NSERC’s Industry-Driven Collaborative R&D Program

Acadia UniversityNovember 13, 2013

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Outline

• Overview of NSERC’s Research Partnerships Programs/ Industry-Driven Collaborative R&D Program

• Engage and Engage Plus Grants

• Collaborative Research and Development (CRD) Grants

• Interaction Grants

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NSERC Research Partnerships ProgramsStrategic Partnerships

• Strategic Project Grants• Strategic Network Grants• Collaborative Health Research

Projects• Automotive Partnership Canada

Industry-Driven Collaborative R&D• Collaborative R&D Grants• Industrial Research Chairs• Chairs in Design Engineering• Interaction Grants• Engage Grants• Partnership Workshop Grants

Commercialization• Idea to Innovation

Grants

Training in Industry• Industrial Postgraduate Scholarships• Industrial R&D Fellowships• Industrial R&D Internships• Industrial Undergraduate Student-

Research Awards

College and Community Innovation• Applied R&D Grants• Applied Research Tools & Instrument

Grants• College-University Idea to Innovation

Grants• Industrial Research Chairs for Colleges• Innovation Enhancement Grants• Technology Access Centres Grants

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Engage Grants

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Snapshot of the Engage Grant

• Funds: new research partnership between university researcher and a company

• Addresses: a company-specific problem • Value: up to $25,000 from NSERC (no cash required from

company) • Project Timeframe: up to 6 months • Deadline: none, apply anytime• Success rate: 89%• Decision: 4-6 weeks turn-around time • IP: company owned

Engage Grant Project

Anthony Tong, Chemistry, Acadia University

Project: Development of an analytical method to quantitatively characterize antioxidants in fruit wine

Company Partner: Rodrigues Winery and Distillery, Whitebourne, NL

Award: $25,000

Guide to a Successful Engage Application

Key Evaluation Criteria:– Eligibility – Principal Investigator / Company– Budget – NSERC funds / In-kind contribution– Project– Company Letter

Eligibility: Principal Investigator

• Professor in eligible university (assistant, associate, full)• Adjunct only if permanently at the university• Permanent or term sufficient for the duration of project• Prior Natural Sciences & Engineering (NSE) peer-reviewed

support awarded within past 6 years• Prior NSERC grants (DG/RPP(CRD, IRC, SPG, SNG, I2I)• Other NSE peer reviewed support (e.g. ACOA AIF)• Collaborators must meet all eligibility requirements• Health oriented faculty: must have recently held Discovery

Grant

Eligibility: Principal Investigator

No Prior Collaboration: between University Researcher and Company– Examples of prior collaboration: consulting; joint project; publication;

founder/partner; employee/executive; board member, IPS supervision,

MITACs, departmental colleagues (researcher-owned company),

participants in large networks (e.g. Strategic, CREATE) etc.

• Exceptions: small IRAP project administer by the university; ownership through mutual type funds

Eligibility: Company (Canadian-based)

• Must be at arm’s length (no P.I. involvement)• Suitable receptor for developed

technology/knowledge• Receptor capability – ability to act on research results• Startup: min. one year in existence (some exceptions)• Some not for profit organizations are eligible: cannot

be mandated or funded by government (e.g. industrial/producer associations).

Eligibility: Company (Foreign-owned)

• Established in Canada – relevant R&D/manufacturing facilities and staff?

• Not just a sales or distribution operation.

Budget

NSERC funds: eligible expenditures similar to other NSERC grants (HQP, Materials and Supplies, Equipment, Travel). No support for conferences or publication costs.

Company In-Kind: staff time, access to or donation of equipment, material, travel of company representatives, etc.

Project – Actual Collaboration

• Clear identification of company specific problem – proposal; company letter; benefits expected

• Rationale for the proposed research & deliverables

• Work plan (milestones)• Resources needed: HQP; material; equipment;

etc.

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Project – Technology Transfer

Applicant should describe extent of company participation in the project

• Regular meetings• Participation of technical/scientific staff• Actual work being done by company: tests;

analysis; machining; productions runs, etc.• IP generated during project – company

owned– If IP is an issue =>use other program (e.g. CRD)

Company Letter

– Does the company’s description of project and their involvement correspond to what P.I. said?

Company support: key aspects to consider:– Benefits expected– Company cash– In-kind: a measure of the collaboration

• Who is involved and does what?• What is supplied?• How do they interact; how frequently?

