Partnerships Scheme. Call for Proposals

Transcription

1 Partnerships Scheme Call for Proposals 2017

2 The material contained in this report is subject to Crown copyright protection unless otherwise indicated. The Crown copyright protected material may be reproduced free of charge in any format or media without requiring specific permission. This is subject to the material being reproduced accurately and not being used in a derogatory manner or in a misleading context. Where the material is being published or issued to others, the source and copyright status should be acknowledged. The permission to reproduce Crown copyright protected material does not extend to any material in this report that is identified as being the copyright of a third party. Authorisation to reproduce such material should be obtained from the copyright holders.

3 Contents THE PARTNERSHIPS SCHEME 1 The Focus of the Partnerships Scheme and Future Direction 1 What Funding is Available? 1 Who Can Apply? 2 Further Information 2 THE APPLICATION PROCESS 4 Key Dates 4 DEVELOPING YOUR CONCEPT 5 Key Reference Documents 5 Tips for Writing a Good Concept 5 The Executive Summary 5 Concept Details 6 HOW YOUR PROPOSALS WILL BE ASSESSED 7 Concepts 7 Full Proposals 7 Eligibility Requirements 7 Investment Priorities 7 Assessment Criteria 7 Contracting 8 Conflicts of Interest 8 Meeting the New Zealand Government Data Requirements 8 SUBMITTING YOUR CONCEPT TO MBIE 10 MBIE s IMS Portal Access/Registration 10 APPENDIX ONE: TERMS AND CONDITIONS RELATING TO THIS CALL FOR PROPOSALS 17

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5 The Partnerships Scheme 1 This Call for Proposals invites applicants to submit Concepts to be considered for Partnerships funding. It is one of a suite of key documents (listed below) that provide information to help you develop and submit a Concept for Partnerships funding: > Partnerships Gazette Notice > Partnerships Investment Plan > National Statement of Science Investment Partnerships have existed in some form since 2002 to support longer-term, sector-led research, science, or technology, or related activities in the form of partnerships across industry and research organisations. In November 2016, the Government revised the Partnerships Scheme to align it with the ten-year vision set out in the National Statement of Science Investment , and to improve the processes underlying Partnerships investments. The Partnerships Scheme supports high-quality research aimed at increasing the competitiveness and sustainability of New Zealand s economy. It strengthens ties between research organisations and research users, particularly industry, by supporting them to establish a long-term research programme. Partnership members determine the research they will undertake, so the research is driven by an industry or sector s needs. The Focus of the Partnerships Scheme and Future Direction The focus and role for the Partnerships Scheme is: > investment for long-term, sector-led transformative impact; > a contestable and predictable funding process; > decisions based on excellence and impact. Investments will follow the direction set out by the National Statement of Science Investment, which includes: > a more diversified portfolio mix of sectors; > an increased focus on excellent research, with high potential impact for New Zealand; > a stronger emphasis on delivering greater impact through higher risk, longer term horizon two science; > greater sector investment and participation in research and development; > giving greater effect to Vision Mātauranga. The Partnerships Investment Plan is essential reading to help you understand and address the priorities of the Scheme in your application. What Funding is Available? It is anticipated that about $3.7 million per year of Partnerships funding will be invested in 2017/18, this would commit up to $25.9 million over the next seven years. Around $3.7 million will be available each subsequent year available for the period ending 2020/ The final amount of funding available each year from 2018/19 will depend on the amount allocated by the Science Board, as well as the length of contracts, and future government budgetary decisions. An updated figure for Partnership investments will be released each year in a revised Partnerships Investment Plan. Partnerships will be limited to two terms of no more than seven years each. The minimum level of investment is $1 million per year in total (i.e. government funding plus sector co-funding). In the first term, the partnership will need to contribute at least 60 per cent of the total funding over the life of the contract, and government will contribute no more than 40 per cent. Contributions must be cash rather than in-kind. A typical level of investment from government is $1.2 million per year. 1 All financial information in this document is exclusive of GST

