PROGRAM OVERVIEW - DOST TAPI

Department of Science and Technology

TECHNOLOGY APPLICATION AND PROMOTION INSTITUTE

PROGRAM OVERVIEW

Department of Science and Technology

(DOST)

Presidential Executive Order

No. 128 mandates the

Department to

“Provide central direction, leadership

and coordination of scientific and

technological efforts and ensure that

the results therefrom are geared and

utilized in areas of maximum

economic and social benefits for the

people.”

DOST

Councils

PCAARRD

PCIEERD

PCHRD

Advisory

NAST

NRCP

RDIs

ASTI

FRPDI

MIRDC

FNRI

ITDI

PNRI

PTRI

Service Institutes

PAGASA

PHIVOLCS

STII

SEI

PSHS

TAPI

Department of

Science and

Technology

(DOST)

SOURCE: S4CP PRESENTATION OF USEC. GUEVARA, 2018, PASAY CITY

Technology Transfer Act of 2009 (RA 10055)

Image Source: http://www.pinoyengineers.com/2013/03/ra-10055-philippine-technology-transfer-act-of-2009/

Ownership

Management

Use and Commercialization

Technology Transfer Act of 2009 (RA 10055)

Image Source: http://www.pinoyengineers.com/2013/03/ra-10055-philippine-technology-transfer-act-of-2009/

Policies Programs

DOST IP Policy DOST IP MgtData Sharing

PolicyGuidelines for

FOB / FORTech Trans

Protocol of RDIs

Enhanced R&D

NICER RDLead CRADLE BIST

Pre-Comm

TECHNICOM TBI Program

Commercialization

SET-UPVenture

Financing

Pathway of Assistance from R&D to Commercialization

Research

and

Development

Commercialized

Technology

Technology

Enhancement and

Protection

Enterprise

Development

Technology

Promotion

and Marketing

Commercialization,

Consultancy,

Upgrading and

Expansion

Invention-based

Enterprise Development

Program

Consultancy for Agricultural and Manufacturing

Productivity Improvement Program

Institutional Support for Trade and

Exhibitions of DOST Technologies and

Services

Regional & National Invention Contests

Promotion & Marketing Assistance

Business Plan,

Valuation, FTO Reports

R&D Funding Program (DOST

Councils)

1. Support for R&D

2. Niche Centers in the Regions ForR&D (NICER) Program

3. Collaborative Research and Development to Leverage Philippine Economy (CRADLE)

4. Business Innovation thru S&T (BIST) Program

Community Empowerment thru

S&T (CEST)

TBI Program

IPR Assistance

Program

Small Enterprise Technology

Upgrading Program (SETUP)

Tech Transfer

Day

Venture Financing

(VF) & Purchase Financing Program

Developed by DOST with the aim to create

a mechanism to fast track the market-

readiness of innovations and technologies

developed by the local and supported S&T

communities.

Support for Local Innovations

R&D Activities

Fundamental or Basic

Research

Experimental Development

Applied Research

Pilot Testing

Enabling Strategies

Human Resource

Development

Harmonized National R&D

AgendaFacilities Funding

Technology Transfer

Market – Ready Innovations

Enabling Strategies

Applied Research

Pilot Testing

TECHNICOM Program Framework

DOST -TECHNOLOGY APPLICATION AND PROMOTION INSTITUTE

TECHNICOM Proposals

Basic ResearchApplied and

Developmental ResearchFinal R&D under Pre-

commercialization Stage Commercialization Stage

New Product / Process Development

Crude or Working Prototype

Initial Trial Runs (simulated

environment)

Small-scale or Limited area testing

Lab-scale product / process specifications

Alpha Testing (for software)

Discovery

Basic Principles reported

Initial Designs / Framework (algorithms,

process flow, etc.)

Component Validation in the laboratory settting

Scaled-up Testing, Fine-Tuning, & Market Trials

Semi-commercial to commercial scale prototype

Scaled-up field, Performance or Industry trials

Optimization/Refinement and standardization

Market Research / Validation (Customer surveys, business Planning, Financial Analysis,

IP Valuation, FTO)

Product Launch / Market Entry

Promotions and Marketing Campaigns

Matching and Negotations

Technology Transfer and Commercialization

(Licensing, spin-off, etc.)

