Engineering and Physical Science Research and Commercialization Program FAQ
In the RFP, Section 3.3.2 Eligible Lead Applicant does not say that a not-for-profit can lead an RCP. Is this true? Is this different from the past?
A not-for-profit is an eligible Lead Applicant. The RFP states that the Lead Applicant must either be an Ohio university, a public or private research organization in Ohio, or a for-profit firm in Ohio.
Is there a preferred leader for an RCP Proposal?
No, although ODOD does encourage business and industry to lead, as the RCP is not an academic-based program.
Are any of the Evaluation Criteria more important than others?
Only the most meritorious proposals are sought for funding. Proposals passing the administrative review will be evaluated by external
reviewers based on responsiveness to all the requirements of the RFP and to the Evaluation Criteria listed in Section 4 and Appendix D
of the RFP. The Evaluation Criteria listed in Section 4 of the RFP have been designated with the highest relevance to and weighting for
the RCP. All of the Evaluation Criteria have been designed to support the mission and goals of the Third Frontier Project and its various
programs.
How soon will Grant money be available after June 26, 2008?
RCP Awards are expected to be made during the Third Frontier Commission's meeting on June 26, 2008. ODOD expects that Grant Agreements will be finalized during the September/October 2008 timeframe.
Is the review process exactly the same as last year?
The review process may not be exactly the same. However, the major components are the same from a high-level overview, including the
Administrative Component, during which ODOD will work closely to involve National Academy staff, and the Review Process, during which
National Academy subgroups will review proposals, provide review as an entire panel, and then conduct interviews with the finalists.
The RFP states that a for-profit Ohio company is encouraged to be a Lead Applicant. However, if the Ohio company is a division of a multinational, would a partnering university be the preferred Lead Applicant in this case?
No, not necessarily. One needs to look at Principal Place of Business defined in the RFP and Appendix A.
How many Collaborators are necessary to "qualify"? Must they be from Ohio?
(i) A Proposal is required to have at least two (2) or more Collaborators. (ii) There is an clear advantage to having Ohio-based Collaborators. If a Collaborator is not an Ohio-based entity, the question will arise – "how does this circle back and benefit Ohio?"
Per the RFP, Cost Share can be cash or in-kind. Is there a required/target split between cash and in-kind Cost Share?
There is not a required/target split between cash and in-kind Cost Share. Cash is preferred, though.
Can you take credit for value of Intellectual Property (IP) as part of Cost Share? Are there any guidelines regarding valuing the IP?
ODOD consistently steers away from guidelines regarding valuing IP. When it comes to in-kind Cost Share contributions, you need a verifiable market
value. In terms of services provided, you need to demonstrate a fee waived on your behalf. Given that, ODOD does not know a legitimate way to value this.
Can we claim the value of the cost gone into the IP?
No, because those expenses were likely incurred prior to the time of the award. All Cost Share must be expensed during the period of Third Frontier performance. So, cost that went into IP would not count.
Can a Collaborator be added to an eligible lead RFP submission even if it is not listed in the LOI?
Yes.
Can partners include corporations headquartered outside of Ohio? If the company has a satellite operation in Ohio, can they be a partner?
Yes, and it is preferred that the satellite operation located in Ohio be the point of contact with whom you are engaged.
To develop partnerships, can we get a copy of the sign-in list today?
The sign-in list will be posted along with the presentation on the Third Frontier website (www.thirdfrontier.com).
If awarded an RCP grant, how are funds distributed to the awardee?
Funds are distributed only to the Lead Applicant. ODOD will extend a Grant Agreement to the Lead Applicant 3-4 months after
approval by the Third Frontier Commission. Once the Grant Agreement is fully executed by both parties, invoicing can begin (on a cost-reimbursed basis).
There was a company forty years ago, decades ahead of its time, with 4% of market share, but the mid-1970s recession killed the concept. Can I use that project to verify the first stages (imagining to market entry)? My idea is to use "current" technology to make it viable today.
If nothing has happened on this, you would want to build a case for why it is still viable in the economy. If you can, then you can use it.
However, a thirty-year old interest in something could be stale, so you need to make that connection to how it is relevant today.
Does the RCP fund product and technology development by an established industry?
As long as there is an R&D component to it. However, consider the Commercialization Framework – Imagining, Incubating, Demonstrating phases.
For example, if you are already selling a product and all you are doing is changing the color, that is not what we want. We want projects where
there is still research and discovery going on, bringing it up to the point of market entry. The intent is to drive the product into the
marketplace, but there has to be some research content to it.
