College and Community Innovation Program – Engage Grants for colleges

Instructions for completing an application – Form 103

• General information
• Completing the application
• Signatures
• List for a complete application

General information

About the grant

Read the relevant grant description in the Program Guide for Professors before you complete the application.

Who completes the application?

College grants are institutional grants. The applicant, normally a senior manager in the administration of the college and delegated by the college president to prepare the application and manage the grant, must complete the application and include all required documentation using the On-line System.

The applicant and participants must also complete the College Personal Data Form (Form-fillable PDF) and attach it to the application using the On-line System.

Presentation standards

You are responsible for submitting a complete application that conforms to the presentation standards established by NSERC. Incomplete applications and applications that do not meet the presentation standards may be rejected, or be at a disadvantage, in comparison with those that are complete and respect the presentation standards. Where page limits are stated, pages in excess of the number permitted will be removed.

For more information, read the NSERC On-line Presentation and Attachment Standards.

Application deadlines

Your application must be received at your institution’s research grants office by the date of its internal deadline; contact your research grants office for that deadline.

For programs with deadlines, the application must be received at NSERC by 8 p.m. (Eastern time) on the deadline. If it is not received by the deadline, it will be considered late and will be rejected. Application deadlines are indicated in each of the program descriptions, as well as on the Application Deadlines and Notification of Decision page.

Material or updates received under separate cover (before or after the deadline date) will not be accepted.

Personal information

The collection, use and disclosure of personal information provided to NSERC are outlined in the following policy statements:

• the Access to Information Act and the Privacy Act (ATIP) (including the Use and Disclosure of Personal Information Provided to NSERC)
• Data Retention Information
• Privacy Notice

The information you provide in your application is collected under the authority of the Natural Sciences and Engineering Research Council Act. NSERC is subject to the  Access to Information Act and the  Privacy Act (ATIP). The information you provide is stored in a series of NSERC data banks described in  Information about programs and information holdings.

Help with program information

Contact the staff responsible for the program to which you are applying.

Help with the NSERC On-line System

• Check the Frequently Asked Questions on how to use the On-line System;
• Review the instructions available in the application;
• Contact the On-line Services Helpdesk. Send an email to: webapp@nserc-crsng.gc.ca or call 613-995-4273. Include your email address and telephone number.

Completing the application

Application profile

Title of proposal

The title will be used for publication purposes. It should describe the subject of the research to be supported. It should not contain a company or trade name. Spell out scientific symbols and acronyms.

Enter the time to be devoted (in hours per month) to the proposed research/activity by the team members.

Area(s) of research

Research subject codes

Consult the NSERC Code Tables. If the applied research focus of the proposal is in the natural sciences or engineering, you are required to select a research subject code for the primary area of research from the list of Area of Research subject codes. You can also select a secondary research subject code. Otherwise, leave the fields blank.

Area of application codes

Consult the NSERC Code Tables. If the applied research focus of the proposal is in the natural sciences or engineering, you are required to select a code for the primary area of application from the list of Area of Application Codes. You can also select a code for a secondary Area of Application code. Otherwise, leave the fields blank.

Key words

Provide a maximum of 10 key words that describe the proposal.

Certification/requirements

Before completing this page, consult the Policies and Guidelines of the Program Guide for Professors concerning the requirements for certain types of research.

Research involving humans: If you select Yes, you must provide your institution's administration with the appropriate certification indicating that research involving humans has been reviewed and has received the required approval.

Research involving human pluripotent stem cells: If you select Yes, or if through peer review the application is found to fall into this category and is recommended for funding, it will be forwarded, with your consent, to CIHR’s Stem Cell Oversight Committee (SCOC) to ensure compliance with  Chapter 12, Section F of the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans (TCPS 2). The SCOC review is in addition to the normal review by local Research Ethics Boards (REBs). Funding will not be released until approval has been obtained from the SCOC.

