Guidebook - CBCF National€¦ · This guidebook contains essential guidelines and criteria that...

2013

National Research Grants

Guidebook

CBCF-CIHR Breast Cancer in Young

Women Competition

National Research Grants Guidebook

Canadian Breast Cancer Foundation © 2013

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Table of Contents

1. Organizational

Context……………………………………………………………………………………………….…….........................4

CBCF

Fundraising

Volunteers

Foundation Vision, Mission and Values

2. Competition

Description….............................………………………..……………………………………..……........................6

3. Application

Eligibility………………………………………………………………………………………………………….........................8

Concurrent Proposals and Projects

Projects Related to Commercial Interests

Principle Investigator Eligibility

Co-Applicant

Additional Author/Research Associate

Collaborator

Technicians

Eligible Research Project Costs

Capital Equipment

Ineligible Costs

4. Application Review

Process……………..……………………………………………………………………………................….............12

Conflict of Interest

Conflict of Interest Defined

Grant Peer Reviewers

Members of the CBCF Board of Directors

Notification of Decision

5. Guidelines for Funded

Projects………………………………………………………………………………………………………………..…….16 .

Notification of Funding Decision

Funding Agreement

Nature of Funding Agreement



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Principle Investigator/Primary Applicant – General Commitments

Project Host Organization – General Commitments

Availability and Payment of Funds

Project Change Requests

Change of PI Organizational Affiliation/Status

Leave

Acknowledgement and Recognition

Publicity, Media, and Stakeholder Communication

Accountability and Reporting Framework

Intellectual Property

Unity of Control

Non-Enforcement for Research Purposes

Commercialization and Confidentiality - Notice Provisions

Obligation to Share Revenue

Obligation to Share Research

Reporting Obligations Related to Commercialization Activities

Global Access

Knowledge Dissemination/Exchange

Release of Foundation Funds

Financial Audit

Scientific Audit

Project Extension

Unspent Grant Funds at Conclusion of Project



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Using this Guidebook

This guidebook contains essential guidelines and criteria that you should review in detail prior to applying to the

2013 CBCF-CIHR Breast Cancer in Young Women National Research Grant Competition. Together with the 2013

National Grants Application Manual, Registration and Application Forms (available for download at:

http://www.cbcf.org/central/ApplyForGrants/Pages/default.aspx) these documents are critical parts of the

package for completing a full application. They should be reviewed carefully to ensure that you meet all

eligibility requirements and understand funding guidelines prior to preparing a funding application.

Applicants are encouraged to contact CBCF - National Grants and Partnerships staff with any questions or

clarifications on the Foundation’s policies, procedures, National Research Grants Program objectives, or funding

priorities by email at: [email protected]

After you have been successful in the Letter of Intent stage and been invited to apply for the full application,

please follow the detailed instructions in the 2013 National Grants Application Manual to complete your

application.

http://www.cbcf.org/central/ApplyForGrants/Pages/default.aspx

mailto:[email protected]



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1. Organizational Context

Canadian Breast Cancer Foundation

Founded in 1986, the Canadian Breast Cancer Foundation is the leading national volunteer-based

organization dedicated to creating a future without breast cancer. The Foundation carries out its work

across Canada through five business units and their staff and volunteer resources, including regional

offices in BC/Yukon; Prairies/NWT; Ontario; Atlantic and a central office in Toronto. The Foundation’s

Regions fund research initiatives across the country through grant allocation as well as funding

community education and awareness programs.

Fundraising

Cause-related programs and grants are made possible by the funds generated through individual and

corporate giving, major gifts, in-memoriam and tribute giving, employee giving, cause marketing, direct

mail, community events, Yard Sale for the Cure and the Canadian Breast Cancer Foundation CIBC Run

for the Cure. In 2010, the Canadian Breast Cancer Foundation directed more than $20 million to

research grants.

Volunteers

As a leading national volunteer-based organization in Canada dedicated to creating a future without

breast cancer, volunteers serve on the Board of Directors, give their time in support of fundraising

events, contribute their expertise as grant review panellists and committee members, and support our

office staff. Breast cancer survivors provide inspiration and connection to our communities by sharing

their stories in a wide variety of Foundation programs and events. Volunteers are at the heart of all that

the Canadian Breast Cancer Foundation does, and are highly valued members of our team.



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Canadian Breast Cancer Foundation Vision

A future without breast cancer

Canadian Breast Cancer Foundation Mission

The Canadian Breast Cancer Foundation is Canada's leading community-driven breast cancer charity

dedicated to:

funding relevant and innovative research and

supporting and advocating for the breast cancer community

Canadian Breast Cancer Foundation Values

Canadian Breast Cancer Foundation is committed to advancing its vision and undertaking its work with: Passion We are passionate about the work we do and the role we play in advocating for the breast cancer community. Our dedication to the cause inspires us to work effectively and continuously evolve to achieve the greatest impact. Integrity We are ethical, accountable and transparent in the work we do. We are continually striving to ensure that donors and the public can remain confident that their dollars are used wisely in carrying out our vision. Respect We promote trust, collaboration and open communication to help create a positive community that maximizes the potential of all individuals. We strive to create an environment where problem solving and feedback are encouraged and valued. Leadership We are committed to serving as a trusted leader in the breast cancer community. As a resource in the areas of breast health and breast cancer, our positions will always be informed, evidence-based and forward-thinking. Community We recognize the invaluable contribution of our volunteers; whose dedication, support and commitment makes our work possible. Founded by a group of dedicated volunteers, we remain community-driven to this day. Impact We fund research and undertake initiatives that have the greatest impact and benefit for the breast cancer community. We are dedicated to leading the way in support of our vision of creating a future without breast cancer.



