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Form 101 - Instructions

Grants Programs

Idea to Innovation Program

GENERAL INFORMATION

For deadlines and other information, consult the Idea to Innovation (I2I) Program description in the Program Guide for Professors.

LIST FOR A COMPLETE APPLICATION

Use the following checklist to make sure your application is complete.

• Application for a Grant (Form 101)
  • Application Profile (including areas of research, certification requirements, amounts requested)
  • Cover Letter, if required
  • Co-applicants
  • Collaborators
  • Supporting Organizations – optional for Phase I projects
  • Summary of Proposal
  • Activity Schedule
  • Proposed Expenditures
  • Contributions from Supporting Organizations – if applicable
  • Budget Justification (attachment)
  • Quotations (minimum of two) for equipment requests over $25,000
  • Contributions from Supporting Organizations (justification of in-kind contribution)  (attachment)
  • Letters of Support – see instructions
  • Proposal (attachment – see instructions for page limits)
  • Relationship to Other Research Support (attachment)
  • Intellectual Property description and attachment of signed Research Agreement –  if applicable and available at time of submission
  • Other Documents
  • Appendix A (Environmental Impact) – if required
  • Appendix B (CEAA Pre-Screening Checklist) – if required
  • Appendix C (referee suggestions)
• Personal Data Form (Form 100) – for the applicant and each co-applicant
  • Personal information (appointment, academic background, HQP)
  • Experience
  • Research support
  • List of HQP
  • Contributions
  • Appendix A (Personal Data) – one original only (if required) – do not photocopy
  • Appendix B (Eligibility Questionnaire) – one original only – do not photocopy
  • Appendix C (Description of Applicant's Activities) – if required
  • Appendix D (Consent to Provide Limited Personal Information About Highly Qualified Personnel [HQP] to NSERC): form/s must be retained by the applicant and made available to NSERC upon request.
• Information Required from Organizations Participating in Research Partnerships Programs (Form 183A) – for each supporting organization – in a Phase II project only
• Annual Report of the supporting organization(s) – one copy only, will be kept confidential and will be used internally by NSERC.
• Letters of Support from all supporting organizations
• Statement of Ownership of supporting organization (if company owned in whole or in part by researchers
• In addition to the required signatures, the director of the institution's industry liaison office (ILO), or its equivalent, must also sign the application.

Number of copies (including original): 2

Information Required from Organizations Participating in Research Partnerships Programs (Form 183A)

See the instructions for completing Form 183A.

It is very important that the letters from the supporting organizations address the points outlined in the instructions for Form 183A.

How to Complete Form 101

Read the following documents before you begin to complete Form 101:

• Frequently Asked Questions on how to use the On-line System;
• The NSERC Program Guide for Professors for deadline and program details.

Whom should I contact if I need help?

If you have questions regarding:

• the program to which you are applying (e.g., content of the application, program deadlines, eligibility, budget), call 613-947-9485 or send an e-mail to I2I@nserc-crsng.gc.ca;
• the On-line System, send an e-mail to webapp@nserc-crsng.gc.ca or call 613-995-4273.

Please include the e-mail address where you may be contacted as well as your telephone number.

General instructions for all applicants

Use Forms 100 and 101 if you are submitting an application to the grant programs listed in the Overview of Programs.

Also...

• Use these forms in conjunction with the NSERC Program Guide for Professors. Before you complete the forms, see the relevant pages of the guide for information about eligibility criteria, selection criteria, and application deadlines.
• If you are applying for more than one type of support, complete a separate application for each.
• If you do not have a Personal Identification Number (PIN) or Application ID, one will be assigned to you once the application has been received and processed by NSERC. These fields can be left blank.

eSubmission and Electronic Signatures

Applicants have the choice of using either the on-line submission system or submitting a printed version by mail. User ID/password-based "signatures" allow applicants, supporting organizations and authorized institutional representatives such as Research Grants Officers, Scholarships Liaison Officers and Business Officers to "sign" and submit on-line applications and other documents to NSERC.

The eSubmission process incorporates the following features:

• Account management – the ability to access NSERC's on-line system to update personal information, and recover a forgotten user name or password;
• Access/link manager – the ability to grant research collaborators or supporting organizations access to electronic applications, browse and print applications, and link-required components (e.g., a personal data form or a letter of support);
• Attachment functionality – the ability to electronically attach documents that are part of the application (e.g., the project description);
• Application manager – the ability for designated institution administrators to electronically access applications, comment on them and officially submit the applications to NSERC;
• Electronic acknowledgement of receipt – the ability to automatically acknowledge receipt of electronic applications once they have been transmitted to NSERC.

Even if the eSubmission process includes appropriate controls and checkpoints to ensure validation of the information by the institutions' Research Grants Officers before it is submitted to NSERC, it is important to mention that applicants will have to follow the internal approval process in place at their institution, as specified by the relevant authorities.

We expect one copy of the grant application, bearing the original signatures of the applicant and co-applicant(s), as well as of the department head and president of the institution (or their representatives) to be kept at the institution and made available to NSERC upon request. An institution may also require a signature from the faculty.* If the applicant is normally the signing authority for the department, faculty, or institution, another senior official must sign instead. For paper submission, the application bearing the original signatures must be sent to NSERC.

*Some institutions require the dean's signature on grant applications. As the dean's signature is an institutional requirement, not an NSERC one, the institution's policy should prevail (e.g., the dean's signature should be obtained only if it is required by an institution).

What do the signatures on the application mean (paper and electronic)?

