The Applied Plant Science Research program provides funding to assist in the research and development of technology in Oklahoma. This program provides a maximum of one state dollar of funding for each non-state dollar of matching funds for research and development projects that:

lead to innovation, new knowledge or technology and have a high probability of leading to commercially successful products, processes or services within a period of time commensurate with similar type innovations;
are technically sound and will produce a measurable result; and
have a reasonable probability to enhance the economic development efforts of Oklahoma in the areas of plant biosciences, including plant productivity, alternative use crops for bioenergy, environmental applications, chemical platforms, seed management and plant-based process applications.

Awards under this program are designed to further economic development in Oklahoma in the following industry sectors: seed, agrochemical, forestry, energy, electric power, health, and other food or non-food agricultural products industries.

Single organization projects are supported under this program; however, if pooling resources can enhance a project’s commercial outcomes, then applicants from different institutions are strongly encouraged to collaborate. One of the goals of this program is to encourage collaborative projects among public and independent colleges and universities in Oklahoma, non-profit research institutions in the state and for-profit enterprises of special importance to the Oklahoma economy.

AWARD TYPES

Proof-of-Concept Awards

Proof-of-concept awards support early stage applied plant science projects such as:

proof-of-concept research and technical development projects;
advanced research initially conducted under the Basic Plant Science Research award;
exploratory developments; and
product definition.

These awards facilitate technology transfer and research involving public and independent colleges and universities in Oklahoma, non-profit research institutions in the state and for-profit enterprises of special importance to the Oklahoma economy to benefit economic development within the state. These awards also assist small and medium sized businesses in developing the research and development capability and expanding the capacity for technological innovations.

Proof-of-concept awards are for one to two years at a maximum of $50,000 per year. Funding awards are made on a year-to-year basis. For the second year originally awarded, funding shall be dependent upon a satisfactory annual performance evaluation and the availability of funds.

Accelerated Awards

Accelerated applied plant science research and development awards support later stage projects for which the product, process or service is defined, the market opportunity is well assessed, commercial opportunities are clearly identified and a commercial entity is defined. These awards provide funds to quicken the pace from concept to market for the high tech product, process or service being developed. These awards can further provide funds to assist in the development and performance of regulatory trials (or address other regulatory requirements) to assist in the movement of a developed product to market.

Accelerated applied plant science awards are for one to two years at a minimum of $10,000 and a maximum of $100,000 per year. Funding awards are made on a year-by-year basis.

ELIGIBLE APPLICANT ORGANIZATIONS

Eligible applicant organizations include:

Oklahoma public or private colleges and universities;
Oklahoma non-profit research organizations;
Oklahoma enterprises of special importance to the Oklahoma economy. An enterprise is defined as a firm with its principal place of business in Oklahoma; and
Oklahoma businesses and farms.

PRINCIPAL INVESTIGATOR

The Principal Investigator is commonly referred to as the PI. The PI submitting an application shall be employed by or sponsored by an eligible applicant in order to be eligible to apply. The PI must be a resident of Oklahoma, or become a resident before the 90^th day after a professional services contract is awarded. When the PI on a proposed project becomes unable to perform, the applicant organization(s) must inform OCAST within ten (10) days. If funds have been awarded, monies may revert back to the Oklahoma Plant Science Research fund.

INELIGIBLE PROJECTS

Projects that focus upon the following are ineligible for funding:

market surveys;
training or technical assistance for enterprises; and
research or research activities that create fundamental or basic information but lack the potential for reasonably short-term commercialization (see Basic Plant Science Research program).

* Please note the i2E Oklahoma Technology Commercialization Center (Tech Center) has support for these types of projects. The Tech Center may be contacted at: i2E, Inc., 840 Research Parkway, Suite 250, Oklahoma City, OK 73104, 405-235-2305, www.i2e.org.*

PREVIOUS RECIPIENT ELIGIBILITY

Any PI previously funded through an OCAST program who has a delinquent progress report or has not responded to other OCAST requests for information such as impact survey data may not be eligible to submit an application for new project funding. Any PI who has a delinquent progress report at the time of review will not be eligible for review. Any PI with a delinquent progress report at the time of award will not receive a contract until the progress report has been submitted. In the latter case, if the delinquent report has not been submitted within 60 days of the award date, OCAST will void the award and return the monies to the Oklahoma Plant Science Research fund.

MATCHING REQUIREMENTS

In order to qualify for funding for an applied plant science project, the applicant organization must provide documentation verifying that 50 percent of the total direct cost of the proposed project will be provided by sources other than OCAST and other than state-appropriated money.

Funding preference is given to proposals in which all or part of the matching monies—industrial, private or federal—are provided under terms that explicitly encourage future commercialization.
Matching monies must be specifically dedicated and committed to the proposed project.
In-kind services and indirect costs are disallowed as meeting matching requirements.
Maintain records and accounts that properly document and account for the source, value, and application of all project funds, including matching expenditures. All such records and accounts shall be made available on demand by OCAST for inspection and used in carrying out its responsibilities for administration of the funds.

