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Form 101 - Instructions

Grants Programs

Strategic Network Grants (SNG)

The Strategic Network Grants program is a targeted program. Check the target area descriptions in the program guide prior to preparing your application.

GENERAL INFORMATION

You are encouraged to consult with NSERC staff in preparing your application. For deadlines and other information, consult the Strategic Network Grants (SNG) 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 strategic target area, certification requirements, amounts requested)
• Co-applicants, Collaborators
• Summary of Proposal
• Activity Schedule, Proposed Expenditures, Contributions from Supporting Organizations
• Budget Justification (attachment), Contributions from Supporting Organizations (attachment)
• Quotations (minimum of two) for equipment requests over $25,000
• Expected Revenues
• Proposal (maximum 60 pages)
• Literature References (attachment)
• Status Report (attachment) - if required
• Intellectual Property (attachment) - if required
• Relationship to Other Research Support (attachment)
• Other Documents (attachment) - if required
• Appendix A (Environmental Impact) - if required
• Appendix B (CEAA Pre-Screening Checklist) - if required
• Appendix C (Referee Suggestions - one copy only, do not photocopy)
• 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 - do not photocopy)
• Appendix B (Eligibility Questionnaire - one original only - do not photocopy) - if required
• Appendix C (Description of Applicant's Activities) - if required
• Information Required from Organizations Participating in Research Partnerships Programs (Form 183A – for each supporting organization)
• Letter of support from all supporting organizations
• Statement on ownership of supporting organization (if applicable)
• Letter of Support from University President

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, etc.), contact the staff responsible for the program;
• the On-line System, send an e-mail to: webapp@nserc-crsng.gc.ca or call 613-995-4273.

Include in your message 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

If you prefer not to submit electronically, you may submit seven paper copies (including the original) of the application. The original and one other copy should be unbound. 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. The word ''NSERC'' should be included in the official name of the network, and the name should be meaningful and descriptive of the research that is proposed. It should not contain a company or trade name. Spell out scientific symbols and acronyms.

Time devoted to proposed research/activity

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

Target Area

Select a target area from the list provided. Use the PROPOSAL module to explain why the research you propose is strategic.

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 university, must obtain the signature of an authorized officer of their organization 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.

PROPOSAL

Use the guidelines in the General Presentation section to provide the requested information in a document to be attached to the application.

Using the headings below and in a maximum of 60 single-sided pages, describe your proposal. Category 2 and 3 applications may have an additional five pages to briefly describe previous network activities. Refer to the Selection Criteria section of the program guide for the Strategic Network Grants program for a list of criteria that will be considered by reviewers when evaluating your application.

Planning:

• Discuss the strategic planning process and the consultations that resulted in the proposal, including the involvement of industrial and/or government partners.
• Explain why the proposed research is strategic.

Overview of the Network:

• Provide an overview of the network’s research program including the scope, the focus, the scientific or technical objectives and the proposed approach.
• Describe the nature of the network linkages and how the results from the various theme areas will be integrated to achieve the objectives during, and at the conclusion of, the five-year term of the grant.
• Describe the anticipated value of the research results highlighting the scientific or technical advances, and the innovative techniques, expertise, processes or products that will be developed.
• Indicate the benefits expected to accrue to the academic, public and/or private-sector participants.

Background:

• Relate the proposal to current scientific and/or technical developments in the field referring to the current literature.
• Describe the background research on which the network is built and explain the relationship of the research program to other initiatives in this area in Canada and abroad.
• Category 2 and 3 applications must describe the previous network activities, clearly stating the success of the previous network in achieving its milestones, how the network results were integrated to address the network objectives and how the integrated results were used by the partnering organizations or the public, if appropriate.

Proposed Research Program:

For each major theme area:

• Identify the theme leader and participants.
• Summarize the specific objectives, approaches, research plan, methods, schedule and milestones to be completed during the five-year term of the grant.
• Describe the relevant expertise, role and expected contributions of the participants and how they will be integrated.
• Describe how the theme area fits into the overall network and contributes to achieving the objectives of the network.

Advantages of a Network Approach:

• Explain the advantages of conducting the research through a network team approach.
• Discuss the incremental benefits of a network approach to the research, HQP and the partners.
• Show how increased linkages and networking will result in sharing equipment and facilities and reduce redundancies in research efforts.
• Explain why networking and a multidisciplinary, multi-sectoral approach to the research are required to achieve the network’s objectives.

Training:

• Discuss the network’s strategy to train highly qualified personnel and increase their marketability.
• Provide a training plan describing the role of students, postdoctoral fellows, research associates, technicians (referring to the information provided in the budget justification section), and the research staff of the partner organizations, including the extent to which all participants are involved in the training.
• Describe opportunities for enhanced training that will take advantage of the multi-disciplinary and multi-sectorial environment of a network.
• Discuss the capacity of the user sector to absorb the graduates and retain them within Canada.

Interactions and Partnerships:

• Indicate how the research priorities of the participating partners have been integrated and incorporated into the network’s research plan.
• Describe the nature and the extent of involvement of the partner organizations in the planning, research, direction and management of the network.
• Discuss the linkages in existence and to be created in the network among universities, industry and governments.
• Describe the mechanisms proposed for internal communications between the participants and how they will accelerate the exchange of research results within the network.
• Describe the mechanisms for knowledge and/or technology transfer.
• Describe plans for the maintenance and preservation of large data sets to ensure sharing and dissemination of research data.
• Describe the communications strategy to publicize the successes and activities of the network to the scientific community, the partners and the general public.