For research involving controlled information, the signatures of the applicant, the co-applicant, the institutional authorities and the authorized officers of other supporting organizations certify that:

• the application does not contain any information subject to restrictions or controls under the Export and Import Permits Act or its regulations, including the Export Control List;
• the application does not contain any information subject to restrictions or controls under the Canadian Controlled Goods Program in accordance with the Defence Production Act or the Controlled Goods Regulations;
• subsequent documentation related to the application or required by NSERC, including progress and final reports, will not include information subject to restrictions or controls under the Export and Import Permits Act or its regulations, the Export Control Regulations or the Controlled Goods Regulations; and
• in the case of applications or awards requiring site visits, the applicant and the institution must ensure that controlled information (subject to restrictions or controls under the Export and Import Permits Act or its regulations, the Export Control Regulations or the Controlled Goods Regulations) is not disclosed to site visitors.

Note: In addition to the above, the signatures of the applicant, the co-applicant, the institutional authorities and the authorized officers of other supporting organizations certify that they meet other specific requirements.

The signature of the applicant also confirms that the applicant:

• accepts the terms and conditions of the grant as set out in NSERC's policies, guidelines and the Memorandum of Understanding between the Federal Granting Agencies and Canadian institutions;
• will use the grant only for the purpose for which it is awarded;
• will inform NSERC and institutional officials of changes in eligibility status or in the nature of the research that may have an impact on certification or approvals for research involving humans, human pluripotent stem cells, animals or biohazards, environmental assessments, financial reporting and other related policies;
• will meet reporting requirements specific to the grant/award or granting program;
• acknowledges and accepts that NSERC reserves the right to defer or cancel a grant instalment if the continued need for funds is not demonstrated;
• agrees to comply with the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans, the policies and guidelines regarding animal care, biohazards, and research activities having potential effects on the environment (see the NSERC Policy on Environmental Assessment);
• understands the Access to Information Act and the Privacy Act as they pertain to grant application information;
• attests that consent has been obtained from trainees to include limited personal information about them in the Highly Qualified Personnel page of the Personal Data Form (Form 100);
• agrees to comply with the Tri-Council Policy Statement: Integrity in Research and Scholarship, and authorizes the institution, if need be, to release to NSERC personal information that is relevant to his or her NSERC application and grant/award;
• will acknowledge, wherever possible, NSERC's funding assistance for the research;
• certifies that the information provided in the application is true, complete, accurate and consistent with institutional policies to the best of the applicant's knowledge. The provision of false or inaccurate information may result in sanctions, including the termination of funding and disentitlement from eligibility for future funding;
• acknowledges and accepts that NSERC reserves the right to follow-up with the applicant to validate information that is provided in grant applications;
• has not been barred from applying to NSERC, SSHRC, CIHR, or any other research funding organization, for reasons of breach of standards of ethics or integrity (including financial or scientific misconduct); and
• accepts the following two conditions of funding:
  • should the applicant decide to pursue commercialization of any results of the research funded in response to this application, he or she will disclose to his or her institution any potential intellectual property arising from the research; and
  • if the applicant discloses any potential intellectual property arising from the research, he or she and the institution will endeavour to obtain the greatest possible economic benefit to Canada from the resulting commercial activity.
    
    Note: The above requirement for disclosure is not intended to supersede the intellectual property ownership policy that the institution might already have in place.

In addition, if the applicant is a current or former (in the last twelve months) public office holder or public servant in the federal government, the applicant also certifies that he or she:

• respects and complies with the Values and Ethics Code for the Public Service.

The signatures of the co-applicants also confirm that they:

• also agree to the above; and
• agree that the applicant will administer the grant on behalf of the group/team.

Note: In the case of an Industrial Research Chair application, the signatures would be that of the Chair candidate(s) or Chairholder(s).

The signatures of the institutional authorities also certify that:

• the institution will abide by the roles and responsibilities as set out in the Memorandum of Understanding with the three Federal Granting Agencies;
• the applicant has met or will meet the eligibility requirements;
• the institution agrees to comply with NSERC's data protection requirements and has adequate safeguards in place to protect sensitive information entrusted to it by NSERC for the purpose of administering applications and awards; and
• if the applicant discloses any potential intellectual property arising from the research, he or she and the institution will endeavour to obtain the greatest possible economic benefit to Canada from the resulting commercial activity.

Note: The above requirement for disclosure is not intended to supersede the intellectual property ownership policy that the institution might already have in place.

The signatures of authorized officers of other supporting organizations also certify that the organization:

• agrees with the content of the application and will provide the committed resources; and
• agrees to the release of the public summary of the award and to the publication of the organization's name as a supporter of the initiative.

If you are both the applicant and a principal of a collaborating company, another senior official must sign on behalf of the company.

Collection and Use of Personal Information

The information you provide in your application is collected under the authority of the Natural Sciences and Engineering Research Council Act.

The information is stored in a series of NSERC data banks described in Info Source. Details on the use of this information are provided in the Access to Information Act and the Privacy Act (ATIP).

Mailing Address

Send your correspondence to:

NSERC
350 Albert Street
Ottawa, ON K1A 1H5
Canada

APPLICATION PROFILE

Title of Proposal

The title will be used for publication purposes. It should describe the subject of the research to be supported. It should not contain a company or trade name. Spell out scientific symbols and acronyms. Indicate the phase of the I2I program to which you are applying.

Time devoted to proposed research/activity

Enter the time devoted by the applicant (in hours per month) to the proposed research/activity.

COVER LETTER

The cover letter is optional and should only be used if you wish to provide NSERC with additional information that will not be shared with external reviewers, such as a request that an individual or group of individuals not be involved in the review of your proposal. NSERC will take such a request into consideration. The cover letter must contain your name, the NSERC program to which you are applying, and the title of your application.

Note: This letter may be accessible to these individuals under the Privacy Act.

AREA(S) OF RESEARCH

Research Subject Codes

Consult the NSERC Code Tables. All applicants are required to select a primary research code.

Area of Application Codes

Consult the NSERC Code Tables. All applicants are required to select a primary area of application code from the list of Area of Application Codes.

Key Words

Provide a maximum of 10 key words that describe the proposal.

