Programs
Research Partnership for Technological Innovation Program (PITE) Versão em português
FAPESP’s Research Partnership for Technological Innovation Program (PITE) supports research projects in academic or research institutions developed in cooperation with researchers employed by companies in research centers located in Brazil or abroad, and co-funded by the companies concerned. The main aim of the Program is to strengthen relationships between universities or research institutions and companies by facilitating cooperative co-funded research projects.
Project proposals may be submitted solely via SAGe, FAPESP’s online project management system, at www.fapesp.br/sage .
Further information can be obtained from our online support service “Converse com a FAPESP” (www.fapesp.br/converse > Informações > SAGe > Dúvidas sobre cadastramento, submissão, contratos e outros assuntos) or by telephone on +55 11 3838-4000, option 1, from 8:00 a.m. to 5:00 p.m. BRT.
PITE-FAPESP
Instructions for applicants to the Research Partnership for Technological Innovation Program
1) Purpose
The purpose of FAPESP’s Research Partnership for Technological Innovation Program (PITE) is to fund research projects developed by researchers affiliated with public or private higher education and research institutions in São Paulo State in cooperation with researchers employed by companies in research centers located in Brazil or abroad, and co-funded by the companies concerned. The main aim of the Program is to strengthen relationships between academic research institutions and companies by facilitating cooperative co-funded research projects.
2) Characteristics of PITE
Research projects funded by PITE must be cooperative, and their results are therefore expected to contribute to knowledge creation or technological innovations of interest to partner companies, as well as to the advance of knowledge generally and the training of highly skilled human resources. Partner companies must co-fund research projects using their own or third-party funding.
A Cooperation Agreement is signed between the research institution that hosts the project, the partner company and FAPESP, specifying each party’s commitment to the activities to be conducted, the amount of funding to be contributed by each party, and the partner company’s disbursement timetable, as well as clauses governing intellectual property rights. The research project submitted to FAPESP is annexed to the agreement with a description of the activities to be conducted.
FAPESP provides funding solely to the research institution that is a party to the agreement.
Proposals may be submitted in two ways:
a) Spontaneously: applications may be submitted in a continuous flow by mutual agreement between the researcher and the company. FAPESP will analyze all spontaneously submitted proposals.
b) In response to CFPs: FAPESP will publish Calls for Proposals (CFPs) linked to cooperation agreements signed between FAPESP and companies.
2.1) Format
Applications may be submitted to PITE in the following formats:
a) PITE 1
PITE 1 proposals are defined as joint projects that involve researchers or research groups affiliated with higher education and research institutions in São Paulo State in collaboration with companies or business groups based in Brazil or abroad, and that aim to develop innovations in projects whose exploratory phase is practically complete.
FAPESP signs a grant agreement directly with the researcher to fund up to 20% of the project’s cost, depending on the size of the budget presented. The company or companies involved are responsible for the rest of the funding (counterpart funds).
Additional investment in the development of the innovation must be justified by a preliminary cost-benefit analysis.
FAPESP reserves the right to monitor the project’s progress and the implementation of the innovation.
b) PITE 2
PITE 2 proposals are defined as joint projects that involve researchers or research groups affiliated with higher education and research institutions in São Paulo State in collaboration with companies or business groups based in Brazil or abroad, and that aim to develop innovations associated with low technological and commercialization risks.
Generally speaking, a PITE 2 project involves incremental innovation, comprising the exploration and certification stages, although the category may also include cases of radical innovation, and must demonstrate the socio-economic benefits its success will have for the production or service sector concerned.
FAPESP funds up to 50% of the project’s cost, depending on the size of the budget presented. The company or companies involved are responsible for the rest of the funding (counterpart funds).
FAPESP reserves the right to monitor the project’s progress and the implementation of the innovation.
c) PITE 3
PITE 3 proposals are defined as joint projects that involve researchers or research groups affiliated with higher education and research institutions in São Paulo State in collaboration with companies or business groups based in Brazil or abroad, and that aim to develop research for technological innovations associated with high technological risks and low commercialization risks, but high “fertilizing or seeding” power.
A PITE 3 project must have revolutionary potential in that the resulting innovation may contribute to substantial changes in an entire sector of activity.
Incremental innovation projects may be considered PITE 3 proposals when the partner companies are small and medium-size, and the projects promise significant socio-economic contributions to the nation.
FAPESP funds up to 70% of a PITE 3 project’s cost, depending on the size of the budget presented. The company or companies involved are responsible for the rest of the funding (counterpart funds).
FAPESP reserves the right to monitor the project’s progress and the implementation of the innovation.
2.2) Duration of Grant
Up to 60 months, non-renewable.
3) Conditions for Applying
3.1) Application Deadlines
Applications will be received:
a) Spontaneously: in a continuous flow throughout the year;
b) In response to CFPs: until the deadline set in the CFP published by FAPESP.
