Networks of Centres of Excellence NCE Network Competition. Full Application Guide. Contents

Transcription

1 NCE Network Competition Full Application Guide The Networks of Centres of Excellence (NCE) program is a federal initiative administered jointly through the Natural Sciences and Engineering Research Council (NSERC), the Canadian Institutes of Health Research (CIHR) and the Social Sciences and Humanities Research Council (SSHRC) in partnership with Innovation, Science and Economic Development Canada (ISED) and Health Canada. Contents Guidelines for Completing a Full Application Deadline General Presentation Official Languages Requirement What to Include in the Full Application SECTION A: 1. NCE Full Application Form Section A1 2. Executive Summary 3. Major Outcomes, Achievements and Impacts (established networks only) 4. Strategic Plan SECTION B: Financial Overview SECTION C: Letters of Support Reminders On-line Resources Checklist Appendix A: Electronic Signatures Appendix B: Guidelines for Merging PDF Documents

2 NCE Network Competition Participation in the Full Application stage of the NCE network competition is by invitation only, based on peer review recommendations at the Letter of Intent (LOI) stage. Guidelines for Completing a Full Application This guide is to be used in conjunction with the most recent version of the NCE Competition Guide. The Full Application provides detailed information on all aspects of the network s management and governance structure, proposed objectives, and expected outcomes and deliverables. All Full Applications will be evaluated according to the five NCE Program Criteria, as well as the Competition Framework (outlined in the Competition Guide). The Full Application should be submitted on behalf of the proposed network by an eligible academic researcher (i.e., the applicant, who is normally a proposed Scientific Director) and by the Host Institution. The applicant and Host Institution must be eligible to receive funding from one of the three federal granting agencies. (Further details regarding applicant and host eligibility can be found in the Competition Guide). Changes to the applicant, Scientific Director, and/or Host Institution from the LOI stage to the Full Application stage are permitted, provided sufficient justification is provided. The Full Application must clearly define the challenge(s) the proposed network aims to address. It must be co-developed with relevant partners and stakeholders from the private, public and/or not-for-profit sectors. The extent of partner- and stakeholder-integration will be assessed; partners must be aware that their level of involvement, in addition to their cash and/or in-kind commitments, is critical to the success of the network. Deadline The deadline for the electronic submission of the Full Application is July 19, Full Applications must be received by the NCE Secretariat by 4:30 p.m., applicant s local time. Full Applications must be submitted to the NCE on-line electronic application system at The Full Application must be compiled into a single, searchable PDF document, and not be assembled using scanned images. Electronic signatures are accepted. The PDF cannot exceed 49 MB. General Presentation Page size: 8½ x 11 inches Margins: no less than ¾ of an inch on all sides Font: Times New Roman (no smaller than 12 pts) or Arial (no smaller than 11 pts). If measured in characters per inch (cpi), it must be no more than 10 cpi. Condensed type is not acceptable. Header: include the name of the network at the top of every page All pages in final PDF document must be consecutively numbered 2

3 Graphs and illustrations may be included, and may be in colour as long as they are of high enough quality to be legible upon printing, but will count as part of the set page limits Either single or double column presentation of text, graphs or illustrations is acceptable Any pages exceeding the page limits indicated will be removed. Official Languages Requirement In compliance with Part VII of the Official Languages Act, the Granting Agencies have established that positives measures to promote the use of both English and French in Canadian society should be taken. As such, if successful in the NCE Competition, networks will be required to publish its website in both official languages. The cost of translating the website is an eligible expense and therefore can be included as an expense in the financial section of the application. What to Include in a Full Application SECTION A: 1. NCE Full Application Form Section A1 (Fillable PDF Form): Complete all sections of the Application Form Section A1, including an estimate of the proportion of the network s research that relates to the mandates of each of the three granting agencies: NSERC, SSHRC, and CIHR. See the On-line Resources section for a direct link. 2. Executive Summary suitable for public release (Free Form; 1 page max) Provide a one-page summary describing the network, its proposed research program, and expected impact on the Canadian economy and quality of life for diverse members of the Canadian population. Write for a general audience using plain language as the summary may be used for communication purposes, such as press releases or the NCE website. 3. Major Outcomes, Achievements and Impacts (Free Form; 5 pages max) This section is to be completed by established NCE networks only. Established networks are defined as NCE networks who have been awarded NCE funds for all available funding cycles (ie. two seven-year cycles or three five-year cycles), and whose final NCE funding term has ended or will end by the anticipated release date of new funds (March 31, 2019). Highlight the established network s major achievements since its inception with a focus on the added value that is directly attributable to the funding received from the NCE program. Provide specific, concise examples of the social, economic and/or health impacts of these achievements on the area of research, partners/stakeholders, and Canadians. Summarize how the network has addressed major concerns expressed in past NCE reviews. Briefly discuss any significant lessons learned that will help improve the success of the network moving forward. Building on these past/ongoing successes, demonstrate how previous activities, scope, and/or impacts will be enhanced and/or expanded in the proposed funding cycle. This may include, but is not limited to: a change in research focus to address an emerging area in need of solutions; a scaling up of activities supporting the application of knowledge; and/or a more significant sharing of leadership with partners. Note that enhancement and/or expansion" does not 3

