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Growing Canadian Agri-Innovations Program

Canadian Agri-Science Clusters Initiative

Proposal Guide

© Her Majesty the Queen in Right of Canada, 2009 Cat. No. A22-487/2009E-PDF ISBN 978-1-100-12533-6 AAFC No.10920E Aussi offert en français sous le titre : Initiative des grappes agro-scientifiques canadiennes : Guide de présentation de projets.

GROWING CANADIAN AGRI-INNOVATIONS PROGRAM

CANADIAN AGRI-SCIENCE CLUSTER INITIATIVE PROPOSAL GUIDE

TABLE OF CONTENTS OVERVIEW / GOALS ...................................................................................................................1 EXPECTED RESULTS .................................................................................................................1 ELIGIBLE RECIPIENTS ...............................................................................................................2 MAXIMUM SUPPORT AND DURATION......................................................................................2 ELIGIBLE PROJECTS AND ACTIVITIES.....................................................................................3 PROPOSAL SUBMISSION DATE AND CHECKLIST ..................................................................4 REVIEW AND DECISION PROCESS ..........................................................................................4GENERAL INFORMATION...........................................................................................................5 GUIDELINES FOR COMPLETING A CANADIAN AGRI-SCIENCE CLUSTER PROPOSAL ......7 Annex A PLANNING FOR A CANADIAN AGRI-SCIENCE CLUSTER......................................12Annex B DECLARATIONS AND SIGNATURES........................................................................18Annex C ELIGIBLE EXPENDITURES .......................................................................................21Annex D SELECTION CRITERIA ..............................................................................................22

OVERVIEW / GOALS The Canadian Agri-Science Cluster Initiative (the “Initiative”) will enable key industry-led agricultural organizations to mobilize a critical mass of scientific and technical resources to support innovation strategies for enhanced profitability and competitiveness of their sector. The Initiative will encourage the development and implementation of comprehensive applied agricultural science plans and technology transfer and commercialization strategies that address the priorities established by the industry. Each Canadian Agri-Science Cluster will address the challenges of technology, organization and knowledge management while developing new agri-products, practices and processes that will increase agri-industry opportunities for profitability and competitiveness. Canadian Agri-Science Cluster proposals will be reviewed within Agriculture and Agri-Food Canada (AAFC) and by external expertise, where considered necessary by AAFC, to ensure that the Initiative’s goals and Selection Criteria are adequately addressed.

EXPECTED RESULTS The Initiative is expected to:

• Support industry leadership in developing and managing national applied science plans and technology transfer and commercialization strategies that promote industry competitiveness; and

• Engage national industry, academic and government applied research resources in a coordinated response to industry-defined research requirements.

Canadian Agri-Science Cluster Proposal Guide Page 1 of 24

ELIGIBLE RECIPIENTS Eligible recipients are not-for-profit agricultural corporations.

The corporation must be managed by a Board of Directors comprised of stakeholders from within the agricultural, agri-food and agri-based products sectors.

MAXIMUM SUPPORT AND DURATION Planning for a Canadian Agri-Science Cluster Applicants that require financial assistance to develop a Canadian Agri-Science Cluster applied science plan and technology transfer and commercialization strategy can apply for funding to cover up to 50% of the eligible expenditures to a maximum contribution of $125,000. The balance of eligible expenditures must be in the form of a cash contribution from non-government organizations. See Annex A for detailed information about this assistance. Applicants are encouraged to submit their proposals for Planning for a Canadian Agri-Science Cluster no later than July 31, 2009. The subsequent Canadian Agri-Science Cluster proposal must be submitted no later than January 31, 2010. Implementing a Canadian Agri-Science Cluster Multiple sources of funding for Canadian Agri-Science Clusters are expected and encouraged. Total funding and other support1 provided to a Canadian Agri-Science Cluster will be carefully monitored by AAFC to ensure adherence to the following:

• Under the Initiative, funding and other support will normally be between 25% and 75% of the projected amount of eligible expenditures to a maximum of $16 million per Canadian Agri-Science Cluster, including up to $125,000 funding approved for Planning for a Canadian Agri-Science Cluster activities described above;

• Maximum funding and other support (monetary and non-monetary) from all federal, provincial/territorial and municipal government sources for the cluster, will normally be 75% of eligible expenditures (Stacking);

• It is a condition of funding under this Initiative that the successful applicant will contribute to expenses incurred by or for the cluster with a minimum 25% cash contribution. The percentage cash contribution by the recipient will be the same for a Contribution Agreement (CA) and a Collaborative Research and Development Agreement (CRADA). As an example, if a CA stipulates that the recipient will contribute 25% cash towards eligible expenditures, and the recipient and AAFC subsequently also wish to enter into a CRADA, then the CRADA will also require the recipient to contribute 25% cash toward the expenditures required by the collaboration;

• The recipient’s cash contribution to the CRADA will be considered as part of their total cash contribution to the cluster;

1 Other support means operating expenses obtained via a CRADA with AAFC, only with successful applicants and if deemed necessary.


• The proportion of funding and other support requested will be reviewed during the approval process. The level of risk and involvement by sector stakeholders and the level of sector and cluster economic benefit identified in the proposal will be factors in assessing the appropriateness of the proportion of public investment requested by the applicants. This proportion may range from 25% to a maximum of 75% as referenced above.

Potential applicants that already have developed a Canadian Agri-Science Cluster applied science plan and technology transfer and commercialization strategy can apply immediately for cluster funding/support.

All funded activities must be completed by March 31, 2013. All reporting activities obligated under the Contribution Agreement and not completed by this date will not qualify as an eligible expenditure. Therefore, recipients are strongly suggested to complete their activities earlier to ensure enough time for reporting by March 31, 2013.