3.2) Definitions
a) Research Projects for Technological Innovation: Projects involving scientific and technical knowledge that aim to develop or refine a product, process, system or service of interest to business or society.
b) Targeted Basic Research: Linked or concatenated projects aiming to acquire new knowledge for the understanding of phenomena with a view to developing products, processes or systems.
c) Applied Research: Linked or concatenated projects aiming to acquire new knowledge for the refinement of innovative products, processes or systems.
d) Experimental Development: Linked or concatenated projects based on existing knowledge deriving from research or practical experience. The aim is to demonstrate the technical or functional feasibility of new innovative products, processes, systems or services, or an evident enhancement of those already in existence.
e) Exploratory Stage: The stage in which the innovation is delineated using scientific and technical knowledge, and in the laboratory if necessary. It involves targeted or applied research activities, and includes technical and economic feasibility analysis. If this is positive, proceeding to the certification stage is recommended.
f) Certification Stage: The experimental development stage, leading to definitive specifications and key components of the solution proposed by the exploratory stage. It involves the use of engineering models, prototypes, and if necessary pre-series or trial batches.
g) Incremental Innovation: An innovation that leads to gradual enhancements.
h) Market-Pull Innovation: An innovation whose development is driven by market demand. Incremental innovations are typically market-pull innovations.
i) Radical or Revolutionary Innovation: An innovation that leads to substantially different market changes.
j) Technology-Push Innovation: An innovation whose development is driven by the intent to apply a new scientific and technological concept (radical innovation).
k) Technological Risks: Possible flaws in the identification and application of technical and scientific knowledge.
l) Commercialization Risks: Risks of non-acceptance by the market in the implementation stage.
m) Principal Investigator (PI): The person who assumes responsibility for drafting and submitting the proposal, and for the scientific and administrative coordination of the project, if approved by FAPESP.
m.1) The PI is always one of the Senior Investigators for the project.
n) Senior Investigator (SI): one or more members of the research team, designated by the PI and approved by FAPESP. SIs must have an excellent research record. Their participation in the research project must be essential for its development and must be clearly specified in the proposal submitted. SIs may be entitled to Research Overheads ( Benefícios Suplementares) in addition to the Grants approved.
n.1) There may be more than one SI besides the PI, provided all SIs are approved by FAPESP.
o) Associate Researcher (AR): one or more members of the research team, designated by the PI and approved by FAPESP. ARs assume responsibility for contributing to execution of parts of the research project submitted.
3.3) Requirements for Principal Investigator (PI) and Senior Investigators (SIs)
The PI and SIs must have:
a) A PhD or equivalent;
b) Proven experience in managing research and development projects;
c) Proven scientific and technical research capabilities;
d) An employment contract with a research institution in São Paulo State.
d.1) Under certain circumstances FAPESP may accept an institutional relationship other than employee status provided it involves solid academic dedication to a research institution in São Paulo State. In this case, the PI must consult FAPESP’s Scientific Director via the channel “Converse com a FAPESP”, stating:
d.1.1) the nature of the institutional relationship;
d.1.2) the number of hours per week dedicated to research required by the relationship;
d.1.3) the source of funds for payment;
d.1.4) the duration of the relationship.
d.2) Retired faculty affiliated with the University of São Paulo (USP), the University of Campinas (UNICAMP) and São Paulo State University (UNESP) must present a document proving the relationship.
e) No past-due obligations to FAPESP (filing of reports, returning of case files, delivery of scientific reports and presentation of accounts). Applications from researchers with obligations more than 60 days past due will not be accepted for analysis.
4) Timeframe for analysis
The average time taken by FAPESP to analyze PITE applications is expected to be 210 days, provided there are no unforeseen problems with documentation or incomplete information, which may extend the process or entail summary denial of the application if the reviewers return it without an opinion.
a) This should be not taken to mean that applications submitted 210 days in advance of the project start date will be approved in time, since if the expected average is 210 days there will certainly be cases in which a decision takes longer.
b) Analysis of applications submitted during the period October-January may take longer owing to the holiday season.
c) For each line of funding a period of time typically required to complete the appraisal of applications is defined. FAPESP is committed to making best efforts to comply with these timeframes but cannot promise to do so in every case because its top priority is the quality of the analysis and proposal selection process.
d) Indeed, the most important stage of the appraisal process cannot be entirely controlled by FAPESP: all case files are sent to ad hoc reviewers, and despite all efforts FAPESP is not always able to ensure their return within the regularly stipulated timeframe.
e) Furthermore, before they issue a final opinion the reviewers often request more information, and FAPESP itself sometimes takes the initiative of consulting more than one reviewer if the opinion initially examined is deemed insufficient for a well-justified decision.
f) Nevertheless, experience shows that in the vast majority of cases the average timeframes are met, as can be seen from the detailed time study available (in Portuguese) at www.fapesp.br/estatisticas/analise.
5) Requirements
5.1) Requirements for Principal Investigators (PIs)
a) At the time of application the PI must:
a.1) have no past-due obligations to FAPESP (such as filing of accounts or financial statements, delivery of scientific reports for other grants and scholarships, and analysis of project proposals);
a.2) state whether the PI is applying for or receiving funding from other sources for the same project.
b) If the application is approved, funding will be allocated only after the PI agrees to discharge the following obligations by signing the Grant Acceptance Agreement:
b.1) Carefully reading the Grant Acceptance Agreement in order to understand and agree to the PI’s rights and responsibilities;
b.2) Taking all necessary steps to assure the success of the Plan of Activities approved;
b.3) Acknowledging FAPESP’s support whenever appropriate, in theses, dissertations, articles, books, abstracts of papers submitted to conferences, web pages, and any other publication in whatever medium resulting totally or partially from the award covered by the Grant Acceptance Agreement;
b.3.i. The PI must ensure that all published material (including web pages) resulting entirely or partially from a grant or scholarship awarded contractually by FAPESP, except scientific articles published in peer-reviewed scientific or technical journals, includes the following disclaimer: “The opinions, hypotheses, conclusions and recommendations expressed in this material are the responsibility of the authors and do not necessarily reflect the views of FAPESP”;
b.4) Informing FAPESP if the development of a research project receives financial support from any other public or private funding source, and referring expressly to this support by clearly identifying the source of funding in all the forms of publication mentioned;
b.5) Consulting FAPESP before accepting any financial support for the project from any other source of funding, whether public or private;
b.6) Issuing opinions free of charge and within the timeframe specified by FAPESP and whenever asked to do so by FAPESP in subject areas in which the PI specializes.
c) For the funding awarded by FAPESP to be released, a cooperation agreement must be signed between the higher education or research institutions hosting the project, the partner companies and FAPESP, specifying the amount of funding to which the partner company is committed and the timetable for disbursement, including clauses on intellectual property rights, and setting out the research project approved by FAPESP in an attachment that describes the activities to be conducted.
d) PIs must consult FAPESP before they make commitments requiring leave from the Host Institution for more than 90 days.