Engage Plus Grants

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NSERC Engage Plus Awards

• Meant to encourage continuation of a new research relationship established through an Engage grant.

– Engage Plus projects are limited to six months in duration.

– Engage Plus projects need to involve the same academic researcher and the same industrial partner as in the original Engage application.

– The Engage Plus project should be a continuation of the original project or related to the original project

• Engage Plus application document & provisions essentially the same as a regular Engage application, simple, fast evaluation turn-around by internal NSERC review; IP ownership by the company.

NSERC Engage Plus Awards

• There is a cash requirement from the company for Engage Plus grants. – NSERC will match industry cash with a simple direct 1:1

funding ratio, up to a total project value of $25K. (i.e., the maximum NSERC contribution would be $12.5K.)

– NSERC can only match “net” company cash (company cash directed to university overhead cannot be matched by NSERC).

NSERC Engage Plus Awards

• Initial window of opportunity for any past Engage grant applicants to apply for Engage Plus (up to February 3rd 2014).

• After February 3rd, 2014 - applications for an Engage Plus Grant will be accepted only within the final month of the Engage Grant or within the six-month period following the end of the grant.

• NSERC grant made when university confirms receipt of company cash by email

NSERC Engage Plus Awards

• Engage Plus applications essentially follow the same categories, format as an Engage grant

• Applicants should also include a short summary of the progress achieved within the original Engage project as well as a clear explanation of the goals of the Engage Plus Grant and their relationship with the results obtained to date.

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Collaborative Research & Development Grants (CRD)

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CRD Overview

• 1 to 5 years duration, typically 2 to 3 years

• Average grant $65,000 per year, but can vary from $10K/year to > $400K/year

• Projects can be at any point in the R&D spectrum

• Industry responsible for at least 1/2 cash costs and must exploit results

• Flexible leverage: cash and in-kind (as high as 2:1 on cash contribution)

• >80% success rate - not cash restricted at this time

• Funding decisions based on merit (not competition-based)

• No fixed application deadlines

• ~3-6 months for funding decision

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Some recent Atlantic CRDs• Matthew Litvak, Department of Biology, Mount Allison University + Amanda

Cockshutt, Department of Chemistry and Biochemistry, Mount Allison University with Breviro Caviar Ltd. ($50,000 cash per year for 3 years + in-kind support) – NSERC Award $299,903 over 3 years

• Kristin Poduska, Department of Physics, Memorial University of Newfoundland with Lumentra Inc. ($37,500 cash + $37,500 in-kind/year over 2 years) – NSERC award $75,000 over 2 years

• Phil Taylor, Dept. of Biology, Acadia U. with Encana Corp. ($232,000 cash + $289,000 in-kind over 3 years) – NSERC Award $355,000 over 3 years

• Pandurang Ashrit, Dept of Physics, U. de Moncton + Phillipe Chibante, UNB + Nait Anjou, U. de Moncton with Lamba Guard Canada ($159,208 cash + $159,208 in-kind over 2 years) – NSERC Award $316,832

CRD Industrial Partner Eligibility

• All projects must involve at least one eligible industrial partner that is in a position to apply and exploit the results of the project.

• Generally, an industrial partner is a Canadian-based business providing products or services which derives the majority of its revenues from the sale of these products and services and not from government aid. Such partners must be willing and able to exploit the research results for the economic benefit of Canada.

• Government departments, labs, agencies are not eligible.

• Participating companies must contribute to the direct project costs in an amount equal to, or greater than, the amount requested from NSERC. The net-cash contribution must be at least 50% of the NSERC request with the balance provided as direct in-kind.

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Industrial Partners Eligibility

• Industrial associations, producer groups, or consortiums

financial support to the project derived from industrial sources can be leveraged, but there must be active involvement in the research project from at least one of the member companies or the consortium itself, if it can demonstrate the capacity to guide the project and disseminate the results for its member companies.)

• Public utilities.

• Start-up companies with sound business plans and secure financial backing.

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Examples of Eligible In-Kind Contributions

• Salaries for scientific/technical staff: identify and define their role, their expertise, what they bring to the project, and their commitment (hours, rate).

• Donation of equipment/software: how will it be used and why is it important for success? How was the cost calculated?

• Donation of material: what is being provided and why is it important?

• Field work logistics: what is being provided and why is it important?

• Provision of services: what is cost of providing these services and why are they needed?

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In-Kind Contributions

• Must be clearly articulated and justified in the application and also in the letter of support. Must be essential to the success of the project.

