转化基金申请写作

本文档是针对KAUST 转化基金写作任务而撰写的文档。将自己所学习了解到的信息整理合并，以备后续再遇到类似情况。

提案征集说明 Call for proposal

• First round (TRG2024)

• 资助目标是项目从 2-3 级的技术完整性水平到达4级及以上的完整性水平。

• 提交申请时间：意向书 February 18, 2024；申请书 April 14, 2024

时间节点 Dates and Deadlines

• Letter of Intent (LoI) submission deadline, Sunday February 18, 2024, by 5:00 pm KSA time

• Submission deadline, Sunday April 14, 2024, by 5:00 pm KSA time

• Notification, July 2024

• Award Start Date, **August 1, 2024 **

Online submission portal https://kaust.eu-1.smartsimple.eu/

申请书准备和提交 Proposal Preparation and Online Submission

Formatting: All TRG Proposals must adhere to the following formatting guidelines:

• Letter size (81⁄2 x 11) paper

• Margins of at least 1.5 cm on all sides for all pages Single spaced text on all pages

• Arial, Courier New or Palatino: 10 points or larger; Times New Roman: 11 points or larger; Computer Modern (e.g. Calibri): 11 points or larger.

• Number all pages consecutively throughout the proposal.

All TRG proposal documents must be submitted via the KAUST Internal Funding Management Portal: https://kaust.eu-1.smartsimple.eu/. Preparation and submission of final proposals and proposal budgets should be coordinated with the Pre-Award Team ora.preaward@kaust.edu.sa.

提交材料 Requirements

联系支持人员资料提交信息 Contact Information

For technical and engineering support while developing proposals, please contact the Research Translation team manager: sameh.dardona@kaust.edu.sa

For the terms and conditions for Subaward Agreements, and for inquiries related to the TRG Program, please contact the Pre-Award Team: ora.preaward@kaust.edu.sa

For IT issues related to the use of SmartSimple please contact research.funding@kaust.edu.sa

资料提交信息 Submission Documents

1. Letter of Intent – online form and submission

2. Proposal Document (Contains Gantt Chart, Risk Mitigation plan, and Biographical Information forms)

3. Statement of Intent to Collaborate (External Collaborators only)

4. Proposal Budget

All call documents can be downloaded from the KAUST Internal Funding Management Portal: https://kaust.eu-1.smartsimple.eu/.

重点资助领域 Research Focus Areas

Translational Research Grants (TRG) proposals shall focus on maximizing research impact through actively engaging with national stakeholders and exploring potential co-funding opportunities. The aim is to leverage the institutional expertise, research strengths, and available resources at KAUST to effectively address technical challenges of substantial national significance within the primary RDI pillars and sub-pillars.

Proposals shall focus on research areas that align with Saudi Arabia’s key priorities, some of which include, but are not limited to:

1. Health and Wellness: Drive healthcare transformation by pioneering translational research that address the Kingdom’s needs in diagnostics and screening, drug development, emerging digital and computational technologies, and public health initiatives, ultimately improving human well-being.

2. Sustainability and Essential Needs: Address environmental sustainability and resource management challenges, including ecosystem monitoring, restoration or rehabilitation, sustainable agriculture, and water technologies.

3. Energy and Industrials: Develop innovative technologies and strategies to harness, consume, store, and distribute energy sustainably and efficiently.

4. Economies of the Future: Investigate the transformative effects of digital technologies on economies, businesses, science, and society, with a focus on **fostering ****digital innovation **and entrepreneurship.

评审过程 Review Process

KAUST Research Funding (KRF) follows a rigorous and transparent review process to ensure the highest quality proposals and innovative research receive funding. We employ a robust and multi-faceted review process to assess and select proposals that align with our research and national impact objectives. KRF will** engage external seasoned industry experts** with expertise in the field of the proposed TRG proposals. The evaluation criteria (see below for more details) will encompass established evidence of scientifically grounded technologies, impact potential, alignment with Saudi Arabia’s research priorities, feasibility of the proposed timeline, a clear path for development to reach the proposed TRL level, and potential for further development, technology transfer and commercialization. Funding recommendations will be presented to KAUST leadership by KRF for final funding decisions. KRF will notify applicants of the final funding decision by email. Applicants will receive a summary evaluation of their proposals as feedback.