6 2 Who Can Apply? Eligibility criteria are set out in the Partnerships Gazette Notice, The Gazette Notice can be found attached to the Partnerships Investment Plan or accessed through the Gazette website; notice number 2016-go6373. It is important to note that the eligibility criteria limit Partnerships funding to two terms of up to seven years each. New Partnerships must have a substantively different research objective from previously funded programmes. Further explanation is set out under Funding Arrangements on page 13 of the Partnerships Investment Plan Further Information Phone Concept queries: partnerships@mbie.govt.nz Portal queries: imssupport@mbie.govt.nz (Monday to Friday, 8:30am to 4:30pm) You can also subscribe to MBIE s Alert e-newsletter.

7 STRATEGIC SCIENCE INVESTMENT FUND: ADVANCED GENOMICS PLATFORM CALL FOR PROPOSALS CONCEPTS Section 1: The Application and Assessment Process

8 4 The Application Process Partnerships investment involves a two-stage application process. STAGE 1 Concept Submit Concept Assessment of Eligibility and fit with Investment Priorities Successful Applicants Invited to Submit a Full Proposal STAGE 2 Full Proposal Submit Full Proposal Eligibility Check Assessment of Excellence and Impact Applicants Notified of Funding Decisions The Partnerships application process Stage One: Stage Two: Concepts Interested parties are invited to submit a Concept. The Science Board will assess these against the: > eligibility requirements, and > fit with the investment priorities. Eligibility requirements and investment priorities are described in the Partnerships Investment Plan The Science Board will select Concepts to progress to stage two and invite the successful applicants to submit a Full Proposal. Full Proposals If invited to submit a Full Proposal it will be assessed by independent Assessors. MBIE will publish the names of Assessors on MBIE s website. The investment decisions on Full Proposals will be made by the Science Board on the basis of the: > eligibility requirements; and > fit with the investment priorities; and > assessment and additional assessment criteria as set out in the Gazette Notice, which include: Excellence; and Impact; and the policy objectives including, where relevant, the Vision Mātauranga policy; and governance and commercial arrangements. The Partnerships Investment Plan and the National Statement of Science Investment provide an important strategic context for the Partnerships Scheme. Your Concept needs to meet eligibility requirements specified in the Partnerships Gazette Notice. If it does not meet these, your Concept cannot progress to stage two, the Full Proposal. The Full Proposal will also be checked against the eligibility requirements. Key Dates Noon, 13 February 2017 March 2017 April 2017 Noon, 11 August 2017 October 2017 November 2017 Closing date for Concept applications MBIE notifies applicants of results and invites successful applicants to submit a Full Proposal MBIE IMS Portal opens for Full Proposals Closing date for Full Proposals Funding decision(s) announced Contract begins

