Wits Innovation Seed Fund

Call for Applications and Application Guidelines

8th Call for Applications

Call Issue Date 10 October 2018

Compulsory meetings, reviews see section 8 *
Application deadline Close of business 1 November2018 *
* Timelines are dictated by TIA’s call for applications

The Wits Innovation Seed Fund is managed by the Innovation Support Unit of the University,
located at Wits Enterprise.

Funding is provided by the Technology Innovation Agency.

Contents

1. Introduction...................................................................................................................................4
2. Objectives of the Wits Innovation Seed Fund................................................................................4
3. Applicant Eligibility........................................................................................................................5
4. Eligible Activities for the Fund.......................................................................................................5
4.1 Led by Technical Co-ordinator......................................................................................................5
4.1 Led by ISU....................................................................................................................................6
5. Ineligible Activities.........................................................................................................................6
6. Budgeting and Eligible costs..........................................................................................................7
7. General Funding Conditions..........................................................................................................8
8. Guidelines & Procedures for Application Process..........................................................................9
8.1. General..................................................................................................................................9
8.2. Application and Review Process...........................................................................................10
8.3. Review Process and Criteria.................................................................................................11
8.4. Timelines Including Compulsory Meetings & Reviews.........................................................12
8.5. Enquiries Contact.................................................................................................................12

Wits Innovation Seed Fund Guidelines Page 2 of 12

October 2018
1. Introduction
The Wits Innovation Seed Fund (WISF) is aimed at supporting and progressing the
commercialisation of research conducted in the University, on the founding assumption that
some of the University’s research endeavours may hold the promise of taking the new
knowledge developed to the market. The WISF is specifically aimed at filling in key gaps in
understanding the product, process and/or service opportunity arising from the research,
with the eventual objective of a successfully funded project being a well-developed:

- fundable proposal for next stage of scale up or market testing, and/or

- business plan to attract entrepreneurs and/or investment into a spinoff company,
and/or
- plan to attract existing organisations as partners to invest in and take the opportunity
further.

The funding for this Wits Innovation Seed Fund is provided by the Technology Innovation
Agency (TIA) under contract to the Wits Innovation Support Unit (ISU), located at Wits
Enterprise. The ISU is responsible for soliciting and reviewing applications, and managing
projects once approved. A Seed Fund Steering Committee, consisting of University, industry
and TIA representatives, is responsible for review and oversight of funded projects, and
making recommendations to TIA on proposed scope, timelines, and budgets.

These guidelines are developed in alignment with the requirements of TIA’s guidelines and
rules for its Seed Fund.

2. Objectives of the Wits Innovation Seed Fund

The overall objective of this funding is to enhance the understanding of key aspects of the
product, process and/or service opportunity that may be developed from research,
including:

- whether the science can be scaled, and/or works reliably in vivo,

- the optimal configuration of prototype product/process/service for performance,
production and user acceptance,
- the market need,
- the techno-economic viability,
- etc.

This may involve building prototypes, lab and field testing, analysis of performance
parameters/optimization, analysis of market and competitive landscape, techno-economic
studies, etc. It is intended that the results of these activities will move the underlying
technology to later stages of the technology readiness framework, and thus enable next
steps in commercialisation.

Wits Innovation Seed Fund Guidelines Page 3 of 12

October 2018
The funding amounts are strictly limited and targeted at the specific activities as detailed
below. The intention is that this modest seed funding will leverage significant further rounds
of funding for full scale development and commercialisation of the opportunity. This may
happen directly for development within Wits, or by virtue of a spinoff being capitalized by,
for example, private and/or public investors, or an existing organisation willing to make the
investment to develop the technology further and to take the opportunity to market.

It is intended that the projects will be managed as a partnership between the University
research team (see eligibility below) and the ISU. Specifically, we expect that certain
fundable activities, e.g. prototype development, may be undertaken and managed by the
University research team, led by a designated Technical Co-ordinator (i.e. technical project
leader), whereas certain activities may be required and led by the ISU.