Research involving the use of animals: If you select Yes, you must provide your institution's administration with the certification from the animal care committee at the institution that the experimental procedures proposed have been approved and that the care and treatment of animals is in accordance with the principles outlined in the Canadian Council on Animal Care (CCAC) guide.

Research involving hazardous substances: If you select Yes, you must provide your institution's administration with the certification from the biosafety committee at the institution that the laboratory procedures being used comply with the safety precautions necessary for the level of containment required by the research.

Environmental impact: The Impact Assessment Form (Appendix A) may be required. For more information, consult NSERC’s Guidelines on Impact Assessment.

Participants

Since all college funds are institutional grants, faculty and staff involved with the proposal can be listed as participants. List each participant’s name, personal identification number (if known), organization name, as well as the time (in hours per month) each participant will devote to the proposed applied research/activity or the use of equipment.

Only the main participants should be listed on the proposal. Participants need to obtain their organization's approval and must provide a complete College and Community Innovation Program Personal Data Form (Form 103CV), including a signed copy of the Consent to Disclosure of Personal Information Form, to the applicant.

Participants, except those from the applicant's institution, must advise the authorized officer of their organization that NSERC will be seeking their signature through its secure site, agreeing to their participation.

By submitting this form, the applicant certifies that the individuals listed as participants have been informed of the precise uses and disclosures of their personal information by NSERC (see Use and Disclosure of Personal Information Provided to NSERC) and have authorized the release of the information by the applicant.

Supporting organizations

Enter information about each participant's organization's signing officer (other than the applicant’s organization). For supporting organizations such as a private-sector partner or a government department, enter information about the authorized representative(s).

CV – applicant and participants

The CV for the applicant and participants is made up of two sections and a consent form. Part I collects specific information on the person using the NSERC form entitled College Personal Data form. Part II is free form text limited to five pages and is used to list contributions such as the person’s relevant experience and contributions to applied research and innovation. See the instructions for completing the College and Community Innovation Program Personal Data Form (Form 103CV).

When completed, the applicant’s and participants’ signed CV, together with a signed copy of the Consent to Disclosure of Personal Information Form, must be saved into one PDF document and attached to the application.

Collaborators

A collaborator is a member of the research team. Examples of collaborators are: government scientists, academic researchers, company staff members or research scientists. 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 applied research project and to bring their own resources to the collaboration.

List each collaborator’s name, personal identification number (if known), organization name, as well as the time (in hours per month) they will each devote to the proposed applied research/activity.

CV – collaborators

If necessary, curriculum vitae (maximum five pages) from each collaborator can be submitted with the application. The applicant must save all the CVs from the collaborators in one PDF document and attach the PDF document to the application.

Summary of proposal

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 applied research is important, the anticipated outcomes and how Canada will benefit.

This plain language summary will be available to the public if your proposal is funded.

If you wish, you may also provide a summary in the other official language in the text box identified for that purpose.

Activity schedule

List the activities/steps required to achieve the objectives of the grant.

Indicate the start and end dates for the activities leading to the milestones, as well as the major results expected.

• The milestone definition and the work plan (provided in the Proposal page) will be used to assess whether a program is feasible and whether the available resources are adequate to complete it on schedule.

Proposal

Use the guidelines outlined in the NSERC On-line Presentation and Attachment Standards to provide the requested information in a document to be attached to the application.

For Engage Grants for colleges proposals (See below for Engage Plus Grants proposals):

Describe your proposal using the headings below within a maximum of two single-sided pages (this page limit does not include references).

Refer to the Engage Grants - Selection Criteria for a list of criteria that will be considered by reviewers when evaluating the applications.

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 companies. Indicate the benefits expected to accrue to the partner, to the academic institution and to the applied research discipline(s).