5.2) Requirements for Senior Investigators
a) On presenting a proposal, SIs must:
a.1) state that they agree with the terms of the proposal and the duties allocated to them in the project;
a.2) have no past-due obligations to FAPESP (such as filing of accounts or financial statements, delivery of scientific reports for other grants and scholarships, opinions, and analysis of project proposals);
a.3) state whether they are applying for or receiving funding from other sources for the same project.
b) If the application is approved, funding will be allocated only after the SIs agree to discharge the following obligations by signing the Grant Acceptance Agreement:
b.1) Carefully reading the Grant Acceptance Agreement in order to understand and agree to the rights and responsibilities of SIs;
b.2) Taking all the steps required of SIs to assure the success of the Plan of Activities approved;
b.3) Acknowledging FAPESP’s support in theses, dissertations, articles, books, abstracts of papers submitted to conferences, web pages, and any other publication in whatever medium resulting totally or partially from the award covered by the Grant Acceptance Agreement;
b.3.i. The PI must ensure that all published material (including web pages) resulting entirely or partially from a grant or scholarship awarded contractually by FAPESP, except scientific articles published in peer-reviewed scientific or technical journals, includes the following disclaimer: “The opinions, hypotheses, conclusions and recommendations expressed in this material are the responsibility of the authors and do not necessarily reflect the views of FAPESP”;
b.4) Consulting FAPESP via the PI before accepting any financial support from any other public or private funding source for development of the research project for which the funding has been awarded;
b.5) Consulting FAPESP via the PI before making any commitments that require leave from the Host Institution for more than 90 days.
b.6) In coordination with the PI, assuring adequate protection of any intellectual property rights that may result from the project supported by FAPESP.
b.7) Issuing opinions free of charge and within the timeframe specified by FAPESP and whenever asked to do so by FAPESP in subject areas in which the PI specializes.
5.3) Requirements for Host Institutions
a) Efficiently taking care of all aspects relating to administration of the cooperation agreement required for approved project funding to be released;
b) Taking note of the project’s requirements in terms of infrastructure;
c) In the event of approval and while the respective grant agreement is in force, ensuring that the researchers involved in the project receive all the necessary institutional support for execution of the project, as previously agreed with the PI.
c.1) In particular, the researchers involved in the project must be assured of physical space for the adequate installation and operation of the equipment requested, permission to use all facilities (laboratories, computer networks, libraries, databases etc.) and access to all services (laboratory technicians, administrative and import services etc.) available from the institution and relevant to execution of the project.
d) Reimbursing FAPESP for all the investment made if development of the project is hampered or prevented by failure to fulfill the obligations described in the previous item without FAPESP’s consent.
e) Taking note that non-compliance with the provisions regarding institutional support in items (a), (b) and (c) above may impair the chances of success for future applications submitted to FAPESP by researchers affiliated with the institution.
6) Restrictions
6.1) PIs may not:
a) transfer funds or balances from one project to another even if the PI concerned has been awarded more than one grant and one project is a continuation of the other;
b) incur expenses outside the term of the Grant Acceptance Agreement;
c) make changes to the project as approved (initial plan, dates etc.) or to the use of the funding awarded without FAPESP’s consent, except under the conditions stipulated in www.fapesp.br/8647.
d) use funding from FAPESP for any purposes other than those approved;
e) invest any of the funding awarded in the financial market;
f) hire or for whatever purpose allocate funding awarded for execution of the project to:
f.1) individuals related to them by marriage, stable union or kinship, whether in the ascending, descending or collateral line to the fourth degree, and whether by affinity or blood;
f.2) legal entities whose owners or controlling shareholders include the grantee, their spouse, or relatives by affinity or blood in the ascending, descending or collateral line to the fourth degree.
Under no circumstances may grantees engage individuals or legal entities with which they have business relations, debts or credits, as established by CTA Directive 03/2012, dated September 27, 2012 (CTA is FAPESP’s Executive Committee).
6.2) SIs may not:
a) receive Research Overheads (Benefícios Suplementares) in more than one project.
7) Funding of items by FAPESP
Funding awarded by FAPESP is disbursed solely to higher education and research institutions in São Paulo State and must be spent in compliance with the rules governing the use of grants by FAPESP. Fundable items include the components described below.