评审标准 Review Criteria

1. Strategic Alignment with KAUST and National Research Priorities: Must demonstrate how research project strategically aligns with KAUST goals and contributes significantly to national research priorities. Relevance of work in addressing key challenges and advancing overarching research objectives must be clearly articulated.

2. Established Scientific Grounding and Suitable TRL: Proposals will be evaluated based on the strength of the scientific foundation of the proposed technology. Successful proposals must present compelling evidence of a well-established scientific grounding, including a proven proof of concept. Moreover, the proposed technology should be at a minimum Technology Readiness Level (TRL) 2 or 3, ensuring foundational readiness for further development and successful implementation. Proposals that fail to provide sufficient evidence of these criteria will be disqualified during the evaluation process.

3. Precision and Timeliness of Economic Development Targets: A precise and timely overview of economic development targets. Emphasizing the clarity and feasibility of research goals, ensuring they resonate with the broader vision for innovation acceleration.

4. Intellectual Merit and Groundbreaking Potential: An innovative edge that positions the technology as a game-changer. A clearly described potential to usher in significant advancements in the market/industry.

5. Innovative Distinction and Market Opportunity: Well-articulated features of proposed technology that set it apart in the market, underlining how it distinguishes itself from existing solutions.

6. Research Plan, Budget Feasibility and Execution Excellence: Carefully formulated research plan and budget for successful execution which exemplifies feasibility, and soundness. A detailed roadmap with clearly defined quantifiable objectives, specific milestones, and deliverables ensuring effective project management.

7. Quality and Level of Partnerships: Quality and depth of partnerships established, assessing the collaborative synergies and alliances formed to enhance the overall impact and success of the technology development project.

8. Team Expertise and Synergistic Collaboration: Strong qualifications and expertise of the research team. Demonstrated ability to collaborate synergistically to drive success.

9. Defined Metrics of Success and Rigorous Outcome Evaluation: Clearly defined, objective, specific, and quantifiable measures of success. Outlined robust and rigorous methods to evaluate outcomes in relation to stated project goals.

10. Economic Impact and Commercialization Strategies: Clear plans for technology transfer and economic development.** **Illuminated strategies for translating research outcomes into real-world impact, including potential commercialization and industry partnerships. anticipated roadmaps for sustainable growth and innovation.

资格标准和申请数量限制 Eligibility Criteria and Limits to Number of Applications

• All full-time KAUST faculty are eligible to submit proposals. This includes** full, associate, assistant, and research professors**. In pursuit of more focused proposals, each applicant is allowed to apply as** lead PI on one proposal only**, as a Co-PI on a maximum of two proposals.

• Research scientists at the R5-R6 level are eligible to serve as Co-Principal Investigators (Co-PIs) on a maximum of two proposals. Research scientists at the R3-R4 level are eligible to serve as Co-Investigators (Co-Is) on a maximum of two proposals. Co-Investigators are individuals with solely technical responsibilities and no financial obligations.

• Eligible applicants are required to base their proposals on technologies firmly grounded in established scientific principles. Proposals should demonstrate a comprehensive understanding of potential functionalities, along with evidence indicating that preliminary feasibility studies or analyses have been conducted to assess the viability of the proposed technological endeavors. This evidence may involve laboratory experiments, testing, or simulations

资助条款 Funding Program Terms and Conditions

The Translational Research Grant (TRG) competition is administered by Research Funding and Services (RFS) of the Office of the Vice President for Research. The following terms and conditions apply:

1. KAUST policies, procedures, and guidelines govern all award personnel and activities.

2. Award amount: up to 500,000 USD per year.

3. Award term: up to three (3) years starting July 1, 2024.

4. Award end date may not be changed, requests for No-Cost-Extension or Funded-Extensions are not allowed. Applicants should have a carefully formulated plan to initiate awarded projects promptly.

5. Unfunded collaborators that are well-integrated into the proposal, will be reviewed favorably and considered as an asset, especially when used to fill gaps in scientific expertise or facilities.

6. Capital equipment and facilities: strong justification for the need for capital equipment above $50k shall be provided. The same shall apply for facility modifications.

7. Unspent balances may be carried over to the next fiscal year’s budget up to a maximum of 20%. Amounts carried over must be allocated to the same budget category.