3. Applicant Eligibility
 University Team: an individual/team of staff and/or students of the University
whose research results show that the science underpinning the technology/IP is
proven and the IP is owned by the University. Any team of staff and/or students
need to be led by a suitable Technical Co-ordinator (typically a staff member or PhD
student / PostDoc with requisite experience) who will be available for the duration
of the project. It should be noted that staff who will be eligible to take sabbatical
leave during the execution of the project will not be eligible to act as Technical Co-
ordinators for the project unless the sabbatical is closely tied to the tasks of the
project.
 Companies/organisations developing and/or commercializing a Wits technology: a
company/organisation who have been granted the right by the University to further
develop and/or commercialise the technology (and associated intellectual property
(IP)) emanating from the University, and which meets the other requirements of the
Seed Fund as set out herein.

Furthermore, note that outsourcing of tasks to third party suppliers, to supplement capacity,
or bring in specific expertise, where necessary, is permissible (and in fact encouraged, since
the required capacity and skills to produce prototypes, undertake techno-economic studies
etc. are not necessarily present within a University research team). Where such tasks are
included in the budget, a valid quote from the supplier must be submitted with the
application budget, as a basis for such cost item.

4. Eligible Activities for the Fund

4.1 Led by Technical Co-ordinator

The following are the Eligible Activities we would typically expect to be led by the Technical
Co-ordinator.

Wits Innovation Seed Fund Guidelines Page 4 of 12

October 2018
  Product, process or prototype development – for example, building and testing a
physical model of the invention, typically on a small scale, to show that the science
works repeatedly and/or to optimize the parameters wherein the science works.
 Production of market samples – for example, producing a few prototypes and/or
samples to support testing of the product in the market, i.e. by users, prospective
manufacturers, etc.
 Refining and implementing designs, e.g., based on market feedback.
 Conducting field studies to test the assumptions made about the technology, market,
and/or customer need. For example, limited animal studies, testing of a prototype in
the intended customer environment under different sets of conditions, etc.
 Support towards certification activities, for example South African Bureau of Standards
approval, CE mark registration, etc.
 Support towards piloting and scale-up, e.g. design of pilot plant for industrial /
chemical processes.

4.1 Led by ISU

The following are the Eligible Activities we would typically expect to be led by the ISU, and
the ISU will work with the Technical Co-ordinator to develop these aspects of the
application:

 Sourcing of IP opinions, including landscape / freedom to operate studies, opinions on

registerability etc.
 Techno-economic evaluation, to provide inputs towards assessing commercial viability.
 Detailed market and industry analysis.
 Proposal and/or business plan development, for the next round of fund raising.

5. Ineligible Activities
It is important to appreciate that the Seed Fund is intended to fill in the key gaps that
preclude the University from taking next steps towards commercialisation success, including,
for example, raising material funding for scale up, spinoff companies etc. It is also a limited
fund, and as such some activities cannot be funded. Therefore the following, and any other
costs the ISU deems to fall outside the intent and objectives of the Seed Fund and the TIA’s
rules/requirements, will be ineligible for funding:

1. Wits staff time. It should be noted that the team involved in the project stand to
share in the benefits that accrue if the technology is commercialized (by virtue of the
Wits Intellectual Property Policy). However, note that students can be contracted,
and paid, to perform specific tasks that pertain to the project. This will be done on
the basis of deliverables, and payment will typically be on successful completion of
the deliverable, unless otherwise agreed between the ISU and the Technical Co-
ordinator. (See also point 8 - Bursaries below).

Wits Innovation Seed Fund Guidelines Page 5 of 12

October 2018
 2. Costs incurred prior to the date of the project approval and initiation by the ISU i.e.
before the letters of award /other arrangements have been concluded between the
ISU and Technical Co-ordinator and their Head of School.
3. Research where there is inadequate proof of concept, i.e. there is no proof that the
science/concept can work in at least preliminary experimentation, simulation, etc.,
preferably supported by some level of peer review.
4. Food, accommodation, and entertainment costs of researchers and/or students,
unless explicitly part of the eligible activities and agreed with the ISU, e.g. reasonable
accommodation and other expenses whilst conducting field trials, may be included.
5. Travel to conferences and conference fees, unless explicitly part of the eligible
activities and agreed with the ISU, e.g. attendance of trade conference to test the
unmet needs in the market.
6. Equipment procurement, except for specialised equipment within budget constraints
and unavailable on an economic basis elsewhere, for example where equipment
does not exist in any other South African institution/organisation and/or access to
such equipment is not feasible for justifiable reasons.
7. IP protection & registration costs, except where explicitly forming part of the eligible
activities and agreed with the ISU (Wits has a specific budget for such expenditure
and therefore loading Seed Fund activities with these costs will compromise the
amount of funding needed for eligible activities and/or other projects).
8. Tuition costs and/or bursaries. See point 1 for contracting of students on project
specific tasks leading to a deliverable.