ELIGIBLE PROJECTS AND ACTIVITIES Eligible Canadian Agri-Science Cluster applicants must demonstrate that they have a national, industry-led applied science plan and technology transfer and commercialization strategy. Projects must focus on the pre-commercialization development of new agri-products, practices and processes in Canada. Outcomes must be aimed at enhancing agri-industry sector competitiveness and profitability. Eligible Activities Include:

• Implementation, delivery and management of national industry-led applied science plans and technology transfer and commercialization strategies leading toward the development of new agri-practices, products and processes in Canada;

• Coordination of a critical mass of scientific and technical capacity from industry, government and academia across Canada required to implement applied science and technology research to support the identified new agricultural production and commercial opportunities and related activities;

• Scientific and technical research support to resolve pre-commercialization issues relating to agri-product, practice and process development, technology development, pilot projects, testing and demonstration;

• Technology transfer and pre-commercialization activities to validate market opportunities that will support eventual uptake of the identified agri-products, practices and processes in Canada;

• Applied research work with Canadian universities and other R&D organizations (excluding Government of Canada Departments and Agencies);

• Applied research work through Collaborative Research and Development Agreements (CRADAs) with Government of Canada Departments and Agencies to support the proposed Canadian Agri-Science Cluster activities;

• Utilization of research facilities and the management, scientific, technical and administrative staff needed to:

o Implement the proposed activities;


o Conduct applied science projects; o Develop and manage intellectual property that may be generated; o Access technology transfer and commercialization services; o Prepare reports and communicate cluster results to stakeholders.

PROPOSAL SUBMISSION DATE AND CHECKLIST Applicants are encouraged to submit their Canadian Agri-Science Cluster proposals no later than January 31, 2010. Applicants must send the following to the Initiative office:

A CD containing: the complete Proposal as a single PDF file containing all signed material, including proposal, declaration and scanned letters of support in order. Please ensure the copy and paste functions are enabled. Please also send the excel Budget and Work plan spreadsheet separately, not as part of the pdf file.

In addition, an applicant may wish to submit a complete bounded paper copy with original signature. Tables, graphs and figures may be included (where applicable).

A complete proposal includes the following. More detailed information on these items listed below can be found in the Proposal Guide and Proposal Forms.

• Cover letter; • Proposal forms (including Work Plan and Budget templates); • Articles or certificate of incorporation; • Audited financial statements of the applicant for the last two years (if applicable); • Letters of support; • Short biographies; • Additional attachments: please reference, in the appropriate information Section,

any additional material which is included and separate from the Proposal Forms; • Signed original copy of the Declaration of the Applicant.

The Canadian Agri-Science Clusters Initiative office will contact the applicants to acknowledge receipt of the proposal within five working days following their submission.

Canadian Agri-Science Cluster Initiative office (For additional information, contact the Initiative office or visit the Initiative website.)

Canadian Agri-Science Cluster Initiative Agriculture and Agri-Food Canada Room 138, Tower 5, 5th Floor 1341 Baseline Road Ottawa, Ontario, K1A 0C5 Toll free number: 1-866-857-2287 E-mail: [email protected]: www.agr.gc.ca/Agri-Innovations


mailto:[email protected]

http://www.agr.gc.ca/Agri-Innovations

REVIEW AND DECISION PROCESS Review of Canadian Agri-Science Cluster Proposals Complete Canadian Agri-Science Cluster proposals received by the Initiative office will be reviewed by an AAFC internal review committee and by external expertise, where considered necessary by AAFC, to ensure that the Initiative’s goals and the Selection Criteria are adequately addressed.

Canadian Agri-Science Cluster proposal applied science projects as outlined in the applied science plan within their proposal must contain sufficient detail for the Canadian Agri-Science Cluster proposal assessment and review. Applied science projects must be peer reviewed before funds can be provided to support their activities. The peer review process and how it will be implemented must be clearly outlined in the proposal.

When a Canadian Agri-Science Cluster proposal is approved, a Contribution Agreement will be negotiated between AAFC and the recipient. Decisions reached pursuant to the review process will be final. If the applicant and AAFC cannot agree on the terms of a Contribution Agreement, AAFC is under no obligation to fund the proposal.

Peer Review of Applied Science Projects within a Canadian Agri-Science Cluster Proposal It is the applicant’s responsibility to form a Science Advisory Body to advise them on their Canadian Agri-Science Cluster applied science plan, projects and activities and to arrange peer reviews of the individual applied science projects within their Canadian Agri-Science Cluster proposal.

A Science Advisory Body will be representative of the agricultural industry, academic and government (including AAFC) scientific expertise required to implement the Canadian Agri-Science Cluster applied science plan. The Science Advisory Body is not part of the cluster organization and as such will not manage cluster activities.

Peer reviews of each applied science project included in the applicant’s Canadian Agri-Science Cluster proposal should be conducted by a minimum of three independent experts. The independent experts must be individuals from relevant scientific, technological and innovative fields with national or international reputation to ensure all project objectives, activities, outputs/deliverables, budget and timelines are adequately addressed.

All applied science projects must be peer reviewed within four months of the date of signing of the Contribution Agreement. The applicant must provide evidence of a completed peer review process for each applied science project recommended by the cluster Science Advisory Body.

GENERAL INFORMATION Reporting Requirements Recipients will provide financial and performance reporting on their activities in accordance with the Contribution Agreement. It is the responsibility of the applicant to


become fully aware of these requirements as the proposal is being developed. Contact the Initiative office for information regarding the Contribution Agreement.

All reporting activities required under the Contribution Agreement and not completed by March 31, 2013 will not qualify as eligible expenditures. Therefore, recipients are strongly suggested to complete their activities earlier to ensure enough time for reporting by this date.

