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1 Supported by Powered by Funded through APPLICATION GUIDELINES DENGUE TECH CHALLENGE 2016

2 DENGUE TECH CHALLENGE 2016 Application Guidelines Jointly powered by PlaTCOM Ventures and the British Council Contents 1. INTRODUCTION PROGRAMME FRAMEWORK AMOUNT PLEDGED PROGRAMME TIMELINE UK-MALAYSIA MATCHMAKING PLATFORM APPLICATION FORM AND SUBMISSION FUND AGREEMENT FUND DISBURSEMENT PROJECT MONITORING AND EVALUATION SELECTION PROCESS INTELLECTUAL PROPERTY RIGHTS (IPRs) ETHICS AND RESEARCH GOVERNANCE DATA PROTECTION ENQUIRIES

3 1. INTRODUCTION Dengue fever is a viral infectious disease transmitted by mosquitoes. Despite concerted dengue control programs, dengue fever remains a major public health challenge in Malaysia. According to the World Health Organisation (WHO), as of 20 June 2015, there were 53,823 cases of dengue with 158 deaths reported in Malaysia in This is 34% higher compared to the same reporting period in In one specific period, from 14 to 20 June 2015, there were 2,348 cases of dengue reported, which was 8.6% higher than the number of cases reported in the previous week. Despite continuing efforts in fighting this disease, prevention and control efforts face many challenges and, to date, the approaches have largely been reactive. This initiative aims to support proposals for collaborative projects that bring together experts from Malaysia and the United Kingdom to focus on commercialisation of dengue-related research and products in Malaysia. This initiative aims to: support commercialisation of dengue research between organisations in Malaysia and the United Kingdom provide proactive solutions to dengue outbreaks in Malaysia provide a platform for industry-academia commercialisation collaboration activities in Malaysia and the United Kingdom Proposals may focus, but are not limited to, the following areas: 1. Prevention Vector Control, Vaccination 2. Diagnostic Test kit 3. Patient Management Medication, System 4. Others About Newton-Ungku Omar Fund The Newton Fund is a 375 million fund which, through science and innovation partnerships, promotes the economic development and welfare of poor people in partnering countries. It is part of the UK s Official Development Assistance (ODA) and aims to strengthen science and innovation capacity and unlock further funding to support poverty alleviation. It is delivered through 15 UK delivery partners in collaboration with 15 partner countries. Activities are in three broad areas: People: increasing capacity for science and innovation in partner countries. Research: research collaborations on development topics. Translation: creating collaborative solutions to development challenges and strengthening innovation systems. 3

4 For more information visit: and follow via Twitter: About the British Council The British Council is the UK s international organisation for cultural relations and educational opportunities. We are on the ground in six continents and over 100 countries, bringing international opportunity to life, every day. Our work in Science and Research links scientists globally and provides information for international researchers on jobs and funding in the UK. Equally, we encourage grass-roots discussion of science and sustainability issues. About HIP2 High Impact Programme 2 addresses innovation gaps through a holistic and 'market-driven' approach, supporting innovation and industrial competitiveness. It is designed to remove market and financing barriers to innovation. The major benefits of this innovative commercialisation model will be reducing the risks involved for SMEs to develop products and services with lower costs and faster time-to-market, leveraging trusted technologies from across Malaysia and overseas and receiving technology transfer and commercialisation support to further develop innovation. About PlaTCOM Ventures PlaTCOM Ventures Sdn Bhd is the national technology commercialisation platform of Malaysia. It is a wholly-owned subsidiary company of Agensi Inovasi Malaysia (AIM) formed in collaboration with SME Corporation Malaysia under one of its six High Impact Programmes (HIPs) in the SME Master Plan PlaTCOM Ventures is designed to discover and support innovations wherever they may be, assess ideas very critically, explore them systematically, and turn the best ones into successful products and services. Rather than following traditional technology transfer models, PlaTCOM Ventures has designed a model that facilitates any segment of the entire commercialisation process (end-to-end facilitation) from idea to products and services. The whole approach is market driven in supporting industrial innovation and competitiveness. The model is more suited to the innovation environment in the South East Asia region, providing commercialisation support for fledgling businesses, innovators and entrepreneurs including those from academia and public research institutes. 4