9 Developing Your Concept 5 This following provides guidance on how to develop your Concept. Guidance on how to develop and submit a Full Proposal will be provided separately to applicants who have been invited by the Science Board to submit Full Proposals. Concepts are entered directly into MBIE s Investment Management System (IMS) a secure online portal. Refer to page 10 for details on how to access and use this portal along with a summary of the sections you will need to complete. You can prepare each section if necessary in a word processor of your choice and then copy and paste into the relevant portal section. We recommend that you familiarise yourself with the portal well before the deadline; noon, 13 February Key Reference Documents When developing a Concept, we encourage you to also consult the following reference documents: > Partnerships Investment Plan the Government s goals and priorities for investment through the Partnerships Scheme over the next three years. > The Gazette Notice: found attached to the Partnerships Investment Plan or accessed through the Gazette website; notice number 2016-go6373. > National Statement of Science Investment : the Government s ten-year vision for New Zealand s science system. > Vision Mātauranga policy: the Government s policy framework that aims to unlock the innovation potential of Māori knowledge, resources and people to assist New Zealanders to create a better future. Tips for Writing a Good Concept The Science Board will assess whether your Concept meets the eligibility requirements and if it does, they will assess the fit of your Concept with the investment priorities described on pages 9 and 10 of the Partnerships Investment Plan At this stage the Science Board will select the Concepts that it wants to progress to submission of a Full Proposal. Before developing your Concept, you are encouraged to consider the eligibility criteria in the next section and the terms and conditions relating to this Call for Proposals (see page 17). If you believe you meet the eligibility criteria and agree with the terms and conditions, then now is a good time to start thinking about the content of your Concept. In particular, make sure the content of the Concept describes how it aligns to the: > eligibility requirements for Partnerships in the Partnerships Gazette Notice; > Government s investment priorities described on pages 9 and 10 of the Partnerships Investment Plan Research supported by the Partnerships Scheme should not duplicate investment through the wider science system or research which is already underway elsewhere, either domestically or overseas. You may be in the early stages of the development of your Partnership and you may not have identified all the detail that would be required for a Full Proposal, such as the final detailed research programme, all potential funding partners and their co-funding commitments, and final governance and commercial arrangements. You should clearly describe the stage of development of your Partnership and, if successful, how much detail you expect to have confirmed in your Full Proposal. The Executive Summary The executive summary section in the IMS portal is your opportunity to summarise your vision for your Partnership and tell a compelling story about the research and science underpinning your proposed programme, the potential impact it will have and how you plan to achieve it. Structure your executive summary around your vision and the investment priorities. The best executive summaries have clearly delineated sections that describe the proposed research that would be undertaken, and benefits and pathways to implementation. It should draw on your completed Concept Details section and not introduce new material. The executive summary is limited to 280 words.

10 6 Concept Details Use this section in the IMS portal to describe your Partnership programme and how it aligns with the Government s investment priorities. Below is a summary of those sections; each should be addressed. Suggested content is provided for guidance but is not essential nor an exhaustive list of information you might want to provide. Keep your content brief but informative. The word limits for each section below exclude references. CVs are not required at this stage. Vision Mātauranga There is no specific section or question directly relating to the Vision Mātauranga policy 2 as we recommend that you consider how your Partnership will give effect to this policy in a practical and meaningful way for Māori in all your responses. 1 VISION (280 WORDS) This section allows you to set out your vision for your Partnership. In this section describe your Partnership, how it will give effect to the Government s investment goals and what will have been achieved 2, 5, and 10 years after the contract ends. 2 ALIGNMENT WITH INVESTMENT PRIORITIES This section can be used to outline how the Partnership aligns with the Government s investment priorities set out on pages 9 and 10 of the Partnerships Investment Plan > A more diversified portfolio mix of sectors (280 words) - How does your Partnership diversify the sectors involved in Partnerships, and how does it align with the investment area priorities set out in the Partnerships Investment Plan ? - List current and previous research contracts that are substantively similar to your proposed research. - If this is a new Partnership, how is the research objective different from any previous Partnership? If this is a second term Partnership, how does it build on a previous Partnership? > An increased focus on excellent research (280 words) - Describe the programme of research, science or technology or related activities. - How is it excellent and fit for the purpose of delivering the impact? - Describe the amount of scientific stretch and how it is longer term horizon two science. - Describe how you will manage or mitigate any risks identified. - List the researchers include a table of named researchers, positions, affiliations and areas of expertise (CVs are not required at this stage). > A stronger emphasis on delivering greater impact (280 words) - What are the needs that your Partnership will meet, and the scale and extent of potential benefits to New Zealand? How does this align with sector and government strategies? - How is your research intended to be taken up by end users to deliver impact for New Zealand? - If significant private benefit may accrue to an individual end user, what arrangements are to be put in place to ensure broad benefit to New Zealand? > Greater sector investment and participation in research and development (280 words) - Who is involved in the Partnership, or expected to be involved? - What cash co-funding are they expected to provide - include a table of anticipated cash co-funding and the source? - How will the Partnership increase sector participation and investment in research and development? - What are the expected governance arrangements, intellectual property or commercial arrangements and organisational structure? 2 REFERENCES List any references you have cited. These are not included in the word limit. 2 Government policy that aims to unlock the science and innovation potential of Māori knowledge, people and resources for the benefit of New Zealand. The Vision Mātauranga policy applies to all MBIE s science investments.

