PROPOSAL FOR PROOF OF CONCEPT PROGRAM PROJECT TITLE

PROPOSAL FOR PROOF OF CONCEPT PROGRAM PROJECT TITLE: TEAM: BUDGET: DURATION: 1

PROJECT INFORMATION Project Title Proposed Total Budget Estimated Duration to Prove Concept Proposed Starting Date ( ) Saudi Riyals Keywords (max. 4) (max. 6 Months) Month / Year Ending Date Month / Year 1. 2. 3. 4. 2

TEAM COMPOSITION S. No. Role Name KFUPM ID 1 2 Principal Investigator Team Members POSITION (Staff / Faculty / Student) KFUPM Department / Center Please attach resume of members from organization/institutions outside KFUPM. 3

PROJECT DETAILS Summary of the Project: 1. Describe the need, problem or opportunity and significance of the project with minimal technical terms (no more than 300 words). 2. Describe the potential benefits of the project 3. State the project objectives, research plan and anticipated outcomes. Describe in terms as referred in Appendix A & B current TRL, POC Technology Input Step at present and POC Technology Output Step proposed. 4

BACKGROUND INTELLECTUAL PROPERTY (IP) Title of Invention Disclosure / Patent application KFUPM Docket No. (check email records from KFUPM-IAO) Patent Application Patent No. (if issued) No. (if filed) for e. g. U. S. 8295443 US 13/050295 Describe how the proposed research will add value to and enhance the invention’s patentability and/or commercial potential and/or importance. 5

PROJECT PLAN AND MILESTONES 1. 2. 3. 4. 5. Provide a brief introduction to the area of investigation Describe the methodology you will utilize to achieve each objective Describe the anticipated results Provide a 6 -month work performance schedule or GANTT chart Proposed objective technical milestones Describe specific project development in terms of “project months or weeks” such as fabrication, testing, refinement, field tests, etc. Use terms as referred in Appendix A & B current TRL, POC Technology Input Step at present and POC Technology Output Step proposed. 6

MARKET OPPORTUNITY Licensing Potential Please provide details on the subject i. e. , expected marketable product or process or service to be developed. What are the competitive advantages of the technology to be developed against existing technologies in market, how the team expects to commercialize their technology (e. g. licensing the technology) and an estimated timeline for the commercialisation to take place. Highlight the aspects of this work that would attract investors or companies to develop the prototype or product from this Po. C work into a commercial entity. 7

MARKET OPPORTUNITY Targeted Customers: Market Potential: Product Life: Market Assessment The team should perform a simple market assessment by answering the questions in the table below. It should consider the initial market (i. e. who the first customers of the product/service will be). If the technology has broad applications, the team should elaborate on these, and make a market assessment of the broader market that the technology could be developed form. 8

MARKET OPPORTUNITY Competing Technology Advantages of Proposed Technology v/s competing technology a. b. c. Core competitive advantages of proposed idea: Please provide details of some potential competitors in the same/similar market space in the following table (Note: We do not expect applicants to perform an extensive analysis of the market for potential competitors. What is expected is for applicants to conduct a simple online search, which would also help applicants to familiarize themselves with the market and the competitors). The team should also compare the team’s technology/concept to be developed with that of the competitors’ (i. e. how the team’s technology is better and what weaknesses there are). 9

MANAGEMENT PLAN Table 3: Role and involvement duration of research team Team Members Role in Project Principal Investigator Other Personnel Duration (months) Indicate how each member of the project team would be involved (with durations) in executing specific tasks relating to the project. 10

PROPOSED BUDGET (Refer Appendix -C) Consultants & Staff Costs Name Position/Grade TOTAL Consumable Costs Materials TOTAL Prototyping Costs Nature of work TOTAL Essential Equipment Costs Equipment TOTAL Other Costs (Specify) TOTAL No. Hours Salary/Hour Cost (SAR) Quantity Cost (SAR) Total (SAR) Place of prototyping Quantity Total (SAR) Cost (SAR) Total (SAR) 11