5 2. PROGRAMME FRAMEWORK UK funding will be via the Newton-Ungku Omar Fund, under the British Council and Malaysian funding will be via the High Impact Programme 2 (HIP2)/Concept-to- Commercialisation Gap Fund (CCGF) under PlaTCOM Ventures. All UK applicants will be funded and facilitated by the British Council and all Malaysian applicants will be funded and facilitated by PlaTCOM Ventures via the Lead applicant. UK funding will be disbursed to principal applicants of UK winning teams. Malaysian funding will be disbursed to principal applicants of Malaysian winning teams. Project duration Projects can commence from 1 June 2016 and run until 31 May The maximum duration is 24 months. Eligibility The minimum composition of a team is one Malaysian principal applicant AND one UK principal applicant. Both of the Principal Applicants institutions/organisations (the Lead Organisations ) must have the capacity to administer the grant. There can only be two Principal Applicants (one each from Malaysia and the UK, countryspecific eligibility criteria are listed below) but if it will add value to your Team, you can invite Associate Partners, from either Malaysia or the UK, to join your team. Inclusion of Associate Partners is optional and there is no limit to the number of Associate Partners, but please note that the Principal Applicants are responsible for the deliverables of the entire project. Associate Partners can participate and join a team with various roles including IP provider/licensor, consultant, developmental research partner, etc. PlaTCOM Ventures and the British Council will only be working directly with Malaysian and UK Principal Applicants, respectively. The proposed project must contain elements of technological innovation leading to commercialisation of dengue innovative products, processes and services. There is no restriction as to where the proposed project is in the commercialisation process; however, it must be demonstrated that the innovation has stalled due to lack of funding to cross a specific market barrier. The Principal and Associate Applicants (team members) must be competent in undertaking the proposed project. CVs of the project leader and each team member as well as any other supporting documents must also be submitted along with the application form. 5

6 Specific eligibility criteria for the UK Principal Applicant: a. A not-for-profit higher education institution with the capacity to undertake highquality research; b. A not-for-profit research organisation with the capacity to undertake high-quality research 1 ; c. Principal Applicant must be Leading Researchers 2 or Established Researchers 2 ; d. Maximum grant for total of all UK applicant(s) per winning team is GBP180,000. Specific eligibility criteria for the Malaysian Principal Applicant: a. Principal Applicant must be a Malaysian majority-owned (minimum of 51% equity) Small and Medium Enterprise (SME) based on the definition 3 by SME Corp; b. Principal Applicant must have a minimum paid-up capital in cash of RM 10,000. Start-up companies are exempt from this stipulation but must provide justification and supporting documents regarding their sustainability. ability to sustain; c. None of the company directors or project team members have been convicted of any fraudulent activities or the company been declared bankrupt, under liquidation or placed under receivership; d. Maximum grant for total of all Malaysian applicant(s) per winning team is MYR1,200,000. In order to support the translation of research and innovation into benefit, Principal Applicants are encouraged to include Associated Partners in their proposals. a. Other research or higher education establishments b. Not-for-profit organisations (including non-governmental organisations (NGOs)) c. For-profit/commercial organisations, including small and medium enterprises (SMEs) d. Individuals (subject matter experts, technology owners, etc.) UK for-profit organisations and not-for-profit organisations (other than not-for-profit higher education institutions or research organisations) are not eligible to apply as Principal Applicants. Furthermore, for-profit organisations and individuals are not eligible to receive any grant funds except to cover travel-associated costs. 1 Please see the list here _eligible_uk_research_organisations_-_version_1april_2015.pdf for a list of eligible UK research organisations. 2 For an indication of profiles for the two categories, we suggest applicants refer to the European Commission document Towards a European framework for research careers s_final.pdf. 3 Please view this document for the latest definition: ( 6