11 How Your Proposals will be Assessed 7 Concepts Your Concept will be assessed by the Science Board against the following: > eligibility requirements, as below; and > investment priorities, as below. It is possible that the Science Board may: > invite one or several eligible applicants to submit Full Proposal(s). > decide not to invest at any point along the process. Full Proposals If invited to submit a Full Proposal it will be assessed by independent Assessors. MBIE will publish the names of Assessors on MBIE s website. The investment decisions will be made by the Science Board against the following: > the eligibility requirements; and > the fit with investment priorities; and > the assessment criteria. It is possible that the Science Board may decide not to invest at any point along the process. Eligibility Requirements Eligibility criteria are set out in the Partnerships Gazette Notice. It is important to note that the eligibility criteria limit Partnerships funding to two terms of up to seven years each. New Partnerships must have a substantively different research objective from previously funded programmes. Further explanation is set out under Funding Arrangements on page 13 of the Partnerships Investment Plan Investment Priorities Investment priorities are set out in the Partnerships Investment Plan (pages 9 and 10). In summary, the priorities are: > a more diversified portfolio mix of sectors; > an increased focus on excellent research, with high potential impact for New Zealand; > a stronger emphasis on delivering greater impact through higher risk, longer term horizon two science; > greater sector investment and participation in research and development; > giving greater effect to Vision Mātauranga. Assessment Criteria Full Proposals assessed to be eligible and aligned with the investment priorities will be assessed against the Assessment Criteria set out in the Partnerships Gazette Notice: > Excellence; and > Impact. In addition to the excellence and impact criteria, the Science Board will take into account the following Additional Assessment Criteria set out in the Partnerships Gazette Notice: > the policy objectives including, where relevant, the Vision Mātauranga policy; and > governance and commercial arrangements.

12 8 Contracting If the Science Board decides to invest in your proposal, MBIE will enter into an Investment Contract with your organisation (subject to any pre-contractual conditions being met). An Investment Contract pro-forma will be made available at the Full Proposal stage. MBIE will only enter into an Investment Contract with a New Zealand based legal entity. The Science Board may: > set pre-contractual conditions that must be met before MBIE and the applicant organisation can enter into an Investment Contract > vary the funding allocated from that requested. Conflicts of Interest MBIE will publish the names of Assessors on MBIE s website before Full Proposals are assigned to Assessors so you must check for, and advise MBIE of, any potential conflicts of interest. An MBIE Alert will be issued when Assessor names are posted on MBIE s website. If you identify that an Assessor has either a direct or an indirect conflict of interest, you must notify MBIE by ing partnerships@mbie.govt.nz with the details for further discussion. WHAT IS CONSIDERED A CONFLICT OF INTEREST? Conflicts of interest may occur on two different levels: > A direct conflict of interest; where an Assessor is: - directly involved with a proposal (as a participant, manager, mentor, or partner) or has a close personal relationship with the applicant, for example, family members, OR - a collaborator or in some other way involved with an applicant s proposal. > An indirect conflict of interest; where an Assessor: - is employed by an organisation involved in a proposal but is not part of the applicant s proposal. - has a personal and/or professional relationship with one of the applicants, for example, an acquaintance. - is assessing a proposal under discussion that may compete with their business interests. Meeting the New Zealand Government Data Requirements MBIE is committed to ensuring that all science data generated through its investments meets minimum expectations of good data management and public availability. If you receive funding, MBIE expects you to comply with the New Zealand Government Open Access and Licensing Framework. This framework advocates the use of creative commons 3 licences. 3 Creative Commons, best known for its licenses, is a global non-profit organisation that enables sharing and reuse of creativity and knowledge through the provision of free legal tools. You can read more about Creative Commons at