Management and Budget:

• Describe the network management structure including:
• the leadership and other skills required of the applicant to manage a complex, interdisciplinary, multi-institutional project;
• the roles and responsibilities of the applicant, Network Manager, theme leaders and other key personnel; and
• the roles and responsibilities of the Management Board and network committees in coordinating network activities, monitoring progress and performance, setting schedules, allocating resources and monitoring expenditures.
• Provide an organizational chart.
• Justify the proposed budget and duration of the project including the contributions from partner organizations. The partnering organizations of full applications that have been identified as being Category 3 network applications must contribute significantly more money to the network to support its research and administration activities, resulting in a cash leverage of at least $1 from the partners for every $3 from NSERC.

Benefit to Canada:

• Discuss the benefits of the proposed research and its potential impact within a 10-year time frame on Canada ’s economy, society and/or environment.

REFERENCES

• Use this section if you need to provide a list of literature references.
• Do not refer readers to Web sites for additional information on your proposal.
• Do not introduce hyperlinks in your list of references.

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.

Provide a Proposed Expenditures page for each major theme area or project, as appropriate, and for the administrative costs of managing the network.

If you are completing your application using the form-fillable PDF, a separate Proposed Expenditures "Sum Total" page must be compiled by adding up all Proposed Expenditures pages for the entire network.

Use the Budget Justification section to explain and justify each budget item.

BUDGET JUSTIFICATION

Provide a detailed explanation and justification for each budget item identified in the Proposed Expenditures section. Provide sufficient information to allow reviewers to assess whether the resources requested are appropriate. Use additional page(s) to explain and justify each budget item.

Salaries and benefits

Give the names (if known), categories of employment and proposed salaries including non-discretionary benefits of students, postdoctoral fellows, assistants, network manager, etc. Briefly describe the responsibilities for each position for which support is requested.

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.

List purchase or rental fees, operation and maintenance costs, and user fees.

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 relates to the proposed research.

Dissemination

Justify funds for user workshops and the expected participation of industry and/or government.

Other expenses

List all items not relevant to previous categories, and provide a brief explanation for major items.

Include expenses associated with operating the administrative centre for the network, including costs for network meetings, annual meetings, communications, and knowledge/technology transfer.

CONTRIBUTIONS FROM SUPPORTING ORGANIZATIONS

NSERC has three application categories.

1. The proposed network will engage in research activities that have never been funded through the NSERC Strategic Network Grants Program, a Networks of Centres of Excellence (NCE) grant, or other federal or provincial network-scale granting programs.
2. The proposed network will engage in research activities on aspects of a research area that have been previously funded through the NSERC Strategic Network Grants Program, an NCE grant, or other federal or provincial network-scale granting programs. In the case of both category 1 and 2 applications, it is anticipated that the network partners will provide, at a minimum, cash and/or in-kind support for network activities at a level that is commensurate with the anticipated benefits resulting from the research.
3. The proposed network will engage in research activities similar to those that have been previously funded through the NSERC Strategic Network Grants Program, an NCE grant, or other federal or provincial network-scale granting programs. Where the change in the network is incremental in terms of the research direction and objectives, and does not involve both a substantive change in the co-applicants and industry partners, the network partners must assume more responsibility for the funding of the network compared to the previously funded network. To be eligible to compete in this category, the network partners, collectively, must contribute significantly more money to the network to support its research and administration activities, resulting in a cash leverage of at least $1 from the partners for every $3 from NSERC.

Other contributions to the network are encouraged (e.g., other funding agencies, university support), but are not included in the leveraging of NSERC funds.

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.

CONTRIBUTIONS FROM SUPPORTING ORGANIZATIONS - ATTACHMENT

Provide an explanation of the cash and eligible in-kind contributions committed by the supporting organization(s).

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

A completed Form 183A, a letter of support detailing how the proposed network results will benefit their organization and the amount of cash or in-kind they will contribute to aid network activities 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.

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.

EXPECTED REVENUES

Use this section if the project grant application includes the purchase of an equipment item or the installation of a facility costing $150,001 or more.

Give a detailed explanation of the user fee structure and other expected revenues. For the "Cash contribution from university" and the "in-kind contributions" categories, identify each organization that is contributing to the facility and indicate the amount being contributed.

If you are completing your application on paper, you must transfer this information to the Proposed Expenditures section.

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.

RELATIONSHIP TO OTHER RESEARCH SUPPORT

Use additional pages to provide the following information on all major research projects (over $100,000 annually) that are complimentary or overlap with the proposed Strategic Network.

• Clear and concise information on the research and budgetary relationship or difference between this application and other support (currently held or applied for). Also explain perceived duplication in funding or, if applicable, indicate how the NSERC application complements research funded by other sources.
  

UNIVERSITY PRESIDENT LETTER

You must provide a letter from the university President supporting your Strategic Network. The letter should outline the support from the university for the proposed Network, in terms of resources to be contributed to the Network, and state the importance of the Network to the host university.

INTELLECTUAL PROPERTY

In accordance with the Strategic Network Program philosophy, it is proposed that all network partners have unrestricted, non-exclusive access to all intellectual property generated by the network. It is recognized that intellectual property management may differ between sectors and require a different approach to that proposed. Please be aware that all IP agreements must adhere to NSERC’s IP Policy

Discuss plans for the protection and disposition of intellectual property arising from the grant. Outline the broad terms of the agreement between supporting organizations and academic institutions on the rights to exploit the technology being transferred (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).

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.

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.

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

Applicants and their partner(s) are invited to suggest the names of at least 20 people competent to assess the technical aspects of their proposal.

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).