Advanced Energy Program Fuel Cell Program Photovoltaic Program

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Agenda. Welcome and IntroductionsOhio Third FrontierCommercialization FrameworkOhio Third Frontier Advanced Energy Program (OTFAEP) Ohio Third Frontier Fuel Cell Program (OTFFCP) Ohio Third Frontier Photovoltaic Program (OTFFCP) Q

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Advanced Energy Program Fuel Cell Program Photovoltaic Program

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1. Advanced Energy Program Fuel Cell Program Photovoltaic Program FY 2010 Bidders Conference August 14, 2009 Good morning and welcome. Introductions – John Griffin, Director, Technology Division Pete Stock, Program Administrator, Technology Division Mike McKay, Manager, TBAO, Technology DivisionGood morning and welcome. Introductions – John Griffin, Director, Technology Division Pete Stock, Program Administrator, Technology Division Mike McKay, Manager, TBAO, Technology Division

2. Agenda Welcome and Introductions Ohio Third Frontier Commercialization Framework Ohio Third Frontier Advanced Energy Program (OTFAEP) Ohio Third Frontier Fuel Cell Program (OTFFCP) Ohio Third Frontier Photovoltaic Program (OTFFCP) Q & A Closing Remarks

3. Ohio Third Frontier Background The Ohio Third Frontier was initiated in February 2002 and, with a commitment of $1.6 billion, is the state's largest-ever economic development initiative. Ohio’s investment has leveraged $4.1 billion in additional investments from the private sector and federal government. Program investments have helped to create 598 new companies, and more than 8,500 new jobs. Read bullets. Read bullets.

4. Ohio Third Frontier Vision To establish, in targeted areas of technology, regional and statewide clusters of excellence that sustain our global competitive advantage in company and product formation, job creation and economic growth. Read bullet. OTF is focused on building on our strengths in technology and innovation to create high-wage jobs, new growth companies, and globally competitive products. Read bullet. OTF is focused on building on our strengths in technology and innovation to create high-wage jobs, new growth companies, and globally competitive products.

5. Ohio Third Frontier Objectives Guided by a focus on Ohio research and industrial strengths: Increase the quantity of high quality research that has commercial relevance to Ohio companies; Expand access and availability of investment capital to create, grow and attract technology-based enterprises; Grow and nurture entrepreneurial management talent supported by organized systems of services and networking; Address the technical needs of existing companies pursuing new products and production processes; Contribute to the expansion of a technologically proficient workforce. Read bullets.Read bullets.

6. Focus Areas Based on a 2002 study by Battelle and revised by the Ohio Third Frontier Commission in 2008, the Ohio Third Frontier embraces five technology focus areas: Biomedical Advanced/Alternative Energy Instruments, Controls, Electronics Advanced Materials Advanced Propulsion Ohio Third Frontier Read bullets.Read bullets.

7. Wright Projects R & D Center Attraction (New) ESP Success /Pre-Seed Follow-on Funds (Modified) Advanced Energy Program Fuel Cell Program Photovoltaic Program (New) Medical Imaging Program (New) Biomedical Program (New) Advanced Material Program (New) Sensors Program (New) Targeted Industry Attraction Grants Third Frontier Internship Program Ohio Third Frontier FY2010 Programs To accomplish the goals of the Third Frontier, we’ve developed a comprehensive set of 12 programs that are each focused on addressing different aspects of technology research, development, commercialization, and access to capital. The 5 programs that are in bold type on the slide represent programs through which we have funded fuel cell-related projects over the last several years. The majority of our fuel cell investments have been through the last program on the list – the TFFCP. But, in any case, there are a number of opportunities for companies and universities in Ohio that are involved with fuel cell-related projects to compete for funding. All of our funds are awarded as competitive grants. Each program is offered on an annual cycle (near end of FY 2009 cycle). Proposals are evaluated by outside reviewers with whom we’ve contracted to make recommendations to the Third Frontier Commission. The Third Frontier Commission is comprised of the three state officials and six regional business representatives. To accomplish the goals of the Third Frontier, we’ve developed a comprehensive set of 12 programs that are each focused on addressing different aspects of technology research, development, commercialization, and access to capital. The 5 programs that are in bold type on the slide represent programs through which we have funded fuel cell-related projects over the last several years. The majority of our fuel cell investments have been through the last program on the list – the TFFCP. But, in any case, there are a number of opportunities for companies and universities in Ohio that are involved with fuel cell-related projects to compete for funding. All of our funds are awarded as competitive grants. Each program is offered on an annual cycle (near end of FY 2009 cycle). Proposals are evaluated by outside reviewers with whom we’ve contracted to make recommendations to the Third Frontier Commission. The Third Frontier Commission is comprised of the three state officials and six regional business representatives.