Security of Information Agriculture and Agri-Food Canada will not disclose any commercially confidential information that is consistently treated as such by the applicant unless:

• Authorized by the applicant; • Required by law to be released; or • Required by the Minister of AAFC to be released to an international or internal

trade panel for purposes of the conduct of a dispute in which Canada is a party or a third party intervener.

All documentation submitted through this proposal process is subject to the provisions of the Access to Information Act (http://laws.justice.gc.ca/en/A-1/index.html). Any information that the applicant considers to be commercially confidential should be identified as such. Use of (In-house or External) Lobbyist Under the Lobbying Act, a lobbyist includes any person, who receives payment (or any other consideration) for communicating with a public office holder on behalf of any person, corporation, or organization, pertaining to the provision of a contribution. Agriculture and Agri-Food Canada (AAFC) must be advised if the applicant engages a lobbyist to represent the applicant’s interest in relation to its request for support under this Initiative. As well, the lobbyist must be registered and in compliance with the Lobbying Act (http://www.ocl-cal.gc.ca/epic/site/lobbyist-lobbyiste1.nsf/en/Home), and cannot be paid a commission, contingency fee or any other consideration that is dependent upon the execution of an agreement with the Minister of AAFC Program. M-30 Law (for Quebec organizations only) Successful proposals from a not-for-profit organization located in the Province of Québec, will be required to complete and sign the “Declaration of Exemption to M-30” Form prior to the negotiation of the Contribution Agreement and provide a copy of the Exemption to the Initiative office. A copy of financial statements may also be required. Intellectual Property Where a transfer payment supports the creation of new intellectual property, title to such intellectual property will usually vest in the recipient, or with a third party, as negotiated by the recipient and such third party. In order to facilitate future use and potential commercialization of the new intellectual property, of any intellectual property subsequently developed using that intellectual


http://laws.justice.gc.ca/en/A-1/index.html

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property, or of the new intellectual property as bundled with necessary background intellectual property, applicants must agree that they will avoid joint or divided ownership of new intellectual property or of the bundled intellectual property rights that arise from the funded, or otherwise supported, project. If this is not feasible, then applicants will be required to provide a workable alternative that assures accountability and responsibility for the effective utilization of new intellectual property. AAFC may include a provision in the contribution agreement that a non-exclusive and royalty-free license is granted to Canada to enable it to use the intellectual property for research and development, and/or for publication purposes. Environmental Assessment If it is determined that an environmental assessment is required to determine the environmental effects of the activities contemplated under the applicant’s proposal, the applicant shall carry out this assessment as early as practicable in the planning stages of those activities. This assessment shall be conducted in accordance with the Canadian Environmental Assessment Act and shall be subject to the requirements and approval of the Minister of Agriculture and Agri-Food.

GUIDELINES FOR COMPLETING A CANADIAN AGRI-SCIENCE CLUSTER PROPOSAL Proposals for the Initiative must be developed using approved proposal forms, and in collaboration with relevant participants. The Canadian Agri-Science Cluster proposal must include the following: 1. COVER LETTER A letter signed by the President or CEO of the applicant organization briefly describing the Canadian Agri-Science Cluster proposal and its goals and objectives. Provide details about the structure of the not-for-profit corporation and the support that the applicant proposes to provide to the Canadian Agri-Science Cluster.

2. PROPOSAL FORM (The Proposal Form can be requested at this e-mail address: [email protected].) Section A: Applicant Information

1) Applicant information: identify the legal entity, including its legal status and operating name, date of incorporation, and if requested, corporate by-laws, and GST/HST Number;

2) Contact information: indicate the name, telephone and fax numbers, e-mail address and language of correspondence;

3) Mailing address: indicate details of mailing address; 4) President/CEO of the applicant’s organization and cluster leader: indicate the

name, title, telephone and fax numbers, and e-mail and mailing address for both the President/CEO and the proposed cluster leader within the applicant’s



organization. A single cluster leader must be identified from the applicant’s organization.

Section B: Cluster Summary

1) Title of applicant’s cluster proposal; 2) Anticipated start date and completion date; and 3) Cluster summary: describe the cluster’s scope, objectives and activities,

applicant and participant information, expected outputs and impact. Write for a general audience using plain language and do not include confidential information as this summary may be used for communications purposes.

Note: At AAFC’s expense, AAFC will have the Cluster Summary for Public Release translated into the other Official Language, in order to meet all bilingualism requirements. It is understood that by submitting the Cluster Summary for Public Release, the applicant authorizes its translation and its reproduction and publication by AAFC.

Section C: Cluster Information Note: No more than two pages per each sub-section. Attach additional pages if required.

1) Sector profile: provide a brief overview of the agri-sector in which the applicant’s proposed cluster will focus its applied science plans and technology transfer and commercialization strategies;

2) Sector vision: provide the vision of the sector’s shared needs over the next five to ten years, the major R&D and commercialization challenges in that vision, and how the proposed cluster will address these challenges to enhance their innovativeness and competitiveness;

3) Background: describe the activities leading up to the cluster proposal, for example: • Sector consultations and meetings to identify and prioritize the key

opportunities that should be addressed in the cluster; • Value chain identification, consultation and validation for the key opportunity

areas; • Market analysis and science carried out to validate the opportunities that

can result from the cluster; • Key gaps in the innovation chain that need to be addressed in the cluster; • Key participants identified for the cluster including value chain members and

cluster participants capable of supporting the planned activities (market analysis and science);

• External expertise identified for the Initiative management and facilitation; 4) Opportunity: describe the industry/sector opportunities that will be

developed/addressed within the cluster; • Estimated current and future market size and value; • Market/client benefits; • Barriers to entry/expansion;


5) Benefit to Canada: briefly describe how the cluster addresses issues of high priority for the national sector in Canada; how the cluster will yield significant economic benefits to the sector and Canada, and strengthen links between researchers and the agricultural, agri-food and agri-based products sector. For additional information, see the Selection Criteria in Annex D.