7 Principal Applicants may submit more than one application provided that each application is on a different dengue-related technology. However, assessment will be conducted based on Principal Applicants and each Principal Applicant only stands the chance of winning the Challenge through ONE application, the one reviewed by our assessment panel as the best. Scopes of funding covered: COMPONENT OF FUNDING The funding components consist of two sections. Section One (i to viii) is costs for Malaysian applicants and Section Two (ix to xii) is costs for UK applicants. Section One: Costs for Malaysia only i. Proof-of-concept (POC) and prototype development ii. iii. iv. Productisation (industrial prototype development or redesigning the product as per regulatory requirements) Licensing support Testing & validation v. Regulatory (certification) vi. vii. viii. Technical assistance (Consultancy) Sector-specific market intelligence Incubation services (12 24 months) Section Two: Costs for UK only ix. Human resources cost x. Other-research related costs (equipment, consumables, access to facilities/ library services, fieldwork) xi. xii. Operational costs (travel & subsistence, visa fees, medical insurance for visitors, meetings & events, interpreters & translation) Communication costs (publications, website, public engagement events) 7

8 Costs for Malaysia only i. Proof-of-Concept and Prototype Development Proof-of-concept refers to the body of evidence (mostly a working prototype) that needs to be produced in order to prove that the invention actually works. For many inventions, proof-of-concept can take place at two occasions along the commercialisation value chain. The first occurs at very early stages from idea to proof-of-concept where a research-grade prototype is produced (mostly within the university or the research institute). The second occasion is when the research prototype needs to be redesigned to an industry prototype that can actually be scaled up and sold in the market. The fund will address both stages but under different categories. The research prototype will be funded under the Proof-of-Concept and Prototype Development category and the industry prototype under the Productisation category as described below. ii. iii. iv. Productisation Productisation refers to the process of taking the research prototype and designing in all the details to ease manufacturability and lower costs, and can also include any changes to make the product more sellable or appealing to the market. Thus the research prototype is transformed into an industry prototype that may or may not be refined further down the commercialisation value chain through testing and validation, regulatory certification and customer feedback once the product hits the market. Licensing Support (in-licensing) In-licensing is the mechanism by which SMEs acquire Intellectual Property Rights (IPRs) from external research organisations such as universities and public research institutes as well as other entities (such as other SMEs, large companies and MNCs). The acquired rights for the IPRs are used for developing new products or improving existing products that confer the licensee SME to gain a competitive advantage. Testing and Validation Testing and validation is the process of ensuring that a design meets requirements. Testing (also called verification ) confirms that products properly reflect the requirements specified for ensuring that you built it right. Validation confirms that the product, as provided, will fulfil its intended use, ensuring that you built the right thing. The risk of unexpected bottlenecks can be reduced if testing and validation services can be identified and accessed early on during the product development process. 8

9 v. Regulatory (Certification) Compliance with state, local and federal regulations is critical in obtaining certification for marketing and distribution of new products and services. Most products fail in the Malaysian market due to the lack of awareness of regulatory certification bodies and the process by which certification can be obtained. vi. vii. viii. Technical Assistance (Consultancy) SMEs in-licensing IPRs may need technical assistance from elsewhere to integrate the in-licensed IPRs into their new or existing products under development. This can be sourced from universities, external consultants (local or overseas) and other experts. The usual route by which technical assistance is obtained is via consultancy. Sector-Specific Market Intelligence Provision of access to specialised sector-specific market data and market information services including market intelligence reports, business models, and specialised training in order to help the SME to strategise their business model and thereby maximise the chances of commercial success through thorough planning. Such intelligence enables the companies to make informed decisions as well as to identify any unexpected market challenges. Incubation Services (Only applicable for Malaysian Principal applicant) Business incubation provides SMEs and start-ups with the ideal location to develop and grow their businesses, offering everything from virtual support, rent-a-desk through to state of the art laboratories and everything in between. This fund can be used to pay the fees and expenses required under incubation services throughout the project duration. Costs for UK only ix. Human resources costs Human resources costs that are essential, appropriate and relevant to the collaboration (including costs of national insurance, pensions etc.), including but not limited to: Temporary research personnel dedicated to the project (full- or parttime) Research assistant salaries or fees Research and data collection staff in the partner country 9

