Research Services Office
2500 University Drive NW
3rd Floor MacKimmie Library Tower
Calgary, AB, Canada T2N 1N4
rsogrants@ucalgary.ca
Natural Sciences and Engineering Research Council
Collaborative Research and Development Grants | 2015
General Information
Objectives
Collaborative Research and Development (CRD) grants are intended to give companies that operate from
a Canadian base access to unique knowledge, expertise, and educational resources available at Canadian
postsecondary institutions and to train students in essential technical skills required by industry. The
mutually beneficial collaborations are expected to result in industrial and/or economic benefits to Canada.
Award Amount and Duration
 No minimum or maximum on the amount requested from NSERC, for 1 - 5 years.
 NSERC will match industry cash contributions at a ratio of 1:1, and will also match industry inkind contributions, up to the value of the cash contribution. Total amount of funds requested
from NSERC can therefore be up to double the industry cash contribution.
Overhead
 The University of Calgary does not charge overhead on industry funds used in NSERC matching
programs.
Eligibility
 Applicant: general rules of NSERC eligibility apply; you must hold an academic appointment of at
least 3 years.
 Industry partner:
o Canadian-based company that derives the majority of its revenues from the sale of good
or services and not government aid.
 Multinationals may be eligible if the project results will be exploited in Canada.
 A single company or industry association.
 Public utilities may be eligible.
o See Guidelines for Organizations Participating in Research partnerships Programs.
 Industry funds: industry funds received prior to the submission of the application may be used
to start the project, but NSERC will only match industry funds that have been spent up to 3
months prior to the official application date.
Application Deadlines
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NSERC will accept Collaborative Research and Development grant applications at any time.
Applications requesting $150,000 or more per year, or in the first year, must receive final
approval from the NSERC Advisory Committee on University-Industry Grants (ACUIG), which
meets four times a year: March; June; September; and December.
o Applications requesting $200,000 or more per year, or in the first year, will be evaluated
by a site visit committee, whose recommendations will be provided to the ACUIG.
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University of Calgary
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Required Signatures
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Research Funding Application Approval form: applicant, U of C co-applicant(s), the applicant’s
Department Head, and the applicant’s Dean or Associate Dean (Research). Email to
macafons@ucalgary.ca as part of your application package.
Form 183A: a representative of the supporting organization who is authorized to commit
resources. A similar representative should also sign the Letter of Support. Send an original ink
signature of this Form and the Letter of Support to the Research Services Office (address in
letterhead above).
Submission Procedure:
1. NSERC will accept Collaborative Research and Development grant applications at any time;
prepare and submit the application electronically, via the NSERC On-line system.
2. Submit the Research Funding Application Approvals form to the RSO (macafons@ucalgary.ca)
with signatures of PI, Department Head, and Dean or Associate Dean (Research), at least two
business days prior to the desired date of submission to NSERC.
a. As an optional service, if you wish to receive a detailed administrative review, with the
opportunity for feedback, please submit your complete and final application, and the
Research Funding Application Approvals form, two weeks prior to the desired date of
submission to NSERC.
The detailed administrative review includes a detailed review of the application,
checking for eligibility and UofC commitments and risk, compliance with program
guidelines, completeness of application, and the opportunity for feedback to improve the
application.
The basic administrative review involves a minimal check of the application for eligibility
and any UofC commitment or risk.
3. After completing its review, RSO will forward your application to NSERC.
Additional Information:
 Program Guidelines
 Guidelines for Organizations Participating in Research partnerships Programs
 Application Instructions
 Instructions for the Personal Data Form (Form 100)
 Instructions for the Organizations Participating in Research Partnerships Programs form (Form
183A)
 NSERC On-line system
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University of Calgary
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Application Checklist
Overview: Application Forms and Attachments
Form 101 (Application for a Grant)
Budget Justification (attachment)
Contributions from Supporting Organizations (attachment)
Proposal (attachment)
References (attachment)
Relationship to Other Research Support (attachment)
Quotations – optional (attachment)
Appendix A (Environmental Impact) – if required (attachment)
Appendix B (CEAA Pre-Screening Checklist) – if required (attachment)
Appendix C (Referee Suggestions)
Cover letter – optional (attachment)
Form 100 (Personal Data Form) – one for applicant
Contributions (attachment)
Appendix A (Personal Data)
Appendix B (Eligibility Questionnaire) – if required
Appendix C (Description of Applicant’s Activities) – if required
Form 183A (Information Required from Organizations Participating in Research Partnerships Programs)
Letter of Support from each supporting organization (attachment)
Company Profile (attachment)
Statement of Ownership – if applicable (attachment)
1. Form 101 (Application for a Grant)
Application profile
Areas of research
Certification requirements
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Environmental Impact: Appendix A must be completed if research will take place outdoors.
