Presented by: UCONN STEM CELL INSTITUTE OFFICE OF RESEARCH AND SPONSORED PROGRAMS (UCHC)

1. State of Connecticut Stem Cell Research Grants Program 2013 RFPRequirements and Application Procedures Presented by: UCONN STEM CELL INSTITUTE OFFICE OF RESEARCH AND SPONSORED PROGRAMS (UCHC) OFFICE FOR SPONSORED PROGRAMS (STORRS) Application Deadline: Friday, January 4, 2013, 4:30 pm November 2012

2. OVERVIEW It is the intent of the Connecticut Stem Cell Research Advisory Committee to consider funding any form of stem cell research. Priority will be given to human stem cell research and to other studies with clear potential relevance to human health, including animal models of human disease, regeneration/repair and aging.

3. Types of Proposals • Seed Grants - $200,000 (including indirect costs) for 2 years. • Established Investigator Grants - $750,000 (including indirect costs) for up to 4 years. • Core Facilities Awards - $1,000,000 (including indirect costs) for up to 2 years. Please see Dr. Lalande’s note in broadcast message

4. Types of Proposals (continued) Group Projects • Disease Directed Collaboration Group Project - $2,000,000 (including indirect costs) for up to 4 years. • Group Project - $1,500,000 (including indirect costs) for up to 4 years. Please note: The Disease Collaboration Group Project will be given priority over the “regular” Group Project.

5. Common Abbreviations and Websites SCRO = Stem Cell Research Oversight CommitteehESC = Human Embryonic Stem Cell iPSCS = Induced Pluripotent Stem Cells CI = Connecticut Innovations • Website of RFP and Applicationhttp://www.ct.gov/dph/cwp/view.asp?a=3142&q=389700&dphNav_GID=1825&dphNav_GID=1825 • SCRO Websitehttp://www.escro.uconn.edu • Audrey ChapmanChair, SCRO Committeeachapman@uchc.edu

6. Application Components 5. Evidence of Commitment 6. Biographical Sketches ** (see note on next slide) 7. Budget (Attachment III) 8. Special Considerations 9. Appendix 1. Cover Page (Attachment I) 2. Project Summary (Attachment II) 3. Table of Contents 4. Project Description* A. Project Objectives and Significance of Proposed Work B. Project Plan C. Intellectual Property D. Bibliography *page limits vary.

7. **Biographical Sketch Requirement for Prior Stem Cell Research Grant Awardees Applicants shall indicate in their biographical sketch if they have been a recipient of a research grant awarded by the Connecticut Stem Cell Research Grants Program, authorized in the Connecticut General Statutes (C.G.S.) §§ 19a-32d through 19a-32g. If so, the applicant should include specific information about the grant award. Applicants should also indicate whether they have submitted any other proposals for the current proposal cycle.

8. 4.c. Intellectual Property The following statement was provided by the Center for Science and Technology Commercialization (CSTC) and suggested to be included in all UConn applications: “Per University of Connecticut policy, any invention, whether patentable or not, developed during the course of this project will be disclosed to the University’s Center for Science and Technology Commercialization, which oversees patenting and licensing for the University.”

9. 5. a. Commitment of Institution, Hospital or Company and other Collaborators UConn Letters of Commitment will be provided from: • President Herbst (must be included) • Ren-He Xu, Director, UConn Stem Cell Core Lab (optional) • H. Leonardo Aguila, Director, Flow Cytometry Facility (optional) • Srdjan Antic, Physiology and Chemistry Core (optional) For a copy of above letters to be included with your application contact the UConn Stem Cell Institute UCSCI_Admin@uchc.edu , OSP (Storrs), or ORSP (UCHC).

10. 5.c. Commitment to Sharing Resources 5.d. Financial Commitment from other Sources Examples of Suggested Wording: 5.c. Commitment to Sharing Resources Protocols, reagents and significant findings will be shared with the State of Connecticut Stem Cell Research Community. 5.d.Financial Commitment from other Sources The requested budget is sufficient for the proposed outlined experiments.

