Notice of Revocation and Amendment of Ministerial Schemes Issued Pursuant to Section 8a of the Foundation for Research Science and Technology Act 1990 1 The New Zealand Science and Technology Teacher Fellowships Published in New Zealand Gazette: 26 August 1993. Amendment published: 11 August 1994. This notice hereby revokes the Ministerial Scheme. Science and Technology Teacher Fellowships will continue however, but as from 1 July 1995 the Royal Society of New Zealand is responsible for their administration. 2 The New Zealand Science and Technology Post-Doctoral Fellowships Published in New Zealand Gazette: 26 August 1993. Amendment published: 11 August 1994. These notices are hereby revoked and replaced by the following: The New Zealand Science and Technology Post-Doctoral Fellowships Scheme Introduction the Nature of the Scheme The New Zealand Post-Doctoral Fellowships Scheme is intended to develop or assist in the development of skills relating to research, science and technology. It will provide early career support for New Zealand scientists and engineers of outstanding talent. This may be achieved through supporting post-doctoral research by New Zealanders, locally or overseas, or by attracting back to New Zealand researchers who have recently completed doctoral degrees overseas. The scheme will complement initiatives being undertaken by the Crown Research Institutes and the universities, and has the particular aim of encouraging top researchers to pursue careers in New Zealand. The Objectives of the Scheme The objectives of the scheme are: to bridge the potential gap between Ph.D. and employment, maximising the likelihood that young scientists and engineers will pursue science and engineering research careers in New Zealand; to assist New Zealand scientists and engineers to obtain exposure to recent overseas developments which are of potential future interest to New Zealand. Mechanisms of Support These objectives will be achieved by the following mechanisms: providing support for New Zealand post-doctoral researchers to undertake approved research programmes in New Zealand research institutions or in a business enterprise setting; providing support for New Zealand post-doctoral researchers to undertake a programme of research outside New Zealand, where there is a clear intention of returning to a New Zealand institution on completion of the fellowship. Applicants will be encouraged to submit proposals to undertake research in countries with which New Zealand is developing or may in the future develop closer economic or scientific relationships than is the case at present. For the purposes of this Scheme, those countries are called non-traditional locations. Targeting of Support The scheme will be targeted at recent doctoral graduates (not usually more than 2 years after achieving their Ph.D.). It is expected that each individual fellowship will have a duration of 2 years, extendable to 3 years in particular cases where this is merited by the quality of the researcher or the research. Funding is expected to average around $70,000 per fellowship per year for research programmes based in New Zealand. Funding for fellowships for research programmes based outside New Zealand will be adjusted appropriately to reflect travel expenses to and from the country and the local cost of living in the country where the research programme is undertaken. Funding is intended to include financial support for the research itself (including a contribution to overhead costs of the host organisation), as well as a stipend for the researcher. Fellows under this scheme will be selected on the basis of their academic record, and the scientific excellence of the proposed research. Fellowships will not be specifically targeted at any discipline area, and will be tenable in New Zealand at Crown Research Institutes, universities, Research Associations, polytechnics, business enterprises and private sector research facilities, or overseas in organisations deemed by the Foundation to be equivalent to their New Zealand counterparts, provided the organisation has the capability and the capacity for intellectual and logistical support of the Fellow. Administration and Selection The scheme will be administered by the Foundation for Research, Science and Technology, who may wish to contract some of these responsibilities to the Royal Society. The selection panel will comprise eminent science and engineering researchers. While being awarded on a personal basis, fellowships may be granted to a host organisation to assist with the logistics of taking up the fellowship. Where proposals for overseas-based research programmes are in all other respects of equal merit, preference will be given to funding research programmes to be carried out in non-traditional locations. Funding The New Zealand Post-Doctoral Fellowships Scheme has $2.535m to allocate in 1995/96. Monitoring The scheme will be monitored by the Ministry of Research, Science and Technology. 