals. Similarly institutions are encouraged to promote gender equality in the recruitment of researchers. The EU principle of gender mainstreaming applies and applicants are encouraged to take action to encourage female leads on research projects and shall be required to report the

26 ratios of males to females working on projects. However, evaluation of research proposals is based purely on the scientific and technical merit of proposals. Funded projects are asked to report on the breakdown of male/female researchers engaged in the funded research and this will be reported on. In relation to environmental sustainability, currently projects deriving capital supports that require local authority planning consents are required to comply fully with all conditions prescribed in the consent. These would usually address some environmental issues including integrating the design of the new facility with the existing built environment, the treatment of surface water and management of waste. Over the period of the measure, consideration will be given to detailing emerging innovative measures that support and promote environmental sustainability. These include employing energy efficiency designs that maximise natural light and ventilation, encouragement of the use of renewable energy sources and reduction in CO2 emissions. Research Equipment Renewal Grant Scheme (RERGS) Scheme overview 2007 The research equipment renewal grant scheme represents a considered response to SSTI identified deficits with existing research infrastructure including equipment and a HEA/Forfás Research Infrastructure Review conducted by an Independent International Steering Committee. The Committee recommended the establishment of an equipment grant scheme. RERGS was part of a coordinated call for equipment proposals that was extended from three agencies that support science research in Ireland: Enterprise Ireland (EI), the Higher Education Authority (HEA) and Science Foundation Ireland (SFI). The roles of the Intermediary Body, the Beneficiary Body and the contribution of the measure to horizontal themes is as detailed above for this theme. Selection Process Under the Research Equipment Renewal Grant Scheme, funding was made available to HEI s for the replacement, updating and renewal of research equipment in August The funding was non-prescriptive in nature and allocations were made on a per capita basis, according to the number of FTE Masters and PhD students in each HEI, as per the 2006 DES student number returns. HEI s were asked to submit to the HEA the list of research equipment to be purchased under the scheme before year end 2007 and once approved, funding was transferred in December 2007 on the basis of irrevocable commitments. Awards were subject to a range of terms and conditions including the following: The renewal or acquisition of dedicated individual items of research equipment costing more than 15,000 and less than 1m. Equipment over 1m was ineligible under the scheme - eligible under PRLTI.