CERTIFICATION/REQUIREMENTS

Before completing this page, consult the Policies and Guidelines of the Program Guide for Professors concerning the requirements for certain types of research.

Research Involving Humans:

If you select Yes, you must provide your institution's administration with the appropriate certification indicating that research involving humans has been reviewed and has received the required approval.

Research Involving Human Pluripotent Stem Cells:

If you select Yes, or if through peer review the application is found to fall into this category and is recommended for funding, it will be forwarded, with your consent, to the Stem Cell Oversight Committee (SCOC) to ensure compliance with Human Pluripotent Stem Cell Research: Guidelines for CIHR-Funded Research. The SCOC review is in addition to the normal review by local Research Ethics Boards (REBs). Funding will not be released until approval has been obtained from the SCOC.

Research Involving the Use of Animals:

If you select Yes, you must provide your institution's administration with the certification from the animal care committee at the institution that the experimental procedures proposed have been approved and that the care and treatment of animals is in accordance with the principles outlined in the Canadian Council on Animal Care (CCAC) guide.

Research Involving Hazardous Substances:

If you select Yes, you must provide your institution's administration with the certification from the biosafety committee at the institution that the laboratory procedures being used comply with the safety precautions necessary for the level of containment required by the research.

Environmental Impact:

If any activities take place outside of an office or a laboratory, and/or involve a physical work under the Canadian Environmental Assessment Act (CEAA), you must complete Appendix A of Form 101, Environmental Impact, and Appendix B of Form 101, Canadian Environmental Assessment Act Pre-Screening Checklist. Refer to the Environmental Assessment section of these instructions.

CO-APPLICANTS

For team applications, list each co-applicant's name, personal identification number (if known), organization name, as well as the time (in hours per month) each co-applicant will devote to the proposed research/activity or the use of equipment or facility.

Co-applicants, except those from the applicant's institution, must advise the authorized officer of their organization that NSERC will be seeking their signature through its secure site, agreeing to their participation.

COLLABORATORS

A collaborator is a member of the research team that is applying for a group grant. The collaborator will not have access to the grant funds and must be qualified to undertake research independently. Collaborators are expected to contribute to the overall intellectual direction of the research project or program of research and to bring their own resources to the collaboration. Examples of collaborators are: government scientists, academic researchers, company staff members or research scientists.

SUPPORTING ORGANIZATIONS

Enter information about each co-applicant organization's signing officer (other than the applicant’s organization). For supporting organizations such as an industrial partner or a government department, enter information about the authorized representative(s).

If the application is being submitted in paper format, a signature must be provided by each co-applicant organization's signing officer, or the authorized representative of the supporting organization (such as an industrial partner or a government department).

SUMMARY OF PROPOSAL FOR PUBLIC RELEASE

The summary is intended to explain the proposal in language that the public can understand.

Using simple terms, briefly describe the nature of the work to be done. Indicate why and to whom the research is important, the anticipated outcomes and how your field and Canada will benefit.

If you wish, you may also provide a summary in the other official language in the text box identified for that purpose.

ACTIVITY SCHEDULE

List the activities/steps required to achieve the objectives for each year of the grant.

Indicate the start and end dates for the activities leading to the milestones, as well as the major results expected.

• The milestone definition and the work plan (provided in the Proposal page) will be used to assess whether a project is feasible and whether the available resources are adequate to complete it on schedule.

PROPOSED EXPENDITURES

Before completing this page, read the instructions and consult the Tri-Agency Financial Administration Guide for information about the eligibility of expenditures for the direct costs of research and the regulations governing the use of grant funds.

CONTRIBUTIONS FROM SUPPORTING ORGANIZATIONS

Use this page to report the contributions committed by the supporting organization(s) to the research project. Before completing this page, read the instructions and consult the Use of Grant Funds page of the NSERC Program Guide for Professors concerning the eligibility of expenditures for the direct costs of research and the regulations governing the use of grant funds, and Guidelines on Eligibility and Value of In-Kind Contributions.

Provide the information for each supporting organization.

List the resources the supporting organization will provide to support the proposed activities including:

• the cash contribution to direct costs of research. This amount will be transferred to the appropriate line on the Proposed Expenditures page;
• the in-kind contribution to direct costs of research (donations of services, materials and equipment). This amount will be transferred to the Proposed Expenditures page (if applicable);
• the in-kind contributions to indirect costs. This amount is not transferred to the Proposed Expenditures page; and
• an indication of the amount paid to the institution for overhead.

If you are completing your application in paper, you must transfer the total amount of the Cash Contributions to Direct Costs of Research from industry and other sources to the appropriate line on the Proposed Expenditures page.

Use the Contributions from Supporting Organizations - Attachment page to provide an explanation of the cash and eligible in-kind contributions.

BUDGET JUSTIFICATION

Since I2I projects are focused on the rapid realization of well-defined objectives, it is expected that all budget items are for costs directly related to achieving these objectives. Therefore, any request for expenses such as publications or attendance and travel to conferences are not expected.

Provide a detailed explanation and justification for each budget item identified in the Proposed Expenditures page. Provide sufficient information to allow reviewers to assess whether the resources requested are appropriate. This page should only contain information pertinent to the budget.

NSERC will support up to three-quarters of a market assessment either as a sole application or together with a Phase I grant application. If a market study is included as part of a Phase I application, the grant amount will be increased by $15,000, the NSERC share of the market study.

Co-support by NSERC of some of the activities undertaken by the institution's industry liaison office (ILO) may be covered by the grant. NSERC will pay up to half of any eligible technology transfer activities undertaken in relation to the project, up to a maximum of 10 percent of requested funding. The other half, as well as other costs beyond the allowable maximum, are expected to be supported by the ILO or its equivalent.

For Phase II projects: Explain and justify the proposed cost-sharing ratios between NSERC and the partner.