Co-applicants
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To invite co-applicants to link their Personal Data Form (Form 100) to the application, enter the e-mail address of the co-applicant as
it appears in the co-applicant’s Form 100, as well as the family name. When you select Save, an automated e-mail message will be
sent to the person(s) to whom you have granted access to your application, informing them that they have been invited to
participate in your application.
Collaborators
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List each collaborator’s name, personal identification number (if known) and organization name, as well as the time (in hours per
month) each collaborator will devote to the proposed research/activity or the use of equipment or facility.
A collaborator is a member of the research team that is applying for a group grant. The collaborator will not have access to the grant
funds and must be qualified to undertake research independently. Collaborators are expected to contribute to the overall
intellectual direction of the research project or program of research and to bring their own resources to the collaboration. Examples
of collaborators are: government scientists, academic researchers, company staff members or research scientists.
Co-applicants and supporting organizations
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Includes: co-applicant institutions (if different from the University of Calgary) and supporting organizations
Enter information about each co-applicant organization's signing officer. For supporting organizations such as an industrial partner
or a government department, enter information about the authorized representative(s) (this should correspond to the
representative signing the Form 183A and Letter of Support).
The applicant must ensure that the co-applicants from other institutions obtain the appropriate signature on pg. 2 of Form 101 from
the authorized officer of their organization prior to submitting the application to NSERC.
Signature of the industry partners on this page is not required if the named representative has also signed the Form 183A or Letter
of Support.
IMPORTANT: The signed forms can be emailed to macafons@ucalgary.ca or faxed to Research Services at (403) 289-0693.
Summary of proposal (text box)
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The summary is intended to explain the proposal in language that the public can understand. Using simple terms, briefly describe
the nature of the work to be done. Indicate why and to whom the research is important, the anticipated outcomes and the
relevance to the company.
Activity schedule
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List the activities/steps required to achieve the objectives for each year of the grant. A project planning chart (e.g., Gantt chart) may
be included in the Budget Justification or Proposal attachments.
Indicate the start and end dates for the activities leading to the milestones, as well as the major results expected.
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University of Calgary
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Proposed expenditures
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Before completing this page, read the instructions and consult the “Use of Grant Funds” in the Tri-Agency Financial Administration
Guide.
Contributions from supporting organization
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List the resources the supporting organization will provide to support the proposed activities including:
o
the cash contribution to direct costs of research. This amount will be transferred to the appropriate line on the Proposed
Expenditures page;
o
the in-kind contribution to direct costs of research (donations of services, materials and equipment). This amount will be
transferred to the Proposed Expenditures page (if applicable);
o
the in-kind contributions to indirect costs. This amount is not transferred to the Proposed Expenditures page; and
o
the amount paid to the institution for overhead (0% for NSERC partnerships; see University of Calgary Policy & Procedures)
Formatting of all attachments meets NSERC presentation standards for free-form attachments
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Margins must be a minimum of ¾”; text is single-spaced; font is 12 pt. Times New Roman; pages are numbered sequentially; the
applicant’s name is in the top right-hand corner of each page; images are in black and white (colour images will be reproduced in
black and white for reviewers).
Budget justification (attachment)
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Before completing this page, read the instructions and consult the “Use of Grant Funds” in the Tri-Agency Financial Administration
Guide.
Provide a detailed explanation and justification for each budget item identified in the Proposed Expenditures page.
Salaries and stipends:
o
Student funding rates should be consistent with the typical levels of funding in your Department;
o
The Postdoctoral Office advises that postdoctoral fellows should be paid $45,000 per year, plus $2,000 in Plan C benefits;
NSERC will not fund a postdoctoral fellow for more than two years, except in the case of exceptional international candidates;
o
Human Resources advises that benefits for AUPE staff generally fall in the range of 20%-25% of salary.
Equipment or facility: provide details on models, manufacturers, prices, and applicable taxes. Justify the need for each item
requested. Where applicable, user fees should be described.
Materials and supplies: equipment and material obtained from the industrial partner(s) must be provided as in-kind contributions.
Travel: the University of Calgary per diem rates are $45/day for domestic travel, $63/day for international travel.
Dissemination: expenditures related to the dissemination of research results, e.g., publication costs, workshops, etc.
