Request fr Prpsals Suth Dakta Gvernr s Research Center Prgram SUMMARY OF PROGRAM The SD Gvernr s Research Center Prgram invites prpsals t identify Gvernr s Research Center prjects that will begin in July 2017. The bjective f the prgram is t establish recgnized leaders in a fcused research area and cmmercialize prmising research results in cllabratin with private sectr partners. This request fr prpsals describes a tw-phase prcess. The first phase is a required Letter f Intent t submit a Gvernr s Research Center prpsal. The Letters f Intent will be used t identify reviewers fr an external peerreview prcess that will select the research fcus area(s) that will frm the basis f the next rund f Gvernr s Research Centers. The secnd phase f the prcess is submissin and review f the submitted prpsals. Cntacts: Gvernr s Office f Ecnmic Develpment Mel Ustad, Directr f Cmmercializatin, Gvernr s Office f Ecnmic Develpment, 2329 N. Career Ave., Suite 109, Siux Falls, SD 57107; 605-367-4515 (vice), mel.ustad@sdreadytwrk.cm (e-mail). SD Bard f Regents Nathan Lukkes, System Assistant Vice President fr Research and Ecnmic Develpment, Suth Dakta Bard f Regents, 306 East Capitl Avenue, Suite 200, Pierre, SD 57501; 605-773-3455 (vice), nathan.lukkes@sdbr.edu (e-mail). Eligibility Infrmatin: Eligibility as a lead institutin fr a Gvernr s Research Center is pen t Suth Dakta Regental universities cllabrating with researchers and industry partners interested in establishing a research center r cntinuing develpment f applicatins f a platfrm technlgy within Suth Dakta. An institutin may serve as lead institutin n mre than ne prpsal submitted in respnse t this slicitatin.
PI Eligibility Limit: An investigatr may participate in nly ne prpsal as the lead scientist/principal investigatr. An investigatr may participate in mre than ne prpsal as a senir investigatr/c-pi. Award Infrmatin: Gvernr s Research Center prpsals may request up t $500,000 in year ne, $1,000,000 in year tw thrugh year fur and $800,000 in year five. While the freging amunts represent the maximum amunts which may be sught in each f the funding years, prpsals shuld strive t request nly that which they actually need t achieve the stated bjectives and can realistically expend in any given prject year. The number f awards in FY 2018 is cntingent n the scpe and quality f the prpsals and funding apprpriated by the Suth Dakta Legislature. It is anticipated that apprximately $1.07M will be available t award in year ne; $2.37M in year tw; and $3.07M in years three thrugh five. Cntinued funding in years tw thrugh five will be based n an annual perfrmance review by the Research and Cmmercializatin Cuncil and is cntingent n cntinued apprpriatin f funds by the Suth Dakta Legislature. Prpsal Preparatin and Submissin Instructins: A. Prpsal Preparatin Instructins - RFP Q&A: A state-wide Q&A will be held via G t Meeting at 2:00 CST/1:00 MST n December 7, 2016. The meeting infrmatin is as fllws: Please jin the meeting frm yur cmputer, tablet r smartphne. https://glbal.gtmeeting.cm/jin/711879693 Yu can als dial in using yur phne. United States +1 (646) 749-3131 Access Cde: 711-879-693 - Letter f Intent: Submissin f a Letter f Intent (LOI) is required. The LOI must be submitted by the lead institutin s Spnsred Prgram Office r its equivalent. Please see the full text f this slicitatin fr instructins n preparing the LOI. - Prjects submitting a Letter f Intent may submit a full prpsal by the deadline nted belw. N ther prpsals will be accepted. Please see the full text f this slicitatin fr instructins n preparing the prpsal. B. Budgetary Infrmatin The budget perid fr a Gvernr s Research Center prpsal is five years. Prpsals may request up t $500,000 in year ne, $1,000,000 in year tw thrugh year fur and $800,000 in year five. C. Due Dates - Letter f Intent (required - due by 5 PM CST): January 20, 2017 - Prpsals (required - due by 5 PM CST): March 17, 2017 - External Review and Dwn Select April/May, 2017 - Panel Presentatins and Awards Late May, 2017 2
D. Prpsal Review Infrmatin The prpsals will be reviewed by a technical review panel with expertise in the field and the peratin f majr research centers. The technical review panel will make recmmendatins t the Research and Cmmercializatin Cuncil. The Research and Cmmercializatin Cuncil will make funding decisins based n the technical review panel recmmendatins and the research center s synergy with the state s research and ecnmic develpment plans. E. Award Administratin Infrmatin - Award Cnditins: Additinal award cnditins may be included and stated in the award letter. - Reprting Requirements: Prject directrs, principal investigatrs/science leads (if different individuals) and ther senir investigatrs will be required t submit and present an annual prgress reprt t RCC. Based n the reprt and presentatin f prgress t date, RCC will make a decisin n cntinued funding. I. INTRODUCTION The Gvernr s Research Center prgram is intended t accelerate the grwth f research cmpetitiveness, mve