Proposal Preparation Workshops

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					     Proposal Preparation
                     Workshops


   Oklahoma Applied Research Support
              (OARS)

               First FY10
R&D Faculty and Student Intern Partnerships



   Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
            The OCAST Model
• Improve the State’s R&D base by supporting
  undergraduate student & faculty interns

• Encourage undergraduate students to prepare for
  careers in scientific & technical fields

• Catalyst for Collaboration Between State Government,
  the Private Sector, and Higher Education

• Technical Advisory Committees

      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
          Contact Information
Michelle McFarland
Program Officer IV
405.319.8408
mmcfarland@ocast.state.ok.us

Brittany Johnson
Programs Officer I
405.319.8411
bjohnson@ocast.state.ok.us

OCAST Website
www.ocast.ok.gov


      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
          OARS Partnerships
           Project Locations



Internships

Internships and
    Research
Research
Planned
Internship Economic Sectors




     Computer Hardware and Software
     Psychology and Training
     Engineering and Manufacturing
     Farming and Ranching
     Advanced Materials, Energy, Oil, and Gas
     Biotechnology, Medical, and Laboratory Services
                             RDIP
• From FY98 through FY09 there have been 22 Intern
  Partnerships competitions.
• The reviewers recommended 66 % of the submitted
  projects for funding.
• OCAST provided funding for 54 % of the submitted
  projects.
• For the past five years 13 – 36 proposals were
  received each year.
• Approximately $500,000 is allocated for two award
  competitions for FY10

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
               OARS Strategy
• Provides State matching funds for R&D
  projects
• Reasonable probability to enhance
  employment opportunities within Oklahoma
• Must have a high probability of producing new
  or improved commercially successful
                            Products
                            Processes
                            Services

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                   Applicant
                       &
                     Intern
                   Eligibility



Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
           Applicant Eligibility

• Eligible lead applicants for RDIP funding
  include:
  –   Oklahoma businesses
  –   Oklahoma colleges
  –   Oklahoma universities
  –   Oklahoma research foundations

• Co-applicant organizations in addition to
  the above for RDIP funding include
  Oklahoma CareerTech campuses

      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
           Project Ineligibility
• Projects that focus upon the following are
  ineligible for RDIP funding:

  – Market surveys

  – Training or technical assistance for business firms

  – Fundamental or basic research and lacks potential
    for commercialization


     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                 Funding Level
• Regular Proposal
  –$30,000 maximum each year up to two years
  –$10,000 minimum/year


• Supplement Proposal
  –$2,500 minimum for up to 12 months
  –$20,000 maximum for up to 12 months




     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
       Review Process
              &
      Evaluation Criteria



Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
        The Review Process

• Highly Competitive
• Outside Peer Review
  – for benefit to the interns and to the host company
• Catalyst for Collaboration Between State
  Government, the Private Sector, and Higher
  Education
• Technical Advisory Committees


     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                               Proposals Received by OCAST


                                    Compliance Checked


                     OARS Committee assigns reviewers and builds panels


                                 Proposals sent to reviewers


Panels meet in Oklahoma                                                Panels meet in Oklahoma
  to evaluate and rank                                                   to evaluate and rank
       proposals                                                              proposals



                          Panels meet for final ranking of proposals


                           Board acts on reviewer recommendations




            Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
           Evaluation Criteria
 In general peer reviewers evaluate all
 applications according to the following criteria:
•Technical and scientific merit
•Quality & probability of success of the R&D
 Intern Partnerships plan
•Commitment from participating organizations
•Competency of project personnel
•Adequacy of matching funds & other support

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
    Evaluation Criteria (cont.)
• Degree of interest shown by the industry
• Potential for economic impact to the state
• Potential benefit for the undergraduate student
 interns
• Potential benefit to the faculty intern who
 teaches undergraduate students
• Resources for Interns
• The value added to the undergraduate
 instructional program

      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
              Standards
                  &
            Requirements




Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
      Solicitation Forms
               Statement of Intent
                       &
                   Application

Editable forms can be found online at:

               www.ocast.ok.gov


Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
   Submission Requirements
          Statement of Intent Forms
• Deadline for receipt at OCAST:
  –5:00 P.M., August 5, 2009

• Delivery Method:
  –By mail or in person to OCAST
  –or fax to 405.319.8426

  Intent Forms will not be accepted by e-mail

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
   Submission Requirements
            (cont.)
                  Application
• Deadline for receipt at OCAST:
  – 5:00 P.M., August 19, 2009
• Delivery Method:
  –by mail, commercial delivery service (e.g., Fed-Ex,
  UPS) or hand delivered only to OCAST


          No e-mail or faxed applications

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
          NO EXCEPTIONS


       STATEMENT OF INTENTS
                OR
           APPLICATIONS

WILL NOT BE ACCEPTED AFTER THE
          DEADLINES…


  Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
           Required Materials
Each Intern application must include the following
materials:
  Number
   of Sets Contents
     1      Original paper application, marked “original,” with appendices
            attached (stapled or fastened with a binder clip in the upper left
            corner). Prepare required Application Page forms 1-7 (Items 1-19) as
            provided. Refer to Required Attachments pages 8-13 (Items 20-28)
            for instructions to prepare text sections of the application including,
            presentation order and headings.