• Further details are provided in the Instructions and Guidelines for Organizations Participating in Research Partnerships Programs.

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Letter of Support from Company Partner(s):Must include:

• Support for and agreement with the proposal;• Reasons for being involved in the collaboration; • Anticipated benefits from the project outcomes; • Effort required to exploit the results in Canada;• Benefits to the Canadian economy and the relevant time frame; • Anticipated interaction of personnel with the university researchers; • The contribution to the direct costs of the research (cash and in-

kind);• In the case of a small company, it is recommended that a company

profile be included.

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The CRD Application

• Application for a Grant (Form 101) Parts I and II

• Personal Data Forms (Form 100) + CVs of collaborators (6 pages max)

• Form 183A (partner’s information and contributions)

• Letter of support describing partner’s involvement

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Form 101 Part I• Hours/month to be devoted to the project (be realistic).

• Activity schedule: list and detail the tasks required to achieve the objectives for each year. Identify roles of HQP. Should not include literature review or admin tasks.

• Budget and Justification: provide as much detailed information for each item as possible (no page limit!). Show your calculations and make sure numbers match the totals presented on page 5. Figure out HQP plan (note that PDFs are limited to two years’ support). Include quotations where required.

• Contributions from Supporting Organizations: ensure contributions are eligible and well-justified. Cash contribution to the direct cost of the research should exclude overhead.

• Relationship to other Support: the onus is on the applicant(s) to provide as much information as to how/why the project differs from research currently funded.

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Form 101 Part II- Proposal (10 pages)• The Synopsis serves as a introduction to the proposal and is sometimes sent by staff to potential reviewers. Half a page is sufficient.

• Background: must relate the proposed project to current scientific, technical and commercial developments in the field. Include critical references and not just your own work. Presentation of preliminary data always strengthens an application (2-3 pages).

• Detailed Proposal: the most important part of the application. If information reviewers need to assess the scientific merit and feasibility of the project is not provided, they cannot recommend funding.

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Detailed Proposal (5-7 pages):

• Each objective should be clearly identified and the work plan well-described.

• The research methodology and experimental design must be described, including plans for statistical analysis.

• Objectives, work plan and Activity Schedule should be linked together.

• Roles of students and post-doctoral fellows should also be described within the context of the proposed work and linked to the above three items.

• Identify the technical risk or uncertainty and discuss how it will be managed.

Form 101 Part II- Proposal (cont’d)

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Team Expertise:

• Make sure the team includes all the expertise needed to carry out the project.

• Include expertise of collaborators, plus company personnel, technical staff and post-doctoral fellows, when relevant.

• If a particular expertise is missing, or if the area is somewhat new to the team, make sure to address how this will be overcome.

• Include the collaborator’s CV if his/her expertise is essential for the project to succeed.

Form 101 Part II- Proposal (cont’d)

Research Management:

• This section is particularly important for large, complex and/or multidisciplinary projects.

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HQP Training:

• NSERC’s mandate includes training of HQP and this is required on every CRD grant.

• This includes PDFs, graduate and undergraduate students (particularly in the case of small universities or universities lacking a graduate program.)

• Number of students to be trained should be commensurate with size of grant.

• How will trainees benefit? How will the project benefit?

• Will they interact with industry personnel?

• What are their roles and responsibilities?

Form 101 Part II- Proposal (cont’d)

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Value of Results and Industrial Relevance:

• Put an emphasis on the industrial relevance of the results – How will the partner(s) benefit?

• Be specific regarding how the outcome will address a current or future industrial or market need.

• Include statistics if at all possible.

Benefits to Canada:

• Expectation for a CRD project is that there will be an economic benefit for Canada (not just in HQP or royalties).

• Describe how the research will result in the industrial partner being more competitive, an increase in profits and/or in job creation (must occur in Canada).

Form 101 Part II- Proposal (cont’d)

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References:

• Not included in the 10 page limit.

• Do not refer readers to Web sites for additional information on your proposal and do not introduce hyperlinks.

Form 101 References and Appendix C

Suggested Referees (Appendix C):

• Please do not include individuals with whom you collaborate or have collaborated with in the past six years.

• Do not include individuals who collaborate with one of the industry partners.

• Please include industry-based or non-academic experts who are not in conflict.

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• Staff will review draft proposals but will not provide feedback on the proposed research/science.

• No deadline for submission.

• Staff will do initial review to ensure documentation is complete and all necessary information has been provided (Ottawa staff).

