PROOF OF CONCEPT PROGRAM
[FY2017]
PROGRAM GUIDELINES
Sponsored by:
Technology Development & Innovation Center
for the self-sustaining development of Okinawa
OIST POC Program Overview: FY2017
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1.
OIST Proof of Concept Program Overview
2.
Program Outline
2.1. Scope of Award
2.2. Eligibility
2.2.1. Applicant Eligibility
2.2.2. Project Eligibility
2.2.3. Limitations and Exclusions
3.
How to Apply and Review Process
3.1. Two-Step Application Process
3.1.1. Letter of Intent
3.1.2. Full Proposal (by invitation only)
3.1.3. Key Dates
3.2. Review Process
3.2.1. Two-Step Review
3.2.2. Review Criteria
4.
Award Terms and Conditions
4.1. Use of Funds
4.2. Location of Research
4.3. Reporting
4.4 Project Leader
4.5 Professional Training and Seminars
4.6 Mentor Meetings
5.
Intellectual Property Management and Business Development
6.
FAQ's
OIST POC Program Overview: FY2017
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1.
Proof of Concept Program Overview
The OIST Proof of Concept (POC) Program is an internal, competitive funding program that is
designed to help bridge the technical and funding gap between lab discoveries and commercialization,
thereby enhancing the impact of OIST research on society. Customized to accommodate the unique nature,
stage of development and specific environment at OIST, the POC program is expected to contribute to the
self-sustaining development of Okinawa.
The OIST Proof of Concept Program provides:
 Competitive, short term funding to carry out focused experiments
The aim of these experiments is to produce data demonstrating the feasibility of a technology or product
concept to enhance technology transfer to industry.
 Mentoring by External Innovation Experts from around the world
An External Innovation Expert (EIE) will be assigned to each projects to provide technical guidance and
overall mentorship.
 Market Intelligence Support
Projects will have access to market surveys targeted to the field of use of the technology for future
planning and strategy.
 Opportunities for professional development of researchers
Researchers participating in POC projects will have access to entrepreneurship education resources at
OIST to lay the path towards commercialization success.learn about the innovation process acquiring
knowledge and skills that will be useful throughout their careers.
 Hands-on guidance in technology development research
POC Program staff will provide hands-on guidance to Program participants.
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The program brings together OIST inventor(s) who have detailed knowledge of the technology, staff of the
Technology Development & Innovation Center at OIST who manage and coordinate the POC Program, and
external innovation experts with knowledge and experience in early stage technology commercialization.
2.
Program Outline
OIST Proof of Concept Program has two phases of funding opportunities; Phase I (Feasibility Phase) aiming
to study feasibility of OIST technologies that have successfully excited the OIST Invention Evaluation
Committee, and Phase II (Scale up Phase) aiming to scale up technologies towards commercialization that
have successfully exited Phase I or an equivalent readiness level. Based on the readiness level of the
technology applicants will be invited to write a full proposal for a specific phase.
The application, review and selection process is the same for each phase.
Starting FY2017, the POC Program is structured into two distinct phases:
Phase I Feasibility: Feasibility studies to establish proof of concept of invention. Conduct exploratory
experiments, validate a concept, develop a prototype. The Awards range up to ¥10,000,000, distributed over
a 12 month period.
Phase II Scale-Up: Commercialization of proven invention. Scale up the invention, explore potential markets,
assess commercial viability of specific applications. The Awards range up to ¥40,000,000, distributed over
a 24 month period. Funding for Phase II is released in fiscal year basis, meaning agreed-upon milestones
must be met before the next fiscal year of funding is released.
A Request for Proposals (RFP) will be published, inviting qualified applicants to apply to the Program. Each
selected POC project should contain defined steps and a tangible set of milestones that would overcome an
identifiable hurdle in advancing an invention towards commercialization.
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A successful POC project will enable an invention to become more attractive for:
(1) Industry collaboration;
(2) Licensing to an existing company; or
(3) Enabling the formation of a start-up company that will further develop and commercialize the invention.
Projects solicited under the OIST POC Program may include:
 Building of a prototype or second iteration prototype to prepare for commercialization
 Commercial feasibility or scale-up tests
 Work to demonstrate the mitigation of risk for potential licensees
 Work to address a specific gap identified by industry that impairs the ability to license or attract investors
 Other work to enhance the proof of concept of the intellectual property
2.1. Scope of Award
The number of awards will depend on the number of qualified applications received.
PHASE I
PHASE II
Technology Readiness Level**
2-4
4-6
FUNDING
up to ¥10M
up to ¥40M
Project Period
12-months
24-months*
Equipment Purchase Limit
\500k
¥3M
Industry collaboration
NO
YES
Entrepreneurship,
Business Modeling,
Project Management
Presentation
Educational Training
*up to ¥20M of funding is released in initial 12-months; Agreed-upon milestones must be met before the
subsequent 12-months of funding is released.
** See 3.2. Review Process for TRL (Technology Readiness Level) Chart
In addition to project grant, participants will have access to a suite of resources and services supported by
the POC Program:
 Mentorship – Award recipients will be assigned an External Innovation Expert (EIE) to provide
technical guidance and overall mentorship. EIEs are global experts experienced in technology
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development and industry. Program participants will meet via teleconference with their External
Innovation Expert once per quarter and will have opportunities for additional consultation.
 Seminars/Workshops – Seminars and workshops organized by OIST on topics including project
management, entrepreneurship, business planning, and intellectual property will be made available
to all POC Program participants.
 Project Management – POC Program Coordinator Staff will assist participants in planning,
operations, and troubleshooting during the project period.
 Business & Market Intelligence – Projects that have reached a sufficient level of development
will have access to market surveys targeted to the field of use of the technology.
2.2. Eligibility
Proposals must meet the application and project eligibility guidelines as outlined below.
2.2.1
Applicant Eligibility
The Applicant must currently be:



A full-time Faculty Member at OIST, or
An Adjunct Faculty Member who maintains an active Research Unit at OIST, or
A member of the Science and Technology Group (STG) at OIST, with prior approval from the Dean of
Faculty Affairs
* Please note that an Applicant may only have two POC projects operating at the same time.
2.2.2
Project Eligibility
 The Application must include participation by one or more inventors listed on an Invention Disclosure
on file with the OIST Technology Licensing Section and on which the proposed project must be based.
Applications will not be accepted if an Invention Disclosure is not on file with the Technology Licensing
Section prior to submission. Please contact the Section ([email protected]) prior to submitting an application
if you are unsure about the status of your invention disclosure.
 The technology that provides the basis for the proposal must not be licensed, optioned, or encumbered
by any other prior obligations (i.e. collaboration with an industrial partner, ongoing license negotiation
with industry, or consulting agreement with industry).

The intellectual property must be owned or co-owned by OIST. If co-owned with another institution,
OIST must be the lead institution, (50% or more of invention ownership). Contact the Technology
Licensing Section ([email protected]) if you are unsure about the IP ownership of your invention.

The project must be focused on advanced technology development or testing. The purpose of POC
funding is not for basic exploratory studies or as general funding for the Applicant's Research Unit.
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
Project milestones and deliverables must be achievable within the time limit of the Program phase (12
months for Phase I and 24 months for Phase II), and within the requested budget.

The Applicant must demonstrate plans to assemble a team that will be responsible for carrying out the
proposed work and participating in POC Program activities.

External academic and internal cross-disciplinary collaborations are welcome.
* One applicant may submit multiple proposals, provided that the proposals are based on distinct inventions
and the technical plans do not overlap.
2.2.3
Limitations and Exclusions
The following are NOT eligible for funding under this program:

Proposals to fund pharmaceutical/drug clinical trials. Pre-clinical animal testing and medical device
testing, if it can be completed within the time limit specified by the Program phase, may be allowed.

Projects for which the proposed activities require more than the time limit of the Program phase to
complete.

Projects wherein the intellectual property that provides the basis for the proposal has already been
licensed or optioned.