3 The New Zealand Graduates in Industry Fellowships Published in New Zealand Gazette: 11 August 1994. This notice is hereby revoked and replaced by the following: The New Zealand Graduates in Industry Fellowships Scheme Introduction - The Nature of the Scheme This scheme is intended to assist in developing skills relating to research science and technology. It will provide funds for well-performed graduates in science, technology and engineering to undertake project-based Masters, Ph.D. or other post-graduate research projects, with the projects performed in New Zealand industry. The Objectives of the Scheme upgrade scientific and technological skills and competencies in New Zealand companies; increase the number of postgraduate scientists, technologists and engineers working in professional roles in New Zealand industry; improve linkages between firms and universities; create a stronger interest among graduates for careers in New Zealand industry. Mechanisms of Support The objectives of the scheme will be achieved by providing funding for postgraduate researchers in science, engineering or technology who are conducting a major part of their research project in industry. Targeting of Support This scheme is aimed at science, technology and engineering graduates who have demonstrated potential to be innovative professionals in industry. This potential may be evident through demonstrated practical achievements, and not only by narrowly academic criteria. Researchers will be awarded funding for a period normally of one to four years. Joint applications will normally identify the researcher, the academic supervisor, and the mentor in the company, and include their statements of commitment to the project. The scheme will provide funds for the researcher and will contribute to other costs associated with the project. Funding levels are to be determined by the Foundation for Research, Science and Technology, on the advice of an advisory committee, on a case by case basis. In making its decisions, the Foundation will optimise the number of fellowships in accordance with the objectives of the scheme. Administration and Selection The fellowships will be administered by the Foundation for Research, Science and Technology, using the mechanism of an advisory committee chaired by a member of the Foundation, and comprising science and engineering researchers and industrialists who have substantial experience supervising joint research projects of the kind supported by this scheme. Funding The scheme has $1.560m to allocate in 1995/96 for 35 to 45 fellowships. Monitoring The scheme will be monitored by the Ministry of Research, Science and Technology. 4 Non-Specific Output Funding Published in the New Zealand Gazette: 11 August 1994. This notice is hereby revoked and replaced by the following: Non-Specific Output Funding Nature of the Scheme Non-Specific Output Funding (NSOF) is intended to facilitate research and is granted directly to Crown Research Institutes (CRIs) for public good science and technology programmes which do not have to conform to the Government's priority statement for public good science and technology. Objectives: NSOF may be used for: exploring new ideas which are not sufficiently well formed to enable a programme proposal to be made to the Foundation for Research, Science and Technology (the Foundation); and maintaining programmes which are important to the CRI but are not of sufficient priority to gain funding from the Foundation. Constraints NSOF must be applied to Public Good Science and Technology outputs, although not necessarily in the year in which the funding is granted. The test is whether the work would be fundable by the Foundation, i.e. within the scope of the Public Good Science Fund (PGSF), if it met relevance and quality criteria. CRIs have discretion to carry forward unspent funding. NSOF is not be applied to capital purposes e.g. purchase of capital items. Administration The Foundation will pay NSOF to each CRI on the basis of pro forma contracts which will not specify in detail the outputs to be produced. If a CRIs entitlement to NSOF ceases, no further payments will be made and any NSOF funding unexpended at the date of cessation shall be returned to the Foundation. Level of Funding Funding is made available to each CRI as set out in the Estimates of Appropriations for the Government of New Zealand each year. Details of the funding allocations for each CRI in 1995/96 are set out in a tabular form on page 347 of the 1995/96 Estimates. Period of Operation The Scheme will operate each year until further notice. Performance Standards Contracts between FRST and CRIs for NSOF will specify that the kind and type of outputs provided and the standards of reporting shall be the same as if the funding were from the PGSF. Reporting Progress and other reports on work funded by NSOF are to be made to the Foundation in a comparable way to reports required for work funded through the contestable part of the PGSF in respect of timing and content. A summary of the level and application of NSOF is to be provided each year by each CRI to the Minister for CRIs. A report on work funded by NSOF is to be included in the reports required to be provided by the Foundation pursuant to the Foundation for Research, Science and Technology Act 1990. Monitoring This Scheme will be monitored by the Ministry of Research, Science and Technology. 5 Marsden Fund Published in New Zealand Gazette: 22 March 1995. In the section headed Nature and objectives of the Scheme the following words are inserted immediately under the heading: This Scheme is intended to assist in the development of skills relating to research, science and technology and to facilitate research. In the section headed Funding for allocation, the text is deleted and replaced with the following: Funds available for allocation in 1995/96 will be $5.574m. In 1996/97, a total of $11.124m has been allocated for this scheme including administrative funding which has yet to be decided In the section headed Selection Criteria, the following words are added after the words full cost of proposals: but if a lesser amount of funding has been requested by the applicant, then this shall not be considered in making allocation decisions. A copy of the full text of The Marsden Fund Scheme incorporating these amendments is available from the Ministry of Research, Science and Technology. 