6) Cluster overall goals/objectives (applied science plan and technology transfer and commercialization strategy), and how these are aligned with the Initiative’s goals described on the first page of this Proposal Guide;

7) Description of projects: identify and describe the major project areas and provide information for each of the major activities within the project areas: • Objectives, activities (applied science projects and technology transfer and

pre-commercialization projects), timelines, deliverables and outputs; • Estimated costs for each proposed activity per year, responsible

organization, location, performance indicators and how progress will be measured;

• Research facilities and management, scientific, technical and administrative staff at Canadian universities and other R&D organizations (excluding Government of Canada Departments and Agencies) needed to implement the proposed activities, to conduct applied science plans including pilot project, to develop and manage intellectual property that may be generated, to access commercialization services and to prepare reports and communicate cluster results to stakeholders;

• Research facilities, scientific and technical staff needed within Collaborative Research and Development Agreements to implement the proposed activities;

8) Risk identification and mitigation measures: for foreseeable risks that the cluster can face, please describe them with the following elements: • Risk identification/explanation; • Likelihood of this risk happening; • The impact it would have on the project; and • List mitigation measures that can be put in place to mitigate identified risks;

9) Peer review process: outline clearly the peer review process and how it will be implemented for each applied science project within the cluster.

Section D: Cluster Work Plan Each applicant must submit their Work Plan on the Initiative Work Plan Excel spreadsheet. A copy of the Excel spreadsheet can be requested at this e-mail address: [email protected]. This Work Plan template outlines the major activities within each major project described on Section C7 as referenced above. Section E: Cluster Budget Each applicant must submit their budget on the Initiative Budget Excel spreadsheet. A copy of the Budget Excel spreadsheet can be requested at this e-mail address: [email protected].




The budget must clearly identify the applicant’s financial contributions (minimum of 25% required of eligible expenditures in cash). In-Kind contributions will not be accepted as part of the minimum required 25% cash contribution. The Initiative funding will be provided only for incremental eligible expenditures directly related to the cluster.

Provide detailed costing for each activity identified in Section D of this Proposal Guide and identify cluster management and administration costs as a separate activity in the budget. Consult Annex C for a complete list of eligible expenditures.

Certain documents developed as part of the cluster communications must be available in both official languages; translation costs are eligible expenditures and should be itemized in your proposed budget.

Please note that while budget formats have been simplified for the purposes of Contribution Agreement administration when recipients submit their expense reports, the reporting templates will require additional detail to ensure that their costs are eligible.

Section F: Cluster Organization Information 1) Clearly describe the ability and capacity (recent accomplishments and current

attributes) of the applicant to lead and manage the Canadian Agri-Science Cluster;

2) Describe the Board of Directors of the recipient that will lead the proposed Canadian Agri-Science Cluster. Identify the members and their qualifications. Also include details of the cluster management structure outlining the decision making authorities and accountabilities. As an example, who will have the authority to amend the projects and activities and how this process will be managed;

3) Describe the Science Advisory Body that will develop and implement the applied science activities. Identify the members and their qualifications;

4) Provide a list of proposed cluster participants (individuals and organization representatives);

5) Provide details of applicant’s funding received over the past five years indicating which programs (and associated departments), in which years, and funding amounts; and

6) Unpaid debt: indicate the amount owing and under what program or legislation if the applicant organization has any outstanding debts with the Government of Canada. It is a requirement of the Treasury Board Policy on Transfer Payments that recipients of funds declare any amounts owing to the federal government under legislation or Contribution Agreements.

Section G: Declarations and Signatures The original copy of the proposal must be signed by the President/CEO and the cluster leader of the applicant organization indicating that the applicant acknowledges that


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he/she/it has read and understood the objectives, principles and criteria of the Initiative. Consult Annex B for the Declarations that must be executed and submitted with the signed proposal. 3. SUPPORTING DOCUMENTS

1) Articles or certificate of incorporation. If the applicant is in the process of incorporating, attach a letter from the applicant to confirm the pending incorporation.

2) Audited financial statements of the applicant for the last two years (if applicable).

3) Letters of support: a. If the applicant does not directly represent the national agri-sector being addressed by the proposed Canadian Agri-Science Cluster, attach a letter(s) of support from the national organization(s) representing the sector; b. Attach letters of support from sector and industry organizations that will have a significant role in the management and/or activities of the cluster. Letters of support must make explicit reference to the proposal, and must: • Be signed by a senior executive; • Make commitments especially in terms of financial support; • Indicate how the proposal would help their organization; • Indicate current and past associations with the applicant; • Not exceed two pages. c. Attach letters of acknowledgement from universities and other research and development organizations that will undertake the applied science research and development activities in the proposed cluster. Letters of acknowledgement must: • Be signed by a senior management official (Dean or equivalent); • Make commitment to the applied science activities, research facilities, and

scientific, technical and management staff; • Indicate current and past association with the applicant; • Indicate current issues and challenges in relevant fields; • Indicate applied science research experience and expertise; • Not exceed two pages. d. Letters of acknowledgement from AAFC: letters of acknowledgement from AAFC would solely confirm that the scientific and technical capacity was available to conduct the work should the proposal be approved and would not infer an acceptance of the proposal.

4) Short biographies: attach short biographies for the each individual identified in Section A4, C7 (scientists/project leaders), F2, F3 and F4 as referenced above. Each biography should not exceed two pages in length.

5) Additional attachments: please reference, in the appropriate information Section, any additional material which is included and separate from the Proposal Forms.


