Strategic Projects Grants Program Tom Porter Research Facilitator UNIVERSITY OF SASKATCHEWAN January 28, 2008

What We Do at NSERC We invest more than $865 million every year in people, discovery and innovation

People NSERC supports about 12,000 science and engineering students earning Master’s and Ph.D. degrees

Discovery NSERC supports the research of more than 11,000 university & college professors

Innovation 20% of NSERC’s budget goes to funding university-industry research partnerships

We invest in: USING NEW KNOWLEDGE Partnerships of universities with industry and other sectors for project research WORKING IN ALL AREAS OF SCIENCE AND TECHNOLOGY Scholarships and fellowships for undergraduate and postgraduate students, postdoctoral fellows and some university faculty Our goal is Canadian excellence in: CREATING KNOWLEDGE Research Grants for basic research in the universities We do this through peer-reviewed competitions in three programs Vision and Mission Productive use of new knowledge in all sectors of the economy and society Competitive research in science and engineering, providing access to new knowledge from around the world Highly skilled, well educated and capable of lifelong learning innovation discovery people EXCELLENCE Prosperity and high quality of life for Canadians Science and Engineering Research Canada

NSERC Budget (millions of dollars) Total: $957

Innovation Programs Budget (millions of dollars) 1. Includes College and Community Innovation Program ($0.3M). Total: $193

Research Partnerships Programs (RPP) Strategic Project Grants (SPG) Collaborative R&D Grants (CRD) Idea to Innovation (I2I) Industrial Research Chairs (IRC) Research Partnership Agreements (RPA) Strategic Networks Grants (SNG) Intellectual Property Mobilization Program (IPM) Strategic Workshops Program (SWP)

Why work with Universities? Canadian Universities Perform 1/3 of all R&D in Canada & are the source of 1/3 of all R&D jobs in Canada Provincially-funded for education, federally (28.5%) and provincially (12.8%) funded for research Recognize their important role in innovation Virtually all universities have a responsibility centre for tech transfer Universities are important partners in developing research parks and incubators

Advantages of Accessing the Canadian University System PEOPLE Access to expertise – 10,000 top researchers Potential workforce of over 50,000 students in advanced studies Upgrade your own staff through collaboration IDEAS Tap into world-class research Experts in every natural science and engineering specialty Working on leading-edge ideas Built-in quality control

Advantages of Accessing the Canadian University System INFRASTRUCTURE Specialized facilities, equipment … and know-how Located at 67 universities throughout Canada Linked to you by high-speed communications FINANCES Available financial support to lower your cost … and risk Company cash and in-kind contributions eligible Expenditures are SR&ED-eligible

Our Track Record 1,300+ partner firms since 1983 Over 60% of Canada’s Top 50 R&D firms Average of 100 new firms every year Broad range of eligible partners: Large companies with R&D departments Start-up firms with nascent in-house capacity

Why Participate in Research Partnerships Programs? See the results of your research reach an application outside of the university Gain access to industry facilities, personnel, valuable advice Create student training opportunity, access to equipment and market knowledge Beneficial collaborations that result in industrial or economic benefits to Canada

Objective Increase research and training in targeted areas that could strongly influence Canada’s economy, society and/or environment within the next 10 years. Strategic Project Grants (SPG)

New knowledge/technology with strong potential to strengthen Canada’s industrial base, generate wealth, create employment and/or influence Canadian public policy Highly qualified personnel trained in the identified target areas Increased participation of companies and/or government organizations in academic research Knowledge/technology and expertise transferred to Canadian-based organizations that are well positioned to apply the results for economic gain or to government organizations to strengthen public policy Anticipated Results

The research must fall within one of the target areas identified for support The project must be well defined in duration, objectives and scope; duration may be from one to three years One or more supporting organizations that can apply the results must collaborate in the project Supporting organization must be actively involved in all stages of the project. Therefore, in-kind contributions are required, but cash is not Requirements

Collaborations Outside NSE – applicants are encouraged to collaborate with experts outside the natural sciences and engineering, where appropriate, up to 30% of the project costs International – applicants are encouraged to incorporate international collaborations into their proposals