7.1) Fundable items
a) Permanent material purchased in Brazil or imported;
a.1) Multiuser Equipment. Only in exceptional and extremely well-justified circumstances will FAPESP consider requests to acquire large-scale equipment of the Multiuser Equipment type (MUE). After analysis of the rationale and if there is a recommendation to award funding for equipment considered multiuser, the PI is instructed to submit a new application to FAPESP, in this case for MUE funding, so that the equipment grant can be processed. The rules and procedures for this application can be found at www.fapesp.br/11195.
b) Consumables purchased in Brazil or imported;
c) Third-party services acquired in Brazil or abroad;
d) Travel expenses and per diems for activities directly linked to execution of the project;
e) Funds for participation in and presentation of papers to scientific and/or technological events (except for researchers already awarded Research Overheads in other grants).
e.1) The proposed budget may include an allocation for travel expenses, per diems, registration fee and health insurance relating to participation in and presentation of a scientific paper to a scientific and/or technological meeting in Brazil or abroad. The proposal should specify the conference and one or two possible alternatives. The award notice will state which event is deemed to have been approved. The scientific report must include a copy of the paper submitted and confirmation of its acceptance or presentation. The researcher is free to choose the event, and may indicate a number of possibilities when submitting the proposal. Foreign language proficiency certificates are not required. The PI is responsible for assuring proper use of the funding. The 18-month interval rule for attendance of foreign meetings or one meeting per year in Brazil does not apply to applications submitted in this format. Participation in more than one event may be specified in the grant after analysis of the complete proposal by the Scientific Director.
e.2) Researchers who do not have ongoing grants or have not received allowances to attend events relating to ongoing grants may still apply for an allowance to attend a scientific and/or technological event. In this case the 18-month interval rule will apply to applications for foreign travel allowances linked to grants and scholarships, and such allowances are not awarded in consecutive years (counted from the date of return from the previous journey to the start of the new journey).
f) Technical Training Scholarships: specific rules governing the Technical Training Scholarship Program are available at www.fapesp.br/bolsas/tt.
f.1) The initial proposal for each scholarship application must be accompanied by a Plan of Activities up to two pages long, including the title of the project, an abstract, and an outline of the plan in sufficient detail to enable reviewers to analyze it. The name of the grantee need not be mentioned in the proposal but if the project is approved the SI must hold a publicly advertised selection procedure to select grantees by academic merit.
7.2) Non-fundable items
Non-fundable items comprise salaries of all kinds, non-technical or occasional third-party services, civil works, acquisition of publications, travel (except for field work and to deliver papers to scientific conferences), materials, and administrative services.
The research project budget submitted to FAPESP must be detailed, and each item must be justified specifically in terms of the objectives of the proposed project. Applicants are advised to reach the Financial Reporting Manual available from FAPESP’s website.
7.3) Technical Reserve
The Technical Reserve for PITE consists solely of Research Overheads (Benefícios Suplementares):
7.3.1) Research Overheads
a) Research Overheads (Benefícios Suplementares) are granted to cover expenses incurred for participation in scientific and/or technological meetings and short research internships outside São Paulo State.
a.1) FAPESP does not grant multiple Research Overheads to the same person even if the person is an SI in more than one project.
a.2) The value of Research Overheads is defined in the Grant Acceptance Agreement in accordance with the rules governing PITE grants.
b) Participation in a scientific or technological meeting presupposes the presentation of a scientific paper linked to the project.
b.1) Participation in events without presentation of papers will be supported only in exceptional circumstances, which must be duly justified in the Annual Report and will be subject to merit review by FAPESP.
c) Research internships at institutions outside São Paulo State or abroad and lasting less than 60 days may be funded if justified by the requirements of the project.
c.1) While the project is in progress, the SIs may not take leave from their institutions for more than 90 consecutive days without advance authorization by FAPESP.
d) In light of the automatic granting of Research Overheads, SIs may not apply to FAPESP for funding via grant programs for participation in scientific meetings or, in ordinary circumstances, Research Scholarships Abroad.
d.1) In special circumstances, FAPESP may examine an application for a Research Scholarship Abroad to undertake a research internship lasting more than a month, if in FAPESP’s view this is indispensable to satisfactory execution of the project. In this case, the scholarship will cover living expenses during the period that exceeds one month, and Research Overhead must be used to pay travel expenses and living expenses for one month.
d.2) If there are Associate Researchers, they may apply for an allowance to participate in a scientific meeting or a Research Scholarship Abroad linked to the PITE project in which they are taking part. The link must be certified in a letter from the PI for the PITE project, citing the FAPESP case number and the title of the project.
e) When a project funded by a line that includes Research Overheads is extended, Research Overheads will be automatically granted in an amount proportional to the number of extra months approved and the number of SIs in the project, provided the total duration of the project including the extension does not exceed the maximum number of months established for program.
e.1) If a project funded by a line that includes Research Overheads is extended beyond the maximum number of months established for this line, Research Overheads will not be granted.
f) The use of Research Overheads must comply with the limits set by FAPESP for per diems, living expenses, and health insurance. These limits can be viewed at www.fapesp.br/valores.
g) Annual Scientific Progress Reports and Final Scientific Reports by PIs must contain a special section itemizing and justifying the use of Research Overheads, for analysis by reviewers as to their suitability to the project’s requirements.
g.1) This information should not be confused with the Annual Financial Report, which must also be submitted within the timeframe established in the Grant Acceptance Agreement.
8) Counterpart funding
The contributions made to funding by the parties involved in partnership projects vary according to the degree of innovation and technological risks of each proposal. These are defined on the basis of the criteria established in FAPESP’s PITE program.
If the amount of counterpart funding presented by a company or host institution exceeds the budget stipulated in the Cooperation Agreement, the surplus is deemed to be a voluntary contribution and is the sole responsibility of the source entity.