ANNEX A

PLANNING FOR A CANADIAN AGRI-SCIENCE CLUSTER

OVERVIEW Potential applicants that require financial assistance to develop a Canadian Agri- Science Cluster applied science plan and technology transfer and commercialization strategy can apply for funding to cover up to 50% of the eligible expenditures to a maximum contribution of $125,000. The balance of eligible expenditures must be in the form of a cash contribution from non-government organizations. The proportion of government funding requested will be reviewed during the approval process; the level of risk and involvement by sector stakeholders and the level of sector and project economic benefit identified in the proposal will be factors in assessing the appropriateness of the proportion of public investment requested by the applicants. While this assistance is optional, the funding will be part of the up to $16 million funding available to a Canadian Agri-Science Cluster. OBJECTIVE The objective of Planning for a Canadian Agri-Science Cluster is to enable national agri-industry sectors in the initial identification and development of industry-led applied science clusters. ELIGIBLE RECIPIENTS Eligible recipients are not-for-profit agricultural corporations.

A proposal for Planning for a Canadian Agri-Science Cluster (See page two of this Guide) is required for consideration to receive this funding. The proposal must be developed in collaboration with relevant participants and must clearly indicate how the proposed activities will address the priorities of the sector. ELIGIBLE ACTIVITIES

• Consultations and interactions with the sector members, associated value chain members and key supporting participants to define and develop the key science and innovation opportunities, priorities and research activities;

• Market analysis and literature reviews to identify the opportunities, priorities and research activities;

• Identification of key gaps in the innovation chain that need to be addressed in the sector, with emphasis on the applied science activity requirements and technology transfer and commercialization strategies;

• Identification of key cluster participants and service providers for both the development of the applied science plans and the technology transfer and commercialization strategies, including value chain members, cluster participants and service providers capable of supporting the activities;


• Development of applied science activities and technology transfer and commercialization strategies that address these opportunities;

• Applied science activities; and • Identification of external expertise for cluster management facilitation.

SUBMISSION DATES AND CHECKLIST Applicants are encouraged to submit their proposals for Planning for a Canadian Agri-Science Cluster no later than July 31, 2009. The subsequent Canadian Agri-Science Cluster proposal must be submitted no later than January 31, 2010. Applicants must send the following to the Initiative office:

A CD containing: the complete Proposal as a single PDF file containing all signed material, including proposal, declaration and scanned letters of support in order. Please ensure the copy and paste functions are enabled. Please also send the excel Budget and Work plan spreadsheet separately, not as part of the pdf file.

In addition, an applicant may wish to submit a complete bounded paper copy with original signature. Tables, graphs and figures may be included (where applicable).

A complete proposal includes the following. More detailed information on these items listed below can be found in the Proposal Guide and Proposal Forms.

• Cover letter; • Proposal forms (include Work Plan and Budget templates); • Articles or certificate of incorporation, or if the applicant is in the process of

incorporating a new company, attach a letter from the applicant confirming this fact;

• Audited financial statements of the applicant for the last two years (if applicable); • Letters of support; • Short biographies; • Additional attachments: please reference, in the appropriate information Section,

any additional material which is included and separate from the Proposal Forms; • Signed original copy of the Declaration of the Applicant.

The Canadian Agri-Science Clusters Initiative office will contact the applicants to acknowledge receipt of the proposal within five working days of their submission.

Canadian Agri-Science Cluster Initiative office (For additional information, contact the Initiative office or visit the Initiative website.)

Canadian Agri-Science Cluster Initiative Agriculture and Agri-Food Canada Room 138, Tower 5, 5th Floor


1341 Baseline Road Ottawa, Ontario, K1A 0C5 Toll free number: 1-866-857-2287 E-mail: [email protected] Website: www.agr.gc.ca/Agri-Innovations REVIEW AND DECISION PROCESS

Complete proposals for Planning for a Canadian Agri-Science Cluster received by the Initiative office will be reviewed by an internal review committee to ensure that the Initiative’s goals and the Selection Criteria are adequately addressed. See the Selection Criteria in Annex D.

When a proposal for Planning for a Canadian Agri-Science Cluster is approved, a Contribution Agreement will be negotiated between AAFC and the recipient. Decisions reached pursuant to the review process will be final. If the applicant and AAFC cannot agree on the terms of a Contribution Agreement, AAFC is under no obligation to fund the proposal.

Approval of funding for Planning for a Canadian Agri-Science Cluster does not imply subsequent approval of Canadian Agri-Science Cluster proposal. Applicants are encouraged to contact the Initiative office to discuss their interests and eligibility for funding under the Initiative as they begin to consider their proposal. GUIDELINES FOR COMPLETING A PROPOSAL FOR PLANNING FOR A CANADIAN AGRI-SCIENCE CLUSTER The request for funding for Planning for a Canadian Agri-Science Cluster must include the following:

1. COVER LETTER A letter signed by the President or CEO of the applicant organization briefly describing the proposal for Planning for a Canadian Agri-Science Cluster (See page two of this Guide) and its objectives. Provide details regarding the structure of the applicant organization and the support that the organization proposes to provide to the Canadian Agri-Science Cluster. 2. PROPOSAL FORM (The Proposal Form can be requested at this e-mail address:

[email protected].)

Section A: Applicant Information 1) Applicant information: identify the legal entity, including its legal status and

operating name, and GST/HST Number; 2) Contact information: indicate the name, telephone and fax numbers, e-mail

address and language of correspondence; 3) Mailing address: indicate details of mailing address; and





4) President/CEO of the applicant’s organization and project leader: indicate the name, title, telephone and fax numbers, and e-mail and mailing address of the President/CEO and the proposed project leader of the applicant’s organization. A single project leader must be identified from the applicant’s organization.

