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Form 101 - Instructions

Grants Programs

Strategic Project Grants (SPG)

GENERAL INFORMATION

For deadlines and other information, consult the Strategic Project Grants 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 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
• Proposal (maximum 11 pages)
• Literature References (attachment)
• Intellectual Property – Attachment - if required
• Relationship to Other Research Support (attachment)
• Status Report (attachment) - if required
• 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
• Letters of support from all supporting organizations
• Company Profile
• Statement on ownership of supporting organization, if applicable

Number of copies (including original) for applications submitted on paper: 1

Incomplete applications may be rejected or may be at a disadvantage in comparison with those that are complete.

Late applications will not be accepted.

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, the application bearing the original signatures must be sent to NSERC.

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

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

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

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

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

The signature of the applicant also confirms that the applicant:

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

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

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

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

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

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

The signatures of the institutional authorities also certify that:

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

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

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

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

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

Collection and Use of Personal Information

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

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

Mailing Address

Send your correspondence to:

NSERC
350 Albert Street
Ottawa, ON K1A 1H5
Canada

APPLICATION PROFILE

Title of Proposal

The title will be used for publication purposes. It should describe the subject of the research to be supported. It should not contain a company or trade name. Spell out scientific symbols and acronyms.

Time devoted to proposed research/activity

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

Target Area and Research Topic

Select a target area and research topic from the list provided. Use the PROPOSAL section to explain why the research you propose is strategic and how it addresses the research topic. If the research you propose falls outside the priority research topics listed, select “Exceptional Opportunity Outside the Research Topics” and provide an explanation in the PROPOSAL section.

COVER LETTER

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

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

AREA(S) OF RESEARCH

Research Subject Codes

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

Area of Application Codes

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

Key Words

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

CERTIFICATION/REQUIREMENTS

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

Research Involving Humans:

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

Research Involving Human Pluripotent Stem Cells:

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

Research Involving the Use of Animals:

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

Research Involving Hazardous Substances:

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

Environmental Impact:

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

CO-APPLICANTS

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

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

COLLABORATORS

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

SUPPORTING ORGANIZATIONS

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

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

SUMMARY OF PROPOSAL FOR PUBLIC RELEASE

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

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

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

ACTIVITY SCHEDULE

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

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

Note: This section is assessed under Criterion 3 - Project Work Plan in conjunction with the PROPOSAL page of the application.

PROPOSAL

Use the guidelines outlined in the NSERC On-line Presentation and Attachment Standards to provide the requested information in a document to be attached to the application.

Structure this part of the application as described below using a maximum of 11 pages. Any additional pages will be removed. It should be printed single-sided on regular white paper with the applicant's Personal Identification Number and Family Name on the top of each page, as described in the General Presentation standards. Do not include any colour figures or tables.

Provide sufficient information and justification to address each criterion.

INTRODUCTION (approx. one page, addressing the research topic)

Using the target area descriptions, identify the target area and research topic that your proposal addresses. Explain why the research you propose is strategic and how it addresses a specific element described within the research topic. If the research you propose falls within the target area but outside the priority research topic descriptions, you must provide justification for it to be considered. Insufficient information on this aspect may result in the rejection of a proposal.

NSERC will give priority to those applications which clearly fall within the priority research topics. However, the selection panel may allocate up to 20% of the target area’s budget to fund proposals that they deem to be “exceptional opportunities outside the research topics."

Indicate if this application is a re-submission and, if so, explain how the concerns of the selection panel have been addressed.

SECTION 1 (approx. seven pages, addressing Selection Criteria 1 to 4)

Describe the objectives of the project, both short and long term. Explain how the research relates to the current scientific, technical and commercial developments in the field with references to literature pertinent to the proposal, and describe the background research on which the project is built. Use the REFERENCE module for the literature review.

Describe the approach, the research methodology, the experimental design and techniques, and how the new knowledge and technology is expected to impact on the field of the proposed research. Specify the pertinent expertise, the individual roles and the expected contributions of the members of the research team to the project. Provide evidence that the necessary expertise to conduct the project is available. Refer to the Personal Data Forms as needed.

Provide a project work plan that includes details of collaboration and communication among the researchers, how the research team and the project will be managed and the availability of the equipment and infrastructure. Justify the need for funds referring to the Budget page of the application.

SECTION 2 (approx. one page, addressing Selection Criterion 5)

Describe the training plan for the project, including information on how the supporting organizations are involved in the training and the potential to provide highly qualified personnel with skills relevant to the needs of Canadian organizations.