8.1) Company contributions
External counterpart funding may cover only necessary items directly linked to the objectives of the research project, especially:
a) expenditure on capital goods or equipment, provided after completion of the project these become the property of higher education and research institutions located in São Paulo State;
a.1) scholarships for Scientific Initiation, Master’s degrees, Direct Doctorates, Doctorates and Postdoctoral Research, in amounts at least equal to those of the corresponding scholarships awarded by FAPESP (monthly disbursements plus Technical Reserve and any infrastructure grant);
a.2) purchase of consumables, travel expenses, and third-party services directly associated with the project;
a.3) research infrastructure associated with the project;
a.4) supplemental pay for faculty or researchers hired by the higher education and research institutions taking part in the project;
a.5) hiring of researchers or support technicians for the duration of the project, as may be required for the research conducted at higher education and research institutions;
a.6) funding for field research and presentations of papers at scientific and/or technological events.
b) Hours worked by the partner company’s technical staff may not be included in counterpart funding even if such hours were devoted to the project.
c) Special situations and omissions relating to external counterpart funding in partnerships with FAPESP will be analyzed specifically in each case by FAPESP’s Executive Committee (CTA).
8.2) Institutional contributions
Proposals must include information on the funding to be allocated by the Host Institution for project execution.
a) The institution’s contribution must include the following:
a.1) Human resources: funds used to pay staff affiliated with the institution that will execute the project (including the PI, SIs, students with ongoing scholarships, and support personnel). Counterpart contributions in human resources must take into account the cost of each member of the team in proportion to the number of hours devoted to the project. The number of hours specified as a counterpart contribution must be compatible with item 10, b.
b) Counterpart funding may also cover the following items, among others:
b.1) Infrastructure: use of physical space to be made available by the institution for execution of the project;
b.2) Equipment: an amount equivalent to the number of hours during which equipment already owned by the institution will be used for execution of the project;
b.3) Consumables to be purchased with the institution’s own funds;
b.4) Other expenses demonstrably required for execution of the project.
Any funding awarded by FAPESP and the company will not be considered part of the institution’s contribution.
FAPESP does not accept applications that do not include proposed institutional counterpart funding.
9) Application format and organization
Applications for grants under the Research Partnership for Technological Innovation Program (PITE) must be made via SAGe, FAPESP’s online project management system, at: www.fapesp.br/sage.
Proposals must be submitted exclusively via SAGe.
The documents required are listed on SAGe. The procedure is as set out below:
a) Presentation of research team
a.1) In addition to the Principal Investigator (PI), the team may include:
a.1.i. Senior Investigators (SIs)
a.1.ii. Associate Researchers (ARs)
a.1.iii. Graduate students
a.1.iv. Interns
a.1.v. Technical support staff
a.1.vi. Administrative staff
b) Abridged CVs for the PI and each of the SIs and ARs, including those affiliated with the partner company.
In addition, documents relating to the next item must be attached to each proposal, if applicable (this item does not count as part of the 20-page limit for research proposals):
c) Plan of Activities for scholarship applications (Scientific Initiation, Master’s, Doctorate, Direct Doctorate and Postdoctorate): costs for Scientific Initiation, Master’s, Doctorate, Direct Doctorate and Postdoctorate Scholarships, which must be valid for the duration of the projection or less, can be covered by company counterpart funding. Scholarships should be worth at least the same as equivalent FAPESP scholarships (monthly disbursements plus Technical Reserve and any infrastructure grant), and must be adjusted according to guidance from FAPESP. The initial proposal for each scholarship application must be accompanied by a Work Plan up to two pages long, including the title of the project, an abstract, and an outline of the plan. The name of the grantee need not be mentioned in the proposal but if the project is approved the SI must hold a publicly advertised selection procedure to select grantees by academic merit.
d) Work Plan for Scholarships (Technical Training).
e) Research Project drafted in accordance with the guidelines at Roteiro Sugerido Para Formatação do Projeto de Pesquisa “Programa Parceria para Inovação Tecnológica – PITE”.
Additional documents required for analysis of the proposal:
1) Rationale for each item of the budget
Three quotes (do not attach pro forma invoices) for each item of permanent material, domestic or imported, worth more than ten times the national minimum wage.
Important: Quotes included in applications are valid only for the purpose of submission and analysis. New quotes must be obtained when actually purchasing material, as per the Financial Reporting Manual.
2) Document containing approved information on required institutional infrastructure (Annex II of Grant Acceptance Agreement)
i) Academic, administrative, and technical support services available at the Host Institution(s), and personnel hired by the Host Institution(s) to support the project.
3) Document describing the scientific equipment installed at the Host Institution(s)
FAPESP suggests the Host Institution(s) keep on file an annually updated list with their official seal to be provided to researchers.
A list of the items of equipment installed at the institution(s) hosting the project, including items purchased for US$20,000 or more, and specifying for each item:
a) Type, manufacturer and model (e.g. Oscilloscope, Tektronix, model 7904);
b) Relevant features (e.g. 500 MHz; 1mV; single beam);
c) Domestic or imported;
d) Year of purchase;
e) Purchase cost;
f) Person with institutional responsibility for access.
4) Documents for partner company (spontaneous applications only)
i.1) Documents proving the company’s experience in developing and managing technological innovation projects;
i.2) Latest balance sheet;
i.3) Most recent constitutional documents (articles of association or incorporation, bylaws etc.) and minutes from the meeting that elected management or the board;
i.4) Tax clearance certificates (can be submitted after project approval);
i.5) Signed consent form, as per template available from SAGe;
i.6) Consolidated budget, distinguishing FAPESP’s contributions as well as those of the company and Host Institution. FAPESP does not accept applications that do not specify Host Institution counterpart funding;
i.7) Detailed budget for PITE company: to be completed solely for the company’s contribution.