Section B: Project Summary

1) Title of project; 2) Anticipated start date and completion date; and 3) Project summary: describe the project’s scope, objectives and activities, applicant

and participant information, expected outputs and impact. Write for a general audience using plain language and do not include confidential information as this summary may be used for communications purposes. Note: At AAFC’s expense, AAFC will have the Project Summary for Public Release translated into the other Official Language, in order to meet all bilingualism requirements. It is understood that by submitting the Project Summary for Public Release, the applicant authorizes its translation and its reproduction and publication by AAFC.

Section C: Project Information

1) Sector profile: provide a brief overview of the agri-sector in which the applicant’s proposed project will focus;

2) Sector vision: provide the vision of the sector’s shared needs over the next five to ten years, and how the proposed project will expand on these needs;

3) Benefit to Canada: briefly describe how the proposal addresses issues of high priority for the national sector in Canada; how the proposal will identify significant economic benefits to the sector and Canada. For additional information, see the Selection Criteria in Annex D;

4) Project overall goals/objectives, and how these are aligned with the Initiative’s goals described on the first page of this Proposal Guide;

5) Activities: briefly describe the activities and location of the proposed project, the estimated eligible expenditure and responsible organizations for each activity;

6) Risk identification and mitigation measures: for foreseeable risks that the project can face, please describe them with the following elements:

• Risk identification/explanation; • Likelihood of this risk happening; • The impact it would have on the project; and • List mitigation measures that can be put in place to mitigate identified risks.

Section D: Project Work Plan Each applicant must submit their Work Plan on the Initiative Work Plan Excel spreadsheet. A copy of the Excel spreadsheet can be requested at this e-mail address: [email protected]. This Work Plan template outlines the activities described on Section C5 of Annex A.



Section E: Project Budget Each applicant must submit their budget on the Initiative Budget Excel spreadsheet. A copy of the Budget Excel spreadsheet can be requested at this e-mail address: [email protected]. The budget must clearly identify the applicant’s financial contributions (minimum of 50% required of eligible expenditures in cash). In-Kind contributions will not be accepted as part of the minimum required 50% cash contribution. The Initiative funding will be provided only for incremental eligible expenditures directly related to the project. Provide detailed costing for each activity identified in Section D of Annex A of this Proposal Guide and identify project management and administration costs as a separate activity in the budget. Consult Annex C for a complete list of eligible expenditures.

Please note that while budget formats have been simplified for the purposes of Contribution Agreement administration, when recipients submit their expense reports, the reporting templates will require additional detail to ensure that their costs are eligible.

Section F: Project Organization Information 1) Clearly describe the ability and capacity (recent accomplishments and current

attributes) of the applicant and other project participants to lead and manage the project;

2) Provide a list of proposed project participants (individuals and organization representatives);

3) Provide details of applicant’s funding received over the past five years indicating which programs (and associated departments), in which years, and funding amounts; and

4) Unpaid debt: indicate the amount owing and under what program or legislation if the applicant organization has any outstanding debts with the Government of Canada. It is a requirement of the Treasury Board Policy on Transfer Payments that recipients of funds declare any amounts owing to the federal government under legislation or Contribution Agreements.

Section G: Declarations and Signatures The original copy of the proposal must be signed by the President/CEO of the applicant organization and cluster leader indicating that the applicant acknowledges that he/she/it has read and understood the objectives, principles and criteria of Planning for a Canadian Agri-Science Cluster. See Annex B for the Declarations that must be executed and submitted with the signed proposal. 3. SUPPORTING DOCUMENTS




1) Articles or certificate of incorporation. If the applicant is in the process of incorporating, attach a letter from the applicant to confirm the pending incorporation.

2) Attach audited financial statements of the applicant for the last two years (if applicable).

3) Letters of support: Attach letters of support from sector and industry organizations that will have a significant role in the management and/or activities of the cluster. Letters of support must make explicit reference to the proposal, and must:

• Be signed by a senior executive; • Make commitments especially in terms of financial support; • Indicate how the proposal would help their organization; • Indicate current and past associations with the applicant; • Not exceed two pages.

4) Short biographies: attach short biographies for the each individual identified in Section A4, C5 and F2 in Annex A. Each biography should not exceed two pages in length.

5) Additional attachments: please reference, in the appropriate information Section, any additional material which is included and separate from the Proposal Forms.


ANNEX B

DECLARATIONS AND SIGNATURES The Applicant acknowledges that he/she/it has read and understood the objectives, principles and criteria of the Initiative (see documentation at www.agr.gc.ca/Agri-Innovations) and that the Applicant understands and agrees to the following: 1. The Applicant acknowledges that the submission of this Proposal does not oblige Agriculture and Agri-Food Canada (AAFC) to approve the application or to provide funding or other support for the project/cluster proposed therein, nor any other funding. 2. The Applicant acknowledges that discussions with AAFC officials regarding their project/cluster do not constitute a funding commitment. 3. The Applicant acknowledges that he/she/it has obtained a copy of the Initiative guidelines and has read and understood its contents.

4. In the event this Proposal is accepted by AAFC, the Applicant agrees that any expenses incurred in respect of this Proposal before the effective date of a signed Contribution Agreement are not eligible for reimbursement by AAFC, unless AAFC authorizes such payment in writing. Acceptance of the proposal by AAFC is not an authority to incur costs before a Contribution Agreement is signed, and does not create an obligation on AAFC’s part to pay any costs incurred before the Contribution Agreement is signed.