13 STRATEGIC SCIENCE INVESTMENT FUND: ADVANCED GENOMICS PLATFORM CALL FOR PROPOSALS CONCEPTS Section 2: Submitting Your Concept

14 10 Submitting Your Concept to MBIE Concepts must be submitted using MBIE s Investment Management System (IMS) a secure, online portal. To make an application, you must enter your Concept directly into MBIE s IMS portal. This section provides a content guide for Concept applications and a summary of how to access and use the IMS portal. Submitting a Concept through the IMS Portal comprises two stages: 1. Registering for access to the IMS portal (only required if you do not already have access). 2. Completing four sections with key information regarding your Concept. The following is applicable for Concepts. Guidance on how to develop and submit a Full Proposal will be provided separately to applicants who have been invited by the Science Board to submit Full Proposals. MBIE s IMS Portal Access/Registration If you have not used the IMS portal before, you need to complete and a registration form to imssupport@mbie.govt.nz. On acceptance, you will receive a Username, temporary password and instruction on how to access. For returning applicants: log in using your existing username and password. If you ve forgotten this, use the I ve forgotten my password option. Five or more failed log-in attempts will automatically lock you out of the system. If this occurs, contact the Investment Operations Team and ask for your account to be unlocked. For all IMS portal queries, or call the Investment Operations Team: Phone imssupport@mbie.govt.nz (Monday to Friday, 8:30am to 4:30pm)

15 To Submit a Concept: From the Home screen of IMS portal, click the Project List tab. 2. Click the New Application button (located to the right of the screen). 3. On the resulting screen, select 2017 Partnerships from the Investment Process field. 4. Complete the required fields. We recommend that you familiarise yourself with the portal well before the deadline. Below is a summary of the questions that will be asked. SECTION QUESTIONS ELIGIBILITY Eligibility Criteria Does your Concept meet the required Eligibility Criteria? If you have answered No to any of the questions, use the space provided to explain why the criterion is not met but how you might be eligible. For example, if the majority of your research activities will be undertaken outside New Zealand, use this space to explain the reason why. APPLICATION DETAILS Summary Funding Requested How much total funding, across all years, are you requesting? Short Title Provide a meaningful short title of no more than six words. Do not use acronyms or abbreviations. Your short title will be used for everyday use and reference. Descriptive Title Provide a title that identifies the nature of your proposed activities in no more than 12 words. Do not use acronyms or abbreviations. Number of Years Funding How many years of funding are you applying for? Your Concept should cover up to a seven year period. Start and End Dates What are the dates that you envisage the Partnership going for? Start date must be after 1 November 2017.

16 12 SECTION QUESTIONS Contact Details Primary Contact Person Name & Contact Details Provide the primary contact person s name, address and a contact telephone number. MBIE will contact this person if we have any administrative questions about your Concept. Your contact person must have the mandate from your organisation to discuss the Concept with MBIE officials. They should not be the Science Leader. Secondary Contact Person Name & Contact Details In the event MBIE is not able to contact the primary contact person, we will contact the secondary contact person. Provide the contact person s name, address and a contact telephone number. The Secondary Contact Person named must be different from the Primary Contact Person named. Executive Summary The executive summary is your opportunity to summarise your vision for your Partnership and tell a compelling story about the research and science underpinning your proposed programme, the potential impact it will have and how you plan to achieve it. Structure your executive summary around your vision and the investment priorities. The best executive summaries have clearly delineated sections that describe the proposed research that would be undertaken, and benefits and pathways to implementation. It should draw on your completed Concept programme details section and not introduce new material. Word limit: 280. Note that images and tables are allowed; text inside tables is included in the word limit. Proposed partner organisations List the partner organisations. CONCEPT DETAILS Vision Vision Statement Describe your Partnership, how it will give effect to the governments' investment signals and what will have been achieved 2, 5, and 10 years after the contract ends. Word limit: 280. Note that images and tables are allowed; text inside tables is included in the word limit.