8. Ohio Third Frontier Investment Highlights Statewide Entrepreneurial Signature Program (ESP) established and organized around 6 regional networks 46 pre-seed and seed funds capitalized 13 Wright Centers of Innovation (including on Mega-Center) established Endowments for 26 Ohio Research Scholars More than 80 advanced energy projects supporting the growth of the fuel cell and photovoltaic clusters 3,000 STEM interns placed in over 700 companies So we’re currently in our seventh year of the program and it’s living up to its commitment and is delivering results. Here’s just a few of the highlights. So we’re currently in our seventh year of the program and it’s living up to its commitment and is delivering results. Here’s just a few of the highlights.

9. Commercialization Framework All of the Third Frontier programs share a common goal – that is to promote TBED in Ohio by funding activities that move the technology from ideas to market. That goal has required us to design our programs, and to evaluate our proposals, within the context of a Framework that helps us optimize technology commercialization activities and investment decisions. The primary component of the Framework is an understanding of the five phases of technology commercialization, which are represented by the circles – Imagining, Incubating, Demonstrating, Market Entry, and Growth & Sustainability. The ovals between the phases represent what we call the Transition – or acquiring the resources to perform the activities that will move you to the next phase. The 13 programs that we administer through the Ohio Third Frontier are designed to optimize technology development and commercialization activities between the Incubating phase, through the Demonstrating phase, and into Market Entry. These are often the phases in which the major technical roadblocks and market roadblocks tend to show up. This is often referred to as the “Valley of Death” and more often than not, is the end of the road for commercialization initiatives. This is our sweet-spot and where we believe the state can play an important role. (Stop here) And then we measure a project’s progress through a system of metrics that we work with the grantee to develop. All of the Third Frontier programs share a common goal – that is to promote TBED in Ohio by funding activities that move the technology from ideas to market. That goal has required us to design our programs, and to evaluate our proposals, within the context of a Framework that helps us optimize technology commercialization activities and investment decisions. The primary component of the Framework is an understanding of the five phases of technology commercialization, which are represented by the circles – Imagining, Incubating, Demonstrating, Market Entry, and Growth & Sustainability. The ovals between the phases represent what we call the Transition – or acquiring the resources to perform the activities that will move you to the next phase. The 13 programs that we administer through the Ohio Third Frontier are designed to optimize technology development and commercialization activities between the Incubating phase, through the Demonstrating phase, and into Market Entry. These are often the phases in which the major technical roadblocks and market roadblocks tend to show up. This is often referred to as the “Valley of Death” and more often than not, is the end of the road for commercialization initiatives. This is our sweet-spot and where we believe the state can play an important role. (Stop here) And then we measure a project’s progress through a system of metrics that we work with the grantee to develop.

10. Ohio Third Frontier Advanced Energy Program, Ohio Third Frontier Fuel Cell Program & Ohio Third Frontier Photovoltaic Program Fiscal Year 2010

11. Program Goal To accelerate the development and growth of the fuel cell, advanced energy and photovoltaic industries in Ohio and their supply chains by direct financial support to organizations seeking to: Commercialize new products, manufacturing processes or technologies; Adapt or modify existing components or systems that can reduce the cost and improve the efficiency of the energy system; Demonstrate the market-readiness of a technology through a commercially-oriented project that maximizes incorporation of Ohio components and are operating under final use conditions.

