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CANADA FIRST RESEARCH EXCELLENCE FUND

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APPLICATION FORM PART B:SCIENTIFIC STRATEGY

The Canada First Research Excellence Fund (the Fund) application form for Competition 1 of the Fund consists of two parts:

Application Form Part A: Institutional Strategy and Proposal Summary Application Form Part B: Scientific Strategy

Completed applications must include one Part A and one or more parts B (one Part B for each scientific area of focus). Each eligible institution can only submit one application.

The completed application form (parts A and B) must be uploaded in the Fund’s application portal by 9 p.m. (eastern), March 2, 2015.

Institution:

Title of scientific strategy

Research Thematic Area(s)

Research thematic area(s):

Keywords:

Research Disciplines ("Click Here for List of Codes")

Primary code: Discipline name:

Secondary code: Discipline name :




PROTECTED WHEN COMPLETED 1

http://www.cerc.gc.ca/forms-formulaires/Discipline_codes-EF.pdf


Proposal Summary

Provide a 100-word summary describing the scientific strategy that will enable the institution to excel globally in this research area and create long-term economic advantages for Canada. Outline the main elements of the proposed research initiative and the nature of the high-level activities to be funded. This summary will be used in the peer review process, as well as for publicity and program communications purposes. Please use plain language.

Alignment with Federal Science, Technology and Innovation Strategy Priority Research Areas

Check the box(es) indicating the research area(s) and, if applicable, subarea(s) most relevant to your proposal. Refer to the strategy website for further information on these priority areas.

Science, Technology and Innovation Strategy Priority Research areas

Environment and Agriculture Water: Health, energy, security Biotechnology Aquaculture Sustainable methods of accessing energy and mineral resources from unconventional sources Food and food systems Climate change research and technology Disaster mitigation

Health and Life Sciences Neuroscience and mental health Regenerative medicine Health in an aging population Biomedical engineering and medical technologies

Natural Resources and Energy Arctic: Responsible development and monitoring Bioenergy, fuel cells and nuclear energy Bio-products Pipeline safety


http://www.ic.gc.ca/eic/site/icgc.nsf/eng/h_07472.html


Information and Communications Technologies New media, animation and games Communications networks and services Cybersecurity Advanced data management and analysis Machine-to-machine systems Quantum computing

Advanced Manufacturing Automation (including robotics) Lightweight materials and technologies Additive manufacturing Quantum materials Nanotechnology Aerospace Automotive

Partners

Please list all presently secured and potential partners for this scientific strategy. A partner is an institution or organization, rather than an individual. Do not list every institution or organization with which a faculty member in the area of research may have a professional relationship or with whom they have co-published. Partners are contributing partners with a defined and very concrete role to play in the implementation of the strategy. These roles reflect strategic alliances and collaborations at the institution level. Partners listed as potential partners in the Notice of Intent (NOI) should now be secured. List as potential (e.g., international) partners only those that have been approached and whose involvement is planned for the latter years of the initiative or is dependent on completing earlier phases of the initiative. In their performance measurement plan, institutions must demonstrate a process to monitor progress with secured partners and to secure the commitments of potential partners. A reminder that competition 1 is aimed at those institutions that already have detailed plans in place to meet the ambitious objectives of the Fund, and whose initiatives are fully developed and ready to implement. Competition 2 is available to institutions that need more time to develop their plans, proposals and partnerships.



Secured Partners Potential Partners

Canadian postsecondary institutions eligible to the Fund:

Universities and their affiliated institutions

Canadian postsecondary institutions eligible to the Fund:

Colleges and Polytechnics:

Other Canadian Research Organizations

Academic and Research Institutes abroad (indicate name and country)

Private Sector in Canada and abroad (including not-for-profit organizations)

Public Sector in Canada and abroad

Philanthropic Organizations in Canada and abroad

Other (specify)



Proposed Use of Funds

Budget for implementation of the scientific strategyIndicate the sources of funding, and how funds will be used, among the two categories of eligible expenses (direct and indirect costs) for the implementation of this scientific strategy. Note that funding requested for and allocated to the institutional strategy must be outlined in the accompanying Application Form Part A: Institutional Strategy and Proposal Summary. The amounts indicated in the table below should be rounded to the nearest 10,000, and should correspond to the total planned expenditures over the duration of the grant. Please refer to the Canada First Research Excellence Fund website for details on eligible costs under each expense category.

