Reminder: These instructions and the associated template (LINK HERE) are for use for those groups intending to submit a proposal for Full Centers Funding as a NEW Center. Please refer to the appropriate forms for Renewal of Current Centers or for submitting a proposal for a Business Team Grant.
Due Date - DEADLINE EXTENSION
Full Proposals for FY 2005-2006 are due in the COEP office on or before 5 PM on
March 14, 2006.
NEW this year: Please submit your proposal electronically ONLY. Please complete this proposal and return it IN PDF FORMAT ONLY to Sharon Cox via email (scox@utah.gov) ONLY (including all signatures). This form must be received by the Centers of Excellence Office on or before 5 PM on March 14, 2006. Any Questions on submissions may be directed to Sharon Cox (scox@utah.gov) or by phone at 801-538-8770.
Updated Guidelines (Feb. 13, 2006)
The Centers of Excellence Program fosters and supports the commercialization of technology from Utah's Colleges and Universities. Some researchers have a history of successful commercialization. New guidelines (approved by the SAC on 2/13/06) for the program clarify that researchers may return to the program for a new series of COE funding years, if they bring new technology that presents new market, business and licensing opportunities.
If the PI of this proposal has been a Director or co-Director of a Center previously, it is important to highlight that for the reviewers with particular emphasis on the successful outcome of the previous Center in helping to grow Utah's economy. If the previous Center was NOT successful in helping to build Utah's economy, for example the technology ended up out of state, the PI needs to explain the circumstances and identify ways that the current proposal has a higher likelihood of in-state successful commercialization.
Proposal Format
The proposal body should not exceed 20 pages (excluding the appendices and the summary) and should be single-spaced, double-sided on 8 1/2 x 11" paper. Margins should be 1" top, bottom, and sides. Font size should be no smaller than 11-point Times or equivalent. Begin each main section on a new, right-sided page. Please include a Table of Contents.
Cover Page (IMPORTANT)
- Date
- University/College Name
- Project Title (Center Name)
- Principal Investigator (P.I.) and list of co-PI’s
- Full Mailing Address, Telephone Number, Fax Number and Email Address of PI
- Amount of Request
- Desired # of Years of Centers support (maximum of 4)
- Signatures (P.I., Technology Transfer Office, Office of Sponsored Projects)
Executive Summary (2 pages does not count in page total)
The executive summary will be used as a review document. It should be well written in laymen's terms and should cover all aspects of the proposal. Remember that the Centers of Excellence Program is an Economic Development program and that one key measure of its success over the long term is job creation in Utah. Your proposal should highlight ways in which this program would help strengthen existing Utah companies by providing exciting and profitable new product lines, or help to spin out viable new Utah-based companies. Please emphasis the path to market for these technologies so that our Advisory Council can readily understand the market viability of the technology.
Table of Contents
1. Background (2 pages)
1.1 Technology Definition -- Describe the technology innovations, inventions and breakthroughs that you have accomplished
1.2 Application of the Technology -- How could this technology make a dramatic impact on a Utah company’s business (existing business or startup) by serving as either a disruptive or sustaining innovation within one or more markets. Review Important features (uniqueness) and user benefits of the technology.
1.3 Technology Rights -- Identify trademarks, patents, and trade secrets associated with your technology and specify who owns or controls the rights to the intellectual property. Are there other multiple market segments in which the intellectual property is available for license, if so please describe.
1.4 Program History/Status -- Briefly summarize the program's history as well as its current status, including the sources of funding.
2. Program Rationale (5 pages)
2.1 Program Objectives -- State the objectives of your program to move your technology from its current status toward Product status and how close to product you can come in 4 years. If 4 years is not sufficient to achieve product status, clearly identify how far along you will be, and how much time/effort at that point would likely be required to get to product status.
2.2 Program Methods -- State the methods you will use to achieve your technical and product objectives.
2.3 Program Schedule -- State your major measurable program milestones and provide a realistic schedule for their accomplishment.
2.4 Anticipated Results -- What do you expect to happen as a result of your program? Why is this important? What contingency plans exist if there are insurmountable barriers or if market feedback indicates the technical approach should be modified? Are you comfortable with market-based adaptation of technical plans?
2.5 Impact of COEP support -- What impact, will COEP support have on your program and why are these funds important? What technical work required for commercial viability can you NOT do with currently available funds.
3. Project Management/Key Personnel (2 pages)
3.1 Background of Key Personnel -- Give very brief backgrounds of key individuals and why they can do this job. What are their past successes and achievements? Have they worked together as a team before?