11. Attachment I- CT Stem Cell Research Proposal • Cover Page • Attachment I should be completed by the principal investigator of each participation institution. For projects with multiple investigators, the lead investigator should be indicated. •  Indicate type of project: • Seed Grant • Established Investigator Grant • Disease Directed Collaboration Group Grant • Group Project Grant • Core Facility Grant • Title of Project:       • Institution/Hospital/Company:       • PI Name (sponsor where applicable):      IF APPLICANT IS POSTDOC SPONSOR INFORMATION IS REQUIRED • Signature(s):­ ______________________ • I certify that the statements herein are true, complete and accurate to the best of my knowledge. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. I agree to accept responsibilities for the scientific conduct of the project and to provide the required progress reports if a grant is awarded as a result of this application. • PI Department/Mailing Address:       • PI Phone:       • PI Email:       • Amount Requested: $      • Authorized Representative and Title:      DANA CARROLL, DIRECTOR, RESEARCH AND SPONSORED PROGRAMS (FOR UCHC) • Date:       • I certify that the statements herein are true, complete and accurate to the best of my knowledge, and accept the obligation to comply with all terms and conditions of the Connecticut Stem Cell Research Grants Program and all applicable laws and ethical standards if a grant is awarded as a result of this application. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. Signature: _______________________ • Date: • Items included in Project (please check where appropriate): • Proprietary and privileged information (identify such words/paragraphs on specific pages in bold type) • Recombinant DNA and/or hazardous reagents • Human eggs, embryos, and/or human embryonic stem cells • Animal subjects • Human subjects

12. Attachment I- CT Stem Cell Research Proposal • Cover Page • Attachment I should be completed by the principal investigator of each participation institution. For projects with multiple investigators, the lead investigator should be indicated. • Indicate type of project: • Seed Grant • Established Investigator Grant • Disease Directed Collaboration Group Grant • Group Project Grant • Core Facility Grant • Title of Project:       • Institution/Hospital/Company:       • PI Name (sponsor where applicable):      IF APPLICANT IS POSTDOC SPONSOR INFORMATION IS REQUIRED • Signature(s):­ ______________________ • I certify that the statements herein are true, complete and accurate to the best of my knowledge. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. I agree to accept responsibilities for the scientific conduct of the project and to provide the required progress reports if a grant is awarded as a result of this application. • PI Department/Mailing Address:       • PI Phone:       • PI Email:       • Amount Requested: $      • Authorized Representative and Title:  ANTJE HARNISCH, INTERIM EXECUTIE DIRECTOR, SPONSORED PROGRAMS (FOR STORRS) • Date:       • I certify that the statements herein are true, complete and accurate to the best of my knowledge, and accept the obligation to comply with all terms and conditions of the Connecticut Stem Cell Research Grants Program and all applicable laws and ethical standards if a grant is awarded as a result of this application. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. • Signature: _______________________ • Date: • Items included in Project (please check where appropriate): • Proprietary and privileged information (identify such words/paragraphs on specific pages in bold type) • Recombinant DNA and/or hazardous reagents • Human eggs, embryos, and/or human embryonic stem cells • Animal subjects • Human subjects

13. Attachment II- CT Stem Cell Research Proposal • Project Summary (in non-scientific language) • Attachment II should be completed by the principal investigator of each participating institution, hospital, or company. • For projects with multiple investigators, the lead investigator should be indicated. • Title of Project:       • Principal Investigator:      • Institution/Hospital/Company:      • Collaborator(s):       • One sentence description: This projects purpose is to       • Project Summary (please limit to this side of form): • IMPORTANT: • USE LAY LANGUAGE. • PROJECT SUMMARY WILL BE AVAILABLE TO THE PUBLIC. • DO NOT INCLUDE PROPRIETARY INFORMATION.     