Include planned expenses to be incurred as of September 1, 2015. Include contributions (one-time and ongoing) committed and available as of September 1, 2015 (not retroactive). Other relevant contributions (one-time and ongoing) committed and available prior to September 1, 2015, can be reflected in the attachments. Do not include funds from the Natural Sciences and Engineering Research Council (NSERC), Social Sciences and Humanities Research Council (SSHRC), Canadian Institutes of Health Research (CIHR), any tri-agency program, or the Canada Foundation for Innovation (CFI).


http://www.cfref-apogee.gc.ca/program-programme/administer-administrer-eng.aspx#expenses


Scientific Strategy Budget Table (Part B): Direct Costs of Research

Category of expenseFunding

requested from the Fund

Funding from the lead

institution

Funding from eligible partner

institutions

Secured contributions from other sources

Cash In-kind

Direct costs of research (if applicable)

Compensation-related expenses $ $ $ $ $

Recruitment and relocation $ $ $ $ $

Travel and subsistence $ $ $ $ $

Sabbatical/research leave $ $ $ $ $

Equipment and supplies $ $ $ $ $

Computers and electronic communications

$ $ $ $ $

Dissemination of research results $ $ $ $ $

Services and miscellaneous expenses

$ $ $ $ $

Other direct cost expense categories, not eligible under the Fund

$ 0 $ $ $ $

Subtotal (1) $ $ $ $ $



Scientific Strategy Budget Table (Part B): Indirect Costs of Research




institution


institutions


Cash In-kind

Indirect costs of research (if applicable)

Research facilities $ $ $ $ $

Research resources $ $ $ $ $

Management and administration of research enterprise

$ $ $ $ $

Regulatory requirements and accreditation

$ $ $ $ $

Intellectual property $ $ $ $ $

Other indirect cost expense categories, not eligible under the Fund

$ 0 $ $ $ $

Subtotal (2) $ $ $ $ $

Total Part B: Direct and Indirect Costs of Research




institution


institutions


Cash In-kind

Total Part B(Subtotals 1 + 2) $ $ $ $ $

The total funding requested from the Fund for this scientific strategy must correspond to the total budget listed in the accompanying Application Form Part A: Institutional Strategy and Proposal Summary.

The total funding requested to cover the indirect costs of research cannot exceed 25 per cent of the total grant amount. However, the funding requested to cover the indirect costs of research in any of Part A and Part/parts B can exceed 25 per cent of the total requested for that Part.



Instructions for Completing Part B

1. ContextIn Part B, institutions must present a scientific strategy that addresses the Fund’s selection criteria 1 and 2 (see below). A scientific strategy must comprise a high-level research program or initiative in an institutional priority research area of focus. Part B must describe in detail how the grant would be used to achieve the scientific strategy’s stated objectives. It should demonstrate evidence of the institution’s existing strengths/capacity, international position and reputation in the priority area, as well as the potential and promise of the program of research over the duration of the award, in terms of scientific impact at a global level, societal (including economic) impacts, as well as impact on the institution’s position of global excellence and global leadership in the research area. Part B must also demonstrate alignment with the Government of Canada’s science, technology and innovation priority areas.