Canadian-based companies that can apply the research results in a way that generate wealth or employment (organizations without Canadian R&D or manufacturing operations will not be considered), or government organizations that can apply the results in a way that strengthens public policy Interact regularly with the academic researchers, students and other research personnel and provide input on the project Validate the results of the research and/or provide guidance concerning the exploitation of the results Supporting Organizations

Seven Target Areas Advanced Communications and Management of Information Biomedical Technologies Competitive Manufacturing and Value-Added Products and Processes Healthy Environment and Ecosystems Quality Foods and Novel Bioproducts Safety and Security Sustainable Energy Systems

Focused Research 3-8 priority research topics identified within each target area (80%) Exceptional opportunities outside the research topics but within the target area (up to 20%) Research outside the 7 priority target areas will not be considered for funding

Research Topics Advanced Communications and Management of Information * Network-Intensive Applications Ubiquitous Networks Management of Information in a Networked Environment Adaptive/Cognitive Networks Advanced Materials, Devices and Supporting Tools Software and Computing Systems *highlighted in national S&T Strategy

Research Topics (continued) Biomedical Technologies Detection Methods for Use in Whole Organisms Computational Tools for Real-Time Signal Processing and Analysis Biomaterials and Tissue Engineering Technologies for Independent Living and in-Home Care

Research Topics (continued) Competitive Manufacturing and Value-Added Products and Processes Value-Added Wood Products Near-Net-Shape Processes Process Models and Integrated Production Models Functional Materials Lightweight Materials for Transportation

Research Topics (continued) Healthy Environment and Ecosystems * Ecosystem Adaptation, Interventions and Modeling Water Resources Waste Management and Site Remediation *highlighted in national S&T Strategy

Research Topics (continued) Quality Foods and Novel Bioproducts Food Quality and Safety Functional Foods and Nutraceuticals Novel Bioproducts Aquaculture

Research Topics (continued) Safety and Security Risk and Vulnerability Resiliency of Systems Event Detection

Research Topics (continued) Sustainable Energy Systems * Integrated Systems Approach to Electrical Power Grids Energy Storage Fuel Cells and Clean Transportation Systems Biomass Conversion and Co-product Optimization Systems Engineering Approach to the Extraction, Conversion and Utilization of Fossil Fuels Clean Coal and Carbon Capture and Storage Low Emission Industrial Systems Other Renewable Energy Sources *highlighted in national S&T Strategy

Guidelines for Applicants Applicants must: Select a target area and a research topic from a list provided Explain in Proposal module (under ‘Introduction’ / one additional page is provided) : (1) why the proposed research is strategic; and (2) how it addresses the research topic selected Provide a compelling case for consideration if the research falls outside the research topics but within the target areas listed (“Exceptional Opportunity outside the Research Topics”)

Typical Strategic Project Grant Average grant: $130,000/year for three years Often involves several team members, from the same or different institutions  Some grants with single applicant  Collaborators (researchers from the supporting organization, government scientist, foreign research scientist) may be members of the team

Why the Strategic Projects Program? Significant financial support for up to three years for students, post-docs, consumables, … Although there must be significant involvement from the partner, a cash contribution is not required Probability of success … 25-30% in past few years Competition focused on specific areas: Advanced Communications and Management of Information*, Biomedical Technologies, Competitive Manufacturing and Value-Added Products and Processes, Healthy Environment and Ecosystems*, Quality Foods and Novel Bioproducts, Safety and Security, Sustainable Energy Systems* *Additional funding available for three areas highlighted in Canada’s national S&T Strategy

Characteristics of Strategic Projects Specific objectives within a specific timeline (deliverables) Criteria are similar to Discovery Grants but projects must also be considered to be STRATEGIC (benefits to Canada and non-academic partners) in nature, e.g. HQP, scientific excellence, originality, quality of applicant(s), well-written and logical work plan Applicants must have a planned strategy for interaction with non-academic partners

Applications due April 15 Pre-selection process, if necessary External peer review – Summer Panel evaluation – September Results announced – October Competition Timetable

Competition Statistics Competition Yr.# of Applications# of AwardsSuccess Rate % % % % %

Application Process Application for a Grant (Form 101) Parts I and II Personal Data Forms (Form 100) + CVs of collaborators Company profile Form 183A (partner’s information and contributions) Letter of support describing partner’s involvement in the project (see instructions for specific items to be addressed)