Commercial-scale operations

BASIC ELIGIBILITY REQUIREMENTS

*TBI / Start-up firms should be operating for less than five (5) years

** Assistance should be during the technology development phase

PROPONENT AGENCY

Academe

State University and Colleges

(SUCs)

Higher Education

Institutes (HEIs)

Public RDIs

DOST RDIsGovernment

RDIs

Start-Up Firms*

Under DOST TBI Program

With previous DOST

Assistance**

PROPOSAL REVIEW AND EVALUATION PROCESS

Initial Review / Shortlisting

TAPI

Director

Approval

Fund Release and Project

Implementation

Capsule Proposal

PROPONENT PROCESS AGENCIES

TAPI c/o TECHNICOM Program Unit

DOST

EXECOM

Approval

TAPI c/o External Panel of Evaluators

DOST Sectoral Councils: PCIEERD,

PCAARRD, PCHRD

For Non-DOST funded R&D that is more than

Php 5 million

GC Members: Undersecretary, Directors,

Other Government Agencies, & Private

Representatives

• TAPI – for Php 2 million or below

• Usec for R&D – for more than Php 2million

but less than Php 5million

• DOST EXECOM – for more than Php

5million

Market Presentation / Full-

blown Proposal

Revised full-blown Proposal

and other documentary

requirements

Documentary Requirements

for Release of Funds TAPI c/o TECHNICOM Program Unit

and FAD

Governing Council

(GC) Evaluation

Commercial Viability Evaluation

Technical Evaluations

Usec. For

R&D

Approval

Proposal Presentation

Proposal Presentation

• Significance of the problem

• Size of potential market or number of possible users

• Level of market saturation

Opportunity

• Appropriateness of the technology to solve the problem

• Competitive advantage in terms of

• Cost and

• Features

Innovation

• Possible ease of marketing and production

• Probability of technology transfer or commercialization

• Possible Return of investment or impact to the community

Business Model

Criteria for Approval DuringCommercial – Viability Evaluation

Problem/s

Gaps in R&D

Activities under TECHNICOM

Significance

Technical Claims

Unique Features

Advantages

Value Proposition

Financial Assumptions

Product Cost

MarketDemand and Share

Strategies

Impacts

Returns on the Government

Technology Transfer

Commercial Viability Evaluation

Metrics of Evaluation of Outputs – 6Ps

Products or Process

Patents

Publications

People Services

Places and Partnerships

Policies

TRACK FOR INNOVATIONS

Technology Transfer and

Commercialization

Technology Tranfer

Public Good

Commercialization

Private Goods / Services

Market / Industry Needed Products /

Process

a commodity or service that is

provided without profit to all members

of a society

TECHNOLOGY TRANSFER MODALITIES

COMMERCIALIZATION

RDI / ACADEME (LICENSING)

INDUSTRY

SPIN-OFF

START-UP

LICENSING

SALE / SERVICE

During Short-listing Stage

CONCEPT PROPOSAL (2-page format proposal, briefly discussing the project)

During Full-blown Evaluation Stage:

LETTER OF REQUEST TO AVAIL FINANCIAL ASSISTANCE(for TECHNICOM support addressed to TAPI Director / Program Director)

FULL-BLOWN PROPOSAL (TECHNICOM Format )

WORKPLAN/ GANTT CHART (DOST Form No. 2B-1)

LINE ITEM BUDGET (DOST Form No. 2B-3 using NGAS items – showing all applicable funding counterparts)

Monthly Cash Breakdown(Monthly breakdown of budget requirement – required for purpose of fund release schedule)

CV (Project leader and other Project Staff)

ENDORSEMENT(from Head of Agency where the project leader is employed)

COMMITMENT LETTER(from Cooperating Agencies / Private Collaborator)

RESULTS OF PREVIOUS R&D(Test Results, Technical Terminal Report, etc.)