6 Technology for Business Growth Published in the New Zealand Gazette: 26 August 1993. Amendment published: 18 August 1994. These notices are hereby revoked and replaced by the following: Technology for Business Growth The Nature of the Scheme The Technology for Business Growth Scheme (TBG) is intended to develop, or assist in the development of, skills relating to research, science and technology and to promote or facilitate participation in the development of technologies and the application of the results of research or technological developments. This scheme is designed especially to catalyse changes in management practices and attitudes towards technology through "learning by doing" (e.g. by part funding enterprise access to and adoption of technology). Better performing enterprises will increase the possibility of a sustainable and appropriate level of private sector investment in technology creation and adoption; enhanced collaboration between public sector research agencies and industry; and ultimately enhanced economic performance and employment. In general, the scheme is intended to assist enterprises that do not use technology competently or strategically in their business activities. Assistance will be offered in the form of: part funding of the placement of scientists and technologists into companies; part funding joint research projects between enterprises and suitable research agencies; assisting enterprises to access the existing knowledge base, including that generated by the government's own investment in public good science but not exclusively; and assisting enterprises to establish and enhance their own research and technological capability. Research agencies who might participate in the scheme include: Crown Research Institutes Government Departments Research Associations, and other similar organisations Polytechnics Universities The Objectives of the Expanded Technology for Business Growth Scheme The objectives of the scheme recognise that there are too few firms strategically managing technological innovation, and there are still poor linkages between the private sector and research institutes. The specific objectives of the expanded Technology for Business Growth Scheme are to: encourage New Zealand enterprises (particularly those companies that are not strategically managing their technology requirements) to utilise r & d and technology as part of competitive strategy; encourage New Zealand enterprises to use the existing technological knowledge base where appropriate, particularly that expertise and capital created by the Government's investment over the years in public good research; and encourage New Zealand enterprises to establish in-house research, technological and innovative capabilities, and to integrate the use of those capabilities into their overall competitive strategies. The scheme will aim to fund projects which will preferably result in a permanent change in the behaviour of the enterprise involved and, through commercially successful application of technology, provide an effective example or role model for other enterprises in the same industry or sector. The scheme could also demonstrate an approach to overcoming a generic problem (actual or attitudinal) with a sector or group of enterprises. The broad criteria or constraints which will apply to all programmes within the scheme are as follows: The scheme will not target specific sectors, rather there will be a general requirement to ensure that the scheme spreads over a number of sectors rather than concentrated on just a few. The scheme will be aimed at funding initiatives which result in establishing or enhancing technological capability or capacity within enterprises, and which would not otherwise received adequate support, i.e. funds will not support projects which would have gone ahead anyway. Additional criteria applying to all programmes other than the Technology Transfer Programme are: In general, user contribution of funding should be more than 50% of the cost of the project, subject to variation according to project needs. This demonstrates a credible and sustainable end-use commitment to the particular proposal. A key element of the programmes is that proposals should be strongly user linked and market driven. This should be demonstrated principally through the provision of user funding and the commitment of a user to take up the end product of the project. This will create an increase in private sector investment as a result and also a strong commitment to overall management of the projects supported. To achieve these objectives, interlinked programmes are to be established, to be administered by the Foundation for Research, Science and Technology. The following programmes apply within the Scheme: Co-operative Research and Technology Programme This programme is aimed at companies that are not strategically managing their technology requirements. The programme will support cooperative research between research institutions and companies including the placement of scientists and technologists in private sector organisations. The programme