Part B will be used to assess the elements related to selection criteria 1 and 2:

Criterion 1: Scientific merit and demonstrated capacity to lead on an international scale

level of excellence of the existing research underpinning the proposed initiative;

institution’s faculty research strength in the proposed area(s);

quality of the institution’s relevant research facilities, as well as of the opportunities and environments for research training;

originality and positioning of the proposed research with respect to existing national and international capacity;

potential for the proposed research to provide breakthrough impact on a global scale; and

potential for the institution to demonstrate global research leadership in the proposed area(s).

Criterion 2: Strategic relevance to Canada

potential for the proposed research to create long-term economic advantages for Canada; alignment of the proposed initiative with the Government of Canada’s science, technology and innovation

priority research areas (note that only initiatives aligned with the Government’s priority research areas will be funded);

potential for the research results to foster innovation (e.g., to create or build upon commercial endeavours, advance public policy or otherwise mobilize research discoveries); and

ability of the proposed initiative to leverage additional resources and promote knowledge mobilization through partnerships with: o the private sector;o international research institutions; and/oro public sector, academic and philanthropic organizations, both in Canada and abroad.

The intended audience for Part B is experts in the areas of research.

2. General content instructionsPart B must include:

this form; a maximum 12- to 15-page document that provides the details of the scientific strategy (see instructions in

section 3 below); a budget justification (maximum four pages; see instructions in section 4 below); and





letters of support from any partner, including other eligible Canadian postsecondary institutions, who will play a concrete role in the implementation of the scientific strategy, if applicable.

All of the above must be uploaded in the Fund application portal by the application deadline (see instructions in section 5 below).

3. Scientific strategy

Page limit This attachment should normally be 12 pages, and (for larger-scale initiatives) must not exceed 15 pages. Any extra pages or materials other than what is requested will be removed. Graphs, illustrations and scientific references may be included, but will count as part of the page total. Either single- or double-column presentation of text, graphs and illustrations is acceptable.

PresentationThe lead institution’s name must appear at the top of each page. Number all pages. Use 12-point or larger Times New Roman font. Paper must be 8 ½” x 11” (21.5 cm x 28 cm). All page margins must be set at a minimum of ¾” (1.87 cm).

HeadingsInformation must be provided under the six headings below. Provide the information requested, as well as any other relevant information that relates to the criteria.

The scale of reference for all evidence, indicators and data is to demonstrate leadership in a global context.

Criterion 1: Scientific merit and demonstrated capacity to lead on an international scale

Heading 1: Existing Strengths/Capacity: This section must describe the institution’s existing strengths/capacity, international position and reputation in the priority area. Address the following elements:

Level of excellence of the existing research. Demonstrate that the existing research underpinning the proposed initiative is world-leading, as evidenced by the institution’s degree of commitment to foster and enhance the proposed area over time and how this scientific strategy fits within confirmed strategic priorities of the institution. For example:

institutional investments in the research area over the past five years, such as the trend in the number of current faculty positions, Canada Excellence Research Chairs, Canada Research Chairs, prestigious industrial and endowed chairs and other similar positions devoted to this research area over the past five years (provide a table of relevant trends in number of faculty and Chair positions in this research area and the appropriate comparison data for other research areas of comparable size at the institution as well as averages for the institution as a whole). Avoid subjective information (e.g., “have hired aggressively in this area”) and provide concrete data and comparison data to demonstrate the extent to which excellence in this area has been developed as a clear priority; and

internal research support from the institution (in particular, competitively allocated and externally reviewed).

Explain how your institution’s demonstrated priority and commitment to this area compares with that of competing research centres globally (postsecondary or other) and with the support that these competitors have access to (i.e., government priority funding; private sector commitments to a specific geography, etc.).

Existing faculty research strength. Outline the strengths of the institution’s faculty in the proposed area, including (for example):

key researchers involved in the research area(s); identify their sub-areas of focus, their most important research contributions and any highly prestigious international prizes/awards;

significant research issues in this area where researchers at your institution have provided insights, contributions and advances in the last five years, situating your comments in a global context;

current involvement in major national and international collaborations in this research area, including role of key researchers and institutions; and



evidence of international leadership in the area, using indicators such as, for example, comparative citation data on institutional publications in the research area where bibliometrics are appropriate (not all research areas) and/or patents (in particular those that are being used), creation of novel products and processes, spin-off companies, etc.