8. TRG participants shall adhere to the following guidelines: eligible Co-PIs may be KAUST Faculty, KAUST senior research scientists and engineers (R5-R6), the same eligibility guidelines apply to external Collaborators. Eligible Co-Is are KAUST research scientists of level R3-R4. These are technical investigators with no financial responsibilities.

9. Research Ethics and Safety: Proposed research activities with research ethics and safety implications (e.g., use of human subjects; human blood or tissues; vertebrate animal subjects; collecting personal data; carcinogenic, radioactive, or otherwise hazardous materials) require documented institutional approval (inclusive of KAUST and Collaborator Institutions, as applicable) prior to the commencement of Award activities.

10. Conflict of Interest: Actual, apparent, and potential institutional and/or **PI/co-PI/co-I **conflict of interest (including financial conflicts of interest) must be disclosed and managed, in accordance with institutional policies and procedures, prior to the TRG award start date.

11. Intellectual Property: The KAUST Intellectual Property Policy applies to all KAUST personnel. Intellectual Property terms applicable to external Collaborators will be negotiated before the TRG award start date.

12. Performance: The disbursement of funds is contingent upon favorable performance measured by reviews of annual progress reports submitted to the** office of Research Funding and Services (RFS)** and approved by the Office of the Vice President for Research. TRG proposals must be original and not duplicate ongoing or previously funded projects, internally or externally. Submissions, in whole or in part, should not have been previously sent to other funding organizations. A significant overlap may result in disqualification. Final award amounts will vary based on availability of funds, the number of proposals submitted, the nature of the projects awarded, and the percentage of research effort devoted to the proposed projects.

合作方要求 Categories of Eligible Collaborators

In alignment with the program’s objectives, eligible collaborators for a TRG project fall into any of the three distinct categories below.

• Partners: entities that actively engage in a collaborative relationship and contribute to the development of technology. This involves shared responsibilities, resources, and expertise, with a mutual goal of achieving successful project outcomes. Ideally, they are industry collaborators, or other research entities committed to the advancement of the technology being developed and have a vested interest in its success. Engaging academic institutions as partners/collaborators is not encouraged and it may affect the review negatively.

• Consultants: are external experts or specialized professionals engaged by the PI to provide specific advisory services, guidance, or expertise in areas critical to the technology development process. Their role is advisory in nature, and they may assist in decision-making, problem-solving, or addressing specific challenges related to the research translation objectives.

• Technical Service Providers: are entities that offer specialized technical services crucial to the execution and implementation of the technology development project. They** offer services such as laboratory testing, data analysis, prototype development, or other technical support**.

During the review process, particular attention will be given to** evaluating the quality and depth of partnerships established within the first category**. Proposals that demonstrate robust and well-defined collaborations with partners, particularly with co-funding partners or those who provide in-kind contributions such as testing or field applications are likely to receive more favorable consideration in the evaluation.

预算编制指南 Budget Preparation and Guidelines

Budget allocations must align with the KAUST fiscal year (July 1 – June 30). Projects funded through the TRG awards may allocate budget to the following categories of expenses:

1. Personnel: Research scientists (up to 100% R3-R4; up to 50% R5-R6), post-docs (100%), technicians (100%), and students (100%).

2. Infrastructure requirements: Proposals should state core lab support required for the TRG’s needs (including extra personnel).

3. Non-capital equipment (up to USD 50,000 per unit)

4. Capital equipment (above USD 50,000 per unit) and facilities modification: only if reasonable and well justified.

5. Consumables and materials.

6. Patent costs (average USD 50,000/year).

7. Project-related travel is allowed, up to a maximum of $10,000 per KAUST fiscal year.

8. In case of collaborations with academic partners: a maximum of fifteen percent (15%) of the total annual budget may go to such partners, but only if it is crucial for the project. Applicants are expected to demonstrate optimal fiscal responsibility, limiting indirect overhead costs from funded academic partners to a maximum of 30%. Strong justification is required for overhead costs exceeding 30%, with a threshold set at 40%.

9. External Services (e.g. Consultants, Technical Service Providers) above USD 50,000 shall be well detailed and fully justified.

技术完整性水平 Technology Readiness Levels

Level 1 - 基础研究 Basic Research: basic principles are observed and reported

Lowest level of technology readiness. Scientific research begins to be translated into applied research and development. Examples might include fundamental investigations and paper studies.

Level 2 – 应用研究 Applied Research: technology concept and/or application formulated

Once basic principles are observed, practical applications can be formulated. Examples are limited to analytic studies and experimentation.