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 technical issues, applied research problems or technical adaption and transfer challenges, and describe the methodology and experimental design proposed to explain or resolve them. Provide a work plan and relate it to the milestone schedule from the Activity Schedule section. Describe the roles of any students who will be involved in the project. If applicable, 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 expert relates to the expertise needed to accomplish the project objectives and how the contributions of the team members (including, if applicable, company personnel) will be integrated.

Research management: If the proposal involves large or dispersed research teams, 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 college research group(s) and the private-sector sponsor(s). If applicable, please detail the project manager's qualifications, involvement, role and responsibilities.

Training of highly qualified personnel: Describe how the knowledge and experience gained by students, research assistants or others, including company personnel, is relevant to innovation and applied research in the private sector. The number of students involved is expected to be commensurate with the size of the project.

Value of the results and relevance to the private sector: Describe the anticipated value of the project results, highlighting the relevance to the private sector of the scientific or technical advances, or the innovative techniques, processes or products that will be developed or innovatively applied. Clearly identify how the work will benefit the private sector partner(s) by showing how the outcome will address a current or future company or market need. To the extent possible, indicate the additional work the partners will have to do to exploit the results of the applied research for commercialization. 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 and the corresponding timeframe.

New partnership: A mandatory objective of the Engage Grants is to foster the development of a new relationship between a company and the academic institution. Please confirm that there is no existing or past relationship between the two parties, including a previous research collaboration with the company or any of its divisions, a consulting contract in excess of a few days, involvement on the part of a member(s) of the college research team with the company, or involvement with a company employee on the college’s board of directors or equivalent.

For Engage Plus Grants for colleges proposals (See above for Engage Grants for colleges proposals):

Describe your proposal using the headings below within a maximum of two single-sided pages (this page limit does not include references).

Synopsis: Provide a concise overview of scientific or technical objectives, approach, and the new knowledge, expertise, or technology that could be transferred to Canadian companies through the continued collaboration through an Engage Plus grant. Indicate the benefits expected to accrue to the partner, to the academic institution and to the applied research discipline(s).

Detailed proposal: State the progress achieved through the original Engage Grant and provide a clear explanation of the goals of the Engage Plus project. Discuss the technical issues, applied research problems or technical adaption and transfer challenges, and describe the methodology and experimental design proposed to explain or resolve them. Provide a workplan and relate it to the milestone schedule from the Activity Schedule section. Describe the roles of any students who will be involved in the project. If applicable, 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.

Research management: If the proposal involves large or dispersed research teams, provide a plan for how the project will be managed to provide both day-to-day direction and scientific leadership, as well as to maintain good communication between the college research group(s) and the private-sector sponsor(s). If applicable, please detail the project manager’s qualifications, involvement, role and responsibilities.

Value of the results and relevance to the private sector: Describe the anticipated value of the project results, highlighting the relevance to the private sector of the scientific or technical advances, or the innovative techniques, processes or products that will be developed or innovatively applied. Clearly identify how the work will benefit the private sector partner(s) by showing how the outcome will address a current or future company or market need. To the extent possible, indicate the additional work the partners will have to do to exploit the results of the applied research for commercialization. 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 and the corresponding timeframe.

References

• Use this section to provide a list of literature references. Your list of references must not exceed one page on the printed copy.
• Do not refer readers to websites for additional information on your proposal.
• Do not introduce hyperlinks in your list of references.

Proposed expenditures

Before completing this page, read the instructions and consult the grant description and the College and Community Innovation Tri-Agency Program Financial Administration Guide for information about the eligibility of expenditures for the costs of research and the regulations governing the use of grant funds.

Budget justification

Provide a detailed explanation and justification for each budget item identified in the Proposed Expenditures page. Provide sufficient information to allow reviewers to assess whether the resources requested are appropriate. These pages should only contain information pertinent to the budget.