APPENDIX 12

APPENDIX –A (Reference Material for TRL ) Lev el Level Description TRL 1 Basic principles observed and reported Transition from scientific research to applied research. Essential characteristics and behaviours of systems and architectures. Descriptive tools are mathematical formulations or algorithms. TRL 2 Technology concept and/or application formulated Applied research. Theory and scientific principles are focused on specific application area to define the concept. Characteristics of the application are described. Analytical tools are developed for simulation or analysis of the application. TRL 3 Analytical and experimental critical function and/or characteristic proof-of concept Proof of concept validation. Active R&D is initiated with analytical and laboratory studies. Demonstration of technical feasibility that are exercised with representative data. TRL 4 Component / subsystem validation in laboratory environment Standalone prototyping implementation and test. Integration of technology elements. Experiments with full-scale problems or data sets. TRL 5 System / subsystem / component validation in relevant environment Level Description TRL 6 System / subsystem model or prototyping demonstration ina relevant end-to-end environment Prototyping implementations on full-scale realistic problems. Partially integrated with existing systems. Limited documentation available. Engineering feasibility fully demonstrated in actual system application. TRL 7 System prototyping demonstration in an operational environment System prototyping demonstration in operational environment. System is at or near scale of the operational system, with most functions available for demonstration and test. Well integrated with collateral and ancillary systems. Limited documentation available. TRL 8 Actual system completed through test and demonstration in an operational environment End of system development. Fully integrated with operational hardware and software systems. Most user documentation, training documentation, and maintenance documentation completed. All functionality tested in simulated and operational scenarios. Verification and validation completed. TRL 9 Actual system proven through successful mission operations Fully integrated with operational hardware / software 13 systems.

APPENDIX –B (Inputs and Outputs for POC Program) POC Working model of the product. Description, schematic, formula, conceptual model or paper design. Engineering prototype or pilot process. Conceptual prototype. Thorough quantitative market analysis. Description of the business model. Short summary of the information collected. TRL-1 TRL-4 Integration of the technical product information and the market study into breakeven financial models. TRL-5 14

APPENDIX –B (Definition of Inputs for POC Program) Step Description Key Activities Concept This step involves defining the concept and investigating its technical validity, the Define the concept. Formulation potential stumbling blocks to production, and the levels of customization to complete Demonstrate the viability of the performance the project. To have commercial potential, the product /service to be developed must assumptions. solve a real-world problem and/or respond to a market need, and should do so in a Identify critical hurdles to production. manner that is better, than existing solutions. This step is usually associated with basic Determine the ideal state of the technology. and applied research. The Conceptual Prototypes, or sometimes known as a Mock-Up prototype are made using Define the problem/product. Conceptual state of the art Rapid Prototyping and 3 -D Printing Equipment that truly brings your Perform preliminary analysis and identify the most Prototype product to life. This tangible prototype is strong yet durable, but is limited on some pressing features/functions of the product that the functional characteristics. Standard available colors include, white, red, yellow, blue prototype needs to reflect. and green. The CP prototypes can also be sanded and painted to any color desired. Prepare a first draft of the prototype and build it. These prototypes use a variety of materials, but ABS is typically preferred for its Identify prototype strengths and weaknesses (preferably strength. with a possible end user). Test the prototype main functions/features. Modify the prototype to reflect the user’s suggestions and the user interacts with the new, improved version. (usually, the refine-and-test cycle continues until the user is satisfied that the prototype meets his or her requirements. Market This step aims to answer questions such as: “Does the concept meet a market Determine the top features and benefits of the product. Needs need? ”, “Who will buy the product? ”, “How many customers/clients will buy it? ”, Identify competitors. Assessment and “How much will they pay for it? ” At this stage, the information will come Determine customers’ requirements for the product primarily from secondary sources, such as market studies, interviews and trade (direct engagement with potential customers is literature. recommended). Identify potential barriers to commercialization. Determine market distribution channels. Identify criteria for product pricing. Commercial After confirming that the product can be made (proof of concept) and there is a Critically review existing capability and capacity, and ization Path sufficient demand for it (market-needs assessment), an investigation into the most identify any additional financial, physical and human Assessment plausible path to commercialize the product should commence. Different resources (expertise and experience) needed for each commercialization paths should be considered by answering the following commercialization path investigated. questions: Collaborating with industry to develop the technology: Will industries Establish IP requirements. could be interested in collaborating with the university to develop the technology Determine a preliminary profit potential. jointly? At what stage it would be possible to engage the industry? Licensing the technology: Who are the potential licensees? How much additional development work and resources are needed to secure a license? Startup formation: What expertise is needed? How much and what financial resources are required? Will the venture generate sufficient profit to justify the risk? Outcome/ Product Verbal description, schematic, formula, conceptual model or paper design Conceptual Prototype Short summary of the information collected. Description of the business model. 15