12. Program Objectives To help Ohio companies achieve cost and performance standards that ultimate end-users of fuel cell, advanced energy and photovoltaic technologies define as necessary for successful commercial applications; To support development of fuel cell, advanced energy and photovoltaic technologies that will result in the opportunity for significant employment in Ohio within 3 to 5 years of completing the project; To help Ohio companies secure additional financial resources needed to commercialize their fuel cell, advanced energy and photovoltaic related products, processes, components, and systems; and To move fuel cell, advanced energy and photovoltaic related products, manufacturing processes, components, and systems to a point in the commercialization process where the applicant is ready to demonstrate a commercial prototype or actually enter the market with a product

13. Eligible Purposes The OTF will fund grant applications that focus on the following types of projects: Developing and commercializing new products, manufacturing processes, or technologies that can reduce the cost and improve the efficiency of fuel cell, advanced energy and photovoltaic technologies or systems or address technical commercialization barriers. Adapting or modifying components or systems that are produced in Ohio for use in sensors that can reduce the cost or improve the efficiency of fuel cell, advanced energy and photovoltaic technologies or address technical or commercialization barriers. Commercially oriented demonstration projects in Ohio of fuel cell, advanced energy and photovoltaic related technologies that maximize incorporation of Ohio components and are operating under final use conditions. Please note that proof of principle and bench scale demonstrations are not considered to be commercial demonstrations. The OTF will not fund the construction or operation of production scale facilities.

14. Technology Preferences Fuel Cell Program Preference for competitive fuel cell technologies, unique components, and balance of plant. Competitive fuel cell technologies are those that can be shown to meet or exceed technical and cost standards emanating from end users of fuel cells, the U.S. Department of Energy research, development, and policy work, and other recognized national and international associations dedicated to the fuel cell industry. Photovoltaic Program Technology neutral with respect to the various photovoltaic technologies. Advanced Energy Program Preference for wind, biomass and energy storage technologies. Preference is for work to be done within 2 years and not more than 3

15. Eligible Lead Applicants Lead Applicant must be based in Ohio or have a principal place of business in Ohio, or be an out-of-state for-profit company that pledges to locate a principle place of business within Ohio as a pre-condition to award. A substantial portion of the project activity and the benefit from the project must occur in Ohio Must be a collaborative effort where either the Lead Applicant or one collaborator must be a for-profit company, but must be comprised of, in any mix, two or more independent firms, higher education institutions, or eligible not-for-profit or government research institutions.

16. Funding In FY10, Development anticipates awarding up to the following amounts for each program: Fuel Cell Program: $10 million $8 million Third Frontier Research and Development (TFR&D); $2 million Wright Capital Fund (WCF) Photovoltaic Program: $10 million $8 million TFR&D; $2 million WCF Advanced Energy Program: $7 million $5 million TFR&D; $2 million WCF

17. Funding There are no restrictions of the use of Third Frontier Research and Development funds (i.e. may be used for operating or capital purposes) or on the eligibility of organizations to receive these funds. Wright Capital Funds requested for any one proposal may not exceed the total WCF available. WCF must be used solely to acquire, renovate, or construct facilities and purchase equipment that is part of property of facilities owned by an Ohio State-supported or state-assisted institution of higher education or by a non-profit corporation or a public body that provides access and use of facilities or equipment to a collaborating Ohio State-supported or state-assisted institution of higher education. Not more than 20 percent of the total direct state grant funds requested may be budgeted for indirect costs. Un-recovered indirect costs are an allowable form of cost share.

18. Cost Share Must be one dollar or more for every one dollar of State Grant Funds requested (i.e., a ratio of 1:1). Preference will be given to proposals that pledge cost share as discretionary, unrestricted, and unallocated cash. Such cash must appear on the financial records of the Lead Applicant. Must be documented on the budget forms, in the budget narrative, and in a letter from each organization contributing cost share signed by a representative authorized to commit the organization to the proposed project and the cost share described. Must represent a specific new commitment to the project described in the proposal. Must be allowable costs that are verifiable and auditable and consistent with the cost share guidelines.

19. Cost Share Resources that have been designated as cost share for some other award cannot be used as cost share for an Ohio Third Frontier award. Cost share must be applied to the project during the project period. If an organization has a published indirect cost rate, un-recovered indirect costs (the difference between 20% and the published rate) may be used as cost share. - If the lead applicant does not have a federally negotiated and approved indirect cost rate agreement, then the lead applicant is limited to using 20 percent of its cost shared direct costs as cost shared indirect costs and no other un-recovered indirect costs from the operating budget may be claimed. OTF funding may not be used as cost share, and funds awarded under this RFP may not be used as cost share against other Third Frontier projects. Lead applicant will be held to the cost share ratio proposed.