Salaries and benefits

Give the names (if known), categories of employment and proposed salaries (with explicit indication of the non-discretionary benefits) of research staff (research assistants and technical professionals), students and the project manager, if applicable. Briefly describe the responsibilities for each position and indicate the percentage of time they will be spending on this project over its lifespan. Salary for full-time faculty is not an eligible expense and should not be included in project costs. Faculty release costs are eligible as described in the College and Community Innovation Program Tri-Agency Financial Administration Guide. Salary for part-time faculty is eligible. It should be included under “d) other” and explained in the budget justification.

Networking/knowledge dissemination
Provide details of training workshops and explain major items with regards to knowledge and dissemination/sharing eligible expenses limited to costs attributable to specific projects/activities to be undertaken.

Travel: Explain briefly how each activity relates to the proposed research. Explain how the proposed travel is important to realizing the economic innovation and applied research objectives. This does not include international travel.

Research and technology transfer support services

Provide details and explain major items with regards to research and technology transfer support services to costs attributable to specific projects/activities to be undertaken. List the expenditure for research planning and promotion, intellectual property protection, market studies, patent applications etc.

Operating and equipment

The maximum allowable percentage for operating and equipment cost expenditures will not exceed 20% of the total grant awarded to a recipient college. Consultant costs must be included in this expenditure category.

Give a breakdown of the items requested. Provide details on models, manufacturers, prices and applicable taxes. Justify the need for each item requested. Only small equipment needed to perform the research and not readily accessible by the researcher will be considered.

Fees to be paid for the use of equipment or a facility should be described (e.g., hours and rate).

Provide details for materials and supplies.

Overhead and administration

Provide details and explain major items with regards to overhead and administration costs attributable to the specific project to be undertaken.

In general, the college is expected to provide for, or contribute, to the indirect or overhead costs such as basic utilities, the costs associated with managing and operating facilities, the purchase and repair of office equipment, administration fees, insurance for equipment and research vehicles, and basic communication devices such as telephones and fax machines. Since the funding received by colleges is not eligible for the  Research Support Fund, colleges may request funds for overhead and administration costs attributable to this project (but not for general overhead and administration costs of the college as a whole). The maximum allowable percentage for overhead and administrative costs will not exceed 20% of the total grant awarded.

Quotations

Quotations are not required for Engage Grants for colleges. The Quotations page on the On-line System does not need to be completed or submitted.

Relationship to other applied research support

Any relationship and/or overlap, conceptual or financial, with work supported by NSERC or other funding sources must be explained.

Use additional pages to provide the following information:

• Clear and concise information on the conceptual and budgetary relationship or difference between this application and all other support (currently held or applied for) at the college. Also explain perceived duplication in funding or, if applicable, indicate how this proposed application would complement applied research funded by other sources.
• 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 onus is on the applicant to provide sufficient information to enable the reviewers to evaluate the relationship between this application and other sources of support, to evaluate the incremental value of additional support from the program, and to recommend the appropriate funding level.

Not providing adequate information to assess the relationship to other research support may result in the proposal being reduced or not funded.

Contributions from supporting organizations

Use this page to report the contributions committed by the supporting organization(s) to the research project. Before completing this section, read the program description and the College and Community Innovation Program Tri-Agency Financial Administration Guide for information about the eligibility of expenditures and the regulations governing the use of grant funds. Also review the Guidelines on Eligibility and Value of In-Kind Contributions. At minimum, an in-kind contribution from the company reflecting its involvement in the project is required.

Provide the information for each supporting organization.

List the resources the supporting organization will provide to support the proposed activities including:

• the cash contribution to direct costs of research. This amount will be transferred to the appropriate line on the Proposed Expenditures page;
• 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);
• the in-kind contributions to indirect costs;
• an indication of the amount paid to the institution for overhead.

Use the Contributions from Supporting Organizations (Attachment) page to provide an explanation of the cash and eligible in-kind contributions.

Form 183A and letter of support (and attachments, as required)

A completed Form 183A, letter of support and any other required documents must be attached for each organization participating in an applied research project. Either the applicant or the supporting organization must complete all applicable pages of the form and provide the required documents.