innvatins t market and supprt expansin f Suth Dakta s knwledge ecnmy. Gvernr s Research Centers have had a histry f success expanding Suth Dakta s R&D, spinning ut businesses, establishing public private cllabratins and securing external funding. Each Gvernr s Research Center is expected t becme a recgnized research and develpment leader in its field by building the physical, human and educatinal infrastructure needed t be cmpetitive fr external funding and be sustained beynd the duratin f an award. A successful Center s utcmes are translatinal; they expand the ecnmy bth directly thrugh creating new emplyment pprtunities at the Center, partnering with businesses and spin ff cmpanies, and cntribute t STEM wrkfrce develpment. T accmplish this, a Center s primary bjectives include: achieve natinal standing as a leader in fcused research and educatin areas; increase cmpetitiveness fr majr federal research funding leveraging state and private investments and supprt future research activities; develp fcused areas f research that generate demnstrable and significant cmmercial activity cntributing ecnmic grwth in Suth Dakta; and establish centers in partnership with private sectr entities that will ensure research utcmes are cmmercialized. II. PROGRAM DESCRIPTION Building the infrastructure t fster translatinal research grwth requires an alignment f university and private sectr bjectives. Research pririties shuld align with institutinal pririties and leadership shuld be actively invlved in the prpsal develpment prcess. Additinally, these pririties shuld align with reginal and natinal industry research, develpment and wrkfrce needs. Existing entrepreneurial activities in the state, and cllabratins between universities, private industry, and reginal ecnmic develp entities shuld be integrated int the prject. Prpsals submitted in respnse t this request shuld fcus n applied r translatinal research and develpment prgrams that meet specific and significant industry needs and pprtunities in the states targeted research sectrs. This prgram will allw Suth Dakta t make strategic investments in building natinally cmpetitive translatinal research prgrams in specific areas f science and engineering that are cnsistent with state gals. Strategic investments may take several frms including: 3
set-up csts fr hiring new faculty in targeted areas; equipping and staffing cre research facilities; pstdctral, graduate, and undergraduate research prgrams; funds strengthening university-industry partnerships; r any ther strategy t enable Suth Dakta t dramatically increase its cmpetitiveness in a fcused area. What an award des nt fund is research prject supprt in the traditinal sense. A key premise behind the initiatives undertaken with an award is that the utcmes must result in prgress that will be sustainable beynd the life f the award; it is an expectatin that a successful prpsal will transitin frm infrastructure supprt thrugh this prgram t a self-sustaining status based n cmpetitive federal research funding, private sectr and institutinal investment in the center s activities and revenue frm cmmercializatin f research results. III. ELIGIBILITY INFORMATION Eligibility as a lead institutin fr a Gvernr s Research Center is pen t Suth Dakta universities cllabrating with researchers and industry partners interested in establishing a research center r cntinuing develpment f applicatins f a platfrm technlgy within Suth Dakta. Research teams shuld cnsist f basic science researchers, applied scientist r engineers, and industry partners. Eligibility is nt limited t prjects that pursued r received Research Team Develpment funding in FY17. Prir and existing participants in the Gvernr Research Center Prgram are eligible t apply fr funding under this prpsal; hwever, such prpsals must clearly articulate the prgressin f, r difference in, the activities cntained in their prpsal as cmpared t thse cvered by prir center funding. If a prpsal cntains an investigatr supprted by the current rund f Gvernr Research Center awards (i.e., BiSNTR, AMPTECH and CNAM), the prpsal must explain hw the investigatr s invlvement in the prpsed center builds upn r advances their previusly supprted activities and des nt unnecessarily hinder the effrts f the center prviding their prir supprt. Multiple prpsals may be submitted frm an institutin as lng as the prpsed research aligns with the institutin s research agenda and the institutin indicates its lng-term cmmitment t pursuing the prpsed research area by cmmitting tenure faculty lines r institutinal cmmitment t supprt essential technical supprt staff. Award recipients will nt be precluded frm submitting a prpsal in respnse t the NSF RII-Track I RFP, which is anticipated t be released in June, 2017. Letters f Intent and prpsals must represent a cllabrative effrt amng Suth Dakta Regental institutins and private sectr partner(s). Cllabratins invlving industry partner(s) are required. A Gvernr s Research Center may be prpsed in any R&D areas aligned with the