Institutions of higher education or non-profit research foundations using equipment for matching monies

If the applicant organization is an institution of higher education or a non-profit research organization, machinery and/or equipment may be considered to fulfill part of or the entire required match, and must be accompanied by a statement:

Indicating that the institution of higher education or non-profit research institution has received the machinery or equipment and that it is appropriate and useful to the project under review;

and either:

verifying that the equipment or machinery is donated and has only been used in testing to ensure quality control, or used by a wholesaler or retailer for demonstration purposes only and verifying the fair market value of the machinery and/or equipment on the date of the gift; or
detailing the price paid by the institution of higher education or nonprofit research institution, with an invoice showing the amount paid for the machinery or equipment.

If the equipment has been purchased, the institution has to show items 1 and 3 above. If the equipment has been donated, the institution has to show items 1 and 2 above.

FUNDING PREFERENCE

Preference is given to projects that have potential commercial application and concern plant productivity, renewable biomass, plant-based environmental applications and chemical platforms, plant-based solutions to improve nutrition, human and/or animal health or performance, process applications, seed management and the development of new products.

EVALUATION CRITERIA

In addition to evaluating the appropriateness of the budget and matching requirements, peer reviewers evaluate applications for scientific merit according to the following criteria:

Technical Merit of the Research and Ability to Perform the Research

1. Creativity and inventiveness of the proposed research.

2. Degree to which state-of-the-art techniques and processes are to be used.

3. Quality of the research plan.

4. Probability of success of the research plan design.

5. Competence of the investigator(s) as measured by training and research experience.

6. Competence of support personnel as measured by training and research experience.

7. Adequacy of facilities.

8. Adequacy of equipment.

9. Commitment of the applicant organization(s) as evidenced by resources dedicated to the project

10. Appropriateness of the budget.

Potential for Economic Impact

1. Potential for leading to a commercially successful product, process or service within two (2) years of project completion.

2. Potential for leading to a commercially successful product, process or service within five (5) years of project completion

3. Potential for leading to a commercially successful product, process or service within ten (10) years of project completion.

4. Status of Intellectual Properties Agreement.

5. Commitment of financial resources to successfully bring product to market.

6. Availability of marketing capability to successfully bring product to market.

7. National/international market growth potential.

8. Potential for creating jobs in Oklahoma, considering both the probability and number.

9. Potential of short-term impact (within 5 years of project completion) on the Oklahoma economy.

10. Potential for creating jobs that will enhance the technology base in Oklahoma.

Reviewers evaluate the adequacy of the proposed project’s Business Development Strategy and Economic Development Impact Statement based on the context of the technical maturity of the proposed project.

Proof-of-concept proposals are evaluated 30 percent for the potential for economic impact and 70 percent for the technical merit of the research and the ability to perform the research.

Accelerated proposals are evaluated 50 percent for the potential for economic impact and 50 percent for the technical merit of the research and the ability to perform the research.

REVIEW PROCESS

All applications are reviewed and ranked for funding by peer reviewers, a majority of whom reside outside the state of Oklahoma. All reviewers are approved by an advisory committee to OCAST.

Reviewer recommendations are presented to the Oklahoma Science & Technology Research and Development (OSTRaD) Board, which grants final approval for funding. The budget amount for each project recommended for funding is established by the reviewers and cannot be increased after the date of the award.

SUBMISSION REQUIREMENTS

An application must be submitted online through the OKGrants link found on the OCAST website at www.ok.gov/ocast.

Statement of Intent form

The Statement of Intent must be submitted to OCAST by the deadline noted below. Only those who have submitted the required Statement of Intent by the intent deadline may submit an application. A project number will automatically be assigned during the intent submission process.

Statement of Intent Deadline: 5:00 P.M., November 9, 2011

Application Materials

The application must be submitted to OCAST by the deadline noted below. Applications will not be accepted via regular mail, fax, e-mail, or in person. No supplemental material related to the application will be accepted after the deadline except at the request of OCAST. OCAST may return applications that are judged incomplete or inappropriately completed without review.

Application Submission Deadline: 5:00 P.M, November 30, 2011

RESUBMISSIONS

A resubmission is considered as a new proposal; therefore, a current Statement of Intent is required. Applicants resubmitting must comply with the following:

Check resubmission on the application,
Include previously assigned project numbers, and
Prepare a separate appendix that includes:
1. Letter responding to the reviewers; comments from previous review and noting all changes in the research plan;
2. Copy of previously submitted application; and
3. All reviews of that application

RELEASE OF INFORMATION

OCAST is subject to the Open Meetings Act and the Open Records Act. However, information submitted to or compiled by OCAST with respect to marketing plans, financial statements, trade secrets, research concepts, methods or products, or any other proprietary information is confidential. OCAST may use the contents from the Statement of Intent, application abstracts and executive summaries from progress reports for publication without obtaining permission from the applicant or applicant organization.