Eligibility of Applicants Applicant and Co-applicants Must hold, or have a firm offer of, an academic appointment at an eligible Canadian university, for:  A tenured, tenure-track or life-time professor emeritus position; or  A term position of no less than three years College Faculty can be co-applicants (see NSERC Website for list of eligible colleges) Co-applicants outside NSE must meet NSERC eligibility requirements

Eligibility of Applicants (continued) Collaborator Government scientist, company staff member, research scientist from another country Not eligible to hold NSERC grants Qualified to undertake research independently Expected to contribute to the overall intellectual direction of the research project Expected to bring their own resources

Evaluation Process External referees Typically three per application Technical expertise to aid the committee Appendix C: your suggestions Internal selection committee Proposal is assigned to three internal reviewers Discussion amongst the whole group

Selection criteria Originality of the research Quality of the research Project work plan Quality of the applicants as researchers Training potential Interactions with the supporting organizations Benefits to Canada and the supporting organizations Evaluation Process (continued)

Projects are evaluated against seven criteria Each criterion is graded from 1 (lowest score) to 4 (highest score) Each criterion is of equal value Only projects that are strong in all 7 criteria are eligible for funding Evaluation Process (continued)

Originality of the Research The project must promise to generate new knowledge or to apply existing knowledge in an innovative manner. Quality of the Research The project must be scientifically sound and technically feasible. It must fall within a specific target area. Selection Criteria

Project Work Plan The project must have a clear and coherent work plan that demonstrates a high probability of achieving the objectives in the proposed time frame. Quality of the Applicants as Researchers The research team must have all the expertise to address the defined objectives competently and to complete the project successfully. Selection Criteria (continued)

Training Potential The project must provide opportunities to train students and other highly qualified personnel with skills relevant to the needs of Canadian organizations. Interactions with Supporting Organizations The supporting organizations must have the capacity to apply the results of the research and must be actively involved in all stages of the project. Selection Criteria (continued)

Benefits to Canada and Supporting Organizations The proposal must identify how the work will benefit the supporting organization and must demonstrate that exploitation of the research results will benefit Canada within a 10-year time frame. Selection Criteria (continued)

Originality Novelty How the research relates to current state of knowledge Potential for developing new knowledge, products or processes Extent to which research will impact the field Potential for major scientific breakthrough

Quality of Research Focus and clarity of short- and long-term objectives Appropriate methodology Justification for approach based on existing knowledge Feasibility of research planned Does the research fit the Strategic Projects target areas?

Work Plan Clarity of project description Coherence of deliverables in work plan Probability of success within proposed time frame Availability of necessary equipment Roles and time commitment of research co-applicants (collaborative roles) Collaboration and communication plans Justification and need for funds Demonstrated management plan

Quality of Applicants Does the team (including company researchers, if applicable) have all the required expertise? Form 100 very important Recognition of researchers’ achievements and contributions Appropriateness of skill sets of individual researchers in the proposed areas Roles and time commitment of research co-applicants (collaborative roles)

Training Potential Who will do the work? Graduate, undergrads and co-op students; technicians, post-docs and research associates Is the training relevant to the needs of Canadian organizations? Will the HQP have the opportunity to work in the non- academic partner’s facility? Workshops and training of industrial personnel at the applicant’s lab Track record of applicants in training HQP Suitability of the training environment

Interactions with Supporting Organization Is the supporting organization a good partner? Do the project objectives fit with the priorities of the non- academic partner? Remember that the partner organization will have to prepare a progress report midway through the project! How will the technology be transferred? Is the non-academic partner able to assimilate new technology? What is the degree of involvement of the non-academic partner in developing the proposal and throughout the project? What kind of a track record do the applicants have in transferring technologies?

Benefits to Canada and Partner(s) Delineate probable socio/economic/health benefits in a quantitative way…far more convincing! Is there a potential benefit in creating significant public policy as a result of the research? Is there potential to increase the numbers and/or quality of personnel working in an area of strategic importance?

Supporting Organizations Private sector Canadian-based companies with Canadian operations (R&D or manufacturing) that can apply the research results for economic gain Non-academic public sector Canadian government organizations that can apply the research results to strengthen policies Do not qualify as supporting organizations: NGO’s, venture capitalists, government research labs, foreign research institutions, implementation sites, potential customers.