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2. Competition Description

Breast cancer is the most common cancer in Canadian women, after non-melanoma skin cancer. One in nine Canadian women is expected to develop breast cancer during their lifetime and one in 29 will die from their disease. In 2012, this translated to an estimated 22,700 new breast cancer diagnoses and 5,100 deaths in Canada. Breast cancer risk increases with age with about 80% of cases occurring in women over 50 years of age and more than half occurring in women between the ages of 50 and 69. However, 19% of all new breast cancer cases in Canada are diagnosed in women less than 50 years of age. For young women, especially those under the age of 40, breast cancer tends to be more advanced at the time of diagnosis and often presents as a more aggressive disease, exhibiting increased resistance to standard treatments, resulting in a poor prognosis. In addition, there are many unique challenges associated with a diagnosis of breast cancer in women under 40, such as pregnancy associated breast cancer; loss of fertility; early career disruptions; care of young children amid the complex reactions of family, friends and partners; and the shock of facing an unexpected cancer diagnosis at such a young age. Although a considerable amount of breast cancer research is underway in Canada, few research projects focus specifically on the sub-population of young women, especially those without a family history of breast cancer. In September 2012, , the Canadian Breast Cancer Foundation (CBCF) and the Canadian Institutes of Health Research (CIHR) Institute of Cancer Research (ICR) joined forces to convene a consultation workshop. A broad range of participants from many disciplines and backgrounds came together for two days to explore strategies to address this underserved area of research. The recommendations from this workshop informed the development of this current strategic research initiative. Potential applicants are advised to consult the full workshop report

1 : CBCF-CIHR Breast Cancer in Young Women Workshop

Report Data presented at the workshop confirmed that, in Canada, most of the breast cancer research funding related to breast cancer in young women has supported research on BRCA positive breast cancer with a family history, with little research focused on sporadic forms of breast cancer in young women. This is most likely because breast cancer in this younger age group is rare, with only about 1,500 diagnoses per year. This low incidence, coupled with the relatively small and dispersed Canadian population, presents a challenge to researchers attempting to capture a large enough cohort to support statistically powered research. Workshop participants expressed enthusiasm for the idea of creating a national network/consortium to support collaborative, multidisciplinary, multi-jurisdictional, translational research designed to ensure the incorporation of research outcomes into current standards of care. This funding opportunity has been designed to facilitate progress in this underserved research area towards improving the clinical outcomes and quality of life for young women with breast cancer. Objectives: To focus the efforts of the Canadian research community on breast cancer in young women, with a special focus on

women aged 40 years of age or less, with the ultimate goal of improving their clinical outcomes and quality of life To address a gap in breast cancer research not currently served by traditional operating grants or other existing

funding mechanisms The successful Program will: Develop a coordinated Program of research, under a single leadership, that will overcome the geographic, numerical,

and interdisciplinary challenges encountered when studying breast cancer in young women; Be comprised of a minimum of three independently fundable, synergistic sub-projects;

1http://www.cbcf.org/central/YourDollarAtWork/Grants/Documents/2012-02-14-CBCF-CIHR-YoungWomen.pdf

http://www.cbcf.org/ontario/YourDollarAtWork/Grants/Pages/National-Research-Initiative---Young-women-and-breast-cancer.aspx




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Establish a team of recognized Canadian leaders in breast cancer research, spanning at least three distinct disciplines, that shows promise of true synergy in advancing toward treatment goals not attainable by any individual component;

Create a critical mass of researchers working collaboratively and synergistically at several sites to move research results more effectively towards clinical applications and interventions for young women with breast cancer;

Harness existing research resources, including cohorts, bio-sample repositories, administrative data sets, and relevant centres of research excellence, to avoid duplication of effort, and build on current Canadian and international activities;

Provide a detailed plan to measure the potential impact of the research Program, by establishing a baseline at the outset and a comparative measure at the end of the funding period.

Partners The opportunity to add new partners to this funding opportunity may arise after the RFA launch. These partners may not be listed; however, the principles that govern relevance review and funding decisions will still apply in these cases. Funds Available The amount available to support a single Program Grant is $6 Million over 5 years; approximately $1.2 million/year. Of this: $3 million is available from CBCF as part of the CBCF National Grants Program. $3 million is available from CIHR-ICR, through the Canadian Breast Cancer Initiative (CBCI). The total amount available to a successful Program may increase if additional funding partners participate. Equipment costs must not exceed 10% of the total budget request and will be awarded in year one. In addition, application development funds (Planning Grants) of up to $25,000 each will be available for Program

applications deemed relevant at the Letter of Intent stage. IMPORTANT NOTES: 1. While multiple applications will be accepted, the intent is to fund one Program. 2. Groups are encouraged to join together during the planning stages and/or incorporate novel groups not included at

the LOI stage. 3. The CBCF and CIHR-ICR financial contributions for this initiative are subject to availability of funds. Should funding

levels not be available or are decreased due to unforeseen circumstances, the funding partners reserve the right to reduce, defer or suspend financial contributions to grants received as a result of this funding opportunity.

4. This is not a CBCF Regional Competition. This is a CBCF National Grant Competition provided in partnership with CIHR-ICR and additional to CBCF Regional Competitions. For more information about CBCF Regional grant competitions please refer to http://www.cbcf.org/.

Relevant Research Areas The successful Program will span the multiple disciplines of breast cancer research to support a holistic, “whole woman” approach. Eligible research areas include but are not limited to:

Prevention and risk reduction

Genomics and molecular oncology

Therapeutics

Survivorship and psychosocial issues Each of these theme areas is described in more detail in the workshop report: CBCF-CIHR Breast Cancer in Young Women Workshop Report.

http://www.cbcf.org/en-US/CBCF%20In%20Action/research.aspx





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3. Application Eligibility

Applicants funded through this funding opportunity and any other persons working on the funded projects must comply fully with the CBCF and CIHR Funding Policies and Guidelines. Polices and Guidelines cover areas such as Applicant Responsibilities, Official Languages Policy, Access to Information, and Acknowledgement of CBCF and CIHR Support, and can be found online here (CIHR)

2 and here (CBCF)

3.

Administrative Structure: The Program must nominate a Program Principal Applicant and Host Institution to accept administrative responsibility

for the Program. Each sub-project must have its own, independent Principal Applicant.

Eligible program costs include: Research operating costs for the proposed research Program. Purchase of equipment and maintenance contracts for common services and shared facilities essential for the

Program. Costs of data collection, database and maintenance of information holdings directly related to the program. Set-up and maintenance costs for an administrative/coordinating centre, which may be a physical centre or a virtual

network, and includes office supplies and the salary of program support coordinator(s). No more than 10% of the annual funds per year can be invested in the support of the administrative structure.