NB: It is often the case that these projects yield valuable scientific/research results,
which are closely aligned with students’ current studies i.e. may enhance/fast track
their studies, and/or is aligned with other research being conducted, and publications
are often realized from the projects. This is acknowledged and welcomed as a by-
product of the project, not its objective per se. The primary objectives of Seed Fund
projects are as stated above, and the proposals need to be framed in that manner, since
publications and/or graduates are NOT the primary outcome sought by the Seed Fund.
Projects need to be framed in terms of activities that lead to a tangible result. More
specifically, the project must be planned in terms of deliverables, achieved through
eligible activities conducted within specific timeframes, leading to go, no-go decision
points.

6. Budgeting and Eligible costs

The Seed Fund will pay all the reasonable costs of the Eligible Activities only, up to the
maximum award amount stipulated in section 8 below. These are typically:

1. Time of students / external individuals contracted to perform specific project tasks (see
section 5 point 1 above) leading to a deliverable.

Wits Innovation Seed Fund Guidelines Page 6 of 12

October 2018
2. Consumables and eligible equipment purchases (see also section 5 point 6 above).
3. Service providers (parties/persons outside Wits) required to outsource certain activities
due to capacity constraints and/or need for specialist expertise.

Prior to finalisation of the applications, the ISU will engage with the applicant in scrutinizing
these costs, and adjusting them as required.

7. General Funding Conditions

1. Successful application(s) will receive funds, depending on the budget requirements, of
up to a maximum of R450 000 (Direct Costs) for all the Eligible Activities required for the
technology for the duration of the WISF project.
2. Projects’ duration should be a maximum of 12 months and applications for longer
projects will only be considered by exception on good cause shown.
3. The successful applicant, through the Technical Co-ordinators (and Heads of Schools,
where relevant) will be required to sign a Letter of Award from the ISU, detailing the
amount of funding, project plan, responsibilities of the Technical Co-ordinator, etc.
4. The successful applicant will be required to submit reports, at least quarterly, on a
template (subject to change from time to time) to be provided by the ISU. This enables
assessment of progress against deliverables and milestones, and whether the funding is
being spent in accordance with the agreed budget. Other ad hoc progress and technical
reports may be requested on reasonable notice.
5. The funding may not be transferred to any other individual, organization, or entity;
neither can the award be transferred to an alternate project, unless explicitly agreed to
by the ISU.
6. Each award will have an agreed completion date. Technical or other delays need to be
communicated timeously to the ISU. The Wits Seed Fund Steering Committee, as well as
TIA, will need to approve any amendments in deadlines set.
7. Projects which do not show adequate progress, or where technical deliverables cannot
be achieved (it is acknowledged that the science does not always work adequately to
support a viable product, process or service), may be terminated prior to conclusion of
all milestones.
8. Unspent awarded funds will be retained by the ISU for potential redirection to other
worthy projects, or to be returned to TIA.
9. There is no consideration payable to TIA on successful commercialisation where a project
has provided WISF funding. However, where a project has received WISF funding and
requires further funding to progress it, TIA must be approached if such funding falls
within TIA’s mandate. In the event that TIA declines to provide further funding through
its normal instruments, or fails to approve such funding within 90 days from the time of
receiving an application, Wits is entitled to pursue other funding.

Wits Innovation Seed Fund Guidelines Page 7 of 12

October 2018
10. During and post conclusion of the project, the ISU will actively assist researchers to
promote the product/process/service, and to secure funding, as part of its normal
support provided to researchers.
11. The IP developed will be managed in accordance with the Wits IP policy, and relevant
legislation including the Intellectual Property Rights from Publicly Financed Research and
Development Act (IPR Act). The ISU is mandated by the University to act as its specialist
advisor and liaison in regard to the IPR Act, and will provide all required guidance in this
regard.
12. The WISF is funded by the TIA, and subject to its rules and criteria as provided for herein.
Furthermore, the application process and award of projects is subject to availability of
funding, and approval from, TIA.