What if there are no "qualified" reviewers for your work? If the work is not understood by qualified reviewers, who will review a Proposal?
When you submit your Letter of Intent (LOI) and define what it is that you will be submitting, all of that information goes to the National Academy of Sciences (NAS). NAS selects the panels based on the expectation of what type of proposals will be received. So, to a degree there is a burden on you to make certain that you make clear the subject matter. If you have something very niche-oriented, you need to point that out in your LOI. The NAS tries to get the right science and business people in these panels that can handle the subject matter.
What is the earliest Grant start date? Number of years?
ODOD expects that the start date will be in the Fall 2008 timeframe. There is a second level of approval beyond Third Frontier Commission, that being the State Controlling Board approval. Whenever the State Controlling Board approval date is, that is your Grant's start date. However, Cost Share is allowable from the Award date (June 26th). The term of RCP Grant Agreements will be six (6) years. The first three (3) years will be the Project Period during which the active work funded by the Grant will take place. During the remaining three (3) years, annual reports detailing the overall status of research and commercialization activities and the economic impacts of the Project will be required.
Can ODOD let us know the weighting on the evaluation criteria (page 15)?
There is no weighting on the Evaluation Criteria. Again, Proposals passing the administrative review will be evaluated by external reviewers based on responsiveness to all the requirements of the RFP and to the Evaluation Criteria listed in Section 4 and Appendix D of the RFP. The Evaluation Criteria listed in Section 4 of the RFP have been designated with the highest relevance to and weighting for the RCP. All of the Evaluation Criteria have been designed to support the mission and goals of the Third Frontier Project and its various programs.
If we are developing an advanced material based process/widget useful in power and propulsion, do we get better score/rating because we cover two focus areas?
Historically speaking, Projects working at the intersection of these technologies/focus areas tend to be more innovative and creative than those working directly in one or the other. This is not prescribed to you but something observed - the more creative proposals tend to be at the intersection.
In a multinational company, the authorizing agent for signing off on funds might be outside Ohio. As long as the P.I. is in the Ohio division, is this still viewed unfavorably?
As long as the division of that company is based in Ohio and that is where the work is being done and the impact is going to be realized in Ohio.
The concept of a Principal Place of Business has several dimensions: (1) The company must have a decision-maker capable of committing the organization
in Ohio. (2) The organization must have a physical facility in Ohio that it owns or has a lease on which extends beyond the period of the performance.
If someone is outside of the State of Ohio and pledges to come into the State as a condition of the award, that is allowable. However, before any monies
exchange hands, they must establish a Principal Place of Business in Ohio. So you may have a bid coming from an out-of-state firm or a Subawardee as an
out-of-state firm, but they must establish a Principal Place of Business in Ohio.
Universities could perform research prototyping of technology, but clearly they cannot commercialize. Who takes the lead?
You must ask: What is the thrust of the project? Is it going to be developing the prototype? Is it going to be pushing that
prototype into the market? This would determine who your lead is.
If we have a technology platform and are selling into a market, will ODOD fund R&D to apply a technology platform to a new market?
Yes, if there is a sufficient R&D component.
What is the criterion for capital versus direct cost? Is a prototyping machine which could be used for market (sales) production capital or direct cost?
The concepts are capital and operating costs. The definition for capital in the appendices of RFP - $5000 or more and useful life of one year or more.
Will a Proposal with a shorter than three (3) year timeline anticipated (for entry into the market place) be considered?
Yes, a Proposal with a shorter than three (3) year timeline will be considered.
Please discuss the allowable timing of the Cost Share versus Grant expenditures – i.e., front-loading versus back-loading in time.
From the time the Award is made in June, you can begin counting Cost Share expenditures at that point. ODOD's normal expectation is that your
invoices and Cost Share reporting are in balance with one another. If they are not, ODOD needs to know the circumstances as to why substantial
Cost Share won't be reported until later in the Project Period.
There seems to be some possible overlap between Power and Propulsion focus in the RCP and the Advanced Energy RFPs, yet you can get
$2 million or more in the RCP. Will ODOD push a proposal into, for example, the RCP or Advanced Energy Program or will ODOD allow the submitting party to make that determination?
ODOD will let the submitting party make the decision. The one thing that is clear – ODOD will know if you submit the same Proposal twice,
which is not allowed. Likewise, you cannot submit a Proposal for the RCP with the same topic submitted under the Ohio Research Scholars Program (ORSP).
Will ODOD list Lead Applicant LOI submissions on the Third Frontier website?
Yes, the entire letter will be posted to the Third Frontier website.