5. The Applicant acknowledges and understands that the purpose of the Proposal is to submit his/her/its proposed project/cluster for consideration for funding or other support under the Initiative. The Proposal will be evaluated by AAFC to determine the potential eligibility for funding or other support under the Initiative, using the criteria outlined in Annex D of the Canadian Agri-Science Cluster Proposal Guide. 6. The Applicant also consents to the disclosure of this information to other federal government departments or agencies, or other levels of government such as provincial or territorial governments, for purposes of verification of sources of funding or other support for the project/cluster described in the Proposal. The Applicant consents to the disclosure by other federal departments or agencies, or other levels of government of information relating to funding or other support or potential funding or other support of a project/cluster of the Applicant by any department, agency or government for purposes of their verification of sources of funding for such project/cluster. 7. The GST/HST Number is collected under the authority of the Excise Tax Act for the purposes of reporting income. 8. The Applicant declares that he/she/it is in full compliance with all of his/her/its current obligations, financial and otherwise, towards the Government of Canada and with all municipal, provincial and federal environmental requirements. 9. The Applicant has not, nor has any person on his/her/its behalf: a) offered, promised or provided to any official, employee or any other person representing Her Majesty the Queen in Right of Canada, any bribe, gift or other inducement for or with a view to obtaining contribution funding or other support, or b) employed or retained any person in respect of obtaining contribution funding or other support for a commission, contingency fee or any other consideration dependant upon the execution of an agreement with the Government of Canada.



10. The Applicant declares that all employees, officers and contractors and contractor-employees of (name of applicant) who have been involved in the preparation of the project/cluster proposal or whom (name of applicant) intends to assign to work on the proposed project/cluster, are either not former employees of the federal Government, or are in compliance with the provisions of the Value and Ethics Code for the Public Service or the Conflict of Interest and Post-Employment Code for Public Office Holders. 11. With respect to the proposed project/cluster forming the subject of this Proposal, the Applicant declares that any person who is required to be registered pursuant to the Lobbying Act, including consultants and in-house lobbyists, is registered pursuant to and is in compliance with that Act. Should AAFC become aware that such a person has not registered pursuant to the Act, the Applicant's file will immediately be closed. 12. The Applicant declares that he/she/it has obtained consent to provide information about other individuals or entities identified in the Proposal, and has been authorized by those individuals or entities to provide that information. As well, the Applicant agrees that where the Applicant has provided information about other individuals or entities, if they request to see the information submitted about them by the Applicant, AAFC will give them access to that information. 13. The Applicant agrees that the person(s) the Applicant has identified on this form as the contact person(s) may receive information relating to the Proposal from AAFC. 14. The Applicant agrees to obtain appropriate certification of ethics review for each science activity involving animals, human subjects, biohazards, or radioactive materials. Since project/cluster funding and other support fall under AAFC’s legislative mandate, science activities must adhere to the Tri-Council Policy Statement Ethical Conduct for Research Involving Humans located at http://www.pre.ethics.gc.ca/english/policystatement/policystatement.cfm. For further details, applicants should consult the Science Ethics Policy Framework of Agriculture and Agri-Food Canada (AAFC), as project/cluster funding falls under AAFC's mandate. 15. The Applicant acknowledges having submitted a Summary of its proposal for public release by AAFC. The Applicant hereby grants Canada a royalty-free, non-exclusive and perpetual permission to translate the said Summary and to reproduce and publish it by any means and on any medium whatsoever. 16. In the event that the Applicant is an entity other than an individual, the signatory below hereby represents and declares he/she is duly authorized to act on the Applicant’s behalf and to sign the Declaration and bind the Applicant in its regard. 17. The information provided in this Application is to the Applicant’s best knowledge and belief, after making due enquires, accurate and complete.


http://www.pre.ethics.gc.ca/english/policystatement/policystatement.cfm

18. The Applicant acknowledges and understands that the information contained in this proposal is being collected for the purposes of assessing and reviewing the proposal’s eligibility to receive funding or other support under the Initiative and that any information submitted as part of the proposal may be disclosed to the extent necessary for assessment and review of the proposal, including peer review, verification of the information submitted, project/cluster review, statistical purposes and performance reporting. Any personal, financial, commercial, scientific or technical information provided in this Application will be treated in accordance with the federal Access to Information Act and Privacy Act. Any personal information submitted as part of the proposal will be held in the Growing Canadian Agri-Innovations Program Personal Information Bank AAFC/PPU 628 and may be disclosed in accordance with the Privacy and Access to Information Acts and in accordance with the consents provided herein. Under the Privacy Act and Access to Information Act, information relating to any discretionary benefit of a financial nature conferred on an individual, including the name of the individual and the exact nature of the benefit, may be disclosed to the public. You may at any time request a review, update or correction of the information held by AAFC about you. Any questions, comments or concerns regarding your privacy may be directed to the Access to Information and Privacy Directorate Coordinator at (613) 733-1388.

_______________________ ____________________ ____________ Name of Corporation President/CEO Signature Date

____________________________ _______________ __________

Name of Canadian Agri-Science Cluster Leader Signature Date Or Name of Project Leader


ANNEX C

ELIGIBLE EXPENDITURES

Eligible Expenditures Eligible expenditures are costs relating to the execution or implementation of eligible projects incurred by eligible recipients, which include:

• Cost of goods and services and all related shipping and transportation costs; • Incremental cost of services, such as salaries and benefits, specific per diem

fees, or actual project or program disbursements; • Incremental costs for rental or lease of facilities, equipment or machinery (the

purchase of specialized items necessary for the execution and performance of the project may be eligible with prior approval);

• The purchase of capital items, such as computers, office/laboratory equipment and furnishings, excluding land or buildings, if they are specifically required for the execution and performance of the project and are approved in advance in writing;

• Capital expenditures eligible under this Initiative are not to exceed 25% of the total project contribution, unless they are specifically required for the execution and performance of the project and are approved in advance in writing;

• Hospitality (http://www.tbs-sct.gc.ca/pol/doc-eng.aspx?id=12190) and travel costs (http://www.tbs-sct.gc.ca/pubs_pol/hrpubs/tbm_113/menu-travel-voyage-eng.asp ) within Treasury Board guidelines;

• Production of materials required to fulfill obligations under the Contribution Agreement, including translation and production of materials in the second official language; and

• Overhead costs when it can be clearly demonstrated they constitute incremental costs that cannot be absorbed by the recipients (to be considered on a case-by-case basis).