To allow a supporting organization the ability to link a Form 183A to your application, use the Access Manager page of Form 103. For details on how to use this function, refer to the Access Manager instructions.

For applicants who are filling out Form 183A on behalf of the participating organization use the Link Manager page of Form 183A to link to your application. For details on how to use this function, refer to the Link Manager instructions.

Contributions from supporting organizations (attachment)

Provide a detailed explanation of the in-kind contributions to the direct costs of research. This information will be used to assess the level and nature of the supporting organization’s involvement and the importance of its contribution to the success of the project.

• 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 (up to a maximum of $100.00 per hour).
• 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.
• Donation of material: Describe the materials to be provided, their importance to the project and how the cost of the materials was calculated.
• 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.
• 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.
• Other: Provide sufficient details on items listed in this category, their importance to the project and the calculation of associated costs.

Cash contributions are those made to accounts for which the applicant has signing authority. Other contributions are considered in-kind.

Letter(s) of support

Provide a letter from the appropriate representative of each participating or supporting organization other than Canadian universities or eligible Canadian colleges (e.g. the person responsible for the organization's participation in, or support of, the project), on letterhead, that indicates:

• the nature of the company-specific problem;
• the reasons for being involved in the proposed collaboration;
• how the organization expects to integrate the results into its operations;
• what benefits the anticipated outcomes will bring to the organization;
• the further effort required to exploit the results in Canada;
• the potential for benefit to the Canadian economy and the relevant timeframe;
• the anticipated interaction of the organization's personnel with the college;
• the organization's support for, contribution to, and agreement with the proposal submitted to NSERC.

Note: For upload purposes, all letters of support must be saved into a single PDF document.

Intellectual property

Describe the anticipated plans to protect and dispose of intellectual property arising in the project.

Given the purpose of the projects and the fact that they are company-driven, the college must have the right to use the new knowledge or technology in future teaching and research; and faculty and students must have the right to describe the project on their curricula vitae.

Impact Assessment Form (Appendix A)

An Impact Assessment Form (Appendix A) must be completed and uploaded to the Environmental impact page, as required.

External reviewer suggestions (appendix C)

Suggestions for external reviewers are not required for Engage Grants for colleges. The Appendix C page on the On-line System does not need to be completed or submitted.

Cover letter

A cover letter is not required for Engage Grants for colleges. The Cover Letter page on the On-line System does not need to be completed or submitted.

Signatures

NSERC does not require original signatures on applications or other documents submitted electronically through its On-line System. The electronic submission of applications through this system represents approval and replaces the traditional “physical” or “wet” signatures. Refer to the Frequently Asked Questions in the Program Guide for Professors for more details.

What do the electronic or original signatures on the application mean?

For applicants

Before you, as an applicant or participant, submit your application to NSERC or link your Personal Data Form to an application, you must read and agree to the following terms and conditions.

By submitting your application or linking your Personal Data Form, you are certifying that:

• You have provided true, complete, accurate information in your funding application and related documents, and you have represented yourself, your research and your accomplishments in a manner consistent with the norms of the relevant field.
• If you are the applicant, you have ensured that others listed on the application have agreed to be included in the application.
• If you are a participant, you agree that the applicant will administer the grant/award on behalf of the group/team.
• You are not currently ineligible to apply for and/or hold funds from NSERC, the Social Sciences and Humanities Research Council (SSHRC), or the Canadian Institutes of Health Research (CIHR), or any other research or research funding organization worldwide for reasons of breach of policies on responsible conduct of research, such as ethics, integrity or financial management policies. If at any time you become ineligible for any of these reasons, you will advise your institutional officials and NSERC immediately, in writing.
• You have read, understood and agree to comply with the  Tri-Agency Framework: Responsible Conduct of Research both in the submission of your application and in carrying out the research and related activities funded by NSERC.
• If you are or have been (at any time during the past 12 months) a federal public servant, you have complied with and will continue to respect the  Values and Ethics Code for the Public Sector.
• Consent has been obtained from trainees to include limited personal information about them in the application.
• You understand the Access to Information Act and the Privacy Act and the Use and Disclosure of Personal Information Provided to NSERC as they pertain to your information.
• You consent to the sharing among the three federal granting agencies (NSERC, SSHRC and CIHR) and with any academic institution to which you are, or may become, affiliated, of any and all information, including personal information, in any way related to the application and to the grant/award.
• In the event of any change in your eligibility status, you will inform NSERC and your institutional officials immediately, in writing.