8. Guidelines & Procedures for Application Process

8.1. General
1. The maximum budget for applications to the ISU is R450k. Additional activities such as
techno-economic studies etc. may be added by the ISU above this amount, in
consultation with the applicant.
2. Prior to making an application, the applicant is required to have attended a compulsory
briefing meeting with the ISU, and if the application is short listed, a compulsory review
will be held. More details on this are contained in section 8.4.
3. Applications should be the original work of the applicant/co-applicants.
4. Applications should be in relation to a unique and innovative technology / invention,
developed within the course and scope of employment (in the case of staff) and/or
studies (in the case of students) at the University. Therefore, the underlying IP is owned
by the University in terms of its IP Policy1. Applications can also be accepted from the
University and/or organisations/companies where rights to develop and/or
commercialise University IP may have been granted to that organisation/company.
5. University applicants should inform their Head of School/Department/Centre of their
application to the WISF.
6. If ethics committee approval is required in order to conduct the project, such approval
must be applied for timeously by the Technical Co-ordinator, and the lead time to
finalising these approvals incorporated accurately in the project plan. Approved funds
may be withheld pending necessary ethics approval for any of the project activities.
7. The Technical Co-ordinator will be required to indicate that they are aware that their
work and the project may contain valuable IP, and that they will keep such information
strictly confidential, and disclose/discuss it with the ISU in order to assess whether there
is registerable IP and to enable registration of such IP.
8. Applications must include a project plan:

1
The ISU can advise if prospective applicants are unsure of this.

Wits Innovation Seed Fund Guidelines Page 8 of 12

October 2018
 o Clearly outlining the set of activities, milestones, associated timeframes and
deliverables.
o Activities could typically include:
 Design & production of prototype(s)
 Testing in laboratory conditions
 Animal studies
 Testing in field conditions
 Analysis of results
 Etc.
o A deliverable is required per activity/milestone. Deliverables are typically
 Delivery of prototype
 Report on results obtained
 Report on analysis or results
o The project plan must have regard to the dependencies between milestones i.e.
go, no-go decision points, as appropriate, preferably developed as a Gantt chart
and attached to the proposal (See Annexure A of Application form)
9. Incomplete application forms will not be considered. All questions should be answered.
10. Applications will not be accepted after the closing date.
11. There is no charge to apply to the WISF.

8.2.Application and Review Process

The following process is followed with each Seed Fund call. The timing for the process is
dictated by the timeframes from TIA and no allowances, outside of what is provided for
below, can be made in this regard.

1. Call for Proposals issued

The ISU issues a call for proposals and sets dates for one or more compulsory briefing
meetings.
2. Compulsory briefing meetings
2.1 The compulsory briefing meeting is an opportunity for:
o The prospective applicants to get clarity on questions on the WISF, application
procedure etc.
o The ISU to get an understanding of the intended application.
In this regard the applicant is required to verbally present in broad brush strokes the
(i) product, process or service they believe could be created out of the
research they have undertaken,
(ii) what the activities are that they wish to see funded through the
proposed project, and
(iii) what research results they have at present to indicate that it is
scientifically feasible i.e. proof-of-concept. Based on this brief verbal
overview, the ISU will assess fit with the WISF and provide feedback to
the applicant accordingly.
2.2 Prospective applicants are required to indicate their interest in applying to
Christel.Wolmarans@wits.ac.za at the latest, the day before a meeting. Where

