Strategic Projects Program

1. Strategic Projects Program UNIVERSITY OF SIMON FRASER January 23, 2006 Robert Lebel Research Partnerships Programs (613) 996-1889 robert.lebel@nserc.ca

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

3. People • NSERC supports about 17,000 science and engineering students earning master’s and Ph.D. degrees.

4. Discovery NSERC supports the research of more than 10,000 university & college professors.

5. Innovation One fifth of NSERC’s budget goes to funding university-industry research partnerships.

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

7. NSERC Budget 2005-06(millions of dollars) Total: $865

8. Innovation Programs Budget 2005-06(millions of dollars) Total: $165

9. 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) • Research Network Grants (RNG) • Joint Intellectual Property Management Program (IPM)

10. Why Work with Universities? Canadian universities • Perform 1/3 of all R&D in Canada and 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

11. 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

12. 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

13. 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

14. Why Participate in Research Partnership 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

15. Strategic Project Grant - Objectives • Accelerate early-stage research and training in target areas of national importance. • Assist the Canadian private and public sectors to seize future opportunities for wealth creation and better informed public policy.

16. Anticipated Results • New knowledge/technology that has potential for impact on Canada’s economy, society and/or environment within 5 to10 years. • Highly qualified personnel trained in the identified target areas; • Attracting Canadian-based organizations into early-stage collaborations in academic research; • Knowledge/technology and expertise transferred to Canadian-based organizations having a capacity to exploit the results for economic gain or informing / enforcing public policy.

17. Requirements • The research must fall within one of the target areas identified for support. • The project must be well defined in duration, objectives and scope; • Requires the participation of one or more supporting organizations that can exploit the results, but a cash contribution is not required; • Strategic Projects Grants are awarded for one to three years;

18. Seven New Target Areas • Target areas and research topics were re-evaluated and new ones will be implemented for the 2006-2010 program cycle. • Large-scale consultation over the past year to identify new target areas and research topics.

19. Seven New 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

20. Revised Guidelines for Applicants • Applicants are required to: • Select a target area and a research topic from a list provided. • Explain in proposal (PROPOSAL module) : (1) why the proposed research is strategic; and (2) how it addresses the research topic selected. • If the research falls outside the research topics listed, select “Exceptional Opportunity Outside the Research Topics” and provide an explanation in the PROPOSAL module.

21. Revised Procedures • Equal budget allocated to each targeted area; • At least 80% of the budget must be allocated to projects that address the priority research topics identified in each target area; • No more than 20 % of each target area’s budget to fund exceptional projects outside the research topics”.

22. 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 • Researchers from the partner’s organization sometimes are membersof the team (as “collaborators”)

23. 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

24. Competition Timetable • Applications due April 18 • External peer review – Summer • Panel evaluation – September • Results announced – October

25. Competition Statistics

26. 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

27. Eligibility of Applicants • Applicant and Co-applicants • Must be a university faculty. • College Faculty can be 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.

28. Eligibility of Applicants • 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

29. Evaluation Process External referees • Normally 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

30. Evaluation Process • 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

31. Evaluation Process • Projects are evaluated against the seven criteria; • Each criterion is graded from 1 (lowest score) to 4 (highest score).

32. 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

33. 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?

34. 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

35. 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)

36. Training Potential • Who will do the work? Graduate, undergradsand 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

37. Interactions with Non-academic 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?

38. 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?

39. Supporting Organizations • Public or private sector • Canadian based with Canadian operations • Do not qualify as supporting organizations: • Non-governmental organizations, government research labs, foreign research institutions, potential customers, company staff members. • Must be able to use the research results • Generates wealth or employment • Strengthens public policy

40. Supporting Organizations • A supporting organization must also: • Have a demonstrated interest in the project (letters of support, in-kind and/or financial support, etc.) • Help to develop the proposal • Interact with researchers and students • Provide input to the project • Provide guidance concerning the exploitation of the results

41. Letter of Support • Structure of a letter (example): • Corporate Background (e.g. activities) • Rational for Support • Company Role in the Project • Anticipated Benefits from Project Outcomes • Effort Required to Exploit Results • Benefits to Canadian Economy • Anticipated Interaction of Personnel with the University • Company’s Contribution to the Project

42. Letter of Support • Content: • Corporate background (e.g. activities) • Xxxxx Inc. is an early stage technology company that has recently closed its first round of private financing totalling $2 Million to develop and commercialize a novel _____ platform technology developed by Dr. Ffffff at the University of Airdrie. As part of Xxxxx’s business objectives to continue developing our platform technology for new and innovative products within the ______ market, we expect that the results of this proposal will be of strategic importance to the company for future growth. As described in this understanding and substantial early research before it can be incorporated into a commercial product. However, we believe that, if successful, this approach may lead to new product lines for Xxxxx, and enable the company to grow and maintain a long-term competitive advantage in the global marketplace.

43. Letter of Support • Content: • Common interests (e.g. previous collaboration) • A key area of interest to our company is the application of _______ engineering methods in medical and ______ fields. Engineered _______ between biological and _____ have created exciting opportunities for new methods of _____ and improvement of biological ____________. • Currently, our company is supporting Prof. Zzzzzz and his collaborators in the University of Bragg Creek with an NSERC sponsored CRD project, which addresses some important issues related to ________. In addition to financial and in-kind contributions, our company actively participates in the project by providing the group with samples prepared in our laboratory, which are _______. The proposed project by Prof. Zzzzz is highly complimentary to the University of Airdrie CRD project. It addresses fundamental questions regarding the nature of ______.

44. Letter of Support • Content: • Provide input to the project • The University of Cochrane brings to this project considerable knowledge and access to highly specialized equipment to carry out the work plan described. However, access to our company personnel and the company’s proprietary materials is critical to the success of the research program. In particular, our company is allocating time and expertise of key employees to this project as well as provision of custom ______, for a total in-kind contribution valued at $35,000/year ($25,000/yr in salaries, $10,000/yr in materials). Drs. Ccccc and Ddddd will be the key contacts for this project and will be allocating approximately 1 day/month and 3 days/month, respectively, of their time in direct support of the research initiative outlined in the proposal. Dr. Ccccc is an internationally recognized leading expert in the development of novel ______, and as the Director of Research at our company, her input into the project at this stage will greatly facilitate the eventual transfer of the technology developed as a consequence of this research to our company.

45. Letter of Support • Content: • Interact with researchers and students • It is anticipated that our company personnel will have daily and weekly contact with University researchers, including weekly status meetings, ongoing presentations and updates, mentorship training through guided interpretation sessions, and more. All student researchers and post-docs will have the support required to complete the project in the given timeframe (including HR, equipment and space).

46. 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

47. Co-applicants Dr. Nicholas Bernier (Guelph) Dr. Brian Dixon (Waterloo) Dr. Bryan Neff (Western) Applicant Dr. Daniel Heath (Windsor) Partners Yellow Island Aquaculture Ltd. Freshwater Fisheries Society of B.C. Target Marine Hatcheries Stolt Sea Farm Inc. Ewos Canada Ltd. Ontario Ministry of Natural Resources 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 What do Teams Look Like ?

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

49. 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!

50. 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!