     1      Paper set of Application Pages: 1-7 (Items 1-19) staple each set in
            upper left corner.

    1 CD    File containing the entire application in (.pdf) format including
            appendices.



     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
       Required Materials (cont.)
IMPORTANT NOTE:
 Each OARS application must include one signed paper original of the entire proposal

 One paper set of Application Pages 1-7 (Items 1-19)
       Include budget pages for each year requested

 A CD containing an electronic copy of the entire proposal as a single file using the
      Adobe Acrobat (.pdf) must be submitted

 The file must be named AR10.1-iXX and P.I.’s First and Last name.pdf,
      where iXX is the Project Number received from OCAST upon submission of the
      Statement of Intent (e.g., AR10.1-i01 Michelle McFarland).

        For identification purposes, the CD must be marked by a permanent marker or
        printed label using the above example




           Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
    Required Materials (cont.)
• 8 ½ x 11-inch white paper

• Not less than 0.5-inch margins

• Single to 1.5 spacing

• Font size not smaller than 10-pt

• Fonts must be Arial, Helvetica, Palatino, Computer Modern, or
  Georgia

• Use the required presentation order and headings as shown
  (Items 20-28)

       Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
   Required Materials (cont.)
• Total section text page length includes
  – Text
  – Inserted graphs
  – Charts
  – Figures
• All Items are to be completed, if not
  applicable, acknowledge the item by number
  and title and then write:
  – “Not Applicable”

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
   Required Materials (cont.)
• Do not use
  – Binders
  – Notebooks
  – Rubber bands
  – Regular paper clips
• OCAST recommends colored sheets to set-off
  major sections of the original proposal

  – Do NOT type text on colored sheets.

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
               Resubmissions
• A resubmission is a new proposal, which
  includes the information below:
  – A current Statement of Intent is required
  – Indicate it is a resubmission in Item 2
  – Prepare item 27. Resubmission Appendix that
    includes:
         •   a letter responding to the reviewers’ comments
             from the previous review and noting all changes in
             the research plan,
         •   a copy of the previously submitted application and
         •   all reviews of that application.

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
      Release of Information
OCAST is subject to the Open Meetings Act and
the Open Records Act.
Statement of Intent, application abstracts and
executive summaries from progress reports are
consider public information.
HOWEVER: marketing plans, financial
statements, trade secrets, research concepts,
methods or products, or any other proprietary
information are exempt by statute.
     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
 ADDITIONAL REQUIREMENTS



• Refer to the solicitation for the following:

  –Contract Information
  –Post Award Support




     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
       Budgets
          &
Matching Documentation



 Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
          Matching Requirements
        Business vs. Universities & Non-Profits
Equipment as                  Business CANNOT use equipment & machinery as match
Match (in-kind)
                              Universities & Non-Profits CAN use equipment as match
                              to fulfill part or the entire required match. Equipment will
                              be considered for match if it does not originate from
                              State-appropriated funds (This match type does not
                              normally fit the intern program since equipment is
                              normally a part of the budget)

                              Business CAN use salary as match
                              Non-profits CAN use salary as match as long as they do
                              not receive monies from state appropriations
Salary as Match
No state appropriated funds
can be used as match          State Universities CANNOT use state appropriated funds
                              as match



           Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
    Matching Requirements
            (cont.)
• In order to qualify for funding for an RDIP
  project:
   – Applicant organization must provide 50% of
     the total direct cost
   – Funding sources cannot be from State-
     appropriated money
   – Matching monies must be specifically for the
     OARS project
In-kind services and indirect costs are not allowed


     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                   Direct Costs
• The RDIP program allows only project direct
  costs as part of matching expenses.
  – Examples of allowed direct costs:
     • Project related: travel, supplies to manage program,
       personal safety equipment for interns, long-distance
       phone

  – Examples of non-allowed direct costs:
     • Advertising, public relations, food, tuition and fees,
       housing cost, automobiles, personal computers,
       lobbying costs, selling and marketing costs, first class
       air travel, patent and licensing fees

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                 Indirect Costs


• RDIP DOES NOT allow Indirect Costs as part
  of the match expenses
  – Examples of Indirect Costs
     • Building & equipment depreciation, interest, operations
       and maintenance, overhead, administrative support,
       library, tuition and fees




     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
      Solicitation Forms




                        FORMS




Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
        Project Narrative




Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
    20. Budget Justification
• Not a spreadsheet – paragraphs that
  justify expenses
• Travel – cannot be increased beyond the
  reviewer approved amount (allow money
  for intern travel to annual OCAST
  sponsored research meeting)
• Supplies – to manage the internship
  program, poster preparation expense

    Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
21. P. I. and co-P. I. Biographical
            Information
• A. Name
• B. Title
• C. Education
• D. Describe experience at managing
     programs similar to this intern
     program
• E. Provide research & professional
     experience
• F. Describe previous OCAST support
    Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
22. Mentor Biographical Information

 • A. Name
 • B. Title
 • C. Education
 • D. Describe experience mentoring new
      hires, interns, and junior colleagues
 • E. Provide research and professional
      experience.