10 x. Other-Research Related Costs Essential research equipment 4. The purchase cost of individual pieces of equipment should be below 5,000. Purchase of equipment with an initial cost of 5,000 or above must be agreed in advance with the British Council. Consumables 5 (including scientific software licences dedicated to the collaboration) Access fees to facilities or library services. xi. xii. Operational Costs Travel & subsistence, Visa fees, medical insurance for visitors, Meetings & events, Interpreters & Translation Costs of meetings, training events, seminars and conferences integral to the collaboration (e.g. short-term room hire, projector, flip charts) Basic catering costs associated with events or meetings directly relating to the collaboration Travel (economy class) and subsistence costs in line with British Council policies Visa fees, vaccinations, medical insurance for travel essential to the collaboration, to the partner country Bank charges for transfer of funds from the Lead Institution to Associated Partners to cover their costs (only travel and expenses in the case of for-profit organisations). Communication Costs Publications, Website, Public Engagement events, Interpreters & Translation Publication costs and associated publishing and communications costs (including web page development by external providers, if appropriate) directly related to the collaboration; we particularly encourage open access publishing Note for UK applicants To ensure value for money, the budget requested in your proposal (including human resource costs) should cover only costs that are essential, appropriate and relevant to the collaboration. The proposal should maximise cost share through direct and indirect institutional contributions, other funding sources, and 4 Budget requests pertaining to these costs have to include any VAT costs, delivery and installation

11 private sector support. Please indicate in the budget spreadsheet (and application form): Funds which the participating institutions will contribute from their own funds (itemised as in-kind contribution ), including staff time Funds applied for from other sources to cover the collaboration; please clarify the status of the funding applications (i.e. successful; decision pending). Please indicate when you will know the outcome of any pending applications. There is no minimum requirement for in-kind funding in the application, but these contributions will be looked upon favourably as a demonstration of long-lasting commitment to the programme. The grants cannot cover: Staff time or replacement costs for permanent members of staff. It is expected that these costs are covered by participating institutions/organisations as an in-kind contribution. Tuition fees Bench fees Costs relating to the construction, procurement or rental of physical infrastructure (e.g. office buildings, laboratory facilities). It is expected that any rooms and facilities essential for the routine operation of collaboration are provided as an in-kind contribution by the participating institutions, and these can be detailed as an in-kind contribution in the budget breakdown. Purchase or rental of office equipment (e.g. IT hardware, office software, desks, chairs, filing cabinets, photocopiers, fax machines) Patents or related costs (see Annex 1 for exceptions) Costs related to writing up previous research Mobile phone rental or purchase Entertainment costs Other indirect costs not listed above 3. AMOUNT PLEDGED UK funding pledged by the British Council for this Challenge is GBP 500,000 and Malaysian funding pledged by PlaTCOM Ventures is MYR 3,000,

12 4. PROGRAMME TIMELINE DATE 4 Jan Mar 2016 (6.00pm Malaysia, UTC +8:00) ACTIVITIES Call for Applications goes live, interested Applicants register Application submission closes 30 Apr 2016 Successful applicants informed 31 May Jun May 2018 Project period Grant Agreement signed and grant disbursement conditional upon Collaboration Agreement signing 5. UK-MALAYSIA MATCHMAKING PLATFORM From the time the Call for Applications goes live, interested Applicants need to register on the web platform 6 supported by PlaTCOM Ventures. Malaysian and UK applicants need to identify fellow team members (UK or Malaysian counterparts, respectively). To facilitate this, the web platform will allow uploading of profiles which are accessible to all applicants who have registered. Applicants can send out invitations to other applicants to join their team via this platform and from there they are required to self-initiate the match-making process by engaging and contacting the relevant applicants based on the field of technology, expertise, commercialisation readiness, etc. Upon successful self-initiated match-making, the Applicants form a Team and determine the activities to be undertaken under the joint project by the respective parties in order to deliver on commercialisable dengue solutions. Based on the understanding established amongst all members of the Team, a joint Application Form is completed and submitted by either the Malaysian or UK Principal applicant. This will later be formalised in the form of a Collaboration Agreement to be signed by all team members if the Application is successful. 6. APPLICATION FORM AND SUBMISSION The Application Form is to be jointly completed by all Team members (i.e. all UK and Malaysian applicants) and should clearly demonstrate the scope of the