Ineligible Expenditures Costs incurred that do not fall within the description of Eligible Expenditures above, shall be considered to be ineligible for reimbursement. In particular, ineligible expenditures include:

• Capital items not specifically required for the execution of the Initiative; • Refundable portion of the Goods and Services Tax, value-added taxes, or other

items for which a refund or rebate is received; • Hospitality and travel expenditures beyond legislated authorities or gifts

associated with the hosting of events; • Costs related to government departments and agencies; and • Any other expenditure not specifically listed as eligible or otherwise approved to

be eligible.



http://www.tbs-sct.gc.ca/pubs_pol/hrpubs/tbm_113/menu-travel-voyage-eng.asp

http://www.tbs-sct.gc.ca/pubs_pol/hrpubs/tbm_113/menu-travel-voyage-eng.asp

ANNEX D

SELECTION CRITERIA To ensure that the Initiative goals are met, proposals will be assessed against the Initiative’s goals and the Selection Criteria outlined below. In addition, approved clusters will be evaluated on an ongoing basis during the Initiative life against these criteria. I. Benefits to Canada, Canadians and Agriculture

• The extent to which the Canadian Agri-Science Cluster proposal addresses issues of high priority for the national sector in Canada;

• The potential for the Canadian Agri-Science Cluster to yield significant economic benefits to the sector and Canada;

• The likelihood that the Canadian Agri-Science Cluster will: o Contribute to increasing private sector R&D capacity and receptivity to the

results of R&D; o Strengthen links between researchers and the agricultural, agri-food and

agri-based products sector, to address significant research challenges that meet commercialization strategy;

o Accelerate innovation leading to more agri-products, practices and processes with greater value entering the marketplace;

o Increase demand for primary production or the opportunity to grow crops or raise livestock with a higher value;

o Increase investment by the private sector in the Canadian Agri-Science Cluster as farmers and agri-business recognize the benefits of being able to direct their own applied science;

o Accelerate the development, transfer and uptake of research and innovation results from the cluster in the sector.

Additional elements to consider Applicants are requested to submit proposals that will expand on the vision of their sector’s shared needs over the next five to ten years, the major R&D and commercialization challenges and barriers in that vision, and how the proposed cluster will address these research challenges and barriers to enhance their innovativeness and competitiveness. II. Track Record and Potential of the Applicants

• The agri-science achievements of the applicant and cluster participants and their ability to lead the cluster;

• The ability of the applicant and cluster participants to attract innovative and internationally competitive professionals and technical support staff critical to the objectives and activities of the Canadian Agri-Science Cluster and the targeted sector;


• The proven ability of the applicant and cluster participants to attract investment and their financial capacity to support cash contributions (minimum of 25% eligible expenditures) within the cluster;

• The quality of the proposed organizational structure with appropriate representation by industry leaders on the Board of Directors and management team;

• The appropriateness of the Science Advisory Body required to implement the cluster applied science plan; and

• The extent to which the cluster can attract and involve participants and service providers from industry, government and academia to compliment and supplement the funding available from the Initiative. All arrangements, contributions and allocations of benefits (such as intellectual property) among participants and service providers must be fully described for a proposal to be considered complete.

III. Strength of the Applied Science Plan and Technology Transfer and

Commercialization Strategy and the Activities • The Applied Science Plan

o Excellence of the principle investigators being engaged by the applicant;

o Scientific merit, originality, quality and clarity of the applied science plan;

o Integration of key industry, government and academic scientific resources that are available in Canada;

o Feasibility and potential to achieve objectives and deliver results; o Peer review process and how it will be implemented.

• Technology Transfer and Commercialization Strategy o Excellence of the technology transfer and commercialization

participants; o Merit, originality, quality and clarity of the technology transfer and

commercialization strategy; o Contribution to innovation and commercialization within the

industry/sector objectives; o Feasibility and potential to achieve objectives and deliver results

• Description of Projects and Activities o The extent to which the proposal clearly describes the:

Work to be done including all major projects and activities; Major milestones (activities, outputs, deliverables and

performance indicators) and how they will be measured; Activity locations, responsible organizations, timelines, budget

and cost breakdown. o The likelihood that the cluster will manage, protect and exploit the

research, knowledge, intellectual property and innovation resulting from the activities;


o How the results will be adopted, their potential impact on industry profitability and competitiveness, including commercialization and market opportunities;

o The likelihood of the investment to result in the creation of a sustainable cluster in support of the priorities of the sector.

• Risk Identification and Mitigation Measures The clarity and completeness of the proposal in addressing the:

o Risks in finance, applied science and commercialization including a brief description;

o Likelihood of this risk happening and its impact on the project; o Mitigation measures

Additional elements to consider Proposals must be developed in collaboration with relevant stakeholders. Industrial supporters must be prepared to indicate their financial support in cash for the proposed Canadian Agri-Science Cluster.

All arrangements, contributions and allocations of benefits (such as intellectual property) among participants and service providers must be fully described for a proposal to be considered complete.

Proposals must provide evidence that the Applicant has in place an accountability framework that is likely to provide effective leadership, sound financial decision-making and appropriate performance reporting.


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