Quality of the institution’s relevant research facilities. Indicate the quality of the institution’s relevant research facilities, as evidenced by, for example:

institutional investment in the research facilities related to this area over the past five years (e.g., investments in space, infrastructure, labs, libraries, databases, data repositories, etc.; overhead; special administrative support);

recruitment of researchers and trainees that is based primarily on access to these facilities; quality and suitability of current relevant research facilities (unique, leading-edge); use by researchers from other national and international research groups; and competitive/peer-reviewed allocation of access to these facilities.

Quality of the opportunities and environments for research training. Indicate the quality of the opportunities and environments for research training as evidenced by the following, for example:

Institutional investments in training in the research area over the past five years, such as new graduate and undergraduate programs and courses, and innovative initiatives for enriched training environments (e.g., multidisciplinary, technician training, etc.), such as mobility and hosting of trainees to experience other research groups (public and private) and facilities (national, international and remote access where applicable). To be cited, these initiatives should extend beyond cultural exchanges, study abroad or standard co-op placements. They should involve high value-added training that set trainees apart in their area (joint degrees, integrated modules of curriculum with partners, summer graduate schools, unique facilities and know-how and joint supervision with world-leading groups, etc.).

Data on research trainees enrolled and graduated per annum for five years (split by masters, PhD, postdoctoral) in the research area, including information on highly prestigious student scholarships and awards offered by the institution or held by trainees recruited to the institution.

Data on placement of graduates (including employment) and recruitment of trainees both to and from other world-leading research centres and groups (public and private).

Heading 2: Proposed Science, Technology and Innovation Strategy (i.e., scientific strategy): This section must describe the high-level research initiative for the proposed research area(s) over the duration of the grant, addressing the prospective elements below, and others as appropriate.

Originality and positioning of the proposed research. Provide information and insights on what makes the proposed science original with respect to existing national and international capacity, including:

originality of the research directions and the combined disciplines and expertise; how and why this research will set the institution apart; the institution’s comparative strength in the area, as evidenced by (for example):

o list those national and international institutions/centres that are comparable and/or key contenders as leaders on an international scale in the research area;

o indicate what comparative advantages and disadvantages your institution has and will have in this research area in relation to global competitors (provide evidence to back up statements); and

o describe the institution’s strategy and approach to research collaborations and to recruitment, for example, as means to complement the institution’s comparative advantages/disadvantages relative to global competitors.

Potential for the proposed research to provide breakthrough impact on a global scale. Provide insights and evidence of the expected contributions and impacts on the research area(s), for example:

Outline the future directions in research and development that will be enabled by the initiative. Describe the current state of the research area your institution is proposing and how this initiative has the

prospect of leading to transformative or paradigm shifting research activities and results. Provide a description of the expected impacts in science, technology and innovation at a global level, of

the proposed research program. Identify, as much as possible, the measurable research outcomes and impacts during and after the seven

years of the grant.



Potential for the institution to demonstrate global research leadership in the proposed area(s). Describe how the institution plans to build on its current strengths and provide evidence of the potential for this to enhance/consolidate a leadership position in this research area(s).

Provide a high-level description of how the institution will use funds to maintain and enhance its position in this priority research area of focus (do not duplicate content of the Budget Justification), for example:

Describe how future plans for commitment of internal resources will enable the institution to achieve its objectives and those of the Fund, explain to what extent these are incremental relative to the current state described above under existing strengths;

Outline talent management and succession plans over time for any key leadership in this area of research; The space, infrastructure, research facilities and other support that the institution will secure/provide; and The expectations of the initiative in the training of students and researchers (consider competencies and

demand for highly qualified personnel in this research area and related sectors).