Costs of regional, national and international networking activities, including collaboration, planning, and knowledge exchange activities directly related to the Program.

Costs of an annual scientific/networking meeting or the creation and support of a website for the Program - not to exceed 10% of the annual funds.

Salaries of research assistants, technicians, program coordinators, trainees and other personnel. Costs involved in linkage with and dissemination of research findings to those who use the results such as researchers,

the public, practitioners and policy communities, and the industrial sector. Publication costs.

The Foundation will not entertain new proposals from any Research Project Grant Recipient who has not

complied with Foundation reporting requirements and may at its sole discretion choose not to entertain any

new proposals from the Research Project Host Organization until reporting requirements are complete.

Projects Related to Commercial Interests

The primary purpose of the Foundation in funding scientific research is to advance its mission of “A Future

Without Breast Cancer” for the betterment of humanity. The Foundation does not fund projects whose primary

purpose is the development or promotion of commercial interests.

Program Principal Investigator/SubProject Principal Investigator Eligibility

Both the Program Principal Investigator/Primary Applicant and all SubProject Principal Investigator/Primary

Applicant(s) must be a Canadian citizen or permanent resident of Canada based in, or formally affiliated with an

2 http://www.cihr-irsc.gc.ca/e/204.html

3 http://www.cbcf.org/central/YourDollarAtWork/Grants/Pages/default.aspx

http://www.cihr-irsc.gc.ca/e/204.html

http://www.cbcf.org/central/YourDollarAtWork/Grants/Pages/default.aspx

http://www.cihr-irsc.gc.ca/e/204.html

http://www.cbcf.org/central/YourDollarAtWork/Grants/Pages/default.aspx



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eligible host organization (university, college, hospital, research institute or other qualifying not-for-profit

organization) in Canada and their primary professional practice must be within Canada.

Program Principal Investigator/Primary Applicant and all SubProject Principal Investigator/Primary Applicant(s)

will usually hold a Ph.D. or equivalent Medical Degree and have formal research training. The Principal

Investigator is not eligible to receive salary support.

Students, trainees, research associates and post-doctoral fellows are not eligible to hold a Canadian Breast

Cancer Foundation – National Grant as Principal Investigator/Primary Applicant. Investigators based outside of

Canada are also not eligible to hold a Canadian Breast Cancer Foundation – National Grant as Principal

Investigator/Primary Applicant. Please refer to Section 5 to review the commitments and responsibilities

expected of the Principal Investigator/Primary Applicant.

Additional Author/Research Associate

Additional Authors and Research Associates are individuals who will make substantial intellectual and/or

functional contributions to the research project or have contributed to the drafting of the application, but are

not eligible to be included as Co-Applicants.

Students, trainees, research associates, post-doctoral fellows or lay contributors may be included in this

category and may receive salary support or honoraria from the grant budget in keeping with standard host

organization rates, providing that project funding does not duplicate other funding available for this purpose.

Note - CBCF Funding Policy. The Foundation does not support CPP, employment insurance, health taxes, WSIB

or fringe benefits for students or fellows.

Collaborators

The project design may include research collaborators who are central to the research and not otherwise

identified in the categories above. Such collaborators may be located within, or outside of Canada. Research

collaborators may be eligible to receive project funds for specified services or resources if it can be

demonstrated that their contribution is essential to the work being undertaken and not otherwise available to

the project team.

Students/Fellows

Students and Fellows are individuals who contribute to the research project as part of their academic or clinical

training and whose work is supervised by the Principle Applicant, one or more of the Co-Applicants, or a project

Collaborator. Students and Fellows may receive salary support or honoraria from the grant in keeping with host

organization rates and policies, providing that project funding does not duplicate other funds available for this

purpose.

Technicians



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Technicians may be staff of the Principal Applicant, one or more Co-Applicants or Collaborators, who are central

to and will work directly on the proposed project. Technicians may receive salary support or honoraria from the

grant in keeping with host organization rates and policies.

Eligible Use of Funds

Eligible program costs include:

Research operating costs for the proposed research Program.

Purchase of equipment and maintenance contracts for common services and shared facilities essential for the Program.

Costs of data collection, database and maintenance of information holdings directly related to the program.

Set-up and maintenance costs for an administrative/coordinating centre, which may be a physical centre or a virtual network, and includes office supplies and the salary of program support coordinator(s). No more than 10% of the annual funds per year can be invested in the support of the administrative structure.

Costs of regional, national and international networking activities, including collaboration, planning, and knowledge exchange activities directly related to the Program.

Costs of an annual scientific/networking meeting or the creation and support of a website for the Program - not to exceed 10% of the annual funds.

Salaries of research assistants, technicians, program coordinators, trainees and other personnel.

Costs involved in linkage with and dissemination of research findings to those who use the results such as researchers, the public, practitioners and policy communities, and the industrial sector.

Publication costs.

4. Application Review Process

The CBCF-CIHR Breast Cancer in Young Women National Grant Competition involves a three step

application and review process: Letter of Intent, Application and in Person Panel Review. The Research

Program application, under a single leadership, must include of a minimum of three independently

fundable, synergistic SubProjects applications. The specific Program and SubProject applications are all

to be completed in WebGrants.

1. Letter of Intent

A successful Letter of Intent is mandatory for this competition. Only invited successful Letter of Intent

Applicants will have projects that will be accepted at the full application stage. The Letter of Intent must

be submitted in English and through WebGrants.

The Letter of Intent submission will be carefully screened by CBCF Staff and by the Research Advisory

Committee for eligibility according to published program criteria. Successful applicants will be invited to

submit a full application.



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If the project is deemed ineligible, the Applicant will be provided with the reason(s) for which the

registration was deemed ineligible and the applicant may re-apply to a future call for proposals.