By submitting your application or linking your Personal Data Form, you are also confirming that, during tenure of the grant/award, you will comply with the terms and conditions of the grant/award.

Consent to disclosure of personal information: You understand that maintaining public trust in the integrity of researchers is fundamental to building a knowledge-based society. By submitting any application, by linking your Personal Data Form (Form 100 or 103CV) as a participant to an application, or by accepting funding from CIHR, NSERC and/or SSHRC, you affirm that you have read and you agree to respect all the policies of these agencies that are relevant to your research, including the  Tri-Agency Framework: Responsible Conduct of Research. In cases of a serious breach of agency policy, the agency may publicly disclose any information relevant to the breach that is in the public interest, including your name, the nature of the breach, the institution where you were employed at the time of the breach, the institution where you are currently employed, and the recourse imposed against you. You accept this as a condition of applying for, or receiving, agency funding, and you consent to such disclosure. If you do not agree to the disclosure of your personal information, you cannot participate in this application. For further information, see the Consent to Disclosure of Personal Information Policy - Frequently Asked Questions.

Note: If you have any concerns about your ability to comply with the terms and conditions listed above, contact your institutional official or NSERC staff responsible for the program immediately. Do not agree to the terms and conditions and do not submit your application or Personal Data Form until you are certain that you can and will comply with all of the requirements.

The signatures of the institutional authorities certify that:

• the institution will abide by the roles and responsibilities as set out in the  Agreement on the Administration of Agency Grants and Awards by Research Institutions with the three federal granting agencies, including the  Tri-Agency Framework: Responsible Conduct of Research;
• the applicant has met, or will meet, the eligibility requirements;
• prior to submission of this application, the institution has obtained written approval from any other institutions involved in the application process;
• if the applicant discloses any potential intellectual property (IP) arising from the research, he or she and the institution will endeavour to obtain the greatest possible economic benefit to Canada from the resulting commercial activity. Note: This requirement for disclosure is not intended to supersede any IP ownership policy that the institution already has in place.

The signatures of authorized officers of other supporting organizations certify that the organization:

• agrees with the content of the application and will provide the committed resources;
• agrees to the release of the public summary of the award and to the publication of the organization's name as a supporter of the initiative.

If you are both the applicant or participant and a principal of a collaborating organization, another senior official must sign on behalf of the organization.

List for a complete application

Use the following list to make sure your application is complete.

• Application for a Grant (Form 103)
  • Application Profile (including areas of research, certification requirements, amounts requested)
  • Participants
  • Collaborators
  • Supporting Organizations
  • Summary of Proposal
  • Activity Schedule
  • Proposal
  • Literature References
  • Proposed Expenditures
  • Budget Justification (attachment)
  • Relationship to Other Research Support (attachment)
  • Contributions from Supporting Organizations
  • Contributions from Supporting Organizations (justification of in-kind) (attachment)
  • Intellectual Property description
  • Appendix A (Environmental Information Form) - if required
• College and Community Innovation Program Personal Data Form (Form 103CV) for the applicant and from one to five college participants
  • Personal information (appointment and academic background)
  • Relevant experience
  • Relevant contributions to applied research and innovation
• CV - Collaborators if applicable
• Information Required from Supporting Organizations (Form 183A) – for each private-sector partner
• Letters of Support from all supporting organizations