Technology transfer activities: expenditure for field trials, building prototypes, scale-up costs, demonstration projects, workshops,
and other miscellaneous expenses.
Quotations – optional (one attachment)
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NOTE: NSERC no longer requires quotations for large equipment purchases on CRD applications. The inclusion of such quotations is
optional.
For items or systems costing more than $25,000 before taxes, provide two (2) recent quotations. Provide justification if two (2)
quotations are not available. For submission purposes, save all quotes as a single PDF document.
Contributions from supporting organizations (attachment)
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Provide an explanation of the cash and/or eligible in-kind contributions committed by each supporting organization.
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Salaries for scientific and technical staff: list the name of each staff member, their role at the company and their specific
expertise, details as to what they will be providing to the project (link to milestones if possible), the number of hours they
will devote to the project, and their hourly rate (NSERC will only recognize a maximum of $100/hour).
o
Donation of equipment, software: list each item of equipment and/or software being donated to the project, explaining
how it will be used and its importance to the success of the project; provide details on how the cost of the
equipment/software was calculated.
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Donation of material: describe the materials to be provided, their importance to the project and how the cost of the
materials was calculated.
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Field work logistics: describe the importance of the proposed field work to the project and provide details on how the
cost of the field work was calculated.
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Provision of services: provide details on the services to be provided, the importance of these services to the success of
the project and how the cost of providing these services was calculated.
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Other: provide sufficient details on items listed in this category, their importance to the project and the calculation of
associated costs.
Consult the Guidelines for Organizations Participating in Research Partnership Programs to determine the eligibility and value of inkind contributions (e.g., for contributions of the time of staff, NSERC will recognize a maximum of $100/hour).
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NSERC will not match in-kind contributions to indirect costs, such as managerial or administrative costs incurred by the
supporting organization(s).
Contributions to University Overhead: $0 (the University of Calgary does not charge overhead on supporting organization funds
used in NSERC programs; see University of Calgary Policy & Procedures)
Proposal (maximum of 10 pages) (attachment)
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Additional pages may be requested from NSERC for large and complex projects.
Describe your proposal using the following headings:
o
Synopsis: provide a concise overview of the scientific or technical objectives, approach, and the new knowledge,
expertise, or technology that could be transferred to Canadian industry. Indicate the benefits expected to accrue to
Canadian industry, to the academic institution, and to the scientific or engineering discipline.
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University of Calgary
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Background: relate the proposal to current scientific, technical and commercial developments in the field, referring to
the current literature and market conditions. Describe the background research on which the project is built.
Detailed Proposal: discuss the scientific issues, research problems or technical complexities, and describe the research
methodology and experimental design proposed to explain or resolve them.
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Provide a work plan and relate it to the milestone schedule from the Activity Schedule section.
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Describe the roles of any undergraduate or graduate students, or postdoctoral fellows who will be involved in
the project. If applicable, clearly justify the need for any additional support staff such as research assistants,
technicians or other professional staff who may be required to carry out the project.
Team expertise: explain how the knowledge and experience of each researcher relates to the expertise needed to
accomplish the project objectives, and how the contributions of the team members (including, if applicable, industrial
partner(s)’s) will be integrated. If the applicant or any co-applicant anticipates taking sabbatical or other leave during the
grant period, describe the impact on the research.
Research management: provide a plan for how the project will be managed to provide both day-to-day direction and
scientific leadership, as well as maintain good communication between the university research group(s) and the
industrial partner(s). If applicable, please detail the project manager's qualifications, involvement, role and
responsibilities.
Training of highly qualified personnel: the proposal must include a student training component. Describe how the
knowledge and experience gained by graduate students, postdoctoral fellows, research assistants or others, including
industrial partner(s)’s personnel, is relevant to the advancement of the field, to developing practical applications of
knowledge, or strengthening the industrial research base.
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The number of undergraduate and graduate students trained is expected to be commensurate with the size of
the project.
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Students and postdoctoral fellows are expected to enhance their skills through interactions with the industrial
partner(s) (e.g., participation in planning meetings, active exposure to industrial processes such as R&D,
manufacturing, regulatory, IP, commercialization, etc.). Describe the nature of the proposed interactions
where appropriate.
Value of the results and industrial relevance: describe the anticipated value of the project results, highlighting the
industrial relevance of the scientific or technical advances, or the innovative techniques, processes or products that will
be developed.
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Clearly identify how the work will benefit the company by showing how the outcome will address a current or
future industrial or market need.