2. Program and SubProject Application

All applications will be carefully screened for eligibility based on published program criteria prior to being assigned for peer review. Applications must be submitted in English through WebGrants. Eligible proposals are assigned for detailed review to a minimum of two “internal” peer reviewers who

sit on the review panel, and may also be assigned to one or more “external” reviewers.

If the application is ineligible for peer review, the Applicant will be provided with the reason(s) for which

the application is ineligible and the applicant may re-apply to a future Research Project call for

proposals.

Reviewers are recruited for specific expertise related to the applications being assessed. Reviewers

provide the Foundation with written assessments of assigned proposals, utilizing a standard evaluation

form that includes rating scales for each published grant program criterion, including:

1. The expertise of the Research Team

2. Detailed Project Proposal – Background data, rationale, hypothesis/research question, objectives

3. Detailed Project Proposal – Research methodology

4. Anticipated impact/relevance to breast cancer

Assigned reviewers will provide detailed feedback and preliminary scores to CBCF.

3. In-Person Panel Review

All members of the peer review panel who have not declared a conflict of interest in relation to a

particular proposal will participate in a discussion of that application and final rating of the proposal and

framing of the funding recommendation and applicant feedback. The Program Principal Investigators

and the SubProject Principal Applicants will have the opportunity to attend the in Person Panel Review

to present their project and answer any questions of the expert reviewers.

The most highly rated and ranked application, as determined by the panel review are recommended to

the National Board of Directors for final decision-making on funding approvals. The funding cut-off level

is determined by available funds and application quality. The Foundation may, at its sole discretion,

choose among highly-rated applicants based upon Foundation priorities, if insufficient funds are

available to support all similarly-rated proposals. No more than one Program will be funded in this

competition.

Conflict of Interest

The Canadian Breast Cancer Foundation has established a reputation as a leading breast cancer charity

in Canada. This reputation is closely linked to the trust that the public has placed in the organization to



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invest the funds raised effectively, and the Foundation is accountable to these donors to ensure that

appropriate policies and practices are in place to govern the organization. CBCF’s Conflict of Interest

Policy clearly outlines what actions and relationships would constitute a conflict of interest related to

application for funding from CBCF.

Conflict of Interest Defined

The Canadian Breast Cancer Foundation makes every effort to ensure that its review processes and

allocation decisions are fair and objective, and that there is transparency to ensure the process also

appears fair to Foundation stakeholders.

Conflict of Interest relates to any situation where an individual’s private interest may be incompatible or

in conflict with their responsibilities as a Review Panel member with the Foundation. This includes, but

may not be limited to, situations where an individual or member of his/her immediate family (Spouse or

spousal equivalent, children, siblings, or parents):

Has a direct pecuniary interest4 in the outcome of the review for a particular proposal;

Holds a position of governing responsibility within any organization which would potentially

incur benefit from the outcome of the review for a particular proposal;

Has assisted in the development of the proposal under review;

Has collaborated, or been a co-applicant on a grant with the applicant within the last three

years;

Has a close business or personal relationship with the applicant;

Has had long-standing scientific or personal differences with the applicant;

Is employed within the same Department as the applicant;

Is a former student or supervisor of the applicant (within the past 5 years).

Grant Peer Reviewers

Conflict of Interest with respect to Grant Peer Reviewers and Review Panel members is assessed using

the following standard CBCF policies and practices:

4 Direct pecuniary interest – An individual financial interest rather than one that is common to a class of persons.

That is to say, it is not considered a conflict of interest if a large segment of the population, including the

member, will benefit from a decision to which the member is a party. However, it is a conflict of interest if the

member of his or her family could benefit personally from a decision while of a larger group of people could not.



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Applicants to any Research Project Grant or Fellowship round, and individuals named as

Fellowship Supervisors on Fellowship applications, are ineligible to serve as reviewers to the

program and panel to which the application has been submitted, nor are they eligible to

participate in any discussions related to the final rankings/ratings of applications.

Potential reviewers must read and accept the CBCF Confidentiality and Conflict of Interest policy

statement prior to receiving any grant information.

Reviewers who have signed the above statement are able to view summarized grant

information, upon which to make an initial assessment as to conflict of interest.

Reviewers are only assigned to review proposals for which they have no conflict of interest.

Reviewers with a conflict of interest with a particular proposal may sit on a panel considering

that proposal, but will not see any review-related materials or participate in discussions.

If, upon review of the full application, reviewers identify a conflict which had not been apparent

from the summary information originally provided, all materials are retrieved and further access

to the application in question is removed.

At Review Panel meetings, the Review Panel Chair is provided with a list of declared conflicts for

each application under review, and asks the Panel and observers to declare any additional

conflicts.

Review Panel members and observers in conflict leave the room for the duration of all

discussions related to any proposal for which they have a conflict.

All declared conflicts of interest and the actions taken as part of the grant review process will be

recorded in the grant review panel proceedings, such that the proceedings will reflect when a

member of the panel has declared a conflict of interest, and left the room for the duration of

the discussion of the related grant.

The Chairperson is subject to the same conflict of interest guidelines as reviewers and observers

and is responsible for resolving issues where there is uncertainty as to whether a conflict exists.

Members of the CBCF Board of Directors

Conflict of Interest with respect to members of the CBCF Board of Directors is assessed using the

following standard CBCF policies and practices:

Members of the CBCF - National Board of Directors can apply for CBCF Research Project Grant

funding and serve as Fellowship Supervisors, but cannot apply for CBCF Fellowship funding (as

Fellowship recipients receive salary support).

Previous recipients of CBCF Research Project Grants, including grants that have multiple-year

payment schedules, can serve as Board members.

Current Fellowship grant recipients would not be eligible for Board membership (as Fellowship

recipients receive salary support), whereas previous Fellowship recipients whose grants have

concluded prior to joining the Board would be eligible.



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Board members, if participating as Grant Peer Reviewers, are subject to same confidentiality

and conflict of interest provisions as other Grant Peer Reviewers and would not participate in

the review, discussion or decision-making related to a proposal in which they were involved.

During the process of eligibility review, each grant program would identify whether any

members of the Board had applied for funding. Should any Board members be applying for

funding, a note would be sent to the Chair of the Board of Directors, and the Chair of the

relevant Board Committee affiliated with the program. If the Chair of the Board Committee is

applying for funding, then the note would be sent to the Vice-Chair.