Supporting Organizations (continued) A supporting organization must also: Have a demonstrated interest in the project (letters of support, in-kind and/or financial support, etc.) Be involved at all stage of the research (Help to develop the proposal, interact with researchers and students, provide input to the project) Validate the results of the research Provide guidance concerning the exploitation of the results

What’s in it for the Partners? Access to: Team of researchers with expertise in a desired area to solve a problem Technology/idea of commercial interest Research facilities and infrastructure that the industry lacks Potential access to a source of highly qualified personnel Give companies a competitive edge in global markets

What do Teams Look Like ? Co-applicants Dr. Nicholas Bernier (Guelph) Dr. Brian Dixon (Waterloo) Dr. Bryan Neff (Western) Supporting Organizations Yellow Island Aquaculture Ltd. Freshwater Fisheries Society of B.C. Target Marine Hatcheries Stolt Sea Farm Inc. Ewos Canada Ltd. Other Partner Ontario Ministry of Natural Resources Applicant Dr. Daniel Heath (Windsor) 3 years project - $138,450 in year 1 from NSERC (2004) Sexual selection as a factor in salmon fitness: a strategy for improving hatchery performance

Co-applicants Dr. Alexandre Brolo (Victoria) Dr. Nedjib Djilali (Victoria) Dr. David Levin (Victoria) Dr. David Sinton (Victoria) Supporting Organization Angstrom Power Inc. 3 years project - $135,000 in year 1 from NSERC (2004) A microscale biological fuel cell for micropower applications Departments involved: Chemistry Biology Mechanical Engineering Applicant Dr. David Harrington (Victoria) What do Teams Look Like ?

The Winning Proposal Get partners involved early on to help develop the project strategy Clear demonstration of the benefits to Canada and partner organization Multi-disciplinary research is a plus but not essential; all participants must have a demonstrated role in the project!

The Winning Proposal, (continued) FOLLOW INSTRUCTIONS CAREFULLY! Make the proposal and Form 100 easy to read and digest; use colleagues in non-related disciplines to proofread and evaluate Objective and work plan must be crystal clear If applying for a second or third time, pay careful attention to comments of reviewers. Address the issues and clearly state how the application has been changed!

Summary New target areas with specific research topics  Funding for proposals in the research area, but outside the research topics is limited to 20% of the budget allocated to the area  Applicants must explain why the proposed research is strategic and how it addresses the research topic Supporting Organizations  Active involvement is essential  Government fulfilling the Supporting Organization requirement: Proposal must clearly show how the project relates to their public policy responsibility (i.e. applying the results to strengthen public policy)

Signs of a good proposal All sections are clear and well described:  Clear summary  Roles well defined (students, applicants …)  Benefits to Canada clearly demonstrated  Follows guidelines & addresses requirements  … Strong partner(s):  Involvement from the start  Clear expectations (including IP)  Good communication  On-going interaction

How to… Get program descriptions: Go to Select “For Professors” in the left margin Select “Partnership Programs” from the list of programs Select the RPP program you are interested in, e.g., “Strategic Project Grants (SPG)”

Get Forms and Instructions: Go to Select “On-line Services” from the top menu Scroll down and click on “PDF Forms & Instructions” Select the instructions or form you need from the pull down menus “101 - Strategic Project (SPG)” “183A – Orgs. Info for RPP” from the “For Industry ” How to…

Form 101 instruction sheet includes: Form filling instructions and checklist Seven evaluation criteria and how they are evaluated Guidelines on external referee suggestions What’s in the Instructions?

On-line Applications Available for most Research Partnerships Programs F183A (Information Required from Organizations Participating in RPP) Must be linked electronically to the proposal Can be filled electronically by the Applicant on behalf of the Supporting Organization Helpdesk Telephone: (613) APPLICATION DEADLINE: April 15

Conclusion Strategic grants fund projects, not programs They provide an opportunity for university researchers to carry out innovative science and engineering work with potential for commercialization They provide a unique opportunity to introduce students to potential employers and an opportunity for non- academic partners to access scientific expertise and specialized research equipment

Contact: Tom Porter, Research Facilitator , Cristina Holguin-Pando, Grants Officer , NSERC SGP webpage NSERC Instructions Research Services: 5 Parts of a Discovery Grant Additional Resources