13 activities to be undertaken under the project by the various team members. The Form can be found on our web platform. The completed Application Form is to be submitted by uploading it to the web platform and clicking on Submit Application. The submission is only possible after a Team (minimum composition of one Malaysian Principal Applicant and one UK Principal Applicant) has been set up via the web platform. Only Principal Applicants can submit the Form. Along with the completed Application Form, both Malaysian and UK Principal Applicants must submit the following documents: DOCUMENT SUBMISSION Malaysian/UK Principal Applicants Duly signed copy of the completed Application Form A detailed budget request using the budget spreadsheet provided CVs of all project personnel involved in the execution of the project Gantt Chart for proposed project timeline, activities, milestones and deliverables Malaysian Principal Applicant only Certified true copies of Form 9, Form 24, Form 44, and M&A of the Applicant company Certified true copy of the Applicant company s latest audited accounts / management accounts for the last three (3) years) (Malaysian lead applicant) 5-year Financial Projection (Income statement, balance sheet and cash flow) Other attachments (e.g. supporting documents such as Letter of Intent, Letter of Interest, Technology/IP Licensing/Transfer Agreement, etc.) UK Principal Applicant only Supporting letter, on headed paper, signed by the Head of the institution or person with appropriate delegated authority, giving specific commitment to the project. Supporting letters are not to be signed by the Principal Applicants. 7. FUND AGREEMENT Successful UK Applicants will sign a binding grant agreement between winning UK Principal Applicants and the British Council. Winning Malaysian Principal Applicants will sign a binding grant agreement with PlaTCOM Ventures. 13

14 The Fund Agreements detail the terms and conditions of the funding, based on the project proposed in the Application Form. All Fund Agreements are to be signed by 31 May 2016 with the British Council and PlaTCOM Ventures, respectively, and the following must be submitted by each successful Team: a. Collaborator Agreement amongst all team members defining among others, the scope of work, roles, responsibilities and contribution of each team member, IP sharing agreement amongst members both background and foreground. (If a template is required for reference, please inform PlaTCOM Ventures in advance as this can be provided to all winning teams) b. Technology Transfer/Licensing Agreement between the Technology Provider and the Team or a particular Member, as agreed upon in the Collaboration Agreement above (if relevant) c. Consultancy Agreement between Consultant(s) and the Team or a particular Member, as agreed upon in the Collaboration Agreement above (if relevant). The Fund Agreements shall preclude any other arrangements by the team members which are not declared in the Agreement. Throughout the duration of the project, amendments may be made to the Agreement with the written consent of the British Council, PlaTCOM Ventures and the team members. 8. FUND DISBURSEMENT Fund disbursement for the winning UK Principal Applicants will be made in stages by the British Council to the UK Lead Institutions. The amount awarded may be less than the amount requested in the application. All budget requests are assessed and amended if necessary to ensure the grant payment does not exceed the maximum rates. The British Council will pay 70% of the grant award within 30 days of receipt of the signed Grant Agreement. Please note that the grant can only be paid to a bank account belonging to your institution. The remaining 30% of the grant will be processed pending the receipt and assessment of the Final Report. Fund disbursement for the winning Malaysian Principal Applicants will be made by PlaTCOM Ventures in stages according to the terms of the CCGF Agreement. An initial payment will be disbursed upon execution of the project. The up-front initial payment is strictly to be used to cover activities listed in the CCGF Agreement for the achievement of the first milestone only. PlaTCOM Ventures has the absolute 14