This note would serve to inform the Chairs of the Board members’ application for funding, and

confirm that the Board member would not participate in any Board or Board Committee

discussions related to the grant call to which the application was submitted.

Board members applying for funds would maintain membership on the Board and Board

Committee(s), and would participate in all discussions not related to the grant call to which an

application has been submitted.

CBCF would stipulate that Board members applying for funding would be absent from the grant

review panel to which his or her proposal was submitted for review, and could not participate as

panel chair, or a review panel member.

Notification of Decision

Following peer review and formal decision by the CBCF National Board of Directors, all applicants will

receive written notification of decision and detailed feedback from the peer review panel.

5. Guidelines for Funded Projects

Notification of Funding Decision

Applicants approved for funding will receive a description of any funding conditions and/or clarifications

to be addressed prior to receiving project funding. Grant recipients must indicate to the Foundation

whether they wish to accept the offered funding and if so, respond to funding conditions and/or

clarifications identified by the peer review panel prior to the establishment of a formal funding

agreement.

A formal funding agreement detailing the terms and conditions governing the grant will be established

between the Foundation, the Principal Investigator and Project Host Organization upon the Foundation

funding being accepted and all funding conditions being met.

Funding Agreement

The Funding Agreement formalizes the terms and conditions of the grantee-grantor relationship

between the Foundation, the Principal Investigator and the Project Host Organization.

Nature of Funding Agreement



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No employment, partnership, joint venture or agency relationship is created between the Foundation

and the funded parties by virtue of the Funding Agreement. The grant is accepted by the grantee

parties with the understanding that the Foundation is not obligated to provide any additional financial

support or other support in connection with the grant or project to which the grant is applied or for any

other reason.

Neither of the grantee parties may assign any rights or obligations under the Funding Agreement

without the Foundation’s prior written consent. In the absence of such prior written consent, any such

assignment will be deemed void.

Principal Investigator/Primary Applicant - General Commitments

If funded, the Principal Investigator/Primary Applicant commitments to the project include:

Ensuring that the project proceeds in accordance with the approved objectives, project plan and

budget, and funding terms and conditions specified within the funding agreement;

Ensuring that scientifically significant research findings are published or otherwise publicly

disseminated to appropriate audiences

Conducting the research project with integrity, including a commitment to intellectual honesty

and personal responsibility for their actions and to the range of practices that characterize the

responsible conduct of research and/or clinical care, such as:

o Intellectual honesty in proposing, performing and reporting research,

o Accuracy in representing contributions to research proposals and reports,

o Collegiality in scientific interactions,

o Transparency in conflicts of interest,

o Protection of human subjects and humane care of animals, in the conduct of research.

Adhering to generally accepted research standards, Research Project Host Organization policies

and guidelines and where applicable, to the highest standards of clinical care.

Overseeing the work of the research team and identifying any issues of scientific integrity as per

Research Project Host Organization policies and procedures.

Disclosing to the Foundation in a timely manner, any scientific or professional misconduct for

which they or members of the research team have been sanctioned during the 5 years

immediately preceding award of Foundation funding, any scientific or professional misconduct

for which they or members of the research team are currently sanctioned, or any suspected or

proven scientific or professional misconduct by the Principal Investigator or research project



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team members identified while the funded research project is active, whether or not it relates

to Foundation-funded work.

Providing the Foundation with Research Project Narrative Reports and Certified Financial

Statements as per Funding Agreements in the format provided by the Foundation, along with a

written explanation of any budget line item discrepancy greater than +/- 20%.

Providing the Foundation with copies of all newsletters, articles, publications, presentations,

public reports, resource materials, posters, print, electronic or broadcast media, promotional

items, or project literature related to the research project, including items produced by

Foundations, Institutes, Departments or other organizations directly affiliated with the Research

Project Host Organization as they become available.

To the extent possible, ensure that the Research Project Host Organization and directly affiliated

Institutes, Departments or Fundraising bodies adhere to the provisions of the funding

agreement in Sections of – Acknowledgement and Recognition and – Publicity, Media and

Stakeholder Communications.

Notifying the Foundation in advance of anticipated changes in:

o research project team members (including change of organizational affiliation or status) or

Research Project Host Organization personnel with direct responsibility for the research

project file and communication with the Foundation

o research project methodology, timeline or budget

o status of applicable approval certificates

o funding acquired since application to the Foundation that overlaps with the distinct lines of

investigation, research project components or phases that are funded by the Foundation;

Resolving to the Foundation’s satisfaction any overlapping funding issue that arises, ensuring

that Foundation funding supports unique and distinct research project components or items

that are not otherwise funded;

Disclosing any financial interest acquired in any company or other commercial venture whose

business activities are related to the subject matter of this research project;

Ensuring that all required certificates and approvals as applicable (i.e. Research Ethics Board

approval for research involving humans, animal care approval, biohazard approval, radioactive

permit approval, etc.) are current throughout the duration of the research project, and copies

provided to the Foundation for its files.

Project Host Organization – General Commitments



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If the project is funded, the Foundation expects that the project host organization will support the

project as outlined in the application and to meet the requirements of the Foundation, which include:

Having suitable financial controls, tracking and expenditure approval processes to ensure that

research project funds are used for the purposes approved by the Foundation and the approved

research project budget;

Maintaining a separate and accurate accounting for research project funds within the Research

Project Host Organization’s financial record-keeping systems, in accordance with the budget

line items in the approved research project budget;

Providing the Foundation with certified statements of account showing budget and actual

expenditures that correspond to the line items in the approved research project budget, as per

Funding Agreements;

Promoting the integrity in the conduct of research and clinical care, by maintaining and

enforcing suitable policies and oversight procedures to address relevant issues as they apply to

the proposed research project in the areas of conflict of interest in research; research ethics;

informed consent;

lab safety standards; animal care standards; ownership/maintenance of lab equipment and

facilities; research and scholarship integrity; intellectual property; patents and

commercialization;