17 Alignment with Investment priorities This section can be used to outline how the Partnership aligns with the government's investment priorities set out on pages 9 and 10 of the Partnerships Investment Plan A more diversified portfolio mix of sectors A good proposal should: > How does your Partnership diversify the sectors involved in Partnerships and how does it align with the investment area priorities set out in the Partnership Investment Plan? > List current and previous research contracts that are substantively related to your proposed research. > If this is a first term (new) Partnership, how is the research objective different from any previous Partnership? > If this is a second term Partnership, how does it build on a previous Partnership? Word limit: 280. Note that images and tables are allowed; text inside tables is included in the word limit. 13 An increased focus on excellent research A stronger emphasis on delivering greater impact Greater sector investment and participation in research and development References A good proposal should: > Describe the programme of research, science and technology or related activities. > How is it excellent and fit for the purpose of delivering the impact? > Describe the amount of scientific stretch and how is longer-term horizon two science > Describe how you will manage or mitigate any risks identified. > List the researchers - include a table of named researchers, positions, affiliations and areas of expertise (CVs are not required at this stage). Word limit: 280. Note that images and tables are allowed; text inside tables is included in the word limit. A good proposal should: > What are the needs that your Partnership will meet, and the scale and extent of potential benefits to New Zealand and how does this align with sector and government strategies? > How is your research intended to be taken up by end users to deliver impact for New Zealand? > If significant private benefit may accrue to an individual end user, what arrangements are to be put in place to ensure broad benefit to New Zealand? Word limit: 280. Note that images and tables are allowed; text inside tables is included in the word limit. A good proposal should: > Who is involved in the Partnership, or expected to be involved? > What cash co-funding are they expected to provide - include a table of anticipated cash co-funding and the source? > How will the Partnership increase sector participation and investment in research and development? > What are the expected governance, intellectual property or commercial arrangements, and organisational structure? Word limit: 280. Note that images and tables are allowed; text inside tables is included in the word limit. Upload a document citing any references used in your proposal. The document you upload is automatically converted to PDF format. We recommend that you open the PDF version to check that it is consistent with your original document. Note that some documents may take a minute to convert. CONFLICTS OF INTEREST Identify any individuals that may have a conflict of interest in relation to your concept.

18 14 Mandatory fields are denoted by an asterisk (either red or black). - Fields with a red * must be completed before you can save and close the current section. - Fields with a black * must be completed before you can submit your Concept. We recommend that you regularly click the Save button to save work as you are going. Symbols alongside each section in the navigation panel allow you to easily check the completeness of your submission. THE SYMBOL INDICATES THE SECTION has not started. is in progress. contains invalid or incomplete fields. complete and valid. 5. When you have completed all sections, scroll to the top of left hand navigation panel and click the Print and manage link. 6. Click the Check my application before submission button to run a validation check. 7. This check will verify the completeness of your application and will detect any missing content. If the validation is successful, every section in the navigation panel is marked with the symbol. If errors and/or incomplete fields are detected, these will display as: - light blue error message hyperlinks in the Concept validation result section. - a beside the relevant sections. 8. Click the first error message to open the section, make the required corrections/additions and click the Save button. 9. If applicable, repeat for other sections marked with. 10. Once you have corrected all of the errors and / or added all of the missing information, click the Print and manage link then the Check my application before submission button again.