will also encourage joint venture technology exploitation between enterprises and public sector science agencies to help in overcoming barriers to technology uptake. It is expected that this programme will foster links between enterprises and research organisations with an aim of overcoming the lack of scientific and technological skills in enterprises. It is primarily designed to encourage enterprises to use scientific capabilities (particularly staff) to assist embryonic research programmes and innovation in those enterprises. Proposals can be initiated by the enterprise but in collaboration with the research organisation providing the capability; In addition to the criteria set out above, following additional criteria apply specifically to this programme: All proposals should be jointly made between an enterprise (or group of enterprises) and a suitable research institution. However the industry partner should be clearly in the lead role to ensure "ownership" of the outcome. Enterprises with effectively no or low levels of in-house r & d capacity or little record of r & d investment but demonstrating a commitment to a change in approach will be encouraged to apply. Technology Transfer Programme This programme is designed to promote the uptake in New Zealand enterprises of technology contained in the existing knowledge base. The programme will include technologies or practices developed by the Government's historical investment in science in New Zealand but will extend to other sources of technology as well. The following criteria apply specifically to this programme: Proposals must have the potential to achieve long term benefits to the industry sector and the economy. To maximise the impact of the programme across the whole economy, no single sector will be favoured (i.e. it is open to all sectors of the economy). To ensure this, the programme will need to demonstrate broad sector coverage. The programme will favour technology transfer to multiple (as opposed to single) end users. Where one-on-one technology transfer is being supported, demonstrable spin-offs must be able to occur to other similar users. Funding may be channelled through "brokers" or consultants (which may be CRIs, specialist firms, industry associations or appropriately qualified individuals) who are able to establish a credible link between the knowledge base and groups of users. Funding should complement and not replace current funding for technology transfer activity being made by the private sector or other Government agencies. Proposals should be end use driven with demonstrable links to these users. The programme will aim to assist in overcoming generic problems in different industry groups or sectors rather than assisting individual users or suppliers of technology on an ad hoc basis. In-House R & D Programme This programme will co-fund research and technological development conducted by enterprises with no link to a public research agency with the principal aim of establishing an effective in-house research or technological capacity (ie the programme will not support the use of an established capacity with no element of extension or expansion.) This programme is intended to catalyse important elements of strategic technology management in industry through the accumulation of relevant technological skills and expertise. The following criterion applies specifically to this programme: enterprises with effectively no or low levels of in-house r & d capacity, or planning to use funding to add a new dimension to existing capacity, will be encouraged to apply. Integration of proposals Although the programmes are separately defined they overlap to some degree, and it is recognised that an integrated approach may often be sensible. Proposals may therefore fall into more than one category and this will not be a negative factor in proposal assessment. Funding for the Scheme The Foundation for Research, Science and Technology will be appropriated $10.622 million through Vote : Research, Science and Technology for the 1995/96 financial year which will be disbursed to participants through the allocative processes adopted by the Foundation. Future appropriations for this Scheme will be dependent on the annual budgetary process of Government. The indicative funding split amongst the three programmes is as follows: Programme $ Allocated Co-operative Research and Technology $7,671,000 Technology Transfer $2,460,000 In-house R & D $491,000 Total $10,622,000 The Foundation will have the discretion to vary this funding split by 10% plus or minus to any one programme. Variations (either cumulative or singular) of greater than 10% will require the prior approval of the Minister of Research, Science and Technology. A substantial part of the schemes funds may be allocated to programmes extending over several years. However the Foundation should not accumulate undue cash reserves against future allocations. It should assume that overall funding for the TBG scheme will not be reduced without adequate notice being given, although no guarantees can be given in this respect. Monitoring of the Scheme Monitoring of the scheme, including the implementation of this Ministerial instruction by the Foundation for Research, Science and Technology and the extent to which the Scheme achieves its stated objectives will be carried out by the Ministry of Research, Science and Technology. Dated at Wellington this 28th day of July 1995. SIMON UPTON, Minister of Research, Science and Technology.