Investigating possible instances of misconduct in research or scholarship, and imposing

appropriate sanctions in accordance with its own policies if warranted;

Informing the Foundation of conclusions reached and actions taken with respect to suspected or

proven misconduct

Maintaining and enforcing suitable policies and oversight procedures to address relevant clinical

issues;

Maintaining suitable liability insurance to cover the research project activities;

Maintaining adequate and appropriate insurance coverage for all equipment purchased with

research project funds;

Maintaining charitable status with the Canada Revenue Agency in good standing

Providing in-kind and other support to the research project as outlined within the approved

research project plan;

Ensuring that the Research Project Host Organization’s research accounts are subject to

periodic external audit through standard organizational audit processes;



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Providing the Foundation with a primary administrative contact and/or financial contact for the

funded research project;

Providing the Foundation with contact information for the Research Project Host Organization’s

media relations / communications personnel;

To the extent possible, ensuring that the Research Project Host Organization and directly

affiliated Foundations, Institutes, Departments or other organizations adhere to the provisions

of CBCF Funding Agreements

Availability and Payment of Funds

Grant funds are released according to terms and conditions of the signed Funding Agreement. The

Foundation will not be responsible for any expenditure made prior to the approved start date of the

grant, for commitments against a grant not paid within 60 days following the expiration date, or any

expenditures that exceed the total amount of the grant.

In accepting a research project grant, the recipient acknowledges and agrees that the approved CBCF

funding constitutes the maximum payable, and is to be applied to the purposes of the approved project

according to the budget line items approved by the Foundation.

Expenditures may only be made for the purposes set forth in the Funding Agreement and any re-

allocation of funds requires prior approval from the Foundation. Grants are generally paid in

instalments as outlined in the Funding Agreement and dependent upon satisfactory review of project

narrative reports and certified financial statements as per Funding Agreement requirements. The

submission of Research Project narrative reports and certified financial statements by the deadline

dates indicated in the funding agreement is the responsibility of the Principal Investigator.

Project Change Requests

The Principal Investigator may propose to make changes to the approved project plan, timeline or

budget. Any proposed changes to the approved project plan, timeline or budget must be approved in

advance by the Foundation and should not represent substantive changes to the overall project goal

and objectives. Changes may include a request for re-allocation of budget lines, a revised methodology,

a change in key personnel or other considerations in light of circumstances that have occurred

subsequent to the writing of the project proposal. Change requests will be reviewed by the Foundation

staff and/or scientific advisors. Conditions may be placed upon changes approved by the Foundation.

Change of PI Organizational Affiliation/Status

If the Principal Investigator’s formal affiliation with the host organization terminates, grant funding will

be suspended. The Principal Investigator may request that the project continue under one of the

following circumstances:



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transfer of research project administration to another eligible research host organization within the

Canada at which the Principal Investigator is formally affiliated

transfer of research project administration to a senior research project team member at the existing

research host organization

transfer of research project administration to a senior research project team member at another

eligible research host organization within Canada at which the proposed Principal Investigator is

formally affiliated

The change request to the Foundation must include:

Principal Investigator’s reason for departure;

The effective date of the change;

Research Project Progress/Activity Report and formal Statement of Account from the Host

Organization’s Finance department, as of the notice date;

Plans for the continuation of the research project and explanation of any impacts on the approved

project plan and timeline;

As applicable:

o New Principal Investigator C.V., list of grants and publications over the past five years, letter

from new PI demonstrating qualifications to assume research project work and agreement to

meet funding conditions as outlined in Section D of the Funding Agreement;

o New Research Project Host Organization CRA charitable number, contact information, and letter

from executive authority of the new research project host organization demonstrating

agreement to meet funding conditions as outlined in Section D of the Funding Agreement;

Demonstration that updated approval certificates as required for research ethics, Animal Care,

Biohazard/biosafety will be addressed prior to project continuation.

Leave

The Foundation must be notified in writing by the Principal Investigator in advance of plans to take leave

of more than 60 days, by specifying the dates of the proposed leave, and arrangements made to

continue OR suspend the project during the leave period. Leave notifications will be reviewed by the

Foundation staff and/or scientific advisors. Conditions may be placed upon Principal Investigator by the

Foundation to ensure that project goal and objectives are not adversely affected.

Acknowledgement and Recognition

The Principal Investigator and the Research Project Host Organization must publicly acknowledge

receipt of funding from the Foundation, and to the extent possible, ensure that Foundations, Institutes,



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Departments or other organizations directly affiliated with the Research Project Host Organization

adhere to acknowledgement and recognition requirements.

A special version of the Foundation logo that must be used to acknowledge funding will be made

available to grant recipients and must be used in relation to all aspects of the funded project, including:

a) on printed materials related to the research project including letterheads, mail solicitation,

brochures, newsletters, flyers, folders, news releases, publications, reports and conference

posters;

b) in all research project publicity, whether print, electronic, or broadcast media;

c) on all research project promotional items;

d) on research project literature and at speaking engagements;

e) in the appropriate attribution of support from the Foundation in any publications that may arise

from the research project. Advance notice of any upcoming publications is requested, and a copy

of the publication must be forwarded to the Foundation when it is published; and

f) All reproduced materials.

The Foundation recognizes that some situations it may not be possible to use the Foundation logo. In

these situations, the following wording must be used to acknowledge Foundation funding:

“This project is funded by the Canadian Breast Cancer Foundation.”

Or, as applicable:

“This resource is funded by the Canadian Breast Cancer Foundation.”

Upon conclusion of the research project by achievement of the objectives or by early termination of the

Funding Agreement, the Principal Investigator and Research Project Host Organization shall continue to

recognize funding from the Foundation, and to the extent possible, ensure that Institutes, Departments

or Fundraising bodies directly affiliated with the Research Project Host Organization continue to

recognized funding from the Foundation on presentations and materials that use, or incorporate project

findings, unless specifically agreed by the parties in writing.

Publicity, Media, and Stakeholder Communication

In order to promote both individual research projects and the Foundation Allocations program as a

whole, the Foundation expects to work collaboratively with the Principal Investigator and the Research

Project Host Organization on communications initiatives, whether initiated by the Foundation, the

Principal Investigator, and/or the Research Project Host Organization.