In-kind contributions (Phase IIb projects): Refer to Guidelines on Eligibility and Value of In-Kind Contributions for directions on appraising company in-kind contributions. Cost incurred by the company during the course of the project for the filing and issuing of patents may be claimed as eligible contributions to the project to a maximum of $10,000.

Salaries and benefits

Give the names (if known), categories of employment and proposed salaries (with explicit indication of the non-discretionary benefits) of students, postdoctoral fellows, research staff and the project manager (Phase IIb only). Briefly describe the responsibilities for each position and indicate the percentage of time they will be spending on this project over its life span. Do not include salaries of faculty in project costs.

Refer to Form 100 for information regarding obtaining consent to name individuals in your proposal.

Equipment or facility

Give a breakdown of the items requested. Provide details on models, manufacturers, prices and applicable taxes. Justify the need for each item requested. Quotations may be required. The Quotations page allows you to describe the quotations to be sent with the proposal.

Fees to be paid for the use of equipment or a facility should be described (e.g., hours and rate).

Materials and supplies

Provide details and explain major items.

Travel

Explain briefly how each activity is essential to the project.

Technology transfer activities

Provide extensive details of the technology transfer activities, such as those indicated below, that are supported by the institution and for which cost sharing is requested. Indicate the amount committed by the ILO, or its equivalent, in support of these activities.

Eligible activities:

• market studies;
• consulting fees (for business plan, market survey, etc.);
• sharing of patenting expenses; and
• expenses associated with creating a partnership (travel, etc.).

QUOTATIONS

Provide two recent quotations for items or systems costing more than $25,000 before taxes. Provide justification if two quotations are not available.

Note: For upload purposes, all the quotations must be saved into a single PDF document.

CONTRIBUTIONS FROM SUPPORTING ORGANIZATIONS - ATTACHMENT

Provide a detailed explanation of the in-kind contributions to the direct costs of research. This information will be used to assess the level and nature of the partner involvement, the importance of their contribution to the success of the project and an appropriate cost-sharing ratio.

• Salaries for scientific and technical staff: list the name of each staff member, their role at the company and their specific expertise, details as to what they will be providing to the project (link to milestones if possible), the number of hours they will devote to the project, and their hourly rate.
• Donation of equipment, software: list each item of equipment and/or software being donated to the project, explaining how it will be used and its importance to the success of the project; provide details on how the cost of the equipment/software was calculated.
• Donation of material: describe the materials to be provided, their importance to the project and how the cost of the materials was calculated.
• Field work logistics: describe the importance of the proposed field work to the project and provide details on how the cost of the field work was calculated.
• Provision of services: provide details on the services to be provided, the importance of these services to the success of the project and how the cost of providing these services was calculated.
• Other: provide sufficient details on items listed in this category, their importance to the project and the calculation of associated costs.

In a Phase II project only

Form 183A and Letter of Support (and attachments, as required)

A completed Form 183A, letter of support and any other required documents must be attached for each organization participating in a research project. Either the applicant or the supporting organization must complete all applicable pages of the form and provide the required documents.

To allow a supporting organization the ability to link a Form 183A to your application, use the Access Manager page of Form 101. For details on how to use this function, refer to the Access Manager instructions.

For applicants who are filling out Form 183A on behalf of the participating organization use the Link Manager page of Form 183A to link to your application. For details on how to use this function, refer to the Link Manager instructions.

If you are submitting your application in paper format and the supporting organization(s) is filling out Form 183A, you must request paper copies of the form, letter of support and any other attachments required. The PDF version of Form 183A is available on the NSERC Web site. To access the PDF form, go to the On-line Services page and select PDF Forms and Instructions. In the For Industry heading, select Form 183A – Orgs Info. for RPP from the Forms drop-down list.

LETTER(S) OF SUPPORT

Phase I applications

If possible or appropriate with the proposed business approach, provide a letter of support from companies. Letters from potential users can demonstrate market potential for your proposed technology. Letters from potential partners can show the interest to bring the technology to market and to create economic activity if the proposed objectives can be achieved.

Phase II applications

Include a support letter or document from the early stage investor or Phase IIb partner stating their interest in the technology and project, the reasons motivating this investment, and relevant experience in funding early stage technologies. A letter of support from potential users or clients may also be useful.

PROPOSAL

In an attached document, provide the requested information according to the guidelines outlined under the NSERC On-line Presentation and Attachment Standards.

All I2I applications are divided into two sections; the first one is focused on the description of the proposed research while the second addresses the technology transfer plan. This last heading must be completed in close cooperation with the institution’ s industry liaison office (ILO) or equivalent and, for Phase II applications, with the early stage investor or company. Under the heading Description of the technology transfer plan, you must provide the name and coordinates of the ILO representative working with the applicant(s).

Refer to the Idea to Innovation (I2I) Description for the criteria that will be considered by reviewers when evaluating applications.

Using the headings below and, in the maximum number of pages specified for each phase of the program (this page limit does not include references), describe your proposal.

Market Assessment applications

Proposals for market assessment require the institution (including the ILO) to share the costs of the project. The aim of Market Assessment projects is to enable institutions to conduct a market study on a product, process or technology they plan to develop. Funding is available for up to 12 months with a maximum contribution from NSERC of $15,000. In a maximum of three single-sided pages, provide the required information under the two following headings.

1. Description of the technology

Provide a clear description of the invention. Describe the progress made so far on the development of the technology.¹ Discuss the novelty in the product, process, or service that is proposed. Discuss the state-of-the-art and describe/compare currently known available products.

2. Description of the technology transfer plan

This heading is used to establish the relevance of a market study (as presented through the ILO or equivalent), the commitment of the ILO to the project and its capacity to transfer the technology to the marketplace.

Please identify, under this heading, the ILO/TTO representative (name and coordinates) involved in the proposal.