15 discretion to review the grant approval or the aggregate amount to be disbursed for the project. Subsequent disbursements of the fund will be: reimbursements of spent amounts, based on the work completed in the project according to the pre-determined milestones and deliverables, and based on the completion of the due diligence by PlaTCOM Ventures. 9. PROJECT MONITORING AND EVALUATION Project monitoring and evaluation of winning UK Principal Applicants will be conducted by the British Council. Detailed instructions of the recipients responsibilities in fulfilling the project monitoring and reporting requirement will be shared with successful applicants. Project monitoring and evaluation of winning Malaysian Principal Applicants will be conducted by PlaTCOM Ventures Project Management Team to ensure that all criteria are adhered to accordingly. The British Council and PlaTCOM Ventures reserve the right to suspend or withdraw any commitment or support if there is non-compliance by any team member. The Principal Applicants are required to submit all supporting documents as specified in these Guidelines. All parties in the Team must give full cooperation to achieve the set objectives, milestones and deliverables as stipulated in the Collaborator Agreement, regardless of the respective schedules of the Principal Applicants with PlaTCOM Ventures and the British Council. 10. SELECTION PROCESS Selection begins with an eligibility check against the eligibility criteria given in these Guidelines. Eligible proposals then undergo a quality review on the basis of: Strength and quality of IP/innovation, Market readiness, Strength of project team and management, Company structure (where relevant), Sustainability and capacity building, Unmet market need, Likelihood of first sales upon completion, 15

16 Lined-up customers engaged, Relevance to economic development and social welfare, Ease of market access, Quantum of funding against project benefits (value for money), In-kind resources, Financial projection, etc. The assessment process will be as follows: Assessment and scoring by the UK and Malaysia experts. The Review Panel considers whether proposals are of high quality (being intellectually innovative, well-focused and methodologically sound), and whether the activity has the potential to have a real impact on economic development and social welfare in Malaysia Review of development relevance against Official Development Assistance 7 (ODA) definitions established by the OECD and guidance developed by the Newton Fund with advice from the UK Department for International Development Applications received by 29 February 2016 STAGE 3 Steering Committee assessment STAGE 1 Eligibility Check by British Council and PlaTCOM separately STAGE 2 Score Assessment by Panels 7 For more on our approach to ODA, please see 16

17 11. INTELLECTUAL PROPERTY RIGHTS (IPRs) The IP generated under this project is encouraged to be protected by the suitable IPR protection. The IP rights of the project shall be wholly owned by the team members as stipulated in the Collaborator Agreement. All Intellectual Property Rights shall remain the exclusive property of the owning party. It is the responsibility of the Recipient, and all engaged in the research, to agree between themselves in good faith negotiations regarding the ownership of jointly developed intellectual property (IP) rights and to make every reasonable effort to ensure that any new Intellectual Property Rights obtained in the course of the research are used to the benefit of society and to address poverty. All members will have to warrant in the Fund Agreements that the delivery of the Project does not and will not infringe any third party s Intellectual Property Rights 12. ETHICS AND RESEARCH GOVERNANCE It is essential that all legal and professional codes of practice are followed in conducting work supported by this Programme. Applicants must ensure the proposed activity will be carried out to the highest standards of ethics and research integrity. In the Application Form, they must clearly articulate how any potential ethical and health and safety issues have been considered and how they will be addressed (under the Project Risk section), ensuring that all necessary ethical approval is in place before the project commences and all risks are minimised. Specifically, applications that involve research on animals, human participants, human tissue or patient/participant data must be accompanied by necessary permission certificates from the relevant local ethical review committees/authorities in Malaysia and the UK, or an effort to obtain this permission in advance of the activity commencing. Failure to do this will result in applications being rendered ineligible and any funding already committed through this Programme being rescinded. Please refer to the Research Councils UK Policy and Guidelines on Governance of Good Research Conduct ( for further guidance. 17

18 13. DATA PROTECTION As part of the application submission, the British Council and PlaTCOM Ventures Sdn. Bhd. will ask applicants for permission to: Use the information provided in the application for processing the application and making any consequential award for the award payment, monitoring, maintenance and review of the award. Information will be shared with national Programme partners for the purpose of selection and monitoring of the award. Make information on the successful applications available to the public on their website and other publicity, and in reports and documents. Contact applicants in the future to inform them about future British Council and PlaTCOM Ventures Sdn. Bhd. opportunities. 14. ENQUIRIES All enquiries from the UK can be directed to: British Council Ground Floor, West Block, Wisma Selangor Dredging 142C Jalan Ampang Kuala Lumpur T: +60 (0) E: All enquiries from Malaysia can be directed to: PlaTCOM Ventures 3501, Level 3, Quill Building 3, Jalan Teknokrat 5, Cyberjaya, Selangor, Malaysia T: E: 18