5) Form on Intellectual Property Associated with the Project
Important note: As of November 1, 2016, proposals must be accompanied by a scanned copy of the PI’s identity document registered with SAGe. Go to the menu “Meus dados > Alteração de Cadastro” and attach the ID in the “Identificação” tab of the section “Documento de Identificação”. This requirement applies to all recipients of Research Overhead and PIs for grants and scholarships.
10) Intellectual property issues
The rules governing intellectual property rights to the results of projects supported by FAPESP are established in Portaria PR 04/2011, available at www.fapesp.br/pi.
Projects submitted to FAPESP do not necessarily have to involve existing intellectual property or presuppose the existence of technology that is ready to be transferred. Typically the technology will be developed jointly during execution of the project. In any event, however, researchers must complete the Form on Intellectual Property Associated with the Project. Researchers are advised to seek assistance with completion of the form from their institution’s innovation center. If the project is approved, the innovation center will be involved in drafting the Cooperation Agreement mentioned in item 17.
The Cooperation Agreement entered into by and between the Host Institution, partner company and FAPESP must expressly establish the agreed rules for each case on ownership and sharing of royalties or other earnings from the use of intellectual property rights arising from the partnership, in accordance with each party’s contribution, and also on whether FAPESP will assign such rights to other public institutions, or to private institutions for a consideration.
11) Permits required by law for project execution
The PI and Host Institution are responsible for applying for, obtaining and holding all permits and licenses etc. required by law for satisfactory execution of the project, to be issued as appropriate by the pertinent regulatory and other authorities.
If the proposal is approved, the Grant Acceptance Agreement will contain a clause requiring the PI and Host Institution to hold such permits, licenses etc. and produce them for FAPESP whenever asked to do so.
12) Analysis and selection of proposals
12.1) Criteria for analysis
FAPESP defines a “Proposal” as a three-part submission for analysis by reviewers, as follows:
a) The academic background of the applicant and research team;
b) The research project;
c) The budget.
For each of these parts the reviewers take the following into consideration:
a) Academic background of applicant and research team
a.1) Quality and regularity of scientific and/or technological production. Important elements for this analysis include: a list of publications in journals with a selective editorial policy; books and book chapters; patents in which they figure as inventors; research results effectively transferred and adopted by companies or government; other relevant information.
a.2) Demonstrated experience in leading research and development projects relating to the field of the proposal being analyzed.
a.3) Research team
a.3.i. Quality and regularity of the team’s scientific and/or technological production in respect of the challenges posed by the project.
a.3.ii. Specification of the role to be played by each team member.
a.3.iii. The team’s prior experience in joint technology research and/or development.
a.3.iv. Participation by the company’s researchers.
b) Research project
b.1) Definition and relevance of objectives.
b.2) Scientific rationale and suitability of methods to be used.
b.3) How the proposal relates to the state of the art in its field.
b.4) How participation in scientific meetings in Brazil or abroad will contribute to the proposal’s objectives.
b.5) How any Technical Training Scholarships (TT) applied for will suit the proposal’s objectives and methods.
b.6) The project’s feasibility from the technical, economic/financial and commercial/marketing standpoints.
b.7) The importance of the project’s intended contribution to the knowledge area concerned.
b.8) The adequacy of the proposed length of time for development of the project.
b.9) The adequacy of the amount of funding requested in view of:
b.9.i. the importance of the intended scientific or technological contribution (quality and impact of the results);
b.9.ii. the adequacy of the infrastructure and the institutional and physical counterpart offered by the institution(s) in which the project will be executed;
b.9.iii. adequately intense participation by Scientific Initiation students and/or graduate students.
b.10) Intended technological innovation
b.10.i. Possibility of obtaining the technological innovation and its benefits for the partner company.
c) Proposed budget
c.1) Why the requested equipment and permanent materials will be necessary to execution of the project, taking into consideration the infrastructure available in the institution and the applicant’s ability to use them.
c.2) Whether FAPESP should or can request the establishment of a system for access to equipment and permanent materials by third parties not involved in this project.
c.3) Why the requested consumables will be needed to execute the project.
c.4) The need for and suitability of third-party services in terms of project execution, and whether:
c.4.i. the third-party services are merely technical and occasional, as required by FAPESP’s rules;
c.4.ii. In some cases it is reasonable to expect that the requested service could be provided by the Host Institution as a counterpart contribution to FAPESP’s funding for the project.
c.5) The adequacy of the partner company’s counterpart contribution.
c.6) The adequacy of the Host Institution’s counterpart contribution.
d) There are specific criteria for the analysis of PITE applications. FAPESP will appraise the following items of projects, institutions and partner companies:
d.1) The capacity of the proponents;
d.2) Technical and scientific capacity;
d.3) Management capacity;
d.4) Economic and financial capacity;
d.5) The importance of the intended innovation;
d.6) Originality;
d.7) Bibliographical rationale;
d.8) Integration and definition of objectives;
d.9) The relevance of the research to social and economic development in São Paulo State;
d.10) Market analysis;
d.11) Suitability of methodology;
d.12) The researchers’ tasks and responsibilities, and how these are interconnected;
d.13) The adequacy of the proponents’ infrastructure and own funds allocated to the project;
d.14) The feasibility of the project’s execution;
d.15) Management capacity;
d.16) Budget adequacy;
d.17) The extent to which the project meets the specific criteria for its category;
d.18) Experience in executing research projects for technological innovation and ownership of the results, including patents and marketing or commercialization rights.