Using the headings below and address the following points:

Preliminary commercialization strategy: Discuss the preliminary market indicators, market signs of interest. Explain how a market study will help inform the future strategy

Information sought from external stakeholders: Discuss what information is sought in the report and what needs to be addressed. For example: relevant market needs, feasibility study, competitive analysis, current market situation, product positioning, distribution channels, description of market areas, relative value of each market areas, size of market, general value chain needed to satisfy that need, barriers (standards, strong habits, lack of industry growth), why current solutions are not satisfying, how a new technology could satisfy that need.

Market assessment plan: Discuss who will conduct the study. Give an overview of the tools that could be used (industrial literature review, web search, survey of potential users, visits to trade shows). Provide an explanation of the anticipated expenses.

Phase I applications

Proposals at the phase I (Reduction-to-Practice Stage) are designed to advance promising scientific concepts or technologies in order to attract early stage investment or to build the IP in anticipation of transferring the technology to an existing or start-up company. Funding is available for up to 12 months at a maximum of $125,000 (or $140,000 if a Market Assessment project is included, see the requirements for the Market Assessment proposal). Projects that require a longer time frame due to inherent experimental limitations only (e.g., incorporation of a growing season, animal production) will be considered on a case by case basis. The applicant must contact NSERC prior to any submission of a project that requests a project period greater than 12 months.

1. Description of the proposed research

Using the headings below, address the following points in a maximum of five single-sided pages (two extra pages are allowed if you are proposing a market assessment):

Synopsis: Provide a concise overview of the objectives of the proposed project.

Background: Provide a clear description of the invention. Describe the scientific and/or technical background of the project and progress made so far on the development of the technology.¹ Discuss the state-of-the-art and the prevailing market conditions, and the characteristics and performance of the product, process, or service that you propose to develop compared to those currently available. Discuss the novelty in the product, process, or service that is proposed and all aspects of evidence suggesting commercial potential.

Detailed proposal: Discuss the scientific issues or technical complexities and describe the research methodology and experimental design proposed to resolve them. Provide a work plan and relate it to the milestone schedule from the Activity Schedule page by which the success of the project can be measured. Identify the technical objectives and the main area of technical risk. State how the technical risk or uncertainty will be managed.

Team expertise: Highlight the research and practical experience of the project team. Explain how the knowledge and experience of each researcher relates to the expertise needed to accomplish the project objectives, and how the contributions of the team members (including, if applicable, company personnel) will be integrated. Describe how the team will be organized and the project managed.

Note: In these guidelines, the term "technology" includes all advances, inventions, or applications that are expected to result in a new or improved commercial product, process, or service.

2. Description of the technology transfer plan

This heading is used to establish the strength of the institution’s plan (as presented through their ILO or equivalent), the commitment of the ILO to the project, and its capacity to transfer the technology to the marketplace.

Please identify, under this heading, the ILO/TTO representative (name and coordinates) involved in the proposal.

The fundamental purpose of the I2I program is to advance commercially important intellectual property from lab results to a stage in which some firm(s) might profitably make, sell, distribute, license, or in other ways benefit from it.

Using the headings below and address the following points in a maximum of five single-sided pages:

Embodiment of the Technology: Illustrate what the technology developed from this project would look like in final form, and explain how potential customers would actually use this invention.

Market Overview: Describe the market opportunity, the advantage of the proposed product, competing or alternative technologies, and the proposed path to bring the technology to market. Describe how and why the technology will introduce or fill an existing need within the target market. Describe the market scope for the technology and also the key attributes of the target market.

Intellectual Property Strategy: If applicable, describe the strategy to protect the technology. Outline any patentable subject matter and provide patent status. Describe how this project will improve the value of the intellectual property rights and enhance current/future patent or copyright protection.

Commercialization Strategy: Describe the proposed commercialization pathway and the technology transfer activities that have already occurred. Also discuss how the commitment of the institution to transfer this technology to market translates itself into specific activities to be undertaken during the term of the project.

• Describe how this project will increase the likelihood of attracting seed funding.
• If licensing to an existing company is the preferred technology transfer option, identify Canadian companies with acknowledged or potential interest in commercializing the technology. If possible or appropriate with the proposed business approach, provide a letter of support from companies with recognized interest or that are perceived as potential partners. A letter of support from potential users or clients may also be useful.

Benefit to Canada: Outline anticipated economic benefits to Canada from the eventual successful transfer of the proposed technology to the marketplace.

Phase II applications

Phase II projects require an early stage investment entity or a company to share the costs of the project. The aim of Phase II projects is to provide scientific or engineering evidence that establishes the technical feasibility and market definition of the technology, process or product. The proposals fall into either Phase IIa or Phase IIb projects according to the partners involved which are either an early stage investment entity (Phase IIa) or a Canadian company (Phase IIb).

1. Description of the proposed development

This first heading will use the same headings and address the same points as for Phase I applications, however a maximum of ten pages is available to describe the proposed development. If the project is a sequel to an earlier project (a Phase I, Phase IIa or other project), use this heading to describe the progress made in the preceding work.

For Phase IIb projects, highlight the practical experience and research backgrounds of each key member of the industrial partner’s project team under the Team Expertise heading. Describe each member’s role in the proposed development, how the team will be organized, how the interaction with the institution research group will take place, and how the project will be managed.

2. Description of the technology transfer plan

You must complete thie section with the assistance of the ILO (or its equivalent), and with the investment or industrial partner.

Please identify, under this heading, ILO/TTOs representative (name and coordinates) involved in the proposal.

For Phase IIa projects:

In a maximum of ten pages and, using the following headings, please provide the following information:

Market Overview: Provide information about the market potential: the targeted market’s ability and willingness to pay for the end product; anticipated market penetration; the present competition and the perceived advantages of the proposed technology, process or service.