• All CRD applications are peer-reviewed Request up to $150,000/year - paper review only

Request from $150,000/yr to $200,000/yr - paper review and Advisory Committee on University-Industry Grants (ACUIG)

Request over $200,000/yr- site visit by expert committee and ACUIG

CRD Peer Review Process

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• Iterative process with the applicant – request to respond to reviewers’ concerns.

• Funding recommendation by peer reviewers and ACUIG. Final funding decision made by NSERC.

CRD Peer Review Process

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Selection Criteria• Scientific Merit: project must be scientifically sound, technically

feasible, and promise to generate new knowledge or apply current knowledge in an innovative way.

• Research Competence: the team must have all of the expertise need to address the objectives and complete the project.

• Industrial Relevance: demonstrate that the work will benefit the partner and be exploited to benefit the Canadian economy.

• Private-sector Support: the partner must contribute to the project and be in a position to exploit the results.

• Contribution to the Training of HQP: there must be a student training component that is relevant to the field.

• Benefit to Canada: identify any additional economic, social, and environmental benefits to Canada.

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Peer Review Feedback- Negative Decision• Questionable scientific merit: poor originality, technical problems, not

research.

• Poorly situated within state of the art.

• Lack of detail in proposed methodology.

• Schedule, scope too ambitious.

• Budget items poorly justified, too high.

• Missing expertise.

• Poor training opportunities.

• In-kind not essential to project, over estimated, poorly described.

• Lack of benefit to Canada.

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Intellectual Property Agreement

• Even if Agreement has not been negotiated, provide as many details as possible.

• If Agreement has been finalized, send a copy with the application so any issues can be identified early on in the process.

• Note that peer reviewers do not get a copy of the Agreement.

• The majority of CRDs will require a Research Agreement. An award will be conditional upon the receipt of an agreement compliant with NSERC’s IP Policy within 6 months.

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Intellectual Property Agreement

Five Mandatory Elements:

• Maximum benefit to Canada;

• Protection of IP assets (including partner proprietary information);

• Publishable results (maximum 6 month delay);

• No delay for student’s thesis defence;

• Researchers’ right to use the results for non-commercial purposes.

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Reporting for Successful CRDs

• Varies depending on duration and amount of the grant.

• No Progress Reports for grants less than $50K/yr.

• Progress report and company comments required each year for grants >$150K/yr.

• Progress Report and company comments requirements for grants between $50K and $150K/yr vary depending on duration.

• All grantees must submit a Final Report on the project’s achievements with respect to its objectives.

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Developing CRDs - Establish contact

• Call your NSERC Regional Office

• Participate in NSERC “Connector” events (hosted by Regional Offices)

• Make use of Interaction, Engage, Engage Plus etc to initiate collaborations

• Through students (work terms, scholarships, after graduation)

• Conferences and Workshops

• Colleagues

• University Liaison Office

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Final Words of Advice

• Read the guidelines and instructions

• Establish strong collaboration with industrial partner(s)

• Meet the criteria

• Contact staff early and often

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NSERC Interaction Grants

• Provides an opportunity for a Canadian-based company and academic researcher to meet and…

• Identify a company-specific problem that could be solved through a subsequent partnership

• Value – up to $5000 for travel and accommodation

• Duration – 3 months to use the award• Apply through NSERC-Atlantic

Industrial Scholarships & Fellowships

• NSERC provides up to $15,000/year for up to 3 years; partner company provides a minimum of $6000/year. Up to 2 years support for MSc and 3 years support for PhD

90% success rate

Industrial Postgraduate Scholarships (IPS)

Industrial Undergraduate Student Research Awards (IUSRA)• NSERC provides up to $4,500 for 4 months/year; NRC-IRAP and Springboard provide

$2,000; partner company provides a minimum of $1,125. 90% success rate

Industrial Research and Development Fellowships (IRDF)• Allows companies to hire a recent PhD graduate

• NSERC provides $30,000/year for 2 years; partner company provides a minimum of $15,000/year, but average is $25,000/year from the company. 80% success rate

NSERC-Atlantic

www.nserc-crsng.gc.ca

Location: Université de Moncton, Moncton NB

For More Information Contact

Richard Isnor, Manager

Tel: 506-854-8756

Richard.Isnor@nserc-crsng.gc.ca

Dominique Maillet, Research and Innovation Development Officer

Tel.: 506-854-9423

Dominique.Maillet@nserc-crsng.gc.ca