12.2) Procedures
a) Applications to FAPESP for grants and scholarships are analyzed by peer review, in line with the best practices of the world’s leading research funding agencies.
b) Each application is examined by one or more researchers with no formal ties to FAPESP and with expertise in the knowledge area concerned. These researchers issue merit reviews in their capacity as ad hoc advisors. Their assessments are inputs to FAPESP’s decision making process.
c) If the reviewers recommend denial of an application, the applicant has the fullest right to appeal this negative decision by submitting a request for reconsideration based on a discussion of the objections raised by the ad hoc advisors.
c.1) This guaranteed right of appeal, which can even entail calling for arbitration by other ad hoc advisors, is a necessary counterweight to the importance of peer review for the decisions of the Scientific Director.
d) International experience and the experience accumulated by FAPESP show that for the peer review system to work satisfactorily it is essential to protect the anonymity of the reviewers. The independence and objectivity of peer review is undeniably proportional to the reliability of this guarantee of confidentiality.
d.1) As a result, FAPESP’s Board of Trustees, its highest governing body, has determined that requests for review by ad hoc advisors must be accompanied by an express commitment to protect their anonymity.
e) The reviewers in turn undertake to keep the content of their opinions confidential, and these are known only to FAPESP’s departments and area panels involved in the application review process. The mutual trust thus established between FAPESP and its reviewers cannot be allowed to falter for any reason.
f) On sending applications to FAPESP, applicants declare that:
f.1) they are familiar with the system used to analyze applications;
f.2) they grant permission for the application to be analyzed according to this system, and in particular to be appraised by reviewers chosen by FAPESP and whose identities will be kept confidential.
g) FAPESP’s peer review system for appraising applications is described in full at www.fapesp.br/1478.
12.3) FAPESP’s policy regarding potential conflicts of interest
a) To preserve the credibility of its application review procedures and also to avoid inconvenience for its reviewers, FAPESP asks them to consider the possibility of a conflict of interest before starting the review process. FAPESP defines the following situations as involving potential conflicts of interest:
a.1) Participation in a project now or in the past;
a.2) Regular collaboration with an applicant on research activities or publications in recent years;
a.3) Acting as an applicant’s supervisor;
a.4) Having a commercial interest in the proposed research;
a.5) Being related to an applicant by blood or affinity;
a.6) Having had a previous relationship with an applicant that can be perceived as hindering an unbiased opinion.
b) In any of the above situations, or in any other situation that might characterize a potential conflict of interest, reviewers must immediately recuse themselves from examining the application. Reviewers who cannot be sure if a potential conflict of interest exists can consult FAPESP’s Scientific Director.
12.3.1) Reviewer’s declaration
On signing their opinions, ad hoc advisors formally declare that “there are no circumstances characterizing a potential conflict of interest or that could be perceived as hindering an unbiased opinion”. They also undertake to keep the information in the case file completely confidential, and in particular their status as reviewer and the contents of their opinion.
12.4) Requests for reconsideration
FAPESP guarantees the applicant’s right to seek a fresh analysis of the application by submitting a justified request for reconsideration of the initial decision. More details can be found at: www.fapesp.br/reconsideracao.
13) Reports required during the course of the grant
a) Deadlines for submitting Scientific Reports are defined in the Grant Acceptance Agreement. Their submission within the stipulated timeframe is essential to the release of the remaining portions of the funding awarded.
b) Any remaining funding will be automatically cancelled on the date stipulated in the Grant Acceptance Agreement as the end of the project.
c) The Scientific Report must be accompanied by the Form for Submission of Scientific Reports on Grants, which must be properly completed and signed by the PI and the company’s responsible officer. The Final Scientific Report and each Annual Scientific Progress Report should contain information on the following:
c.1) the status of the project;
c.2) the results and publications deriving therefrom;
c.3) the plan for continuation of the project;
c.4) Attached Individual Summary Reports on Recipients of Technical Training Scholarships (TT) and recipients of scholarships funded by the company who are participating in the process. These should specifically describe the grantee’s activities rather than the activities of the research group or of a group of grantees, referring to the objectives of each funding line. Individual Summary Reports on Recipients of Technical Training Scholarships and reports on grantees funded by the company must contain the following items:
c.5) Items to be completed by grantees:
c.5.i. Grantee’s name;
c.5.ii. Grant level and period during which the grant was received;
c.5.iii. Description of the grantee’s activities in the research project;
c.5.iv. Changes and their rationale, as well as any adjustments made to the grantee’s research activities compared with Plan of Activities (see item 8 below);
c.5.v. Impact of the grantee’s activities on the project’s progress;
c.5.vi. Attached updated academic transcript;
c.5.vii. If applicable, specify:
a) the timetable for the next stage of the grantee’s work on the project;
b) other comments considered relevant to FAPESP’s analysis of the grantee’s activities.
c.6) Items to be completed by PIs:
c.6.i. An appreciation of the grantee’s performance.
c.7) On a separate form the grantee must detail and justify the use of Research Overhead, which will be analyzed by the reviewers to appraise its adequacy to the needs of the project.
ATTENTION: Scientific reports on cases submitted via SAGe must be sent electronically, as described in the Manual on Submitting Scientific Reports, which can be consulted at “Manuais” in SAGe.
Documents that must accompany Scientific Reports:
Brief Description of Use of Technical Reserve and Research Overheads. For cases submitted on paper and electronically via SAGe. If this document is missing, the report will not be accepted.