Intellectual Property Strategy: Describe how the proposed development will improve the value of the intellectual property rights, enhance the current/future patent or copyright protection and increase the overall appeal of the technology for a company.

Commercialization Strategy: Describe the proposed commercialization pathway and the technology transfer activities that have already occurred. Also discuss how the commitment of the partner to transfer this technology to market translates itself into specific activities to be undertaken during the term of the project.

• If licensing to an existing company is the preferred technology transfer option, identify Canadian companies with acknowledged or potential interest in commercializing the technology. If possible or appropriate with the proposed business approach, provide a letter of support from companies with recognized interest or that are perceived as potential partners.
• If the creation of a new spin-off company is the preferred technology transfer option, outline current and future steps taken in achieving this objective. Describe the experience of personnel that are, or will be, involved in establishing the company. Outline any staged financing plans that are projected for the period before the company can achieve revenues.

Early Stage Investor Information: Indicate how the early stage investor will help the team members and institution develop a commercialization plan and attain the proposed business objectives. Include a support letter or document from the early stage investor stating their interest in the technology and project, the reasons motivating this investment, and relevant experience in funding early stage technologies.

Benefit to Canada: Outline anticipated economic benefits to Canada from the eventual successful transfer of the proposed technology to the marketplace.

For Phase IIb projects:

Since Phase IIb projects involve an established or start-up company, the information requested in this section is analogous to a business plan. Depending on the nature of the technology and the stage of development, it may not be possible to include all of the following points; however, as many as possible should be covered.

In a maximum of ten pages and, using the following headings, please provide the following information:

Company Information

Please describe in lay terms:

• the company's background: when it was started, who owns it, the number of employees, location of present or planned facilities;
• the company's line of business and its business objectives;
• the core competencies of the company including the human resources available or anticipated (list the key management and technical personnel and members of the Board of Directors or Advisory Board, with their backgrounds, expertise, business experience and their roles in the company's operations);
• why the company is the appropriate vehicle to take this particular technology to market; and
• provide all information pertaining to the degree of ownership in the company of researchers involved in the project and describe their role in the company, if any.

Include the latest financial statements from the company: the balance sheet and the profit and loss statement (not incleded in the page limit).

Product and Marketing Information

Under this heading you should demonstrate that the product is commercially viable, that the applicants have a thorough and detailed understanding of the identified market, and that they have a sound plan to reach it. Discuss in lay terms:

• the key features or unique elements of the technology that will make the product commercially attractive to customers;
• how these key elements will provide a significant commercial advantage over existing technologies and how this competitive advantage will be sustained;
• the segment, sector and size of existing or potential markets (report on any market survey performed to date);
• how the technology will be exploited and marketed, pricing and marketing strategy, the actual and potential competition from existing products or alternative technologies;
• market projections for the proposed new product, process or service for the first three to five years;
• how the company will create a sustainable competitive advantage during that time;
• financial projections, including the resources to withstand price competition from established firms or competing technologies; and
• the estimated impact of a successfully completed project on the company’s operations in terms of business opportunities, new or improved product lines, increased competitiveness, and on the creation or maintenance of jobs. Describe any indirect benefits that could accrue to the company, or to the economy in general, as a result of the project.

Examples of significant advantage, such as a strong patent position, a dominant market position, a competitive cost advantage, or a key alliance with a strategic partner, should be cited.

Financial Projections

Under this heading, demonstrate that the company's prospects for financial viability are high and that there is a good likelihood that the technology will be profitable for the company and/or make it more competitive. To do this effectively, present:

• the best estimates (three to five year projections) for financing company operations over the course of the project and the subsequent commercialization stage;
• the timing of equity investment and debt participation;
• the amount and timing of cash in-flow and out-flow; and
• profit and loss forecasts based on sales forecasts, projections of production and operations costs, sales expenses and anticipated earnings.

Pro forma balance sheets at the start and the end of each year of the projected operation would be useful. Explain the assumptions on which the projections are based.

Risk Assessment

Provide the company's views of the risks associated with the project, identify other stakeholders who will share them, and indicate what measures will be taken to reduce or control the uncertainties. State the risks associated with:

• advancing the technology to a product;
• developing the market for the product; and
• manufacturing, marketing and distributing the product.

A risk assessment will also include the major decision points and the specifications or other criteria that have to be met, as well as how and by whom the decisions will be made. Under this heading, also provide contingency plans in the event of problems.

Economic Impact

Provide a realistic assessment of the potential benefits with respect to:

• the company's operations or competitiveness;
• the company's financial situation, physical expansion, and number of employees;
• other commercialization partners, companies, or industrial sectors;
• students and employees involved; and
• the institution and the economy as a whole.

RELATIONSHIP TO OTHER RESEARCH SUPPORT

See Selecting the Appropriate Federal Granting Agency and Addressing Other Sources of Funding for additional information.

Any relationship and/or overlap, conceptual or financial, with work supported by NSERC or other funding sources must be explained.

Use additional pages to provide the following information:

• Clear and concise information on the conceptual and budgetary relationship or difference between this application and all other support currently held or applied for by the applicant and co-applicants. Also explain perceived duplication in funding or, if applicable, indicate how the NSERC application complements research funded by other sources.
  
  
• For each grant currently held or applied for, clearly describe the main objective, and provide a brief outline of the methodology, budget details and details on the support of highly qualified personnel. In addition, the relationships to the NSERC application must be explained. Such information may be provided, for example, in the form of a brief summary of the necessary details for each grant.

• If you need to provide a summary and budget page from other proposals or projects, use the Additional Information page.

• Other sources of support include grants and contributions from funding agencies, organizations, the private sector, institution start-up funds, research Chairs, the primary place of employment (for adjunct professors), and other institutional research support.

The onus is on the applicant to provide sufficient information to enable the reviewers to evaluate the relationship between this application and other sources of support, the incremental value of additional support from the program, and to recommend the appropriate NSERC funding level.