state s targeted industry sectrs identified in the 2020 Visin: The Suth Dakta Science and Innvatin Strategy. A single individual must be identified as the prject directr and accept management respnsibility fr the prject. Additinally, a principal investigatr must be identified as the principal investigatr/lead scientist n the prject, which may r may nt be the same individual as the prject directr. An investigatr may participate in nly ne prpsal as the principal investigatr/lead scientist. An investigatr may participate in mre than ne prpsal as a funded senir investigatr/c-pi. If the PI and/r Prject Directr identified in the prpsal are nt currently emplyed by the institutin, the prpsal must include a letter f cmmitment frm the individual(s) indicating their willingness t serve in such a capacity, as well as a cmmitment n the part f the institutin t hire the individual(s) if the prpsal is funded. IV. PROPOSAL PREPARATION AND SUBMISSION INSTRUCTIONS An institutin may serve as lead institutin n mre than ne prpsal submitted in respnse t this slicitatin as lng as the prpsed research aligns with the institutin s research agenda and the institutin indicates its lng-term cmmitment t pursuing the prpsed research area. 4
A. Prpsal Preparatin Instructins The Letter f Intent is a required prerequisite t submitting a prpsal in respnse t this slicitatin. The Letter f Intent shuld be prepared as a single spaced dcument with 1 margins. It may be up t tw-pages, and must include: Prject Title Prject Directr s and Principal Investigatr s name (if different individuals), cntact infrmatin, and institutinal affiliatin Private Sectr Partner(s) Academic Partner(s) Prject Summary The Letter f Intent must be submitted by the lead institutin s Spnsred Prgram Office r its equivalent t the e-mail addresses identified in Part D f this sectin. Prpsal Preparatin Instructins: The Prject Descriptin shuld clearly define the center missin, activities and gals. Prvide backgrund n the significance f the pprtunity and the Center partners capabilities including prir research results. The prpsed activities shuld be detailed including defined milestnes and timeline fr achieving milestnes. The prject descriptin shuld als identify anticipated challenges r barriers fr the Center and plans fr hw they may be vercme. 1. Descriptin f hw the prpsed activities are aligned with and supprt the SD State Science & Technlgy Plan (2020 Visin: The Suth Dakta Science and Innvatin Strategy). This shuld include the anticipated ecnmic impact f the prject and hw that impact will be achieved. (2 pages). 2. Descriptin f R&D and cmmercializatin activities. This includes the rles f the varius partner institutins, private sectr partners and ecnmic develpment rganizatins in achieving the gals. (16 pages). 3. Descriptin f a detailed plan fr lng-term sustainability f the prpsed research that clearly presents the strategy and implementatin plan (with milestnes) fr sustaining the research center. Present a detailed strategy t build nging research relatinships and generate subsequent, sustained nn-state funding frm federal, private sectr, and ther surces. Describe cmmercializatin r ecnmic develpment plans and prjected impacts assciated with prpsed R&D. (3 pages). 4. Descriptin f the management plan that clearly utlines the prpsed rganizatinal structure, mechanisms fr fcusing and maintaining develpment activities. Prject technical and/r industry advisry cmmittees are required and the members must be identified in the prpsal. (2 pages). A bigraphical sketch, limited t tw pages and presented in NSF frmat, is required and shuld be included fr the prject directr, principal investigatr/science lead (if different individuals) and each faculty investigatr and cllabratr playing a critical rle in the prpsed activities. A list f current and pending research supprt presented in NSF frmat is required fr each persn wh prvides a bigraphical sketch. These items are utside the 23-page limit. Letters f Cmmitment frm private sectr partners indicating their cmmitment f funding, equipment, time, etc. must be included as appendices. These letters are utside the 23-page limit. Letters f supprt that d nt make specific cmmitments shuld nt be included. It is critical that these prpsals be aligned with institutinal pririties. Letters f institutinal cmmitment shuld be attached at the end f the prpsal. Only letters making specific cmmitments shuld be attached (e.g., cmmitting new faculty FTE t the research fcus area, industry cst-share, space assignments, access t facilities, etc.). If new faculty FTE are included in the prpsal, a cmmitment indicating the institutin s willingness t hire the psitin(s) in a timely manner, in additin t supprting the psitin(s) after the award perid, must be included. 5