Level 3 – 概念验证 Critical function, proof of concept established

Active research and development is initiated. Laboratory studies aim to validate analytical predictions of separate components of the technology. Examples include components that are not yet integrated or representative.

Level 4 – 实验测试和原型 Laboratory testing of prototype component or process

Design, development and lab testing of technological components are performed. Here, basic technological components are integrated to establish that they will work together. This is a relatively “low fidelity” prototype in comparison with the eventual system.

Level 5 – 集成测试 Laboratory testing of integrated system

The basic technological components are integrated together with realistic supporting elements to be tested in a simulated environment. This is a “high fidelity” prototype compared to the eventual system.

Level 6 – 原型确认 Prototype system verified

The prototype, which is well beyond that of level 5, is tested in a relevant environment. The system or process demonstration is carried out in an operational environment.

Level 7 – 集成系统案例 Integrated pilot system demonstrated

Prototype is near, or at, planned operational system level. The final design is virtually complete. The goal of this stage is to remove engineering and manufacturing risk.

Level 8 – 商业化系统集成设计 System incorporated in commercial design

Technology has been proven to work in its final form under the expected conditions. In most cases, this level represents the end of true system development.

Level 9 – 全功能系统部署 System ready for full scale deployment

Here, the technology in its final form is ready for commercial deployment.

Level beyond 9 - 市场推介 Market introduction

The product, process or service is launched commercially, marketed to and adopted by a group of customers (including public authorities).

申请书模板及指南 Proposal Template and Guidance

基金应用范围 TRG Funding may be used for:

• Technical **feasibility demonstration **– addressing uncertainties related to commercial readiness or uptake of the technology.

• Designing, engineering, further developing, testing or validation of prototypes

• Scale-up or refinement of processes or products

• Benchmarking of technology against market and existing solutions

• Direct engagement with potential end users or industry partners for testing, validation or field demonstration of technology

• Market validation study

• Research technicians/engineers, postdoctoral and research scientists

• Outsourcing to external service providers or consultants for professional services

申请书模板 Proposal template

Please ensure your proposal provides answers to the sections below. All sections are mandatory. TRG proposal documents must be submitted via the KAUST Internal Funding Management Portal: https://kaust.eu-1.smartsimple.eu/.

公开摘要 PUBLIC SUMMARY

Give a non-confidential overview of the research results (or technology) to be translated that is suitable for a non-expert audience. Summarize how the technology is unique/better/differentiated from technologies already in the market and what unmet need/market gap/opportunity does it fill? Please avoid the use of technical jargon.

转化计划/目标 TRANSLATION PLAN/OBJECTIVES

预算和时间表 BUDGET AND TIMELINE

• Project Budget: $

• Project Duration: xx months

知识产权 INTELLECTUAL PROPERTY

TTO Invention Disclosure Reference Number:

• Is the project likely to produce invention disclosures or patent filings?

• Does the Research Translation Plan align with the patent strategy?

影响声明 IMPACT STATEMENT (25 words)

Upon the completion of the grant the technology must be on a path towards impact in accordance with what is describe in the TRG program call for proposal document. Impact is not the completion of the grant or the development of the technology but rather the social, technical, reputational, or economic result that comes from the use of the technology by the intended market. One way to depict such impact would be to imagine a headline in a local newspaper describing the impact and benefit for the reader.

Eg KAUST or new KAUST start up develops/commercializes 1st technology in the world or Kingdom to…….., KAUST technology improves, transforms or saves $m’s in xxxxx industry

待转化的研究成果 THE RESEARCH TO BE TRANSLATED

• How has this research been funded?

  • Has it been developed through any external collaborations or using external funding?

• Have you disclosed your results to the Technology Transfer Office?

  • TTO Reference Number:

• Has the TTO filed any patent applications based on the results?

  • If so, does the filing strategy align with the anticipated outcomes of this proposal?

• Is the IP jointly owned by KAUST with another organization?

  • If so please elaborate.

• Will this project likely result in the creation of new intellectual property?

  • If so please elaborate:

• Does this project rely on any IP outside of KAUST?

待开发的研究成果 THE TECHNOLOGY TO BE DEVELOPED

In more detail describe:

• The results of the research are to be developed into technology. It might be that the results have to be developed into a technology through its application or that the results are already a technology albeit in a very early stage.