WORKSHOPS

Proposal preparation workshops are conducted by OCAST staff at no charge to attendees. The workshops cover specifics of the solicitation with an emphasis on the rules and procedures associated with preparing an application. Workshop registration is available online at the OCAST website.

REPORTING

Recipients are required annually to complete an Impact Survey for Funded Projects. Continued funding of an active OCAST service contract may be affected if the requested information is not received. By applying for a service contract, the principal investigator and the awarded institution become obligated to provide OCAST with the requested information. Principal Investigators may be required to respond after the project is completed, if the project continues to produce impacts.

Evaluation of the program requires the periodic collection of information from investigators and contractors during and beyond the contract period(s). The PI and contractor must provide OCAST with the requested information during and after the funding period. This information may include, but is not limited to, impact survey data, site visits, and reverse site visits where the PI may be required to present his or her funded project related information to OCAST staff, the OSTRaD Board, members of the Oklahoma Legislature, and other interested parties.

PERFORMANCE EVALUATION

Acceptance of a professional service contract obligates the principal investigator to submit an annual progress report 60 days prior to the ending date of such contract period, except for the final contract period. A final report must be submitted 30 days after the end of the final contract.

Annual project performance is evaluated by reviewers, the majority of whom reside outside Oklahoma. Continued funding is contingent upon satisfactory annual performance evaluations that verify that the PI is complying with the terms of the contract and achieving project objectives. Late submission of an annual progress report may result in a break between contract periods or project termination.

AUDITS

OCAST will perform compliance reviews and audits of contracts executed by the agency for all programs including Applied Plant Science Research. The acceptance of a Plant Science professional contract obligates the contractor to permit authorized representatives of OCAST and the state of Oklahoma to have full access to, and the right to fully examine, all such records and documentation pertaining to the project.

CONTRACT INFORMATION

Oklahoma statute requires that the mechanism for funding projects be a professional services contract between OCAST and the applicant organization(s). The Contractor is the applicant organization(s) that: 1) employs or is affiliated with the PI or co-investigators, 2) provides research services and/or facilities for the funded project, and 3) executes the contract. If there is any inconsistency between the information contained in this solicitation and the terms of any resulting contract, the terms of the contract are controlling.

If more than one applicant organization is involved, all applicant organizations shall be signatories to the contract; one of the parties shall be designated as the fiscal agent to receive and account for all funds. The contract shall include commitments on the part of the Contractor(s) to perform the activities described in the application and funded by OCAST. However, the obligations of each party to a contract shall be limited to that portion of the contract they have committed to perform.

Any applicant organization or principal investigator who, in OCAST’s judgment, has failed to correct a material breach of contract previously awarded under any of OCAST programs will not be eligible for a new funding contract.

If a PI under a contract becomes unable to perform the proposed research due to any of the following, the applicant organization must inform OCAST within 10 days:

The official notification of resignation by the PI as an employee of one of the parties to the contract;
The official decision to terminate the PI as an employee of one of the parties to the contract;
The inability of the PI to perform the research described in the application;
Any occurrence that the Contractor or Fiscal Agent determines will affect the successful completion of the research project;
The PI leaves Oklahoma;
The majority of the research is not performed in Oklahoma;
The receipt of notification of award of concurrent funding by the PI or co-investigator, which is not part of the approved matching monies requirement, to support any portion(s) of the research, which is supported by OCAST funds.

Any of the conditions in 1-7 above may result in the termination of the contract at the discretion of OCAST. If the PI is subsequently employed by another eligible applicant organization in the state of Oklahoma that agrees to support the research project, OCAST may consider issuing a new contract negotiated between OCAST and the new organization. If a PI cannot perform on a contract, the applicant organization may request that OCAST consider continuing the contract with a new PI.

The Contractor shall be responsible for the following:

Assuring and documenting compliance with state and federal requirements pertaining to human subjects, vertebrate animals, recombinant DNA, radioactive substances, narcotics and dangerous drugs, and/or biological hazards, which require special approval or license, before issuing a subcontract for any portion of the project funded by OCAST.

Maintaining records and accounts that properly document and account for the source and application of all project funds. All such records and accounts shall be made available on demand by OCAST for inspection and used in carrying out its responsibilities for administration of the funds.

Providing specified documentation of matching expenditures to OCAST with each request for payment. At no time shall the amount invoiced from OCAST exceed the amount of documented matching funds expended. Failure to document the required matching amount could result in a decrease in the OCAST funding amount and/or a termination of all subsequent OCAST funding.