To the extent possible, the Foundation expects the Principal Investigator and Research Project Host

Organization to ensure that Foundations, Institutes, Departments or other organizations directly



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affiliated with the Research Project Host Organization also adhere to Publicity, Media and Stakeholder

Communication requirements.

Should the Principal Investigator or the Research Project Host Organization wish to proactively conduct

publicity, media or stakeholder communications with respect to the funded research project, the

Foundation requires that the Foundation’s Marketing and Communications Department be contacted in

advance to provide guidance regarding Foundation-related messaging.

Whenever possible, the Principal Investigator and the Research Project Host Organization should notify

the Foundation in advance of media interest/opportunities they are addressing reactively, and to

coordinate appropriate participation by the Foundation through the Foundation’s Marketing and

Communications Department.

The Principal Investigator and the Research Project Host Organization will provide the Foundation with

the opportunity to participate in related media releases, press conferences, and other media or

stakeholder communications activities as a joint partner, and will provide the Foundation with sufficient

notice of such activities in order to engage in the planning and development phase, and to incorporate a

quotation from the Foundation in any media releases.

The Foundation must be notified when articles relating to the funded research project are submitted to

journals/publications for peer review/publication and if/when they are accepted, and will have the

opportunity to engage with the journal/publication on related media outreach.

The Foundation requires that the Principal Investigator and research project team members be available

from time to time to speak to the media, general public or Foundation stakeholders regarding their

activities as Foundation grant recipient(s). These opportunities may include (but are not limited to):

Cheque presentations and funding announcements

Media interviews and response to media requests on the work of the research project.

Participation in Foundation sponsored community events, reporting sessions, seminars, panel

discussions and grant recipient(s) promotions.

Meetings and presentations to donors, stakeholders and CBCF staff with respect to the Principal

Investigator’s Foundation-funded research

In advance of any such opportunity, the Foundation will contact the Principal Investigator and research

project team members to discuss the event or activity it would like them to participate in. The

Foundation’s Marketing and Communications Department will contact the Principal Investigator and

research project team members directly to provide relevant background information and confirm

scheduling regarding any such speaking request.

The Foundation may interview the Principal Investigator and Research Project Team Members to

elaborate information for use in Foundation’s Marketing and Communication and Public Relation



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activities, and may request photographs, videos, biographies and project description. Upon the

Foundation’s request, the Principal Investigator, Research Project Team Members and the Research

Project Host Organization will provide available information and/or images to the Foundation.

Accountability and Reporting Framework

The Principal Investigator and the Research Project Host Organization will be subject to the following

accountability and reporting framework for the Research Project, including:

The submission of interim Research Project Narrative Reports certified by the Principal Investigator

and Financial Statements of Account certified by authorized Research Project Host Organization

personnel for evaluation by the Foundation prior to release of funding instalments according to

Schedule of Fund Disbursement established in the research project funding agreement

The submission of a final Research Project Narrative Report certified by the Principal Investigator

and Financial Statement of Account certified by authorized Research Project Host Organization

personnel within three months of the conclusion of the Research Project to be submitted according

to the Schedule of Fund Disbursement established in the research project funding agreement.

Financial Statements of Account must show actual expenditures as per the line items in the

approved detailed research project budget, along with a descriptive narrative explaining line item

expenditures that vary by greater than 20% (+/-) from the approved research project budget.

Each Report is to be submitted using the format provided by the Foundation. The Foundation will not

entertain new proposals from any Principal Investigator who has not complied with Foundation

reporting requirement and may at its sole discretion choose not to entertain any new proposals from

the Research Project Host Organization until reporting requirements are complete.

Intellectual Property

Intellectual property in the context of a CBCF National Research Grant, means the right to an invention

that may be protected by patent law, and the right to creative work protected by copyright law,

resulting from the research funded by the Foundation.

A patent is a legal right granted by a country to a person under its domestic laws that gives that person the

ability to prevent others from making, using, selling, or importing an invention. An invention, for the purposes

of patent law, is a thing or way of doing something that involves human intervention. On applying for a

patent, the patent-holder discloses the invention and, on its registration, is entitled to exclusive use of it in

Canada for a period of up to 20 years. Such exclusivity being subject to challenge if abused.

Unity of Control

To the extent that a research project funded by CBCF results in any new unencumbered Intellectual Property,

the Research Project Host Organization and the Principal Investigator must use reasonable efforts to ensure

that all such Intellectual Property can be licensed, assigned or otherwise deployed by a single legal person. The



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Research Project Host Organization and the Principal Investigator will ensure that all students, fellows,

researchers and partners who contribute to the research project agree that this single legal person can

exercise control over the use of the Intellectual Property. For greater certainty, none of the above requires the

Research Project Host Organization or the Principal Investigator to obtain any Intellectual Property or to assign

any Intellectual Property to any particular person.

Non-Enforcement for Research Purposes

Neither the Research Project Host Organization nor the Principal Investigator will assert or enforce any

new Intellectual Property against the Foundation or any of the Foundation’s non-profit stakeholders

including, without limitation, other grantees, hospitals, universities, public research agencies and

institutions, public health and community health organizations in respect of their respective use of such

Intellectual Property for non-commercial purposes including but not limited to dissemination, clinical or

other research, or education. Both the Research Project Host Organization and the Principal Investigator

will ensure that all present and future holders or licensees of any new Intellectual Property agree to not

assert or enforce such new Intellectual Property against the above persons for the above purposes.

Commercialization and Confidentiality - Notice Provisions

The Foundation will have regard to and cooperate with efforts by the Research Project Host Organization and

the Principal Investigator to commercialize research results and new Intellectual Property. Except in respect of

the following which the Foundation may release without notice, and where possible, the Foundation will

provide the Principal Investigator and Research Host Organization with prior notice of the Foundation’s

intention to release detailed information related to Foundation funded research:

the research project title, research project objectives, community of interest, principal investigator, research

project team members and collaborators, CSO Coding, CSCC Coding, research project host organization,

research project partner organizations, locations of research project, relationship to larger initiative, research

project lay language summary, lay language description of mentorship and capacity building, research project

scientific abstract or technical summary, total budget per year, research project duration and designated non-

confidential information provided within project narrative reports.