• Has the technology been initially developed under any other KAUST funding eg CRG, CCF?

• Did you receive funding from KAUST or externally via any other translational funding program eg IAF, RTF, near-term to develop this technology?

• Describe the current state of development of the technology and the development you propose to undertake with this grant?

• Have you** demonstrated proof-of-concept**, or validation of a lab-scale prototype or system prior to starting the project?

• How would you rate the current TRL?

• What are the significant advantages/benefits/uniqueness of the technology?

• Does it fill an unmet technological gap or need?

• What problem is the technology solving?

商业化计划、成果和市场机会 COMMERCIALISATION PLAN, OUTCOME AND MARKET OPPORTUNITY

• Who would be the customer for the technology if available as a product?

• What is the proposed commercial application/use for the technology?

• How close to commercial readiness is the technology?

• Has there been any initial commercial interest in the technology?

• Will the technology be licensed to an industrial partner or do you propose creating a new KAUST start up?

• What existing technologies might be considered competitive? How does your technology differ from the existing competition?

• Have you developed a **business model **canvas?

技术开发计划和可交付成果 TECHNICAL DEVELOPMENT PLAN AND DELIVERABLES

For projects aiming to reach TRLs at the higher end of the scale, at the end of the grant, the technology should be ready for transfer. How will the technology be commercialized e.g. licensed to an industrial partner or existing start up or through a new KAUST start up company.

• The Technical Development Plan is a clear statement of what you propose to accomplish with the grant funds. It should include unambiguous deliverables and milestones. Previously, in the application you described what the technology is and where you want to take it. Here please describe how you will accomplish that result and how you will define and measure success.

• Please provide a Gantt chart to summarize key activities, milestones and deliverables and timeline.

• Your plan should address the technical feasibility of the project. Technical feasibility measures the availability of practical technical resources and skills to solve the problem. This involves having participants who are trained, or can be trained, to accomplish the intended task. It also involves having the technical resources to implement the results or the ability to create such resources.

• Your Technology Development Plan should clearly link the intended commercial plan with the outcome of the plan including:

  • Desired level of maturity

  • Commercial validation plan

  • Any industry specifications or standards applicable

• As the goal of the grant is to rapidly develop technologies for deployment, hiring new staff to undertake the work will delay your objectives and accordingly you should actively seek to make use of any external services, industry partners, expertise, and facilities/test bedding sites to design, develop or demonstrate and validate the technology?

5. USE OF FUNDS/RESOURCE ALLOCATION

• NB: Translation projects are intended to hit the ground running so they can complete in a timely manner within 3 years (or ideally less), therefore they should have all the necessary resources in place to commence the project within 1 month of awarding. If there is likely to be any significant delay from award notification to the project commencement due to any reason your proposal may not pass the final stage of approval, or the award offer may be withdrawn if the project is deemed to be insufficiently resourced. Project delays or extensions will not be granted to compensate for this.

• Please give a summary of the expected use of funds:

  • Existing personnel,

  • Outsourced rapid prototyping firms,

  • Consulting services on design/development or regulatory,

  • Consumables,

  • Marketing (default is 1% of budget),

  • If necessary, new hiring (max 1 year contract),

  • Equipment (MAXIMUM $50,000)

  • Considerations when setting a budget

• Does the project have suitable resources already in place necessary to meet the project timelines and deliverables?

• Does the project have the required technical expertise in house to deliver the project or needs to be sourced through external partners?

• Are all the necessary manpower, equipment, and facilities already in place? Does the project need to invest in any specialist equipment or manpower not already at KAUST?

• If investment is needed, can those additional resource requirements potentially be outsourced to manage project timelines and costs more effectively, reach a faster outcome or achieve a higher or more industrially relevant standard or specification?

• Do any items, services or space required for the project need additional evaluation or approval by HR, ASEPC, or procurement e.g. equipment >$20,000, sole source/services >$500,000, new lab space, renovation, hiring of consultants or research staff? Have you initiated the process prior to application? Have official quotes been secured from vendors?

6. SUCCESS & IMPACT

• At the conclusion of the Technology Development Plan, does the project reach a** clear level of commercial readiness or acceptance**?

• What would be the potential impact and benefit (eg economic, societal, technical) of your technology to the Kingdom and/or global stage be?

• Elaborate upon your initial impact statement and how this plan will achieve your impact