Complying with the audit policy of OCAST and, as OCAST deems necessary, permitting authorized representatives of OCAST and the state of Oklahoma full access, and the right to fully examine, all project records and accounts. The contractor, or designated fiscal agent, shall provide OCAST timely copies of any audits that include funds received from OCAST. The contractor, at OCAST’s request, shall provide OCAST with an independent audit report of all funds expended on each OCAST contract in which the amount of OCAST funds are awarded. In the event an audit results in the determination that the contractor, or designated fiscal agent, has expended contract funds on unallowable costs, the contractor, or designated fiscal agent, shall reimburse OCAST in full for all such costs.

REQUIRED ATTACHMENT GUIDELINES

Budget Justification

Required attachment (4 pages maximum). Carefully prepare a detailed explanation of the budget. The budget justification section plays an important role in the review process. Award amounts are established by the reviewers and cannot be modified after the date of award. Excessive or unexplained costs are cut by reviewers. Request only the amount necessary to conduct the research. Complete the required items for each year of requested funding. If obvious budget items are omitted, the PI should provide information in the Budget Justification regarding the alternative resources available. Indirect costs are not allowable.

Personnel

Monies from the Oklahoma Plant Science Research Fund may not be used to replace or augment any part of the salary of any PI or collaborator on a Basic Plant Science Research project. If the PI on an Applied Plant Science Research project is from a university then he or she may only request OCAST funds to cover release time during the academic year or summer salary. The base salary must also exclude income that an individual may be permitted to earn outside of full-time duties to the applicant organization. If an investigator on an Applied project is from private industry and is employed on a less than full-time basis, the applicant organization must show the percentage and the base salary of a full-time equivalent for which he or she is appointed. In computing estimated salary charges to an Applied OPSR contract, an individual’s base salary must represent the total authorized annual compensation that an applicant organization would be prepared to pay for a specified work period.

List the names and positions of all personnel involved in the project, both professional and nonprofessional, whether or not salaries are requested. Estimate the hours per week on the project for all personnel. List the dollar amounts separately for each individual for salary and fringe benefits. If an investigator is appointed on a less than full-time basis, the applicant organization must show the percentage and the base salary of a full-time equivalent for which he or she is appointed.

Salaries or stipends for technicians, postdoctoral associates, students or other staff important to the success of the project are appropriate personnel costs that may become part of a professional service contract. Add and include fringe benefits to the extent that they are treated consistently by the applicant organization as a direct cost to all sponsors. Explain fringe benefit calculation.

Professional Travel

Describe the purpose of any travel, giving the number of trips and the professional activities involved, the destination(s) and the number of individuals for whom funds are requested. The amount requested for travel must be fully explained in the Budget Justification. The amount of travel approved by the reviewers cannot be increased after the date of the OPSR award.

Supplies

Itemize supplies such as glassware, chemicals or animals in separate categories. If animals are involved, state how many are to be used, their unit purchase cost and their unit care cost.

Equipment

List separately each item of equipment with a unit acquisition cost of $500 or more. When requesting funds to purchase items of equipment that appear to duplicate or be equivalent to items listed under Facilities, Instrumentation and Resources in this document, carefully justify the reasons for the duplication. In most cases, reviewers have denied requests for computers not dedicated to the project. The amount of funds (OCAST + match, for Applied projects) budgeted for equipment must be justified in terms of the amount of usage on the project and the residual value of the equipment after the OCAST project. Reviewers carefully question large equipment requests with OCAST matching monies when a large residual value of the equipment would occur at the end of the project.

Contractual Services

Itemize and provide detailed description if the total amount is over $2,000.

Patient Care Costs

Include inpatient and outpatient charges only if they are an integral part of the research supported by a professional service contract. Provide the names of the hospitals to be used and the amounts requested for each. Indicate in detail the basis for estimating costs in this category, including the number of patient days, estimated cost per day and the cost per test or treatment. Patient care costs do not include travel and per diem cost; request these costs in Other Direct Costs category.

Alterations and Renovations

Costs of building construction per se are not permissible charges. If the costs of essential alterations of facilities are requested (i.e., repairs, removal or installation of partitions, shielding or air conditioning), itemize such costs by category and justify each fully. When applicable, indicate the square footage involved and provide the basis for the costs, such as an architect's or contractor's detailed estimate. When possible, submit a line drawing of the alterations being proposed.

Other Direct Costs

Itemize other expenses, such as publication costs, page charges and books by category and unit cost. Itemize and justify such items as patient travel and per diem costs, donor fees, rentals, leases and computer costs. Reimbursement is allowable for personal expenses incurred by human subjects participating in the project, including travel with an escort if required. This reimbursement is applicable for all classes of research subjects, including inpatients, outpatients, donors and normal volunteers regardless of employment status. Travel associated with data gathering must be listed in this category, fully explained and detailed (miles, number of trips, duration, number of participants, travel locations, etc.) in the Budget Justification.