Wits Innovation Seed Fund Guidelines Page 9 of 12

October 2018
 possible, more than one meeting time is planned to enable flexibility for
prospective applicants to attend.
2.3 Where a Technical Co-ordinator (team lead) is unable to attend a set meeting,
she/he may send a representative of the project team, as long as such
representative is able to describe the intended project to the ISU as indicated
above, and will be expected to convey key feedback to the Technical Co-ordinator.
2.4 In the instance where it is practically impossible for any suitable representative of
the project team to attend the set meeting(s), the Technical Co-ordinator must,
as a matter of urgency, contact Christel.Wolmaras@wits.ac.za to provide their
justifiable reasons, and motivate for an alternative meeting time.
2.5 Once applicants have attended the compulsory meeting, they are free to engage
with the assigned ISU representative on further issues or queries that may arise
during preparation of the application.
Applications by applicants who have not participated in this step will not be
accepted.
3. Application Development
Prospective (eligible) applicants are required to complete an application form as per
the template provided by the ISU, including a preliminary budget, which gives a
breakdown of costs of activities associated with milestones, over the project
duration. Applications are to be submitted, as Word and PDF documents, to
Christel.Wolmarans@wits.ac.za, copying the ISU manager assigned to their
application, if not Christel, by the closing date communicated in the call for
applications. An ISU manager will be assigned to each application during the
Compulsory briefing meeting.
4. Application screening
The ISU undertakes a screening exercise to shortlist proposals that meet the
objectives and criteria of the WISF.
5. Compulsory Shortlisted Proposal Review
5.1 Meetings are held with the team of each shortlisted proposal, to review activities,
budget, and proposal content, at times as communicated in the call for proposals.
It is compulsory for Technical Co-ordinators to be available for the Shortlisted
Proposal Review meetings in the days set aside by the ISU. However, the ISU will
endeavour to accommodate the time constraints of the applicant within the set
times, and meetings by telecon can be considered on just cause.
5.2 The budget review will include detailing of the full cost of conducting the
activities, and listing of additional activities, that may be driven by the ISU, for
incorporation in the application, in consultation with the Technical Co-ordinator.
5.3 The ISU invests significant effort in this review process to ensure proposals are of
requisite quality, and that the content is well understood, thereby to inform
ranking and recommendation for funding and increase chances of approval by
The Steering Committee and TIA.

Wits Innovation Seed Fund Guidelines Page 10 of 12

October 2018
 6. Proposal recommendation and ranking
Shortlisted and revised proposals are reviewed, ranked, and recommended to the
Steering Committee, who recommend a finalized short list to TIA for approval. It
should be noted that TIA has a limited budget, and requires ranking of proposals
being recommended for funding, so as to enable prioritization within available funds.
See review criteria below.

8.3.Review Process and Criteria

For short listing, applications will be evaluated by the ISU team based on alignment with the
objectives and intentions of the WISF, level of readiness of the technology in relation to such
intentions and the potential for translation into viable products, processes and/or services.
Furthermore, criteria for short listing and ranking of projects include the following:

(i) ability to meet the objectives of TIA and the University,

(ii) the goal and impact of the project,
(iii) market need,
(iv) stage of development,
(v) planned fundable activities,
(vi) team’s ability to execute within planned timelines and resources,
(vii) socio-economic impact of the project (contribution to solving societal
challenges / decent standard of living as per the National Development Plan),
and
(viii) the likelihood of receiving follow-on funding from TIA and/or other sources
once the project goals have been achieved.

The decision to recommend an application to TIA for funding, and conditions thereof, will be
at the Steering Committee’s sole discretion. Furthermore, the final funding decision is at the
sole discretion of TIA.

8.4.Timelines Including Compulsory Meetings & Reviews

As indicated before, the timeframes for the application process are dictated by TIA, and no
allowance can be made in this regard unless otherwise stated here.

The timeframes for various steps/stages in the application process, and the final closing date
for this funding call, are:

1. Issued call for applications: 10 October 2018

2. Compulsory briefing meeting options (Venue: Wits Enterprise boardroom, Room
321, Professional Development Hub):
a. 19 October 12pm - 2pm OR
b. 23 October 1.30pm – 3.30pm
3. Closing Date for duly completed application forms: Close of business, Thursday, 1
November 2018
4. Short listed applicants notified : 5 November 2018
Wits Innovation Seed Fund Guidelines Page 11 of 12
October 2018
 5. Short listed application reviews will require a 1.5 hour timeslot in the following:
a. 7 November 9am to 5pm OR
b. 8 November9am to 5pm

8.5.Enquiries Contact
If you have any questions regarding the Wits Innovation Seed Fund, or this call for proposals,
contact Christel.Wolmarans@wits.ac.za who will revert as soon as practical.

Wits Innovation Seed Fund Guidelines Page 12 of 12

October 2018