SECTION 3 (approx. one page, addressing Selection Criterion 6)

Describe the interactions with the supporting organizations and ensure that the material required from them is attached to the application. Describe the plan for knowledge and technology transfer, including the strategy for communicating the research results. Use the Intellectual Property - Attachment section to attach a copy of any research or intellectual property agreement related to this project that exists between the academic institution and the supporting organizations. Please note that NSERC has a new policy.

SECTION 4 (approx. one page, addressing Selection Criterion 7)

Describe the potential benefits to Canada and the supporting organizations that will arise from the project. Explain how they might be realized and the time frame over which they can be expected.

REFERENCES

• Use this section to provide a list of literature references. Your list of references must not exceed one page on the printed copy.
• Do not refer readers to Web sites for additional information on your proposal.
• Do not introduce hyperlinks in your list of references.

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).

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 sub-project (if applicable). If you are filling out your application on-line, the Proposed Expenditures page "Sum Total" for the entire project will be calculated and printed automatically. If you are completing your application using the Acrobat Reader PDF forms, a separate Proposed Expenditures "Sum Total" page must be compiled by adding up all Proposed Expenditures pages for the entire project.

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

Note: This section is assessed under Criterion 3 – Project Work Plan of the application.

BUDGET JUSTIFICATION

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.

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, and research staff. 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 relates to the proposed research.

Dissemination

Provide details of publication costs, user workshops or other activities.

Other expenses

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

Report the need for ship time, and show the amount requested in the budget.

Summary of expenditures related to aspects outside the natural sciences and engineering

Provide a summary of all expenditures related to aspects incorporated into the proposal that are outside the natural sciences and engineering. These expenditures must not exceed 30 percent of the total project costs.

RELATIONSHIP TO OTHER RESEARCH SUPPORT

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

Use additional pages to provide the following information:

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

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

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

CONTRIBUTIONS FROM SUPPORTING ORGANIZATIONS

You are not required to submit the Contributions from Supporting Organizations section unless direct contributions to the project are being made by industry, universities or other sources.

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.

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.

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.

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.

STATUS REPORT

If you or one of your co-applicants currently hold an NSERC project grant (e.g., Strategic, Collaborative Research and Development, Special Research Opportunity, International Opportunity Fund, etc.), or are part of a larger project in a related area, use this section to attach a two-page status report outlining the progress against the milestones of the project as awarded. These pages are additional to the pages permitted for the proposal.

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. The amounts in the "Cash contribution from university” and “Other contributions to direct costs" categories of the Expected Revenues page will be transferred to the Proposed Expenditures page.

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.

EVALUATION

All applications will be evaluated against the selection criteria established for the program (see below). External reviewers and the Selection Panel will use the same criteria and statement sets to evaluate the proposals. Each criterion is of equal value.

Criterion 1. Originality of the Research

The originality of the research will be assessed on the following points using the scale 1 to 4 given below:

• the novelty of the overall concepts and approach;
• how the research relates to the current scientific and/or technical developments in the field with references to the current literature and patents;
• the potential for developing new knowledge or technology, including innovative techniques, processes or products;
• the extent to which new knowledge or technology is expected to impact on the field of research; and
• the significance of the scientific issues and technical challenges.

The proposed project:

1. includes few or no new concepts or directions.
2. includes some new concepts or directions with the potential to advance the field.
3. includes original concepts or directions with potential for a significant advance in the field.
4. includes highly original concepts or directions with potential for a major breakthrough.

Criterion 2. Quality of the Research

The quality of the research will be assessed on the following points using the scale 1 to 4 given below:

• the focus and clarity of the objectives of the project, both short and long term;
• the appropriateness of the research methodology;
• the justification of the approach based on the background research;
• the feasibility of the proposed research; and
• the degree to which the project fits the Strategic Projects target area and research topic.

The proposed project:

1. is inadequate in one or more of the above elements.
2. is acceptable with no major weaknesses in any of the elements listed above.
3. is strong in most of the elements listed above and acceptable in all.
4. is outstanding in all the elements listed above.

Criterion 3. Project Work Plan

The project work plan will be assessed on the following points using the scale 1 to 4 given below:

• the clarity of the project description;
• the coherence of the activities, milestones, timelines and deliverables on the Activity Schedule section;
• the probability of achieving the objectives in the proposed time frame;
• the availability of the equipment and infrastructure required;
• the appropriateness of the roles and time commitment of the applicants and the personnel from the supporting organization(s).
• the need for the funds requested and the justification of the line items in the budget sections;
• the plans for collaboration and communication among the researchers; and
• the details of how the team and project will be managed (appropriate to the complexity of the project).