     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
 23. Faculty Intern Biographical
           Information
• C. Statement of anticipated benefits
  from being a faculty intern.
• Recall evaluation criteria…

  – Potential benefit to the faculty intern who teaches
    undergraduate students
  – The value added to the undergraduate instructional
    program



  Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
    24. Letters of Commitment and
                 Benefit
• The letters must be specific to the application
  and not a generalization – follow instructions for
  section




      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
               25. Project Plan

Typically 8-10 pages for a simple partnership
• A. General description of the applied R&D to
  be performed. Include a list of research
  objectives (~ 1 page per project)
• B. Describe the facility(s) where the student
  and/or faculty interns will work. Show that
  adequate equipment and supplies are available
  (~1 page per venue)


     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
      25. Project Plan (cont.)

• C. Generally describe the work the student
  interns will perform, and how they contribute
  to meeting research objectives (~1-2 pages for
  each project/venue)

• D. IRB and hazardous substances (~1 page)




      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
       25. Project Plan (cont.)
• E. Intern Activities (~ 1-2 pages)
         • Describe role and duties of the R&D
            mentor(s)
         • Describe activities of the interns for the
            first month
         • Describe each mentor’s experience in
            performing R&D that has lead to a
            commercialized product, process or service




      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
       25. Project Plan (cont.)
• F. Describe the role and duties of the PI and
  co-PI

• G. If all or part of the intern experience is at a
  non-profit research organization, college or
  university, describe the relationship between
  each participating company and the non-profit
  or academic site. Fully explain why the
  internship is not at the participating company
  site.


      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
      25. Project Plan (cont.)

• H. Carefully explain the plan for selecting and
  assigning interns
  – Describe the potential intern pool
  – Describe the process for contacting potential
    interns
  – Describe the relationship between the applicant
    organization and college (if college is not the
    formal partner)



      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
      25. Project Plan (cont.)


• I. Describe the process used to monitor the
  intern work performance

  – How will the interns be evaluated?
  – Include evaluation instruments in Appendix I




      Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
      25. Project Plan (cont.)
• J. Describe the process to be used for the intern
  to prepare reports
  – Intern should describe the work done
  – Skills acquired and benefits accrued
  – The intern should use a style guide provided by the
    organization
  – A minimum of monthly progress reports should be
    part of the experience




     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
        25. Project Plan (cont.)
• K. Describe the process to track the academic
  and professional progress of the intern for five
  years after the internship is completed

  –   Institutions of higher education attended
  –   Degrees earned
  –   Employer
  –   Current address for the intern




       Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                 26. Appendix I

• For new projects include:

  – Samples of evaluation instruments

• For continuing projects or a new project by a
  previous awardee include:

  – Samples of intern reports and evaluation
    instruments used in previous program

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
28. Other Appendix (optional)


• Not to exceed five (5) pages




     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
Tips for Successful Proposals




  Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                              Tips
• Have a good detailed plan for recruiting,
  interviewing, and selecting the interns
• Show commitment from all participating
  organizations
• Describe how the intern will gain workplace
  skills outside of the college setting
• Project plan must include details and be well
  laid out


     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                              Tips
• Collaborations between colleges/universities
  are encouraged
• Always use details when describing tools and
  techniques.
• Proof read and eliminate grammatical and
  typographical errors
• Ensure all components of the application are
  addressed and included
• Be sure to describe in detail the experience of
  the PI/Mentor in working with students

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                              Tips

• Ensure you have well qualified mentors and
  describe in detail their expertise
• Letter of Commitment and Benefit is very
  important; do not overlook
• 80-100% of the budget should focus on the
  students salary
• Make sure the economic benefit will remain in
  the state of Oklahoma


     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
                              Tips
• Focus your research project to accomplish one
  goal well, do not dilute your project with too
  many goals
• Ensure labor cost are appropriate and
  comparable to the Oklahoma market
• The budget description and the research plan
  should provide sufficient information to justify
  the funding requested

     Advancing Oklahoma’s Knowledge Economy for the Next 100 Years
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Advancing Oklahoma’s Knowledge Economy for the Next 100 Years