Biographical Information and Other Support

Required attachment (4 pages maximum for each individual). Provide the following information for key professional personnel involved in the project, beginning with the PI.

A. Name and Title

B. Education Provide education, baccalaureate through postdoctoral; include institution and location, degree year conferred and field of study; begin with baccalaureate or other initial professional education, such as nursing or biotechnology associates degree.

C. Positions and Honors. List in chronological order previous positions, concluding with your present position. List any honors.

D. Selected Publications

E. Research Support. For each project give the source of the support, identifying number, project title, name of investigator, time or percent effort on the project by the professional named, annual direct costs and entire period of support. If part of a larger project, provide the titles of both the parent grant and the subproject and give the annual direct costs for each. Briefly describe the contents of each item. If any of these overlap, duplicate or are being replace or supplemented by the present OCAST application, justify and delineate the nature and extent of the scientific and budgetary overlaps or boundaries. Include abstracts (does not count as part of the page limit when attached as separate pages in this section) of all funded and pending grants.

F. Project Abstracts. List and attach abstracts for selected ongoing and completed (during the past three years) research projects. Begin with the projects that are the most relevant to the research proposed in this application. Briefly indicate the overall goals of the projects and responsibilities of the person listed.

G. Applications Pending Review

H. Planned Applications. List applications planned to be submitted prior to the anticipated start date of the Plant Science Research award.

Current OCAST Support. Required attachment, if applicable (two pages maximum per project). Provide the following information for all current OCAST contracts:

A. Project number, the type of support (OPSR Proof of Concept, OPSR Accelerated, Oklahoma Applied Research Support (OARS), Intern Partnerships, Health Research, SBRA, Alliance, TBFP, etc.), the number of years approved, and the total amount of funding.

B. Date of the last annual progress report and summary of the progress since the report.

C. Description of any product, process, or service that has been (or will be) commercialized.

D. Business and financial impacts produced and expected, such as sales, capital investments, cost-avoidance, jobs, dollar amounts of any royalties and license agreements.

E. Any economic benefits to Oklahoma that have occurred or are expected to occur.

F. Federal or other grant support obtained based on this OCAST support.

G. Collaborating organizations.

Previous OCAST Support. Required attachment, if applicable (two pages maximum per project). Previous recipients of OCAST funding must include:

A. A listing of the support by the project number, the type of support (OPSR Proof of Concept, OPSR Accelerated, (OARS), Intern Partnerships, Health, SBRA, Alliance, TBFP, etc.), the number of years approved, and the total amount of funding.

B. Date of the final progress report and summary of the progress since the report.

C. Description of any product, process, or service that has been (or will be) commercialized.

D. Business and financial impacts produced and expected, such as sales, capital investments, cost-avoidance, jobs, dollar amounts of any royalties and license agreements.

E. Description of any economic benefits to Oklahoma that have occurred or are expected to occur.

F. Federal or other grant support obtained based on previous OCAST support.

G. A listing of previous collaborating organizations.

Other Support. Required attachment (if applicable). For each of the professionals involved in the project prepare a list of other support related to this proposal. Include all federal, non-federal, and institutional grant and contract support.

A. Describe any active support.

B. Describe pending review or funding.

C. Describe applications planned or being prepared for submission.

D. List any grants or contracts that have been received, excluding OCAST.

Facilities, Instrumentation and Resources

Required attachment (1 page maximum). Describe any specialized facilities, instrumentation and/or resources necessary and available for this project.

Letter of Commitment from the Applicant Organization

Required attachment (two pages maximum per project). OCAST requires the applicant organization to submit a Letter of Commitment from an official authorized to commit the resources of the organization (i.e., department, division, or unit head) detailing organizational plans and commitments on the applicant’s behalf. These comments should include plans and commitments beyond the tenure of the proposed research. The letter should also include commitments for such items as equipment, computer services, facilities, and release time for key personnel and/or technical and clerical support which the organization will provide for the project. This information is essential to document that applicants will have the facilities and time necessary to conduct the proposed research and the opportunity to follow-up promising results.

Letters of Recommendation

OCAST encourages applicants in the early stages of their research careers to also submit up to two (2) letters of recommendation from individuals able to evaluate the applicant’s scientific potential.

Research Plan

Required attachment (15 pages maximum).

A. Objectives for the period of the proposed work: State concisely what the research described in the application is intended to accomplish or what hypothesis is to be tested.

B. The significance of the research:

i. Briefly sketch the background of the present proposal.

ii. Evaluate existing knowledge in this area and identify the gaps that this project intends to fill.

iii. State the importance of this research by relating its aims to longer-term objectives.

iv. Present related projects and demonstrate this effort does not repeat previous studies nor infringe on intellectual property rights granted to other workers and firms.