The project work plan:

1. is inadequate in one or more of the elements listed above.
2. is acceptable with no major weaknesses in any of the elements listed above.
3. is strong in most of the elements listed above and acceptable in all.
4. is outstanding (complete, comprehensive and achievable) in all the elements listed above and maximizes the use of resources

Criterion 4. Quality of the Applicants as Researchers

The quality of the applicants as researchers will be assessed on the following points using the scale 1 to 4 given below:

• the research record of the applicant(s) or, in the case of new researchers, their potential to make contributions;
• the recognition of the collective research contributions of the applicants by their peers or, in the case of new researchers, the recognition of their potential by others in the field;
• the appropriateness of their expertise in the proposed research areas of the project; and
• the breadth and complementarity of expertise available for the project.

Note: Individual applicants should demonstrate that their expertise meets the needs of the project.

The applicants:

1. have made useful research contributions and/or are researchers beginning their careers who have not yet demonstrated potential as independent researchers. Some of the expertise required for the project is missing.
2. have established research records and/or are new researchers who have shown potential in their early research. The basic mix of expertise to accomplish the project is present.
3. are internationally recognized in their field with strong records for quality achievements and high productivity and/or are new researchers who have shown strong potential in their early research. They have all the expertise required to accomplish the project and have demonstrated complementarity.
4. are internationally recognized as leaders in the field of the project with exceptionally strong records for quality achievements and high productivity and/or are new researchers who have made some contributions to the field and have exceptionally strong potential. The applicants have the breadth, the expertise, and the experience required for the project and have a proven track record of collaboration.

Criterion 5. Training Potential

The training plan will be assessed on the following points using the scale 1 to 4 given below:

• the potential to provide highly qualified personnel with skills relevant to the needs of Canadian organizations;
• the quality and track record of the researchers in training highly qualified personnel;
• the training that will be achieved relative to the budget and the nature of the project;
• the roles of the students, postdoctoral fellows, research associates, technicians and, if applicable, the research staff of the supporting participants;
• the extent to which all participants, including the supporting organizations, are involved in the training; and
• the suitability of the research environment for training.

The proposed project:

1. provides little opportunity for the training of highly qualified personnel.
2. is acceptable in all aspects listed above.
3. is strong in most aspects listed above and acceptable in all.
4. is outstanding in all aspects listed above.

Criterion 6. Interactions with the Supporting Organizations

Interactions with the supporting organizations will be assessed on the following points using the scale 1 to 4 given below:

• the fit between the project objectives and the priorities of the supporting organizations;
• the capacity of the supporting organizations to exploit the research results, or the possibility of the creation of a Canadian-based organization to do so;
• the degree of involvement of the supporting organizations in: (a) developing the proposal; and (b) during the course of the project;
• the plan for knowledge and technology transfer to the supporting organizations and/or the user sector, and a description of how any intellectual property will be protected; and
• the researchers’ track record in transferring research results to a user sector.

The proposed project:

1. provides little opportunity for interaction with the supporting organizations or a user sector and/or offers low potential for transfer of knowledge.
2. is acceptable in all the aspects listed above.
3. is strong in most of the aspects listed above and acceptable in all.
4. is outstanding in all aspects of interaction and knowledge transfer listed above.

Criterion 7. Benefits to Canada and the Supporting Organizations

Using the scale 1 to 4 given below, the benefits to Canada arising from the proposed research will be assessed on their potential impact and the degree to which they will occur within a time frame that is realistic for the sector.

Potential benefits to Canada and the supporting organizations arising from the proposed research may include, but are not limited to:

• economic benefit arising from a new or improved product or process;
• social, environmental or health benefits;
• an enhanced knowledge base for public policy development; and
• increased highly qualified personnel in an area of importance for Canada.

The proposed project:

1. has potential to provide only minimal benefits to the supporting organizations and to Canada.
2. has potential to provide some benefits to the supporting organizations and to Canada.
3. has potential to provide considerable benefits to the supporting organizations and to Canada.
4. has potential to provide exceptional benefits to the supporting organizations and to Canada.

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

Suggest the names of seven people competent to assess the technical aspects of the proposal. This list should include experts from the academic community, the government sector and, for industrially-relevant research, at least one expert from the industrial sector. As appropriate, also include people competent to assess the research aspects outside the natural sciences and engineering.

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).