APPENDIX –B (Definition of Outputs for POC Program) Step Description Key Activities The Technical Viability (Functional Prototype) This involves developing a working model for the product to be developed, and aims to demonstrate that the product is functional and producible. It also provides a visual means to introduce the concept to others. The Engineering (Developme nt) Prototype The finished product prototype – in the form of a single part, assembly, system or service – should provide an accurate representation of what the final product will be in terms of material content, physical configuration and function. This provides the basis for the final analysis of the technical, cost and market acceptance of the product, as well as for establishing final design and production specifications. Developing an engineering prototype is usually expensive because of the lack of economies of scale in production, and the disproportionate costs of design and testing. Determine the materials, components, processes and The Technology Market Study The market study focuses on quantifying the market assumptions developed in the concept phase. It includes answers to the following questions: Who exactly is the target market? What product does it currently use (including units sold and price)? How is the industry structured? What are the distribution channels? What is the market environment? What will make the product competitive? Quantify the size of the market (including international markets). Identify its segments. Analyze the market segments, including size, growth rate and Economic feasibility aims to provide facts and analytical rigor to inform the decision of which commercialization path to follow, and facilitates determining the economic benefits of the venture. Economic feasibility covers: demand forecast; supply analysis; competition assessment; analysis of regulatory environment; cost-benefit analysis Undertake a financial analysis of the business venture, including The Economic Feasibility/ Commerciali zation Path Test the technical feasibility Identify the operational requirements Determine potential safety and environmental hazards. Undertake a preliminary production feasibility assessment Undertake a preliminary manufacturing assessment Estimate the cost of an engineering prototype. manufacturing steps needed to meet technical performance and specifications. Test materials, components and processes. Design and develop an engineering prototype or pilot process. Optimize the design iterations. Undertake final tests. Estimate a preproduction prototype costs for the product unit. competitive environment. Outcome/ Product Working model of the product. Engineering prototype or pilot process. Thorough quantitative analysis. Analyze business capabilities for market share, competitive position, and product and resource capabilities. Describe the market environment, including economic industry trends, the regulatory framework, and possible barriers to entry. Obtain customer feedback. Integration of the break-even scenarios based upon the product unit price, sales technical product volume, and cost (goods, capital, management and administration). information and the Determine, based on the financial projections, whether sufficient market study into profit margins will be generated to justify the venture. breakeven financial Determine whether it is more sensible to license or assign the IP. models. 16

APPENDIX C (Proposed Budget Items) Funds are only to be used to further commercial development of the specified technology and are not to be used as general laboratory funding. Justification for the proposed budget in each category should be clearly articulated in the below subsections. PIs are asked to provide accurate and reasonable budgets in their submissions. Please note that over-budgeting is strongly discouraged and that IC may ask PIs to revise the requested budget before award if this is found to be the case. Funds may not be used for the purchase of laptops, to attend conferences, for travel (except when it directly supports project completion), for publications, to cover costs of securing or protecting IP or for tuition and fees. Requested Resources This sub-section should include details of all requested human resources, materials and consumables that may be needed in the execution of field work. Applicants must give details of all relevant costs in the detailed table at the end of this section. Consultant (if any) This sub-section should clearly identify and outline the role of consultant(s) (if any) proposed to provide assistance in carrying out the proposed research project and justifications for his (their) selection. (The Resume of the Consultant should be provided under the Resumes section) Travel (if applicable) This sub-section should include details of travel arrangements that may be needed in the execution of the proposed research project with full justifications (if applicable). The content of this sub-section should be structured under either of the following headings. Equipment Justification Equipment costs are not normally eligible for support and will only be considered in EXCEPTIONAL CIRCUMSTANCES where costs are small in relation to the project value, and the equipment needed is specific to the research and in addition to what might normally be expected to be contained within a well-furnished laboratory. This sub-section should include details and justification of the requested equipment along with its availability/nonavailability within KFUPM and the adequate physical space to accommodate the equipment. It should also specify if the requested equipment would be used in any other research projects. Equipment requested should be described in sufficient detail to allow comparison of its capabilities with the needs of the proposed activities. Proposals should also describe comparable equipment already at KFUPM facility and explain why it cannot be used. 17