3.2 Responsibilities of Key Personnel -- Identify the role each key person will play and why it is important.
3.3 Organizational Structure -- Provide an organizational chart for the initial organizational structure of the Center.
3.4 Program Coordination -- Describe your plan for overseeing the program to ensure the desired outcomes are obtained. Describe how you have coordinated the program in the past and provide a plan for overseeing the program in the future to ensure the desired outcomes are obtained
3.5 Additional Personnel Needed -- Identify immediate personnel needs for further R&D.
4. Budget Narrative (5 pages)
4.1 Funds to Date -- Outline total research and development funds spent to date on program and the source of the funds.
4.2 Current and Pending Support -- Provide a listing of current and pending support (in table form).
4.3 Total Budget -- Show only the following categories - personnel, capital equipment, subcontracts, general expenses, plus totals for a maximum of 4 years. Each year must be shown in a separate column.
4.4 Budget Requested from COEP -- Break this request down to the following specific categories - personnel, capital equipment, subcontracts and general expense categories. Your center budget cannot be altered within each cost category by more than 15 percent without the prior written approval of the Director of the Centers of Excellence Program.
4.5 University's Financial Support -- Identify the university's support under each cost category (both direct and indirect).
4.6 Budget Justification -- Provide this for each cost category.
5. Go To Market (Commercialization) Plan (6 pages)
5.1 Definition of products or services anticipated based on center's technology. This should be a realistic assessment of products and services that are desired by customers and should include examples from customers or partners who have indicated that they WANT these products or services. A given Center may include multiple products targeted at different markets.
5.2 Maturity of Technology -- Give your best estimate of when the technology (products/services) will be ready for market. This should be consistent with the Program Objectives Section.
5.3 Range of markets to which your innovation can be applied. Many technologies have multiple markets to which they can be applied. Please describe one or more markets to which your technology is relevant. At a high level, identify if this is primarily a sustaining or disruptive innovation . in an existing marketplace or an innovation that could create a substantially new market. Please highlight those market opportunities that you feel are most important or with the highest potential for success. Please clearly identify which markets have potential for a successful Utah company (either startup/spinout or licensee).
5.4 Importance of your innovation to the marketplace(s). Consistent with the “Application of the Technology” section and ”Range of Markets”, elaborate on the sustaining or disruptive nature of the technology innovation in each of the most promising potential markets and how it will impact each of those markets. If it is a disruptive technology, indicate the entrenched competitors who will be disrupted by this. If it is a sustaining innovation, indicate the most likely players who will be interested in obtaining this technology (and indicate if there are promising candidates in Utah). Are there other “big friends” who will value your technology and be willing to champion it in the marketplace?
5.5 Market Analysis -- Describe the estimated market size, anticipated growth and anticipated competition in each of the most promising markets and provide description of how this relates to your selection of the “most promising”. Are there some markets that are large and growing, but have an intractable market structure or other barriers to entry that may be insurmountable. Please describe.
5.6 Go To Market Strategy How to you propose that this technology could move out of the lab and into the market place(s) indicated. Identify if this is likely to be a license to an existing Utah company or a spinout/startup opportunity. Note that either of these outcomes are appropriate to the Centers of Excellence Program.
If one or more of the markets indicate licensing as the most successful strategy, has a group or type of potential licensees been identified? Has there been any conversations with these potential partners and if so what is their response? Are these Utah companies?
If this is a spinout/startup opportunity, who has done the business assessment work? Has it been vetted by industry participants in the target industry or just internally generated? What type of “big friends” in industry or the investor community are interested in your technology? Where would the spinout/startup focus in terms of markets? Would other markets follow or be licensed out?
Do you have a business team in place or industry partnerships that could readily and SUCCESSFULLY take this technology to market during the life of the Center? Is this an opportunity that can be funded by the investor community (angels/venture capital firms), through corporate investment partners, bootstrapped or through other sources such as SBIR/STTR.
5.7 Technology Transfer -- Describe any teaming arrangements/cooperative relationships you have established with industry and how these may impact (positively or negatively) the proposed go to market strategies.
5.8 Economic Impact -- What impact do you expect your technology to have on Utah's economy? (May be qualitative or quantitative assessment)
Appendices
A. Letters of support from the university department head or dean
B. Letters of Support from Industry – potential partners or customers
C. Other Letters of Support
NOTE Proposals that do not meet criteria will not be accepted.