C. Preliminary and related studies:

i. Describe prior research by the investigator(s) that lead to formulating the proposal.

ii. Include any additional information that will assist reviewers in assessing the competence of the investigator(s) who will perform the proposed project.

D. Research methodology and timetable:

i. Detail the research design and the procedure to accomplish the objectives of this research. This includes a discussion of alternate paths to attain the objectives if the initial procedure does not allow the goal to be reached. Relate the discussion to the timetable in Section D.vi. below.

ii. Describe the sequence of the investigation within a calendar framework.

iii. Describe the means by which the data will be analyzed and interpreted.

iv. Discuss the methodologies and any potential limitations of the proposed procedures and alternative approaches that may be used to reach the objectives of this proposal.

v. Note any procedures that may be dangerous to personnel and the precautions that will be used in these situations.

vi. Include indicators of success. This section should relate to Sections D.i., D.ii, and D. iii. above. The timetable should be prepared in a style where it can be used in the annual and final reports to show project progress as well as the work plan for subsequent years. The timetable should include such activity as report writing and equipment purchasing schedules; however, most important is to show research goals and the alternate path(s) if the research goal is not attained.

Literature Cited

Required attachment. The literature cited does not count toward the page limitations. Do not scatter complete literature citations throughout the text. Number the references in order of appearance, and provide the complete citations, which correspond to the numbers, in a list at the end of the Research Plan. Each citation must include the names of all the authors, the name of the book or journal, volume number, page numbers and year of publication. Although no page limitation is specified for this part of the application, make every attempt to be judicious in compiling a relevant and current bibliography.

Appendix I. Institutional Approvals and Certifications

Required attachment. Institutional approvals and certifications are not required at the time of submission of the application or prior to the OCAST peer review process, unless the applicant organization requires such approval prior to submission. If approvals have been received, include documentation of institutional approval and certifications in Appendix I.

No OCAST Plant Science Research award will go to contract without institutional approvals and/or certifications when the research involves:

human participants, human derived materials, human data
vertebrate laboratory animals
recombinant DNA
biological hazards
narcotics/dangerous drugs
radioisotopes

On a separate sheet(s) address the following issues (as needed) below and include in Appendix I:

Human Subjects

Research on human subjects, derived materials or data utilizing resources awarded under the Oklahoma Plant Science Research Program must follow federal guidelines as promulgated in 45 CFR. In addition, these funds may not be used to "undertake any research which has abortion, as defined by Section 1-730 of Title 63 of the Oklahoma Statutes, as its purpose" (74 O.S., Section 5054).

The federal regulation is available from Office of Human Research Protection, www.hhs.gov/ohrp/. The regulation provides a systematic means, which is based on generally accepted ethical principles, for protecting the rights and welfare of individuals who may be exposed to the possibility of physical, psychological or social injury while they are participating as subjects in research, development or related activities. The regulation extends to the human fetus (either in utero or ex utero), the dead, organs, tissues and body fluids as well as graphic, written or recorded information derived from human sources. It covers activities which present no physical risk to the subject but which may create legal risks or expose subjects to public embarrassment or humiliation through breach of confidentiality or invasion of privacy.

The major focus of a project (for example, on a medical procedure) may not be the sole determinant of the types of risks involved or the need for additional protection. The safeguarding and confidentiality of medical records and other forms of data collected on individuals and groups, the use of such data by the investigator conducting the original research, the concurrent uses of the data by other investigators and the use of the data for research purposes at a later time are considered within the scope of this policy.

The regulation requires institutional assurances, including the implementation of procedures for review and the assignment of responsibilities for adequately protecting the rights and welfare of human subjects. Safeguarding the rights and welfare of human subjects is the responsibility of the applicant organization. In particular, the applicant organization is responsible for ensuring that the activity described in the application and any additional information relating to human subjects, derived materials or data are reviewed and approved by an institutional review board (IRB) defined in statute as:

a committee composed of (at least) investigators, lay representatives, and legal counsel . . . for the express purpose of determining the appropriateness of any research involving human subjects (74 O.S., Section 5060.4).

The above stated federal requirements have been adopted by the Oklahoma Plant Science Research Committee and OCAST.

Projects with human subjects must follow address the following:

First, identify the sources of the potential human subjects, human derived materials or human data. Describe the characteristics of the subject population, state the anticipated number, age, gender, ethnic background and state of health. Identify the criteria for inclusion or exclusion. Explain the rationale for the use of special classes of subjects, such as fetuses, pregnant women, children, institutionalized mentally disabled, prisoners or others, especially those whose ability to give voluntary informed consent may be in question.

Second, describe the recruitment and consent procedures to be followed, including the circumstances under which consent will be solicited and obtained, who will seek it, the nature of information to be provided to prospective subjects and the methods of documenting consent. (A copy of the consent form must be provided if requested by OCAST.)