These letters must be signed by a university fficial that has the authrity t make the cmmitments (vice-president fr research, prvst, etc.). If a prpsal is selected t present t RCC, a university fficial having the authrity t make the cmmitments cntained in the prpsal will be requested t participate in the presentatin. Letters f supprt that d nt make specific cmmitments shuld nt be included. N ther appendices r attachments are permitted. B. Budget Preparatin Instructins Prpsals nt adhering t these guidelines will be returned withut review. Cst Sharing: While n cst-sharing r matching funding is required, significant institutinal cmmitment is required. This may take varius frms including but nt limited t the allcatin f new tenure-track faculty lines, facility and space allcatins, supprt staff, etc. These cmmitments shuld be fully described in the prpsal budget justificatin. Budget Preparatin Instructins: The budget and budget justificatin shuld be appended t the end f the required prpsal elements discussed in part A. f this sectin. Gvernr s Research Center prpsals shuld be fcused n translatinal, applied research and educatin prgrams that meet specific industry knwledge and wrkfrce develpment needs in the states targeted research sectrs. Awards may request funding fr a prject length f tw t five years. The actual number f awards is cntingent n the number f prpsals submitted, their scpe and available funding. General Requirements The prpsal budget shuld be prepared using standard NSF budget frms. Sub-awards shuld be included fr each participating institutin. While n cst-sharing r matching funding is required significant institutinal cmmitment is required. This may take varius frms including but nt limited t the allcatin f tenure-track faculty lines, facility and space allcatins, supprt staff, etc. These cmmitments shuld fully described in the prpsal budget justificatin. A detailed budget descriptin shuld accmpany the budget frms. The budget frms and the budget justificatin are bth utside the 23-page prpsal limit. Letters frm each participating institutin specifically stating the institutinal cmmitment are required. These letters are utside the 23-page prpsal limit. Letters frm each private sectr partner specifically stating their cmmitment(s) t the prject are required. These letters are utside the 23-page prpsal limit. C. Due Dates Letters f Intent and prpsals shuld be submitted electrnically by the fllwing deadlines: - Letter f Intent (required - due by 5 PM CST): January 20, 2017 - Prpsals (required - due by 5 PM CST): March 17, 2017 - External Review and Dwn Select April/May, 2017 6
- Panel Presentatins and Awards Late May, 2017 D. Where t Submit Letters f Intent and Prpsals shuld each be submitted electrnically as a single file in PDF frmat as an e-mail attachment t mel.ustad@sdreadytwrk.cm and nathan.lukkes@sdbr.edu. Hard cpies will nt be accepted and will be returned withut review. V. PROPOSAL REVIEW INFORMATION A. Prpsal Review Prcess Prpsals submitted in respnse t this slicitatin will be reviewed and evaluated by an external panel cnvened by RCC. Prject directrs and principal investigatrs/science leads (if different individuals) will receive a written summary f the review panel s assessment f their prpsal. Prpsals will be reviewed using standard NSF criteria described in the GPG (intellectual merit and brader impacts). Additinal evaluatin criteria that the reviewers will be asked t cnsider in their assessment f the prpsals include: Institutinal, State and Private Sectr Fidelity (25%) Are the prpsed activities cnsistent with the State Science & Technlgy Plan? Are the prpsed activities cnsistent with institutinal research and prgrammatic pririties? What is the ptential f the prpsed activities t address areas f industry interest and/r cntribute t state ecnmic develpment activities? What is the technical merit f the prpsal and likelihd f success in cmpeting fr external funding such as NSF EPSCR RRI r Center funding? Significance and Impact (40%) Are the prpsed research activities cnsistent with federal funding pririties? Are the prpsed activities transfrmatinal? What is the ptential f the scientific activities t significantly impact R&D in the state? What is the ptential fr ecnmic impact f the activities in Suth Dakta? The strength f the multi-institutinal interactins that will develp between institutins f higher educatin and the private sectr and ptential fr their future grwth. Is the budget prpsed in a manner that is cnsistent with achieving these impacts? Outcmes and Sustainability (35%) Des the prpsed team have the capabilities t achieve the stated gals and bjectives? What is the ptential fr prpsed activities t achieve a self-sustaining funding status? The quality f the prject management plan. Quality and strength f the prpsed public/private partnerships. What is the prject s ecnmic impact: e.g., develpment f research and develpment partnerships with industry, creatin f private sectr jbs and the wrkfrce t fill them, etc? Strength f the institutinal cmmitment t the prpsed prject, which may include, but is nt limited t, the level f cmmitment n the part f the institutin t funding the salary f the PI and/r Prject Directr. Des the prpsal effectively leverage partner s capabilities? 7