OTHER REQUIREMENTS / VALID DOCUMENTS (for Start-ups) (Business Permit, SEC/DTI Registration, Articles of Incorporation, Company’s General Information Sheet, Certificate of Non-Affiliation, Secretary Certificate, Notarized Board Resolution Authorizing Project Leader to Apply to the Program and Transact with TAPI, Annual Income Tax Return, Authority to Print Receipt and Invoices, Copy of OR, Company By-Laws, etc. )

GENERAL DOCUMENTARY REQUIREMENTS

FREQUENTLY

ASKED QUESTIONS

(FAQS)

What kind of output is expected to be

produced at the end of the project?

Answer.

A commercial or industry-grade

prototype (product) or process that has

been:

Market or field-tested

Tested on a scaled-up operation

Validated by means of certifications

from regulatory bodies

Ready for market launch

Frequently Asked Questions

Technology

Readiness Level

Results of Evaluation

Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

How are the outputs of the projects

classified:

Answer:

We follow the 6P standards of DOST System:

Product / Process (commercial value of outputs)

Patent (tangible measure of innovation)

Publications (in recognized journals)

Places (facilities that enable increased 6Ps output)

Policies (adopted science-based guidelines)

People Services (increase in the scientific

workforce)


Coverage and Ouputs

Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Can TECHNICOM Program fund

development of facilities?

Answer:

No.

TECHNICOM projects are focused on the

optimization and enhancement of market-

readiness of a specific technology.

These kind of projects are better funded under

other DOST programs.


Coverage and Ouputs

Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

What is the maximum allowed

duration of TECHNICOM Projects:

Answer:

Standard and recommended is one (1) year

because TECHNICOM projects are assumed to

have already completed major R&D activities.

Hence, only further optimization trials and

market testing are expected.

However, should project really require more

than 1 year to launch successfully, projects

could be split into phases, subject to renewal

upon concurrence and endorsement of the

DOST Council.


Project Duration

Coverage and Ouputs

Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

What are examples of justifiable

reasons to split the project into

phases?

Answer:

1. If ethical clearance has to be sought

(especially for projects that involve human

subjects)

2. If efficacy testing and analysis would require

extended period to produce reliable results

3. If product involves seasonal crops, which

requires two cropping seasons

4. If the technical evaluation has reservation

on the viability of the technology


Project DurationProject Duration

Coverage and Ouputs

Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Could implementing agency request

extension of duration during project

implementation period:

Answer:

YES.

Subject to approval of DOST Council, as

monitoring agency of TECHNICOM projects, for

some valid project-related reasons.



Coverage and Ouputs

Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

How much is the maximum allowable

budget for TECHNICOM projects:

Answer:

No specific amount.

Budget depends on the activities proposed,

hence would rely on the technical evaluation of

the DOST Council.

This takes into consideration relevance of the

activities in order to fully justify the amount

requested.


Budgetary Concerns


Coverage and Ouputs

Technology

Readiness Level


Post-Completion

Other Requirements

Is there a Counterpart Funds? How

much?:

Answer:

Yes, there is a 20% Counterpart funds, in kind

and/or in cash.

This is to ensure cost-sharing in risk for the

development of the technology.


Budgetary Concerns


Coverage and Ouputs

Technology

Readiness Level


Post-Completion

Other Requirements

Is TECHNICOM going to get a share

on the company or royalty?:

Answer:

No.

The funds provided by TECHNICOM Program

do not necessitate a share in the revenue for

the potential commercialization of the

technology.

It is a grant free of repayment, share in royalty

or percentage in the company.


Budgetary Concerns


Coverage and Ouputs

Technology

Readiness Level


Post-Completion

Other Requirements

What technology readiness level

qualify under TECHNICOM:

Answer:

Preferably the technology has already

completed TRL 6 or 7

TRL 6 – system or prototype has already been

demonstrated in simulated environment (with

appreciable results)

TRL 7 – prototype is ready for demonstration in

an appropriate operational environment

.