4 necessarily mean growing or scaling up all aspects of the network. It could include a refinement or focusing of various aspects. Describe the evolution of the network s approach to achieving excellence in all five NCE program criteria and delivering measurable impacts as the network has matured over NCE funding cycles. Explain how, after receiving multiple years of NCE funding, the network continues to: (1) fill a gap of strategic importance to Canada; and (2) be relevant in a changing research and innovation landscape. 4. Strategic Plan (Free Form; 40 pages max) Using the following headers, please provide details for each section of the application. Allocate the appropriate number of pages to each section without exceeding a total of 40 pages. A. Network Vision Describe the proposed network s vision, including: the challenge(s) that will be addressed; the network s specific goals and objectives; the strategies to achieve these specific goals and objectives through multifaceted solutions, and; the anticipated outcomes, impacts and the social, economic and/or health benefits for partners/stakeholders, Canada and the Canadian population, in all its diversity. Clearly distinguish between the vision within a five-year timeframe and that beyond the proposed funding cycle. Established networks should include a description of the differences between the proposed activities included in this application with those of its previously/currently funded NCE activities. While the continuation of some activities may be justifiable based on their continued relevance, benefits, and impacts, established networks should provide a compelling case for further NCE investment that shows evolution above and beyond that typically expected at a renewal competition. Achieving a more equitable, diverse and inclusive Canadian research enterprise is essential to creating the excellent, innovative and impactful research necessary to seize opportunities and respond to global challenges. Recognizing and valuing diversity and equity must be accompanied by concerted efforts to ensure the inclusion of diverse populations, meaning that individuals must be and feel valued, respected and equally supported. Networks must therefore outline the measures that will be implemented to embed, promote and track equity, diversity and inclusion within the overall structure of the network, the creation and fine-tuning of the strategic plan, and the execution of network activities. B. Management of the Network Discuss the network s key objectives over the next five years. Give an overview of the network s management and governance structure, taking into consideration the following points: a strong management and governance structure with clearly defined responsibilities for shaping the strategic plan and direction of the network that is essential to its success; a Board of Directors responsible for the approval of the annual financial reports and audits that are required for all incorporated entities; 4

5 a demonstration of the efforts made to foster diversity and equity within the network s management and its Board of Directors in order to be representative of Canada s population. This may include, for example, any of the following: o an explanation of the recruitment strategy for attracting a diverse group of individuals presenting a combination of the necessary expertise, knowledge and skills; o the establishment of an equity, diversity and inclusion commitment statement for the network; o initiatives/strategies to promote an equitable and inclusive work environment. the nature and anticipated extent of involvement of the industrial and user-sector in research planning, direction, and management of the network; the administrative and operational structures of the network, with regards to co-ordination of activities, setting schedules, monitoring the network s progress towards its strategic goals, and allocation of resources; internal communication mechanisms; strategies for disseminating network knowledge, successes, and activities to the scientific community, stakeholders, and the general public and; if the Network Host is to be an industry-led, incorporated, not-for-profit consortium, present evidence of how the organization has in place the required financial controls, policies, and procedures, as well as a history of funding academic research. An organizational chart must be provided. Include short biographies of key management personnel, Scientific Director(s) and the proposed/current members of Board of the Directors in order to demonstrate that the network has the management and governance expertise required to deliver on its objectives. If members of the network s Research Management Committee have been identified, these should be included as well. (Should short biographies be available online, links can be provided.) For established networks, highlight any anticipated changes in the management and governance structure, including changes to the management team and Board of Directors membership. C. Excellence of the Research Program Network research programs must be challenge-focused, multidisciplinary, and be developed in collaboration with relevant partners from the private, public and not-for-profit sectors. Networks are expected to move beyond traditional discipline-specific approaches, by involving the significant and meaningful participation of researchers and partners from all relevant disciplines, sectors, geographies and cultural perspectives, as required for high value innovation to fully address multi-faceted challenge(s). Industry, partner, academic and government priorities should be integrated in the conception and design of network research activities, to ensure the uptake and/or effective application of research. Applicants must be able to demonstrate that the proposed network possesses world-class capacity to address the challenge(s) described in the network s vision. The inclusion of sex, gender and diversity considerations in research design has the potential to make the research more ethically sound, more rigorous and more useful. Applicants should discuss how this aspect will be addressed. 5