Form for Submission of Scientific Reports on Grants properly completed and signed (only for cases submitted on paper).
1.1) The form for submission of Scientific Reports and the document Brief Description of Use of Technical Reserve and Research Overheads must be signed by the PI and are mandatory for Annual, Final and Reformulated Reports submitted on paper.
14) Financial reporting
a) Deadlines for submitting Financial Reports are specified in the Grant Acceptance Agreement.
b) Financial Reports must be prepared in accordance with the instructions available at www.fapesp.br/1416.
c) Financial reports on the company’s contribution, demonstrating the use of funding approved by FAPESP and stipulated in the grant agreement, must be submitted by the researcher on the dates stipulated in the grant agreement for the submission of financial reports on the use of funding awarded by FAPESP.
d) FAPESP allows PIs to designate users who will help them produce Financial Reports. Information on user registration and designation to support groups is available at www.fapesp.br/1416.
15) Proof of company counterpart funding
Proof of payment of counterpart funding by the company, as well as receipts and other documents issued by the institution demonstrating transfers of funds, must be sent by the PI to FAPESP’s Financial Department semiannually from the starting date stipulated in the Grant Acceptance Agreement. Failure to submit proof of transfers entails suspension of funds release by FAPESP. This may also occur if funds are not disbursed on schedule.
16) Changes to grants
a) By signing the Grant Acceptance Agreement, the PI officially acknowledges that the funding awarded by FAPESP is sufficient to enable execution of the approved project, unless unforeseen circumstances arise.
b) PIs are therefore advised not to sign the Grant Acceptance Agreement unless they are sure that the items and amounts in the budget approved by FAPESP are sufficient, under foreseeable circumstances, to guarantee the successful completion of the project.
c) If they have any doubts about the adequacy of the budget, PIs should not sign the Grant Acceptance Agreement and should immediately submit a request for reconsideration of the budget as approved. FAPESP’s advisors will analyze this request provided it is properly justified.
d) FAPESP recognizes that unforeseen circumstances occurring after a grant is awarded may in certain cases require changes to terms and conditions, and hence allows PIs to apply for such changes by means of an addendum to the Grant Acceptance Agreement, as detailed below.
16.1) Requesting an addendum to the Grant Acceptance Agreement without the award of additional funding
a) A request for an addendum extending the duration of the grant owing to unforeseen circumstances without the award of additional funding may be analyzed by FAPESP provided it is submitted together with the Scientific Report at least 30 and preferably 60 days before the end of the agreement’s initially approved term, limited to 60 months. Any request to extend the time allowed to complete the research must be accompanied by a statement of consent from the partner company and will be included in the Cooperation Agreement via an addendum to this effect.
b) Requests for addenda making other changes in response to unforeseen circumstances without the award of additional funding may be analyzed by FAPESP provided they are properly justified and submitted at least 30 days before the date on which the change will be effected. Such cases include requests to alter the timetable for disbursement of counterpart funding by the company. If the change is approved, it will be included in the Cooperation Agreement via an addendum to this effect.
c) Requests must be submitted with proper justification via the online support service “Converse com a FAPESP”.
16.2) Requesting an addendum to the Grant Acceptance Agreement for the award of additional funding
a) Requests for an addendum awarding additional funding in response to unforeseen circumstances may be analyzed by FAPESP provided they are properly justified and submitted together with a Scientific Report.
a.1) As an exception to this rule, requests for an addendum awarding additional funding submitted at other times will be analyzed only if they demonstrate that the budget items and amounts in question could not have been foreseen when the Grant Acceptance Agreement was signed or previous Scientific Reports were submitted.
a.2) Requests for an addendum to extend the duration of one or more Technical Training Scholarships awarded as a grant budget item may be analyzed provided they are sent together with the Scientific Report for the grant and accompanied by the Individual Summary Report on the activities conducted during the period and the grantee’s Plan of Activities for the forthcoming period, in accordance with instructions available at www.fapesp.br/bolsas/bolsasconcedidasemauxilios.
b) All addendum requests must be accompanied by a counterpart from the company so as to maintain the proportions of the funding initially awarded. If additional funding is approved, it will be included in the Cooperation Agreement via an addendum to this effect.
c) Requests must be submitted with the necessary rationale via the online support service “Converse com a FAPESP”.
17) Cooperation Agreement
A Scientific and Technological Cooperation Agreement is entered into by and between the Host Institution for the project, the partner company or organization, and FAPESP, specifying a timetable for disbursement of funding and for the expected results of each stage of the project, establishing ownership of any intellectual property rights arising from the partnership and the rules on sharing of royalties or other earnings from such rights in accordance with each party’s contribution, and allowing FAPESP to assign such rights to other public institutions, or to private institutions for a consideration. A copy of the Grant Acceptance Agreement is appended as an annex to the Cooperation Agreement. In order for the funding awarded by FAPESP to be released, the Cooperation Agreement must be presented by the beneficiary within 120 days of the date on which they were called upon to sign the Grant Acceptance Agreement. FAPESP may exceptionally extend the deadline for presenting the Cooperation Agreement by up to 60 days. If the Cooperation Agreement is not presented by the established deadline, the grant is cancelled. The release of funding is also conditional on presentation by the PI to FAPESP of proof that the company has transferred counterpart funding to the Institution.
FAPESP advises the parties to begin work on processing the Cooperation Agreement as soon as the PI is called upon to sign the Grant Acceptance Agreement. The PI should monitor this processing work to avoid delays to project execution.