Third, describe any potential risks--physical, psychological, social, legal or other--and assess their likelihood and seriousness. Describe alternative methods, if any, that were considered and why they need not be used.

Fourth, describe the procedures for protecting against or minimizing any potential risks and include an assessment of their likely effectiveness. Include a discussion of confidentiality safeguards, where relevant, and arrangements for providing medical treatment if needed.

Fifth, describe and assess the potential benefits to be gained by the subjects, as well as the benefits that may accrue to society in general, as a result of the planned work.

Finally, discuss the risks in relation to the anticipated benefits to the subjects and to society.

Vertebrate Animals

If vertebrate laboratory animals are to be used in this research project indicate this on the Performance Sites, Compliance page in OKGrants, and submit, if available, documentation of institutional approval in Appendix I. On a separate sheet state the species, strains, ages and numbers of the animals involved. If the animals are in short supply, costly or to be used in large numbers, provide the rationale for their use and their numbers. Describe the procedures for adequate care of any animals involved. Describe the procedures to avoid unnecessary discomfort, pain or injury to the animals, such as surgical anesthesia, post-trauma analgesia, tranquilizing drugs and comfortable restraining devices; include this information in Appendix I.

In recent years, there have been extensive changes in federal requirements for the use of vertebrate animals in research. Investigators, their projects and their institutions must adhere to these requirements beginning with the date of submission of a proposal.

As part of its compliance with these regulations, an applicant institution must duly constitute a review committee to assist in assuring humane treatment and care of animals

Recombinant DNA

If recombinant DNA technology will be used in the project indicate this on the Performance Sites, Compliance page in OKGrants, and submit, if available, documentation of institutional approval in Appendix I. On a separate sheet state the level of containment to be used and explain why this level is appropriate for the proposed project; include this information in Appendix I.

Applicant institutions are required to comply with Federal guidelines regarding the application of recombinant DNA technology as of the date of application submission. The applicant institution must establish an institutional biosafety committee which must judge appropriate proposals and approve only those that conform to the guidelines.

Biological Hazards

If any contact with infectious agents or substances containing them is anticipated indicate this on the Performance Sites, Compliance page in OKGrants, and on a separate sheet identify any potential biological hazards, explain procedures to protect individuals from infection or injury, state the level of containment to be used and explain why it is appropriate; include this information in Appendix I.

Various barrier techniques are advised when work is performed with potentially infectious agents or with substances that may contain infectious agents. A guide to the level of containment for infectious agents based upon the recommendations of the Center for Disease Control may be obtained from the U.S. Government Printing Office Washington, D.C. 20402, HHS publication NO. (CDC) 88-8395, entitled Biosafety in Microbiological and Biomedical Laboratories.

It is the sole responsibility of the Contractor—the applicant institution, who is the employer of, or affiliated with, the PI—to maintain a safe working environment and to make any changes required by subsequent regulations or law. The biological hazards must be satisfactorily addressed if a proposed plant science research project is to receive funding.

Narcotics and Dangerous Drugs Letter

The use of narcotics and dangerous drugs is regulated by the Oklahoma State Bureau of Narcotics and Dangerous Drugs and by the Drug Enforcement Administration of the U.S. Department of Justice. The PI must identify the individual or organization under whose auspices narcotics or dangerous drugs will be used.

If these substances will be used in the project, the PI must do as follows: (1) Check yes on the Performance Sites, Compliance page in OKGrants, and (2) include a letter in Appendix I which states the registration number with the Oklahoma State Bureau of Narcotics and Dangerous Drugs and the U.S. Drug Enforcement Administration to be used in this project. If the registrant is not the PI, the PI must (1) provide the registrant’s name, title, address and phone number and (2) submit a letter from the responsible individual which (a) states the registration number with the Oklahoma Bureau of Narcotics and Dangerous Drugs and the U.S. Drug Enforcement Administration and (b) grants permission for its use in this project. The Narcotics/Dangerous Drugs section in OKGrants must be satisfactorily completed and the required letter submitted, as appropriate, if a proposed plant science research project is to receive funding.

Radioisotopes Letter

Use of radioactivity is regulated by the U.S. Nuclear Regulatory Commission. Appropriate licenses must have been obtained by the applicant organization as well as the PI, his or her sponsor or a responsible colleague. If radioisotopes are to be used in the performance of the proposed project, the PI must proceed as follows: (1) indicate this on the Performance Sites, Compliance page in OKGrants, and (2) if the responsible individual is someone other than the PI, include in Appendix I a letter granting permission for the use of radioisotopes in this project under this license. The Radioisotopes information must be satisfactorily completed in OKGrants and the required letter submitted, as appropriate, if a proposed plant science research project is to receive funding.