19 11. On achieving a successful validation, click the Submit to IMS button. 15

20 16 PARTNERSHIPS SCHEME CALL FOR PROPOSALS 2017

21 Appendix One: Terms and Conditions Relating to this Call for Proposals 17 MBIE will not accept Concepts or Full Proposals (each referred to as a proposal ) received after submission deadlines. You must submit your Concept by 12 noon on 13 February 2017 and if invited, your Full Proposal by 12 noon on 11 August 2017, or as notified through MBIE Alerts. By submitting Concepts or Full Proposals you are agreeing to these terms and conditions. GENERAL The terms and conditions are non-negotiable and do not require a response. Each applicant that submits a proposal (hereafter referred to as you ) will be deemed to have agreed to the Call for Proposals terms and conditions without reservation or variation. INVESTIGATIONS AND RELIANCE ON INFORMATION You must examine this Call for Proposals and any documents referenced by this Call for Proposals and carry out all necessary investigations before submitting a proposal. If you are in doubt as to the meaning of any part of this Call for Proposals, you must set out in your proposal the interpretation and any assumptions you used. MBIE will not be liable (in contract or tort, including negligence, or otherwise) to anyone who relies on any information provided by or on behalf of MBIE in or in connection with this Call for Proposals. RELIANCE BY APPLICANTS All information contained in this Call for Proposals or given to you by MBIE is for the purpose of allowing you to prepare your proposal. MBIE has endeavoured to ensure the integrity of such information. However, it has not been independently verified and may not be up to date. RELIANCE BY MBIE MBIE may rely upon all statements you make in your proposal and in correspondence or negotiations with MBIE or its representatives. If a Full Proposal is funded by MBIE, any such statements may be included in a contract. You must ensure all information you provide to MBIE is complete and accurate. MBIE is under no obligation to check any proposal for errors, omissions, or inaccuracies. You must notify MBIE promptly upon becoming aware of any errors, omissions, or inaccuracies in your proposal or in any additional information you provide. INDUCEMENTS You must not directly or indirectly provide any form of inducement or reward to any assessment panel member, officer, employee, advisor, or other representative of MBIE in connection with this Call for Proposals. Business-as-usual communications (relating to funding under existing arrangements between MBIE and your organisation) will be maintained with the usual contacts. However, during the Call for Proposals process, you must not use business-as-usual contacts to solicit or discuss details of this Call for Proposals or any proposal you have, or intend to, submit, with any person at MBIE or its agents, including the assessment panel members. OWNERSHIP AND INTELLECTUAL PROPERTY This Call for Proposals and any other documents MBIE provides to you remain the property of MBIE. All copyright and other rights in this Call for Proposals and in any other documentation or information provided to you or any other person by or on behalf of MBIE in connection with this Call for Proposals will remain with, and belong at all times to, MBIE or its licensors. MBIE may request at any time the immediate return of all documents supplied and any copies made of them. You must comply with any such request in a timely manner. Any proposal or information you supply to MBIE will become the property of MBIE and may not be returned to you. Ownership of the Intellectual Property rights in a proposal does not pass to MBIE. However, in submitting your proposal, you grant MBIE a non-exclusive, nontransferable, perpetual licence to retain, use, disclose, and copy your proposal for any purpose related to this Call for Proposals process. By submitting a proposal, you warrant that the provision to MBIE of the information contained in your proposal, and MBIE s use of it for the evaluation of your proposal and for any resulting negotiation, will not breach any third-party intellectual property rights.

