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Form 101 - Instructions

Grants Programs

Idea to Innovation Grants

General Information

Application Instructions

Signatures

List for a Complete Application

GENERAL INFORMATION

About the Grant

Read the grant description in the Program Guide for Professors before you complete the application.

Who Completes the Application?

The applicant must complete the application and include all required documentation using the On-line System. In addition, the Personal Data Form (Form 100) must be completed by applicants and co-applicants and linked to the application form.

Presentation Standards

You are responsible for submitting a complete application that conforms to the presentation standards established by NSERC. Incomplete applications and applications that do not meet the presentation standards may be rejected, or be at a disadvantage, in comparison with those that are complete and respect the presentation standards. Where page limits are stated, pages in excess of the number permitted will be removed.

For more information, read the NSERC On-line Presentation and Attachment Standards.

Application Deadlines

Your application must be received at your institution’s research grants office by their internal deadline date; contact your research grants office for those deadlines.

For programs with deadlines, the application must be received at NSERC by 5:00 p.m. local time (at your location) on the deadline date. If it is not received by the deadline, it will be considered late and will be rejected. Application deadlines are indicated in each of the program descriptions, as well as on the Application Deadlines and Notification of Decision page.

Material or updates received under separate cover (before or after the deadline date) will not be accepted.

Personal Information

The collection, use and disclosure of personal information provided to NSERC are outlined in the following policy statements:

• the Access to Information Act and the Privacy Act (ATIP), and the Use and Disclosure of Personal Information statement;
• Data Retention Information;
• NSERC Web Privacy Statement.

The information you provide in your application is collected under the authority of the Natural Sciences and Engineering Research Council Act. NSERC is subject to the Access to Information Act and the Privacy Act (ATIP). The information you provide is stored in a series of NSERC data banks described in Info Source.

Help with Program Information

• Contact the staff responsible for the program to which you are applying.

Help with the NSERC On-line System

• Check the Frequently Asked Questions on how to use the On-line System;
• Review the instructions available in the application;
• Contact the On-line Services Helpdesk. Send an e-mail to: webapp@nserc-crsng.gc.ca or call 613-995-4273. Include your e-mail address and telephone number.

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.

APPLICATION INSTRUCTIONS

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 Grants 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 grant 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:

Appendix A (Environmental Information) must be completed and submitted with the grant application ONLY if at least one of the following situations applies to your research activities:  (A) any phase of the proposed research will take place outdoors and on federal lands in Canada, as defined in section 2(1) of the Canadian Environmental Assessment Act, 2012 (CEAA 2012); (B) any phase of the proposed research will take place outdoors and outside of Canada; (C)(i) the grant funds will permit a designated project (listed in the CEAA 2012 Regulations Designating Physical Activities (RDPA)) to be carried out in whole or in part; or (C)(ii) any phase of the proposed research will depend on a designated project (listed in the RDPA) that is being carried out by an organization other than NSERC. If none of these situations apply to your proposed research activities, then no Appendix A is required.

Note: On July 6, 2012, CEAA 2012 came into force. As a result, the review process for applications submitted to NSERC has been revised. Grant applicants are required to provide more specific information under a completely revised Appendix A (Environmental Information), and Appendix B (CEAA Pre-Screening Checklist) no longer exists. In addition, the NSERC Policy on Environmental Assessment has been revoked and replaced by NSERC’s Guidelines on Environmental Review and Assessment.

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.

By submitting this form, the applicant certifies that the individuals listed as co-applicants have been informed of the precise uses and disclosures of their personal information by NSERC (see Use and Disclosure of Personal Information Provided to NSERC) and have authorized the release of the information by the applicant.

Co-applicants, except those from the applicant’s institution, must advise the authorized officer of their organization that the applicant, or the applicant’s institution, will be seeking their signature prior to submitting the application to NSERC, 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).

The applicant must ensure that the co-applicants from other institutions obtain the appropriate signature from the authorized officer of their organization prior to submitting the application to NSERC (see Signatures requirements within this document).

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 to hire a professional external consultant.

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 industry liaison office (ILO), or its equivalent, in support of these activities.

Eligible activities:

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

For Phase I and II applications: 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.

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 letters of support from companies. Letters from potential users can demonstrate market potential for your proposed technology. Letters from potential partners (receptors) 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 technology while the second addresses the plan for technology transfer. The latter must be completed in close cooperation with the institution’s industry liaison office (ILO) or equivalent. For Phase II applications, the early stage investor or company needs to be closely involved. 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) Grants 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 grant (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 when contracted out to a consultant. As a pilot, NSERC will allow ILO staff (from the same or a different university) to conduct market assessments. This pilot does not require contributions. 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. In a maximum of four 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 novelty in the product, process, or service that is proposed.

2. Description of the market assessment plan

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

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

Using the headings below 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. Also describe the intellectual property (IP) strategy and positioning that is planned or already in place.

Information sought: Discuss how the market assessment will address relevant aspects of the essential questions in the grant description. The market assessment may also address such aspects as the size, value and description of the market, market demand, analysis of the market environment, feasibility studies, competitive analysis, currently available solutions and substitutes, barriers to entry, product positioning, distribution channels and relevant value chain activities.

Statement of work: This section should identify the person(s) or organization that will be tasked with the work of performing the study, and describe their credentials and relevant experience. Give an overview of the tools that may be used, including (but not limited to) industrial literature reviews, web searches, surveys of potential users, and tools such as SWOT, PEST, etc. Provide, in the budget justification, an explanation of the anticipated expenses as well as the proposed statement of work listing the scope, deliverables and other relevant elements. Attach a copy of the offer of service (or equivalent if done in-house) and CV of the consultant/person mandated to conduct the study to your proposal (use the Other Documents page).