Appendix II. Resubmissions

Required attachment if resubmitting an application. Persons resubmitting an application submitted to a previous OPSR competition must prepare a separate appendix that includes the following:

a letter that responds to the reviewers’ comments from the previous review and notes all changes in the new research plan;
a copy of the previously submitted application and
all reviews of that application.

ADDITIONAL REQUIRED ATTACHMENT GUIDELINES

Commercialization Development Strategy

Required attachment (four pages maximum).

A. Describe in a short sentence the product, process or service to be commercialized and its end use.

B. Describe the customers or clients.

C. Describe the domestic and global markets to be served including market size, market growth rates, number and nature of competitors and any important market information.

D. State the competitive advantage the project offers in the targeted markets.

E. Using a chart or table, describe the key steps required to commercialize the product, process or service and corresponding plan of action for successful project commercialization. This plan should include a schedule of key business milestones and the indicators of successful achievement of each milestone. Include how success is measured. The schedule should be prepared in a style where it can be used in annual and final reports to show progress.

F. Provide summary pro forma income statements and cash flow projections for the proposed new product, process or service.

Intellectual Property Relationships and Protection

Required attachment (two pages maximum). The OPSR application requires assurance the collaborating parties have adequately addressed the ownership and disposition of patents, royalties and all other intellectual property rights related to the proposed research project.

A. Describe the plan to protect the intellectual property generated from this research project.

B. For collaborative proposals, e.g., subcontractors, firms and a university, university and a not-for-profit research center, or two firms; provide a short statement describing how the intellectual property patent and licensing agreements will be effectuated between co-investigators, applicant organizations and sponsoring entities. If all relationship and licensing agreements are in place write a short statement indicating the types of agreements that have been executed between the parties. For proposals in which only one entity is involved, a statement such as “This proposal is from a single entity and the firm owns all intellectual property generated by its employees” will suffice.

Company Profiles

Required attachment (two pages maximum). Provide a profile of each company involved in the project. Each profile should include a description of the company including financials in the public domain. Provide web addresses and stock symbol if applicable.

Economic Impact Statement

Required attachment (two pages maximum). Discuss the project’s potential impact on Oklahoma’s economy during the project and at 2, 5, and 10 years following the project. If the project will not be commercialized within 2 years of completion explain why additional time is needed. Evaluate national and international growth potential markets of this project.

Carefully discuss under a separate heading for each time period items A. through G., during the project, and at 2, 5, and 10 years after completion, the potential regarding the following:

A. Increase in scientific and technical staffing levels over the time periods specified above. This includes student/post-doctoral associates gaining technical expertise.

B. Increase in work force staff over the time periods specified above.

C. Productivity, profitability or cost savings over the time periods specified above.

D. Amount of capital investment in equipment and facilities at the organizations participating in the project over the time periods specified above.

E. The estimated gross sales, net sales, and cost avoidance over the time periods specified above.

F. If applicable, describe technology transfer plans over the time periods specified above.

G. Other sources of funding and capital attracted to Oklahoma as a result of the project over the time periods specified above.

Matching Funds

Required attachment (one page maximum). Submit a brief statement describing how the matching monies – industrial, private or federal – are provided under terms that explicitly encourage future commercialization.

Letter(s) of Commitment from Additional Application Organization(s)

Required attachment, if applicable (two pages maximum per letter). For each additional application organization other than that of the PI, submit a Letter of Commitment from an official authorized to commit the resources of the applicant organization (i.e., department, division, or unit head) detailing organizational plans and commitments on the applicant’s behalf. These comments should include plans and commitments beyond the tenure of the proposed research. The letter should also include commitments for such items as equipment, computer services, facilities, and release time for key personnel and/or technical and clerical support which the organization will provide for the project. The letter(s) must include the following statement and an original signature: If an Oklahoma Plant Science Research contract is awarded, I accept the obligation to comply with the laws of the state of Oklahoma and the policies of the Oklahoma Center for the Advancement of Science and Technology as they pertain to the performance of this project.

Co-PI Letter(s) of Commitment

Required attachment, if applicable (two pages maximum per letter). Each co-principal investigator must submit a signed letter of commitment that details his or her support of and participation in the project. The letter should describe the role the co-PI will play in the research and should be specific to the project; form letters are not appropriate. The letter(s) must include the following statement and an original signature: I hereby accept responsibility for the scientific conduct of the project and for providing the materials required for contract performance evaluation. I give consent for the materials in the application to be viewed, as required by members of the OCAST staff, Board, Plant Science Research Committee, and review panels.

OCAST CONTACT INFORMATION: 405-319 -8400

Tessa North, Program Officer • 405-319-8410 • tessa.north@ocast.ok.gov

Brad Sutherlin, Contracts Compliance Officer • 405-319-8413 • brad.sutherlin@ocast.ok.gov

Dan Luton, Director of Programs • 405-319-8415 • dan.luton@ocast.ok.gov

Last Modified on 11/28/2011