Obligation to Share Revenue

The Research Project Host Organization and the Principal Investigator will be solely responsible for entering

into appropriate revenue-sharing Agreements with research team members, partners, collaborators or others

in respect of the conduct of the research.

Obligation to Share Research

The Principal Investigator must ensure that scientifically significant research findings, best practices,

lessons learned and/or resources developed resulting from Foundation-funded projects are promptly

published or otherwise publicly disseminated. The Principal Investigator must prioritize Knowledge

Translation/knowledge exchange activities to appropriate audiences. Principal Investigators may delay

publication for a period of no greater than 6 months in order to file a patent application. Any such delay



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will be reported by the Principal Investigator and the Research Project Host Organization in accordance

with the reporting requirements set out below.

During any such 6 month period (the deferral period) and provided that the Foundation has received

notice of the deferral period, the Foundation will not reveal technical or other details that could

compromise the patent application. The Foundation nevertheless retains the right to disseminate

general information about the project findings for communication and/or educational purposes. The

Principal Investigator and the Research Project Host Organization will specify to the Foundation which

aspects of project findings constitute confidential information related to a patent application within the

standard Research Project Narrative Reports.

Reporting Obligations Related to Commercialization Activities

The Principal Investigator and the Research Project Host Organization will report all activities related to the

commercialization of Intellectual Property or of the results of any Foundation funded project. Such activities

include, without limitation the filing of a patent, the granting of a patent, and the licensing or assignment of

Intellectual Property arising from Foundation-funded research. The Principal Investigator and the Research

Project Host Organization must report to the Foundation within sixty business days after the filing or grant, as

the case may be, of a patent, and/or after execution of a license Agreement or assignment. The Research

Project Host Organization and Principal Investigator must provide the Foundation with a copy of any license or

assignment with all reasonable confidential information redacted from the license or assignment with the

notice set out above.

Failure to comply with these reporting obligations in relation to interim reporting could result in withholding

of subsequent grant payments until these obligations are fulfilled. The Foundation will not entertain new

proposals from any Research Project Host Organization or Principal Investigator who has not complied with

reporting obligations until these reporting requirements are complete.

Global Access

In order to ensure that outcomes of Foundation funding have the greatest possible impact on the public

good, the Foundation supports principles of global access, including the promotion of open access and

dissemination, and the licensing of technologies in such a way as to be available and accessible in

developing countries. The Research Project Host Organization and the Principal Investigator retain the

discretion of whether and how to fulfill this principle.

Knowledge Dissemination/Exchange

Grant recipients must publish or otherwise publicly disseminate the results and learnings of Foundation-

funded projects and prioritize Knowledge Translation to appropriate audiences. The Principal

Investigator is required to keep the Foundation informed of Knowledge Translation activities and to

provide copies of presentations, abstracts, scientific papers directly arising from the funded research

project after funded activities have formally concluded.



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The Principal Investigator will be asked to report on Knowledge Translation activities and outcomes

related to the research project through scheduled narrative reports, including (as applicable):

Number of peer-reviewed articles

Number of citations to articles

Number of presentations

Number of patent applications and patents granted

Number of licenses granted and type of license

Number of Masters and Doctoral students trained

Number of Post-Doctoral Fellows trained

Number of private and public sector partners

Ability to attract subsequent funding for this, or related lines of investigation

If materials have been produced, the number of material samples provided to others

If materials have been produced, the number of materials adapted or used by others

Sustained programs and impacts

Release of Foundation Funds

The disbursement of grant monies will be made according to a Schedule of Fund Disbursements

outlined in the Funding Agreement. Funds will be released to the project Host Organization in

instalments as per the amounts in the approved project budget. The first instalment will be released

upon the Foundation receiving a duly signed copy of the Funding Agreement and satisfaction of any

outstanding Funding Conditions.

Subsequent instalment payments will be released, conditional upon successful review and evaluation of

the Research Project Progress/Activity Report submitted as per the Schedule of Fund Disbursements.

Instalments may be withheld for non-compliance with the conditions listed in the Funding Agreement

and/or failure to adhere to the approved project plan, and may be cancelled as provided the Funding

Agreement.

The Foundation will not be responsible for any expenditure made prior to the approved start date of the

approved research project, for research project expenditures beyond the approved timeframe without

prior approval, or expenditures that exceed the total amount of approved funding.



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Financial Audit

The Foundation reserves the right to audit the grant financial accounts to confirm that funds were spent

for approved purposes in support of the project goal and objectives and to require the return of any

funds not used for approved purposes.

Scientific Audit

The work of the grantee may be reviewed at any time. Such audit may be carried out by means of

document review, and/or by visits by one or more members of a scientific audit team to the research

site. Any issues or concerns related to scientific conduct will be reported to the appropriate Research

Host Organization governing body for follow-up, and if not resolved, may result in the imposition of

penalties by the Foundation, up to and including full return of project funds.

Project Extension

An extension of time to complete the approved project may be requested by the grantee at any point

up to 30 days prior to the end of the project’s final year. Failure to submit the request will result in the

loss of funds remaining at the original project termination date.

Unspent Grant Funds at Conclusion of Project

In some instances, projects successfully complete their goals and objectives and still have unspent grant

funds from the Foundation. These should be identified after all activities have been completed and

project-related expenses paid. In cases where unspent grant funds remain at the conclusion of a project,

the Principal Investigator is offered two options:

1) Identify a need consistent with the aims of the original project that can be met through the re-

allocation of the remaining funds, for example:

o Extended project activities - develop resource materials, dissemination, extended

evaluation

o A related need that would further the goal/objectives of the original project

2) Return unspent granted funds to the Foundation within 60 days of the project end date.

The Principal Investigator must formalize a request to the Foundation in writing, for the re-allocation of

these funds, including narrative justification for the re-allocation within 60 days of the project end-date.

Approval must be given by the Foundation in writing, prior to unspent granted funds being re-allocated

and utilized.

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