Indicate how your institution will seek to position itself in an enhanced leadership position in this research area (within a time horizon of five to seven years), for example:

the role of the initiative within the institution, group, and/or centre in relation to existing faculty within the institution;

how the current and any new faculty recruited in this particular research area are critical at this time to the development of Canadian research in this area, in the context of international knowledge and activity; and

the role of this science, technology and innovation strategy nationally and internationally.

Criterion 2: Strategic relevance to Canada

Heading 3: Potential for the proposed research area to create long-term economic advantages. Describe the prospective benefits to Canada from the strategy proposed. Be as concrete and specific as possible. For example:

Indicate how the initiative will improve Canada’s research capacity (e.g., the extent to which a critical mass would be built in the area, the competitive advantage that would be developed, how Canada’s reputation as a magnet for talent and centre of research excellence would be strengthened).

Explain how the proposed science, technology and innovation strategy will, where appropriate:o improve Canada’s social, cultural and economic prosperity and resilience;o improve the health and quality of life of Canadians; ando result in economic advantages (e.g., the extent to which transfer of knowledge to the marketplace, the

building of a culture of innovation in business, facilitating the generation of wealth from commercialization, etc., would occur).

Describe how the strategy will improve Canada’s position and influence in the world. Indicate any other economic advantages to Canada. Discuss the longer-term prospects from this strategy, such as plans to sustain the momentum created by

the grant and capitalize on the advantage provided by the seven-year funding; and plans to extend the reach of the institutional activities in this research area, during the tenure, and after the expiry, of the grant. Be as concrete as possible in your plans, including any targets for growth and long-term funding prospects, where possible providing firm financial commitments (salaries, infrastructure, etc.)

Heading 4: Alignment of the proposed initiative with the Government of Canada’s science, technology and innovation priority research areas (note that only initiatives aligned with the Government’s priority research areas will be funded).

o Describe how the proposed science, technology and innovation strategy will contribute to advancing the Government of Canada’s science, technology and innovation priority research areas and/or sub-priority areas;

o Describe the extent to which there is alignment with provincial and territorial priorities; ando Explain what other Canadian groups and organizations (all sectors) are active in this research area,

the focus of those activities, and how your institutional initiative will relate to those activities.





Heading 5: Potential for the research results to foster innovation. Provide information and insights on a knowledge mobilization strategy including plans for innovation, commercialization, contribution to public policy, etc. (e.g., to create or build upon commercial endeavours, advance public policy or otherwise mobilize research discoveries).

o Outline how benefits will be realized and provide information on the institution’s track record. For example:

Describe the plans to engage with knowledge users at all stages of the research, from the formulation of the research questions to the design of research projects to the transfer of results;

Identify the key receptors (firms, not-for-profits and governments) of the innovations and insights from the research and describe existing institutional partnerships and linkages with these receptors;

Identify current challenges and barriers as well as opportunities to enhance the impact and use of research findings in this area. Please comment with respect to factors that are specific to this area, and specific to this institution and its major partners. Discuss the institution’s plans to mitigate these challenges, overcome these barriers and seize these opportunities;

Explain how the institution will facilitate linkages with users of the research outputs and outcomes; and

Provide information on the track record of your institution in knowledge translation, knowledge mobilization and/or technology transfer in this area. Describe what structures and policies exist to facilitate interactions with external receptors—knowledge translation, knowledge mobilization and/or technology transfer. Outline the institutional intellectual property policy and its application in this area.

Heading 6: Ability of the proposed initiative to leverage additional resources and promote knowledge mobilization through partnerships. Provide evidence of the potential to leverage contributions with the private sector; international research institutions; and/or public sector, academic and philanthropic organizations, both in Canada and abroad. Outline the institutional plan for leverage of additional resources during the tenure of the grant and thereafter. For example:

o describe both secured and potential partners, and leveraged funding; ando demonstrate that the initiative will have the appropriate resources to enable world-leading research

capacity.