The consequence of not providing adequate information to assess the relationship to other research support is that the reviewers may recommend reduced or no funding.

INTELLECTUAL PROPERTY

For all proposed applications

Discuss the plans for protecting, and disposing of intellectual property arising from the project and outline any patents awarded or patent applications. For Phase II applications, outline the broad terms of the agreement between the partner and the institution on the rights to exploit the technology. (see "Policy on Intellectual Property" in the Program Guide for Professors).

INTELLECTUAL PROPERTY - ATTACHMENT

If available, include a copy of the research or intellectual property agreement that exists between the academic institution and any supporting organizations (see Policy on Intellectual Property in the Program Guide for Professors).

An application will be accepted even if a signed copy of the intellectual property agreement between the supporting organizations and the academic institution is not available at the time of submission (the agreement can be sent as a follow-up). However, if the project is approved, funds will not be released until a copy of the signed agreement is reviewed by NSERC to ensure that it conforms to the NSERC Policy on Intellectual Property. Such agreements are considered confidential and are not made available to peer reviewers.

OTHER DOCUMENTS

If you need to provide other documents, such as a collaborator's curriculum vitae (C.V.), give a brief description of the document and indicate whether you will be submitting it as an attached file or as a paper copy.

ADDITIONAL INFORMATION

If you need to provide a summary and budget page from other proposals or projects, describe the document and indicate that a paper copy will be sent by mail.

ENVIRONMENTAL ASSESSMENT

APPENDIX A - ENVIRONMENTAL IMPACT

Note: If you have checked "Yes" under Certification Requirements on Form 101, both Appendix A and Appendix B must be completed.

Please complete all the fields in Appendix A.

Name of other participating organizations (if applicable): Please list the names of any federal or provincial government departments or agencies, industrial partners, or universities/colleges that will be participating in or contributing to the proposed research.

Name of location: Give the name of the location where the proposed work will take place. An Appendix A must be completed for each location at which research is to be conducted. If your research involves more than three locations, please contact NSERC's Environmental Assessment (EA) Unit by e-mail at enviro.assess@nserc-crsng.gc.ca or by phone at 613-992-3612 or 613-995-8079.

Main characteristics of the location: Provide a brief, non-technical description of the location(s) at which the work described in the proposal will be conducted.

In the headings that follow, describe (in non-technical language) the activities that will be undertaken in the course of the research. This includes both the research activities themselves and the activities required for the research to take place (e.g., ground clearing or preparation, construction of access trails or roads).

Principal activity(ies) and Activity components:

Principal activity(ies): For each location, list the principal activity(ies) (e.g., fossil collection).

Activity components: Each principal activity includes one or more activity components. Provide a short description of individual activities grouped within the principal activity. Examples of activity components are construction and clearing of access trails; construction of a boardwalk, clearing of brush from the study site, fossil excavation, cleaning of fossil; and removal of fossils. Please provide quantitative estimates if possible (e.g., in the preceding example, the construction and clearing of an access trail could involve an area 500 m long by 2.5 m wide).

For each principal activity and activity component, list the environmental elements affected and a description of those effects in the space provided.

Environmental elements affected: For each activity component, certain environmental elements will be affected. For the purposes of environmental assessment, environmental elements include biological and physical elements. For example, the construction and clearing of an access trail might involve the removal of all vegetation (including trees over 50 cm in diameter), or the clearing of brush up to 2 m high only. Please provide quantitative estimates, if possible.

Description of effects: Environmental effects of the project are changes in the biophysical environment caused by the project, as well as certain effects that flow directly from those changes. These include effects on human health, socioeconomic conditions, physical and cultural heritage (including effects on things of archaeological, paleontological, or architectural significance), and the current use of lands and resources for traditional purposes by First Nation persons. Do not describe the effects in detail; a simple statement will suffice.

For instance, returning to the previous example, removal of the vegetation might entail erosion, the loss or elimination of particular avian or mammalian species, the loss of livelihood for residents, or a loss of spiritual or aesthetic value. Such loss depends on the context in which it takes place.

Mitigation measures: Under this heading, you should describe the mitigation measures, if any are required, that will be undertaken to alleviate potential environmental effects. To continue with the previous example, a mitigation measure to minimize vegetation loss might be to plant tree or brush seedlings, or to avoid clearing vegetation in a known avian or mammalian habitat, or in an area that is of cultural or aesthetic value to the residents.

APPENDIX B - CEAA PRE-SCREENING CHECKLIST

Research proposals that are subject to the Canadian Environmental Assessment Act (CEAA) are determined in two ways. Either they involve undertakings in relation to physical works (Part 1), or they relate to a proposed activity not related to a physical work that is subject to the Act (Part 2).

Part 1

Determination of a Physical Work under the CEAA

Determining whether or not something constitutes a physical work under the CEAA requires a consideration of what is defined as a physical work, and what is defined as an "undertaking in relation to a physical work."

A physical work has the following characteristics:

• it is constructed or assembled;
• it is fixed in place (that is, it is not intended to be moved frequently);
• it is permanent (e.g., a building made of ice blocks is not permanent); and
• it is to be maintained on an ongoing basis.

Obvious examples of physical works are buildings, towers, and greenhouses. However, the following are also considered to be physical works under the CEAA:

• boreholes that are drilled and lined with concrete or plastic sleeves;
• poles or transmission towers that are erected;
• ditches that are dug and maintained - for example, with reinforced sides; and
• culverts that are installed.

Undertakings in relation to a physical work must be examined. The applicant must determine whether any phase of the proposal involves the "construction, operation, modification, decommissioning, abandonment or other activity" in relation to a physical work.