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To the extent possible, indicate the additional work the industrial partner(s) will have to do to exploit the
results of the research for commercialization.
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Describe how the exploitation of the project results will benefit the Canadian economy within a reasonable
time.
Benefit to Canada: as well as the economic benefit to Canada described in the previous section, outline any additional
economic, social, and/or environmental benefits that will or could be realized in Canada.
References (attachment)
Relationship to other research support (up to 2 pages per co-applicant) (attachment)
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Explain any financial and conceptual overlap with the applicant’s and co-applicants’ other active or applied for sources of research
funding (from NSERC or otherwise).
For each grant currently held or applied for, clearly describe the main objective, and provide a brief outline of the methodology,
budget details and details on the support of highly qualified personnel. In addition, the relationships to the NSERC application must
be explained. Such information may be provided, for example, in the form of a brief summary of the necessary details for each
grant.
The funding sources discussed here should correspond exactly with each co-applicant’s Form 100 (Personal Data Form).
Intellectual Property – optional
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Any CRD grant will be conditional upon NSERC’s review of a fully executed research/IP agreement between the University of Calgary
and the supporting organization(s). This agreement must comply with both NSERC’s Policy on Intellectual Property and the
University of Calgary’s policies.
Important: it is highly recommended that you use the following boilerplate language to indicate your intention to execute compliant
agreements:
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“Should this application be successful, the University of Calgary and [insert names of supporting organizations] will enter
into research/IP agreement(s) that are fully compliant with the terms of NSERC’s Policy on Intellectual Property as well as
the University of Calgary’s policies, including provisions for publication rights and to ensure that students are not delayed
in the completion of their degree programs.”
Intellectual Property – optional (attachment)
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If available, attach a copy of the research/IP agreement between the University of Calgary and the supporting organizations.
Appendix A (Environmental Impact) – if required (attachment)
Appendix B (CEAA Pre-Screening Checklist) – if required (attachment)
Appendix C (Referee Suggestions)
Cover letter – optional (attachment)
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University of Calgary
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Use only if you wish to provide NSERC with additional information that will not be shared with external reviewers, such as a justified
request that an individual, a group of individuals, or an organization not be involved in the review of your proposal. The letter must
contain your name, the NSERC program (Collaborative Research and Development), and the title of your application.
2. Form 100 (Personal Data Form)
Personal profile
Current employment
Address
Academic background
Academic, research and industrial experience
Areas of expertise (research subject codes and keywords)
Research support
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List all sources of support (including NSERC grants and university start-up funds) held in the past four (4) years, currently held, or
applied for, as an applicant or as a co-applicant.
Support currently held or applied for should correspond with those discussed in the Relationship to other research support
attachment to the Form 101 (see above).
Contributions (maximum five pages) (attachment)
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Before completing this section, read the full instructions.
Using the headings below and a maximum of five (5) single-sided pages, describe your contributions to research, industrial R&D and
highly qualified personnel training over the last six (6) years up to the deadline date for the submission of the current application.
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Most Significant Contributions to Research and/or to Practical Applications;
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Research Contributions and Practical Applications;
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Other Evidence of Impact and Contributions;
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Delays in Research Activity;
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Contributions to the Training of Highly Qualified Personnel (HQP).
Highly Qualified Personnel (HQP)
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Provide data bout the HQP that you currently, or over the past six years, have supervised or co-supervised.
Appendix B (Eligibility Questionnaire) (if required)
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Complete this section if you are an applicant or co-applicant holding a position at a Canadian university that is not a tenured,
tenure-track or life -time professor emeritus position at the time of application. The information you provide must be for the
position you will hold at the time the grant is awarded. If you are not currently in that position, you must have a written offer.
IMPORTANT: If you complete Appendix B, it must be signed by your Department Head, and the signed form must be provided
with the hard copy of your application to Research Services.
Appendix C (Description of Applicant's Activities) – if required
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Complete this appendix if :
A) you hold a part-time academic appointment at a Canadian post-secondary institution. This includes applicants or co-applicants
holding an adjunct professor, professor emeritus, or part-time position; or
B) you hold an academic appointment at a Canadian post-secondary institution which is not a tenured or tenure-track
appointment.
3. Form 183A (Information Required for Organizations Participating in Research Partnerships
Programs)
Each supporting organization must attach a completed Form 183A, Letter of support and any other required documents
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To give a supporting organization the ability to link a Form 183A to your application in the NSERC On-line system, use the Access
Manager page of Form 101. For details on how to use this function, refer to the Access Manager instructions.