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. 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:

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 opportunity, the advantage of the proposed product, competing or alternative technologies, the market environment and the proposed path to bring the technology to market. Provide an analysis of the opportunity, market and environment using frameworks such as SWOT, PEST, etc. Describe how and why the technology will introduce or fill an existing need within the target market. Discuss existing barriers to market and how these will be overcome. Describe the market scope for the technology and also the key attributes of the target market. If a market assessment was previously funded by the I2I Grants, append a copy of the complete report to your proposal (use the “Other Documents” page). The market assessment will only be reviewed by the Selection Committee.

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 (receptors). 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 this 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. If a market assessment was previously funded by the I2I Grants, append a copy of the complete report to your proposal (use the “Other Documents” page). The market assessment will only be reviewed by the Selection Committee.

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 (receptors).
• 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 10 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 included 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); if a market assessment was previously funded by the I2I Grants, append a copy of the complete report to your proposal (use the “Other Documents” page). The market assessment will only be reviewed by the Selection Committee.);
• 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 and can be attached using the Other Documents tab. 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 current 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 grant, 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.) or a market study, 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

Appendix A (Environmental Information) must be completed and uploaded to the Environmental impact page if required.

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.

Suggested referees should not be in a conflict of interest. Refer to the  Conflict of Interest and Confidentiality Policy of the Federal Research Funding Organizations for more information. In addition, referees (external reviewers) must sign the  Conflict of Interest and Confidentiality Agreement for Review Committee Members, External Reviewers, and Observers before they access the application material.

SIGNATURES

NSERC does not require original signatures on applications or other documents submitted electronically through its On-line System. The electronic submission of applications through this system represents approval and replaces the traditional "physical" or "wet" signatures. Refer to the Frequently Asked Questions in the Program Guide for Professors for more details.

What do the electronic or original signatures on the application mean?

For applicants

Before you, as an applicant or co-applicant, submit your application to NSERC or link your Personal Data Form to an application, you must read and agree to the following terms and conditions.

By submitting your application or linking your Personal Data Form, you are certifying that:

• You have provided true, complete, accurate information in your funding application and related documents, and you have represented yourself, your research and your accomplishments in a manner consistent with the norms of the relevant field.
• If you are the applicant, you have ensured that others listed on the application have agreed to be included in the application.
• If you are a co-applicant, you agree that the applicant will administer the grant/award on behalf of the group/team.
• You are not currently ineligible to apply for and/or hold funds from NSERC, the Social Sciences and Humanities Research Council (SSHRC), or the Canadian Institutes of Health Research (CIHR), or any other research or research funding organization worldwide for reasons of breach of policies on responsible conduct of research, such as ethics, integrity or financial management policies. If at any time you become ineligible for any of these reasons, you will advise your institutional officials and NSERC immediately, in writing.
• You have read, understood and agree to comply with the  Tri-Agency Framework: Responsible Conduct of Research both in the submission of your application and in carrying out the research funded by NSERC.
• If you are or have been (at any time during the past 12 months) a federal public servant, you have complied with and will continue to respect the  Values and Ethics Code for the Public Service.
• Consent has been obtained from trainees to include limited personal information about them in the application.
• You understand the Access to Information Act and the Privacy Act and the Use and Disclosure of Personal Information Provided to NSERC as they pertain to your information.
• You consent to the sharing among the three federal granting agencies (NSERC, SSHRC and CIHR) and with any academic institution to which you are, or may become, affiliated, of any and all information, including personal information, in any way related to the application and to the grant/award.
• In the event of any change in your eligibility status, you will inform NSERC and your institutional officials immediately, in writing.

By submitting your application or linking your Personal Data Form, you are also confirming that, during tenure of the grant/award, you will comply with the terms and conditions of the grant/award.

Consent to Disclosure of Personal Information: You understand that maintaining public trust in the integrity of researchers is fundamental to building a knowledge-based society. By submitting any application, by linking your Personal Data Form (Form 100 or 103CV) as a co-applicant to an application, or by accepting funding from CIHR, NSERC and/or SSHRC, you affirm that you have read and you agree to respect all the policies of these agencies that are relevant to your research, including the  Tri-Agency Framework: Responsible Conduct of Research. In case of a serious breach of agency policy, the agency may publicly disclose your name, the nature of the breach, the institution where you were employed at the time of the breach and the institution where you are currently employed. You accept this as a condition of applying for, or receiving, agency funding, and you consent to such disclosure. If you do not agree to the disclosure of your personal information, you cannot participate in this application.

Note: If you have any concerns about your ability to comply with the terms and conditions listed above, contact your institutional official or NSERC staff responsible for the program immediately. Do not agree to the terms and conditions and do not submit your application or Personal Data Form until you are certain that you can and will comply with all of the requirements.

The signatures of the institutional authorities certify that:

• the institution will abide by the roles and responsibilities as set out in the Agreement on the Administration of Agency Grants and Awards by Research Institutions with the three federal granting agencies, including the  Tri-Agency Framework: Responsible Conduct of Research;
• the applicant and co-applicant(s) have met, or will meet, the eligibility requirements;
• prior to submission of this application, the institution has obtained written approval from any other institutions involved in the application process; and
• if the applicant discloses any potential intellectual property (IP) 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: This requirement for disclosure is not intended to supersede any IP ownership policy that the institution already has in place.

The signatures of authorized officers of other supporting organizations 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 or co-applicant and a principal of a collaborating organization, another senior official must sign on behalf of the organization.

LIST FOR A COMPLETE APPLICATION

Use the following list 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. For Market Assessment applications, only the principal applicant should submit Form 100.
  • 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 each supporting organization
  • Statement of Ownership of supporting organization (if company is 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.

Mailing Address

Send your correspondence to:

NSERC
350 Albert Street
Ottawa, ON K1A 1H5
Canada