Projects where the technical plan overlaps with an already funded project.
3
Application Submission, Review, and Selection Process
Process is the same for Phase I and Phase II
3.1. Two-Step Application Submission Process
There is a two-step application process: Letter of Intent and Full Proposal.
3.1.1STEP 1:
Letter of Intent
All Applicants must first submit a Letter of Intent. Based on the Letter of Intent, Applicants will be invited
to submit a Full Proposal. Applicants must use the POC Letter of Intent Form to submit their Letter of Intent.
The POC Letter of Intent Form can be found here: https://groups.oist.jp/tdic/proof-concept
3.1.2
STEP II: Full Proposal (by invitation only)
Applicants will be invited to submit a full proposal by POC Program Staff. At that time, Applicants will be
notified whether they will submit a proposal for Phase I or Phase II. A Full Proposal Form specific to Phase
I or Phase II will only be sent to those who have been invited.
Applicants can consult with POC Program Staff for guidance on preparing their applications. Email
[email protected] for assistance.
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3.1.3.
Key Dates
Please refer to the Request for Proposal (RFP) document for deadlines, schedule, and other key dates.
You may find the most current RFP here: https://groups.oist.jp/tdic/proof-concept
3.2. Review Process
3.2.1.
Two-Step Review – The POC Program has a two-step review process:
STEP 1: Initial Administrative Review
The Letter of Intent will be reviewed by an Internal Review Committee for adherence to POC program
guidelines. Applicants who have successfully passed this initial administrative review will be invited to
submit a Full Proposal. The administrative review is mainly focus on:

Program fit (Does the proposal, as described and budgeted, fit the intended goals of the POC Program
to: (1) develop technologies towards commercilization and; (2) to develop people working on
technology development projects?

Phase fit (With the expectation that the POC Program will be divided into 2 phases, (Phase I feasibility
studies and Phase II prototyping, scaleup, etc), does the proposal fit into Phase I feasibility?)

Interdisciplinary (Does the proposal include an interdisciplinary approach to the technology's
development? )

Capacity to Conduct Research (Does the proposing team have the current capacity to conduct the
research as described and budgeted, including human resources and infrastructure ie; facilities and
equipment?)

Technology Diversity for OIST (Is the area in which the technology is being developed an area that is
NOT currently represented in the POC Program? )
Technology Readiness Level proposed by EC (European Comission)
Technology readiness level
Description
TRL O: IDEA
A concept identified from empirical studies. No
Unproven concept, no testing has
scientific experiment had been done to prove the
been performed
concept.
TRL 1: Basic Research
Lowest level of technology readiness. Scientific
Principles observed but no
research begins to be translated into applied research
experimental proof available
and development.
TRL 2: Technology formulation
Invention begins. Once basic principles are observed,
practical applications can be determined Applications
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Technology concept and/or
are speculative, and there may be no proof or detailed
application formulated
analysis to support the assumptions.
TRL 3: Applied research
Active R&D is initiated. This includes analytical
First laboratory tests completed;
studies and laboratory studies to physically validate
Analytical and experimental critical the analytical predictions of separate elements of the
function and/or characteristic proof technology.
of concept
TRL 4: Small scale prototype
Basic technological components are integrated to
Built in a laboratory environment
establish that they will work together. This is
Component and/or breadboard
relatively “low fidelity” compared with the eventual
validation in laboratory
system.
environment
TRL 5: Large Scale Prototype
Component and/or breadboard
Fidelity of breadboard technology increases
significantly. The basic technological components are
validation in relevant environment integrated with reasonably realistic supporting
elements so they can be tested in a simulated
environment.
TRL 6: Prototype system
Representative model or prototype system, which
System/subsystem model or
is tested in a relevant environment. Represents a
prototype demonstration in a
major step up in a technology's demonstrated
relevant environment.
readiness.
TRL 7: Demonstration system
Prototype near or at planned operational system.
Prototype demonstration in an
Represents a major step up from TRL 6 by requiring
operational environment.
demonstration of an actual system prototype in an
operational environment.
TRL 8: First of a kind
Technology has been proven to work in its final
commercial system
form and under expected conditions. In almost all
Actual system completed and
cases, this TRL represents the end of true system
qualified through test and
development.
demonstration.
TRL 9: Full commercial
Actual application of the technology in its final
application
form and under mission conditions, such as those
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Actual system proven through
encountered in operational test and evaluation
successful operations.
(OT&E).
STEP 2: External Expert Review
Invited Full Proposals will be reviewed by technology and industry experts from outside OIST. Full
Proposals will be evaluated based on the ability of the project team to demonstrate successfully proof of
concept towards commercialization within the scope, budget, and time frame proposed. Full Proposals
submitted without an invitation from POC Program staff will not be reviewed and will be returned.
* Please note that External Expert Reviewers are not required to sign a confidentiality agreement prior to the
review. Protected or proprietary information should not be included in the proposals, but applications must
provide sufficient information for reviewers to make a determination regarding commercialization potential.
3.2.2.
Review Criteria – The External Expert Reviewers will consider each of the review criteria below
and give a separate score for each, utilizing a 5-point scale (5=exceptional; 1=poor):
•
Technical Merit: Reviewers who are experts in the fields of the application will evaluate the technical
merit of the research plan
•
Market potential, intellectual property, and commercial outcomes: Reviewers will assess the
technology's potential for commercialization, hurdles that may affect the value of the technology from
the perspective of potential licensees, as well as resources required to develop the invention for
commercial applications.
•
POC funding as an appropriate enabler of commercialization for the technology: Reviewers will valuate
the potential impact of POC funding and whether the proposed deliverables will increase the value and
attractiveness of the technology to industry.
In the event a Full Proposal is not selected for funding, Applicants have the opportunity to seek feedback
from POC Program staff to enable future re-applications.
4
Award Terms and Conditions
4.1 Use of Funds
POC funds can be used for project-related expenses, including: (1) salary for postdoctoral fellows, staff
scientists, and technicians; (2) small equipment purchases; (3) research supplies; (4) travel that directly
supports the project; and (5) contract research services.
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Limitations on the use of POC funds:

Funds cannot be used as general support for the Applicant's Research Unit

Funds cannot be used to supplement the Applicant's salary

Funds cannot be used to purchase equipment greater than ¥500K for Phase I and ¥3M for Phase II

Funds cannot be distributed to a company or to another university, unless it is as payment for contract
research services. Contract research services cannot total greater than 25% of the awarded POC budget.

Funds cannot be used to support graduate student stipends.
POC funds will be transferred to a separate account in the Research Unit's budget in the HEART System.
Applicants may not spend funds prior to receiving them. A financial report will be prepared by the POC
Program staff at the conclusion of the project.
Program participants should also refer to OIST Policies, Rules, and Procedures (PRP) on the use of university
funds, including Chapter 26 Finance and Accounting, Chapter 27 Budget Planning, Execution and
Monitoring, Chapter 28 Procurement, and Chapter 29 Travel, Meetings, and Related Expenses
(http://www.oist.jp/policy-library).
4.2 Location of POC Research
Projects supported by the POC Program must be conducted in the existing laboratory space of the Faculty
Research Unit. No new or additional lab space will be made available for POC Program projects.
4.3 Reporting
POC awardees will be required to submit a Quarterly Report at the end of each quarter: The Quarterly Report
updates the status of milestones, deliverables and discussions with EIE Mentors. POC Program Staff will
assist participants in preparing their Quarterly Reports. A substantial final report will be required to submit
at the end of the project.
4.4 Project Leader
POC awardees must designate a Project Leader, preferably one of the inventors of the technology, whose
role is to serve as the point of contact between the project and POC Program staff. Project Leaders are
expected to work closely with POC Program staff on progress reports, budgeting, professional development
trainings, and meetings with Mentors.
4.5 Professional Training and Seminars
From time to time, the POC Program will organize professional training courses and seminars to support
commercialization of the technology. A member of the project team must participate in at least 1 such course
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during the project period.
4.6 Mentor Meetings
POC awardees will be assigned an EIE Mentors to provide technical guidance and overall mentorship.
Project Leaders will be required to meet via teleconference with their Mentors at least once per quarter.
5
Intellectual Property Management and Business Development
POC Program Staff will be assigned to work with each project and provide support on issues related to
commercialization of the technology. This support may include market analysis, information on industry and
venture capital activity, and IP landscape information. Advice is also available to facilitate introductions to
various industry contacts and communities, as well as notifying the project team of upcoming events,
activities, and programs that might be helpful for commercialization of the technology.
6
FAQ's
An FAQ can be found on the POC Program website: https://groups.oist.jp/tdic/proof-concept
Questions about the POC Program can also be emailed to: [email protected]
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