For applicants who are filling out the Form 183A on behalf of the participating organization, use the Link Manager page of the Form
183A (in the NSERC On-line system) to link to your application. For details on how to use this function, refer to the Link Manager
instructions.
General information on the organization
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Enter the name and title of the person at the organization whom NSERC should contact, if necessary, regarding the application and
subsequently, if a grant is awarded, regarding the administration of the award.
Addresses
Research and Development activities
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Indicate if your organization has an R&D department, the number of R&D staff in Canada, and the annual R&D expenditures.
Applicant Information
Contributions
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Indicate the organization’s contributions applied to the direct costs of research, as well as the name of the organization’s authorized
representative.
The Form 183A must be signed by a representative of the organization who is authorized to commit resources. This signature
certifies agreement with the content of the application and commitment to provide the listed resources, and agreement to release
the public summary of the award and publication of the organization’s name as a supporter of the project.
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University of Calgary
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For government organizations, the Letter of Support must be signed by the Director General, or equivalent level.
If the representative approving the Form 183A is the same as the one signing the Letter of Support, signature on the Form 183A and
Form 101 is not required.
Letter of support (attachment)
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The letter of support from the organization must be attached to Form 183A and must include:
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the organization's support for and agreement with the proposal submitted to NSERC;
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the reasons for being involved in the proposed collaboration;
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how the organization expects to integrate the results into its operations or to otherwise benefit from the anticipated
outcomes;
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(for projects) the further effort required to exploit the results in Canada;
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the potential for benefit to the Canadian economy and the relevant time frame;
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the anticipated interaction of the organization's personnel with researchers from postsecondary institutions;
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the contribution to the direct costs of the research, in cash and in-kind, as stated in the research proposal; and
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if applicable, a description of the R&D programs with details of any public funding received that is directly related to the
application.
The letter must be signed by a representative of the organization who is authorized to commit resources. This signature certifies
agreement with the content of the application and commitment to provide the listed resources, and agreement to release the
public summary of the award and publication of the organization’s name as a supporter of the project.
The original letter, bearing signatures, must be retained at the institution and made available to NSERC upon request. The letter
must be on the organization's letterhead and signed by an authorized representative of the organization.
IMPORTANT: Please forward an original copy of the letter of support, bearing an ink signature, to Research Services.
Company profile (attachment)
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Provide a concise profile of the company (not exceeding ½ page) and attach it to the application. Describe the nature of its
operations (including production, manufacturing, provision of services, or similar commercial activities) in Canada and its existing or
planned capacity to use project results. Please note that reference to the company’s Web site is not acceptable in lieu of the ½ page
company profile.
Statement of ownership – if required (attachment)
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If an applicant or co-applicant has ownership in a sponsoring company, include a statement that demonstrates how the relationship
complies with the NSERC guidelines for researcher-owned companies.
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University of Calgary
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REVIEW CRITERIA
Applications are evaluated according to the following criteria:
1.
Scientific merit: The project must be scientifically sound, technically feasible, and promise either to generate new
knowledge or to apply existing knowledge in an innovative manner.
2.
Research competence: The applicant and the research team together must have all the expertise required to address the
defined objectives competently and to complete the project successfully. Academic expertise may be complemented with
the know-how from the industrial partner(s).
3.
Industrial relevance: The proposal must identify how the work will benefit the industrial partner(s) and demonstrate that
the exploitation of the project results will benefit the Canadian economy within a reasonable time frame.
4.
Contribution to the training of highly qualified personnel: The proposal must include a student training component. It
must indicate how the knowledge and experience gained by graduate students, postdoctoral fellows, research assistants
or others, including company personnel, are relevant to the advancement of the field, to developing practical applications
of knowledge, or to strengthening the industrial research base. The number of undergraduate and graduate students
trained is expected to be commensurate with the size of the project. Students and postdoctoral fellows are expected to
enhance their skills through interactions with the industrial partner(s) (e.g., participation in planning meetings, active
exposure to industrial processes such as R&D, manufacturing, regulatory, IP, commercialization, etc.).
5.
Benefit to Canada: As well as the economic benefit to Canada described under the Industrial Relevance criterion above,
the proposal should outline any additional economic, social, and environmental benefits that could be realized in Canada.
6.
University commitment and infrastructure: For large or complex proposals (greater than $200,000 per year), the proposal
must demonstrate adequate university support for the project by detailing the specific commitments of the university
regarding the provision of financial support, equipment, and/or facilities.