22 18 CONFIDENTIALITY You and MBIE will each take reasonable steps to protect Confidential Information 4 and, subject to Confidentiality paragraph 3 (below), and without limiting any confidentiality undertaking agreed between them, will not disclose Confidential Information to a third party without the other s prior written consent. You and MBIE may each disclose Confidential Information to any person who is directly involved in the Call for Proposals process on its behalf, such as officers, employees, consultants, contractors, professional advisors, evaluation panel members, partners, principals or directors, but only for the purpose of participating in the Call for Proposals. You acknowledge that MBIE s obligations under Confidentiality paragraph 1 (above) are subject to requirements imposed by the Official Information Act 1982 (OIA), the Privacy Act 1993, parliamentary and constitutional convention and any other obligations imposed by law. Where MBIE receives an OIA request that relates to your Confidential Information, MBIE will consult with you and may ask you to explain why the information is considered by you to be confidential or commercially sensitive. THE PROPOSAL PROCESS Despite any other provision in the Call for Proposals, MBIE reserves the following rights: > MBIE may amend, suspend, cancel and/or re-issue the Call for Proposals or any part of the Call for Proposals. > MBIE may make any material change to the Call for Proposals (including any date) on the condition that you are given a reasonable time within which to respond to the change. > MBIE may waive irregularities or requirements in or during the Call for Proposals process where it considers it appropriate and reasonable to do so. > Your proposal may not be approved for funding. > All or any proposal (s) may be rejected. > Your proposal may be accepted in whole, or in part. > Any information you provide to MBIE with your proposal may be retained or destroyed. 4 Information that: is by its nature confidential is marked by either MBIE or an applicant as confidential, commercially sensitive, sensitive, in confidence, top secret, secret, classified and/or restricted is provided by MBIE, an applicant, or a third party in confidence MBIE or an applicant knows, or ought to know, is confidential. Confidential information does not cover information that is in the public domain through no fault of either MBIE or an applicant. > Clarification may be sought from any applicant(s) in relation to any matter in connection with this Call for Proposals process. > Any applicant(s) may be contacted, which may be to the exclusion of any other applicant(s), at any time before or after the approval (if any) of proposal (s). > MBIE may reject, or not consider further, any documentation related to your proposal that may be received from you, unless it is specifically requested. > This Call for Proposals process may be run in such manner as MBIE may see fit. NO CONTRACTUAL OBLIGATIONS CREATED No contract or other legal obligations arise between you and MBIE out of or in relation to this Call for Proposals or Call for Proposals process, until a formal written contract (if any) is signed by both you and MBIE. This Call for Proposals does not constitute an offer by MBIE to provide funding or enter into any agreement with you. The call for and receipt of proposals does not imply any obligation on MBIE to contract any funding requested in your proposal. MBIE will not be bound in any way until a science investment contract is executed. MBIE makes no representations nor gives any warranties in this Call for Proposals. Any verbal communications made during the Call for Proposals process will not be binding on MBIE and are subject to the terms of this Call for Proposals. NO PROCESS CONTRACT Despite any other provision in this Call for Proposals or any other document relating to this Call for Proposals, the issue of this Call for Proposals does not legally oblige or otherwise commit MBIE to proceed with or follow the process outlined in this Call for Proposals or to assess your proposal or enter into any negotiations or contractual arrangements with you. For the avoidance of doubt, this Call for Proposals process does not give rise to a process contract. EXCLUSION OF LIABILITY Neither MBIE nor any assessment panel members, officers, employees, advisers or other representatives will be liable (in contract or tort, including negligence, or otherwise) for any direct or indirect damage, expense, loss or cost (including legal costs) incurred or suffered by you, your affiliates or any other person in connection with this Call for Proposals process, including without limitation: > the assessment process > the preparation of any proposal > any investigations of or by any applicant > concluding any contract > the acceptance or rejection of any proposal > the suspension or cancellation of the process contemplated in this Call for Proposals, or > any information given or not given to any applicant(s).

23 By participating in this Call for Proposals process, you waive any rights you may have to make any claim against MBIE. To the extent that legal relations between MBIE and you cannot be excluded as a matter of law, the liability of MBIE is limited to $1. Nothing contained or implied in or arising out of this Call for Proposals or any other communications to any applicant shall be construed as legal, financial, or other advice of any kind. COSTS AND EXPENSES MBIE is not responsible for any costs or expenses incurred by you in the preparation of a proposal. GOVERNING LAW AND JURISDICTION This Call for Proposals will be construed according to, and governed by, New Zealand law and you agree to submit to the exclusive jurisdiction of New Zealand courts in any dispute concerning this Call for Proposals or any proposal. PUBLIC STATEMENTS MBIE may make public the following information: > the names of project team members > the proposal title > the research fund from which the proposal would be funded > the public statement given by the project team when applying for funding > the total amount of funding and the period of time for which funding has been approved > the sector to which the research relates. MBIE asks that you don t release any media statement or other information relating to the process outlined in this Call for Proposals, or the submission or approval of any proposal to any public medium without providing sufficient advance Notice to MBIE. 19

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