15. Attachment III Budget Use Fringe Rates as listed on the websites: UCHC Applications • http://orsp.uchc.edu/forms/index.html STORRS Applications • http://osp.uconn.edu/budgetprep.php#saf F&A Rate = 25% MTDC

16. Budget Justification • All budget items must be itemized with $ breakdown and explanation. • Personnel: use person months, list and justify all personnel; be careful with % effort for key personnel; any changes require prior approval by stem cell advisory committee. NIH SALARY CAP DOES NOT APPLY. USE ACTUAL SALARY. • Equipment: all items $1,000 and above (must use Sponsor’s threshold).

17. Budget Justification (continued) • Materials and Supplies: itemize by category such as chemicals, reagents, disposables, etc. include a category for general supplies (if applicable) and list items such as; toner cartridges, paper, pens, etc. • Other: include items such as animal care, repair/maintenance, core services (translational core, stem cell core, facs), memberships, etc. • Travel: list as a separate line item, $5,000 max/per year • Tuition: list as a separate line item • The following statement is suggested to be placed at the end of the budget justification: “Above costs were estimated based on current market pricing to achieve the milestones as described in the research plan”.

18. Budget: Subcontracts, Cost Share, and Indirect Costs • Subcontracts between UCHC and Storrs: The prime awardee will not charge F&A against the UCHC/Storrs sub-contract. • Subcontracts to all other entities (academic or commercial): UCHC and Storrs will charge 25% F&A on subcontracts, up to the first $25,000 of each subcontract. • Please remember all subcontracts are limited to Connecticut unless extraordinary circumstances apply and prior approval was granted.

19. Budget: Subcontracts, Cost Share, and Indirect Cost (continued) • Cost share in general will not be approved for these applications. Please contact ORSP/OSP for additional information in regards to this policy.

20. Seed Grants/Postdoctoral Fellows • Proposal must include a Letter of Support and Biosketch from the Faculty Sponsor(s). The sponsor’s letter must address the following • The post-doc's faculty mentor agrees in writing to commit the resources necessary for the project; • The post-doc's mentor agrees to assume full responsibility for completion of the project; for its orderly close-out/termination, including (but not limited to) responsibility for all reporting requirements; such as ACC, IRB, and IBC.

21. Proposal Format • Pages numbered at the bottom • One-inch margins • 12 pointfont • Single-spaced, single-sided • Any reprints, appendices, or other materials to be considered with the proposal must be attached to the application which must be submitted as a single pdf.

22. Proposal Routing • Stem Cell proposals require completion of two routing forms for internal use only. DO NOT include with electronic submission to CI. • The first routing form is the standard ORSP/OSP form used for all grants. • The second routing form is the Supplemental Routing Form for Proposals Involving the Use or Creation of Human Stem Cells (UCHC)/Attachment for Human Stem Cell Research (Storrs). This form must accompany all stem cell applications. Forms can be downloaded from the ORSP or OSP websites.

23. Routing Continued • September 1, 2013 is the proposed start date. This is an estimated date. • Funded grants will not get awarded until all approvals are in place and CT Innovations receives SCRO approval. • For the submission of the application: SCRO, IRB, ACC, IBC approvals are not needed and can be listed as pending.

24. Submission • ORSP/OSP recommend starting the routing process no later than the week of December 17, 2012. • Due Date: Friday, January 4, 2013, 4:30PM • One signed electronic PDF file submitted by Principal Investigator to: sara.donofrio@ctinnovations.com At the time of submission please copy UCSCI_Admin@uchc.edu, orsp@uchc.edu (for UCHC) and preaward@uconn.edu (for UConn) as part of your email.

25. CONTACTS FOR ADDITIONAL QUESTIONS IN REGARDS TO THE APPLICATION: Sara Donofrio Connecticut Innovations Direct phone: 860-257-2359 E-mail: sara.donofrio@ctinnovations.com and ORSP, OSP and UConn Stem Cell Institute