Support your plan with information on the following:

1) Past success in leverage of funds for the institution as a whole and in this research area (targets set and percentage met), including:o externally sponsored research (provide data on sponsored research revenue for the past five years); o external partner funding for the capital costs of relevant Canada Foundation for Innovation projects

acquired over the past five years; ando endowed chairs and centres at your institution.

2) Prospective leverage in the research area:o key partners who have expressed an interest in collaborating;o federal (e.g., tri-agency and CFI) and non-federal funding sources and programs that will be

accessed for operating funds and used to build and strengthen the initiative. (Note: any funding from NSERC, SSHRC, CIHR (including tri-agency programs) and CFI funds can be discussed here but not included in the Proposed Use of Funds table in this Form as contributions from other sources);

o other funding sources; ando outline overall expectations of leveraged funding for this science, technology and innovation

strategy.Be as concrete as possible in your projections, indicating targets that the institution has set.



4. Budget justification

Page limit This attachment should not exceed four pages. Graphs and tables are encouraged. In some exceptional cases (e.g., if a large number of partners are involved), the Chairs Secretariat may accept longer budget justifications. Please contact the Secretariat to verify appropriateness before submitting a longer justification section.

Format Information should be presented in the same order as in the budget table.

Presentation The institution’s name must appear at the top of each page. Number all pages. Use 12-point or larger Times New Roman font. Paper must be 8 ½” x 11” (21.5 cm x 28 cm). All page margins must be set at a minimum of ¾” (1.87 cm).

Content

The budget justification should include the following (within page limit):

Clarification concerning the timing of specific planned expenditures (e.g., if certain costs are expected to be defrayed at the beginning of the grant only). The Secretariat recommends including a table summarizing the planned expenditures on an annual basis.

Detailed descriptions of partners’ contributions (cash or in-kind), including the timing and duration of such contributions. The Secretariat recommends including a table summarizing the annual planned contributions of partners and other sources.

Clarification concerning whether internal resources to be committed are incremental to the current state. If the lead institution plans to transfer a portion of the grant to other Canadian postsecondary institutions

that are eligible under the Fund, a clear outline of the timelines and the amounts to be transferred.

5. Submitting the application

The application must be uploaded in the Canada First Research Excellence Fund application portal by 9 p.m. eastern, March 2, 2015. Each Part B Form (without instructions pages 7 to 14) and its attachments (see section 2 above) must consist of a single, integrated true PDF document (i.e., a searchable document—not a scanned image) titled: Part B-Institution Name-Title or Research Area.

6. Suggested reviewers (optional)

If applicable, to request that the Secretariat not invite an individual(s) to review the application, send an email to [email protected] with a clear subject line, referencing the institution and the relevant Part B proposal.

The institution may suggest up to three potential reviewers for each scientific strategy, if these differ from the suggestions already provided at the Notice of Intent stage. Provide the information outlined in the table below on a separate page, identifying clearly the institution and the relevant Part B proposal.

Submission: an attachment with suggested reviewers must not be included in the single integrated PDF document for Part B. It must be uploaded as a separate PDF document entitled: Part B-Institution Name-Title or Research Area-Suggested Reviewers.

Reviewers cannot: be a faculty member at a Canadian institution (excluding adjunct professors); be affiliated with the applicant institution(s) (including hospitals and research institutes) or with an

organization receiving financial support from that institution;


mailto:[email protected]


have held a position at the institution(s) applying to the program in the last five years; be involved in the proposed program of research; be a potential recruit for this Scientific Strategy; or be in a position to directly benefit from the outcome.

Reviewers should be able to evaluate the full application (Part A and the relevant Part B), in the language in which it is written. The program’s administration reserves the right to make the final selection of reviewers for any Part B (scientific strategy), and may opt not to use any of the suggested reviewers.

Surname or family name: Given name and initials: Department/faculty/division: Title or position: Institution: Country: Area of expertise: Email address:




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