20. Proposal Evaluation Criteria The following criteria have been designated with the highest relevance to and weighting for the OTFAEP, OTFFCP, and OTFPVP: • Level of Scientific Merit • Alignment of the Proposal with the goals of Section 2.2 and Section 3 of the RFPs • Quality of responses to the requirements of the RFPs as outlined in sections 3.3.6 through 3.3.12 of the RFPs. • Compliance with the RFPs • Past Performance (if applicable)

21. Proposal Evaluation Criteria 3.3.6 – Technical Plan 3.3.7 – Commercialization Strategy 3.3.8 – Performance Goals 3.3.9 – Performance on Prior OTF Awards 3.3.10 – Experience and Qualifications 3.3.11 – Budget 3.3.12 – Collaborator Information/Letters of Commitment

22. Review Process Administrative Review Third Frontier Commission staff Receive and process proposals for administrative compliance Forward to external evaluators for technical review Technical Review External evaluators Technical and commercial review Establish a competitive range Second stage review Rank proposals Compile recommendations Submit recommendations and summary evaluation statements to Third Frontier Commission

23. Review Process In addition to the external review, Development may review applications to assess: Past performance of Lead Applicant and its team; Proposal’s strategic fit with prior Third Frontier investments, other State investments, Development’s strategies, and the Ohio Board of Regent’s strategies; and Factual business intelligence relevant to describing the Ohio economic development opportunity. The results of such review will be presented to the OTFC for its consideration.

24. Timeline July 31, 2009 – RFP Released August 25, 2009 by 2:00 PM – LOI due September 18, 2009 by 2:00 PM – Proposals due September – December 2009 – Review Process Approximately December 2009 – Award Announcements

25. Exceptional Opportunity Funding If the Lead Applicant believes they have an exceptional opportunity, fitting the intent of the specific OTF program, but requiring significantly higher funding than the RFP allows, then the Lead Applicant may also submit a white paper that describes: the additional dimensions of the project; the uses for the larger amount of funding requested; and a clear justification for why the expanded scope represents an exceptional economic development opportunity for Ohio. Note: The core proposal must stand alone and not depend on the exceptional opportunity white paper to achieve the benefits required for a successful project.

26. The white paper should consist of a narrative not to exceed five (5) pages, supplemental budget forms and a schedule of activities. The white paper must include the title of the core proposal and the proposal number assigned by Development. The supplemental award request must be for no less than $1 million in additional support. The request for additional funds is subject to the 1:1 cost share requirement. If the Lead Applicant’s core project is ranked high enough by the external evaluators to be recommended for funding, the white paper will be evaluated and presented to the OTFC.  At its discretion, the OTFC may request additional due diligence be undertaken that will include submitting a more complete proposal for the additional funding.  Final decisions on supplemental awards will occur at the end of the FY 2010 program year. Exceptional Opportunity Funding

27. Policy & Administrative Questions All questions must be submitted via email Email: [email protected] [email protected] [email protected] Frequently asked questions will be posted on the Third Frontier web site: www.thirdfrontier.com

28. Important Changes & Updates Cost Share 1:1 Fuel cell proposals are not eligible to compete in the OTFAEP RFP. Development reserves the right to redirect proposals between the OTFFCP, OTFAEP & OTFPVP based upon the LOI or the Proposal itself. Be sure to use the current versions of the proposal and application forms. All three RFPs were modified on August 11, 2009

29. RFP Modifications & Clarifications From time to time, it may be necessary to modify or clarify portions of the RFP, as well as the forms. In that event, we will post a document titled “RFP Modifications and Clarifications” to the RFP page for the particular program on the Third Frontier website. The document will have an explanation of any changes. It is your responsibility to be aware of any RFP modifications and to ensure that your proposal conforms with any such modifications.

30. Things to Avoid Collaborations Failure to consider/involve OTF grantees when it makes sense Involving OTF grantees when it doesn’t add value Window dressing and a cast of thousands Hollow letters of support

31. Things to Avoid Cost Sharing Not viewing Cost Share as a true half of the whole Not addressing Cost Share specifics in the budget narrative Missing letters of commitment Bait & switch The ratio you propose is the ratio we hold you to

32. Things to Avoid Commercialization / Market Over/under estimating your position in the framework Proposing a program in its infancy Not acknowledging the competition Not considering/involving end users, suppliers, manufacturers Not being industry driven, omitting industrial leaders IP boilerplate, or any boilerplate used in your proposal Unrealistic impacts

33. Things to Avoid Administrative Issues Late proposals Ignoring page limitations More than 5 key personnel Claiming everything as proprietary information Appending material

34. Questions?

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