Technology Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

What technology readiness level

TECHNICOM projects want to

achieve at the implementation

period:

Answer:

TRL 8 or 9

TRL 8 – actual technology completed and

qualified thru tests and demonstrations

TRL 9 – actual technology proven thru

successful deployment in operational setting




Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

How long is the evaluation process

under TECHNICOM Program:

Answer:

It depends on several factors:

Completeness of the proposal in terms of

form and substance

Response rate in terms of requested revision

and answer to comments

Amount requested

Review process of DOST

By experience, proposal evaluation and

approval ranges from 3-8months




Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

How does TAPI conduct its

commercial-viability evaluation?

Answer:

TAPI invites market experts to serve as panel of

evaluators, which may be composed of

representatives from:

Academe (business / entrepreneurship,

marketing, economics, management)

Private Sector (entrepreneurs, company

representatives depending on the sector

involved)

Other Government Agencies




Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

What are the major reasons for

disapproval / deferment of proposals

in TAPI’s commercial-viability

evaluation? Answer:

1. Proponent did not fully justify the market

potential of the technology

2. Marketing strategy is not solid (no focus as

to target market)

3. Sustainability issues (i.e. raw material)

4. Activities proposed are already under

commercialization phase (full-scale

production, no R&D involved)




Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

What are the major reasons for disapproval /

deferment of proposals in the technical

evaluation of DOST Councils?

Answer:

1. Technology still in the R&D stage

• subject to major reiterations and re-

configurations before core technology could

be established

• still need to undergo laboratory trials and

tests

• Results of previous R&D not sufficient or

justifiable to continue to pre-

commercialization stage

2. Already under commercialization phase (ready

for transfer and deployment)




Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

What are the expectations from the

Implementing Agency after the

project:

Answer:

1. Technology is ready for the market

2. Implementing Agency will undertake

measures to ensure technology transfer and

commercialization thru any of the modes

specified under Technology Transfer Act

Spin-Off / Start-up

Licensing

3. Allow for post-completion or impact

assessment by TAPI


Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

Who are qualified to be Project

Leaders:

Answer:

For RDI/ Academe - Researcher / Inventor

affiliated with the Institution

For TBI/Start-up – President / Inventor /

Representative afilliated with the Company


Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

Who are the target collaborating

agencies?:

Answer:

Private firms / Industry Partner – who will provide industry

insights/advice, facilities where testing could be done, or

market feedback on the technology developed

Other RDIs or Departments – for R&D collaborations which

require varied expertise from different institutions

Potential Technology Adoptors – to provide insights as to

the marketability of the technology, provide

materials/equipment for testing of the technology in their

facility


Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

What other support services could

be availed by TECHNICOM

beneficiaries:Answer:

TAPI has programs of assistance implemented by other

technical divisions. Endorsement to these program are

facilitated by the TECHNICOM Program Unit:

Invention Development Division

1. Patent Assistance

• From prior art to filing to IPOPhil

2. Support for Preparation of Technology Transfer

Reports

• Valuation of Patents, Freedom to Operate Report


Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

What other support services could

be availed by TECHNICOM

beneficiaries:Answer:

TAPI has programs of assistance implemented by other

technical divisions. Endorsement to these program are

facilitated by the TECHNICOM Program Unit:

Investment and Business Operations Division

1. Technology Transfer Day

2. Venture Financing Program (for MSMEs/ Start-ups /

Spin-offs)


Technology

Readiness Level


Post-Completion

Other Requirements

Budgetary Concerns

Project Duration

Coverage and Ouputs

EDGAR I. GARCIADIRECTOR, TAPI and

Program Director, TECHNICOM

Gen. Santos Ave., Bicutan, Taguig MM 1604Tel. Nos. (632) 837-2071 to 82 locals 2157/2156,

Direct Line / Fax Number: (632) 838-1127Other Fax Nos. (632) 838-1112; 837-2936

TAPI Email: [email protected] Program: [email protected]

PROGRAM OVERVIEW - DOST TAPI

Documents

Transcript of PROGRAM OVERVIEW - DOST TAPI