• Applicants should carefully consider whether any phase of their research contributes to funding the operation of a physical work. The operation of a physical work, for example a synchrotron or radar, is considered to be an undertaking, and provision of funds or in-kind contributions towards the operation of a physical work may trigger an assessment. Note: User fees are not recognized as contributions.
• Modification of a physical work involves the alteration of the work to suit a new purpose.
• Maintenance and repair of a physical work are considered as undertakings.

If in doubt as to the nature of the physical work, please contact NSERC's EA unit.

Part 2

Determination of Assessable Activities under the CEAA

The CEAA requires the assessment of activities not related to physical works. In many cases, these activities require a permit or authorization from a federal department or agency pursuant to other legislation.

Note: Applicants are responsible for verifying whether permits are required for any of the activities. Please check with the appropriate federal authority; if you are unsure, check "Unknown."

• Activity takes place in a National Park or National Nature Reserve in Canada. Note that this does not apply to provincial parks or conservation areas.
• Activity takes place on First Nation lands. Some activities on First Nation lands may require a permit or other authorization, which would trigger an environmental assessment under the CEAA.
• Activity takes place in the North. Some activities taking place in the Yukon, Nunavut, or the Northwest Territories may require a permit or other authorization, which would trigger an environmental assessment under the CEAA.
• Activity takes place in or within 30 metres of the right-of-way of a power line, a natural gas line, or a railway line. These activities may require a permit or other authorization, which may trigger an environmental assessment under the CEAA.
• Activity takes place in or adjacent to a water body, resulting in harmful alteration, disruption or destruction of a fish habitat (including the removal or damaging of aquatic vegetation). These activities may require a permit or other authorization, which may trigger an environmental assessment under the CEAA. Note that "water body" means any water body, including a canal, a reservoir, an ocean, and a wetland, up to the high-water mark, but does not include a sewage or waste treatment lagoon or a mine tailings pond. "Wetland" means a swamp, marsh, bog, fen or other land that is covered by water during at least three consecutive months of the year.
• Destruction of fish other than by fishing. This activity may require a permit or other authorization, which may trigger an environmental assessment under the CEAA.
• Sampling or prospecting for ores or minerals. These activities may require a permit or other authorization, which may trigger an environmental assessment under CEAA. If you are hand-collecting rock samples, check "No."
• Disposal of a prescribed nuclear substance other than in a laboratory equipped for such disposal. If you are undertaking an outdoor activity and your research involves the use of isotopes that are not released into the environment and that will be disposed of at a university or institution that manages the disposal, check "No."
• Deposit of a deleterious or other substance into the environment (in the earth, air, or water).
• Any kind of remediation of contaminated land. The installation of passive measuring equipment does not constitute remediation; however, the installation and testing and/or use of active remediation technologies is considered "remediation." This applies whether the remediation involves an entire contaminated site or a portion thereof.
• Deposit of oil, oil wastes or any other substance harmful to migratory birds in waters or in any area frequented by migratory birds.
• Killing or removal of migratory birds, their nests, eggs, or carcasses or other physical activities that may require a permit or other authorization under the Migratory Birds Regulations or Migratory Bird Sanctuary Regulations. These activities may trigger an environmental assessment under the CEAA.
• Removal or damaging of vegetation, the carrying on of agricultural activities or the disturbance or removal of soil in a wildlife area, which requires a permit or other authorization under Section 4 of the Wildlife Area Regulations. These areas are described under the Canada Wildlife Act.
• Physical activities that are carried on in Canada and that are intended to threaten the continued existence of a biological population in an ecodistrict, either directly or through the alteration of its habitat. Biological populations include insects and other invertebrates as well as plants, mammals, reptiles, and amphibians. "Ecodistrict" means an ecodistrict as described in the publication entitled A National Ecological Framework for Canada, published by Environment Canada and Agriculture and Agri-Food Canada, and as depicted on those maps that contain ecodistricts and that are included in the series of maps entitled Terrestrial Ecozones and Ecoregions of Canada, published by Agriculture and Agri-Food Canada, as amended from time to time.
• Establishment or operation of a field camp in a single location that will be used for 200 person-days or more within a calendar year.
• Seismic surveying involving more than 50 kg of chemical explosive in a single blast; or marine or freshwater seismic surveying, if during the survey the air pressure measured at a distance of one metre from the source would be greater than 275.79 kPa (40 lbs/sq in).

Important

If you have checked "Yes" to any item under Parts 1 or 2, a Screening is likely to be required under the Canadian Environmental Assessment Act. Please contact NSERC's EA unit for additional information.

If you have checked "No" to all items under Parts 1 and 2, your proposal is not likely to be subject to assessment under the CEAA.

If you have checked "Unknown" to any item under Part 2, please contact NSERC's EA unit (below) for additional information.

If you have any questions or require more information, contact:

Environmental Assessment Unit
NSERC
350 Albert Street
Ottawa, ON K1A 1H5
613-992-3612 or 613-995-8079
enviro.assess@nserc-crsng.gc.ca

APPENDIX C - REFEREE SUGGESTIONS

Suggest the names of several people competent to assess the technical aspects of the proposal. This list should include experts from the research community and the industrial sector.

Give the name, complete mailing address, telephone and facsimile numbers, e-mail address and the area(s) of expertise of potential referees.

Referees should be able to review the proposal in the language in which it is written.

You may also request, in a cover letter, that some individuals or companies not be involved in the review of your application. Your request will be taken into account by NSERC.

Conflict of Interest

To avoid any conflict of interest, a referee should not:

• be from the same institution as the applicant or any of the co-applicants;
• have been a research supervisor or graduate student of the applicant or any of the co-applicants, within the past six years;
• be providing letters of support for the application ;
• have collaborated with the applicant or any of the co-applicants, within the past six years, or have plans to collaborate with them in the immediate future;
• be an employee of a non-academic organization with which the applicant or any of the co-applicants, has had collaboration within the past six years; and
• be in any other potential conflict of interest (e.g., personal, financial).