6 Include in this section a brief overview of the network s proposed research program, including: a brief review of the current state of knowledge in the field; an explanation of how the proposed research program aligns with the network s scope, focus and general objectives; a description of the role of partners and the broader research community in designing and executing the research program; the anticipated incremental value of the network relative to other efforts in the area (e.g., provincial Centres of Excellence, federally funded programs such as CAIP and CFREF, and other research consortia or initiatives). Also include the network s plans and strategy with respect to: integrating research projects and themes into a coherent research program, the outcomes of which will be implemented to produce social, economic and/or health benefits for Canadians; considering various sources and types of knowledge upon which to build the research program; establishing and developing relationships with research programs conducting similar work elsewhere in Canada and abroad; enhancing existing research collaborations through the proposed research program; using international collaborations to enhance the overall capacity of the network to focus on Canadian issues; contributing to Canada's abilities and reputation for international leadership in the area(s) being addressed by the network; and becoming leading-edge in areas critical to Canadian social, economic, technological and wellness development. Typically, the network's proposed research program is organized into a handful of major themes. For each research theme: identify the Theme Leader(s), Project Leaders and Network Investigators; discuss their roles in the network and their ability to contribute to the proposed research. Short biographies should be included for the key theme and project leaders as well as key network investigators (should short biographies be available online, links can be provided); describe how the theme fits the network's overall vision and addresses the problem(s), challenge(s) or opportunity(ies) the network is intended to address; describe how it relates to other theme areas, how it responds to partner/stakeholder needs, and how it is anticipated to evolve through to Year 5; describe, where relevant, how issues, such as equity, diversity and inclusion will be addressed in defining the theme, using specific examples where possible; describe, where relevant, how new and emerging social, economic, and/or health issues will be addressed, using specific examples where possible; and explain the process used to select the themes and projects. D. Development of Highly Qualified Personnel Outline the network s strategy to develop highly qualified personnel (HQP) and expose them to the full range of social, economic and/or health implications of the network s research by involving them in activities from the initial research discovery to its practical application. Moreover, demonstrate how the network will add value to training opportunities already 6

7 available with innovative mentorship programs. Discuss how the network will enhance HQP capacity in relation to the needs of the receptors. Outline measures that will be implemented to advance diversity and equity within the network s HQP and training activities. This may include, for example, any of the following: an explanation of the recruitment strategy for attracting diverse HQP; the design of networking and leadership training events that are both beneficial to and inclusive of all HQP, and that recognize the benefits of diversity in leadership teams; and initiatives to promote an equitable and inclusive research and work environment. Include in this section the network s strategy to capitalize on its multidisciplinary, multisectoral, networked environment to develop HQP, as well as its plan for drawing international personnel to the network and Canada. E. Networking and Partnerships Networking is intended to integrate research teams and programs and to promote effective interactions and partnerships with the user-sector outside the academic community. These networking and partnership activities should demonstrably assist the network in addressing the problem(s), challenge(s), or opportunity(ies) for which they are generating solutions. The proposed network must build on existing relationships with partners and the receptor community. This is essential in order to accelerate the formation and activities of the proposed network. Provide details on the planning process including the consultations undertaken with partners (academic, private, and/or public) in developing the application. Specifically, include the following: identification of key proposed partners in the network with an explanation of the critical capacity that each contributes to ensuring that the network achieves its objectives. Describe the pre-existing relationships that led to the development of the proposal; discussion on existing linkages and the network s proposed strategy to build new linkages among industry, receptor partners, academia, and governments across Canada and abroad; indication of the anticipated level of non-nce funding and description of the network s strategy for achieving the projected levels of contribution; discussion of the nature and anticipated extent of involvement of the private and user sector in the research; the value of a multidisciplinary, multisectoral approach to achieving the network s research and business objectives; and how the use of resources will be optimized through sharing of equipment, research facilities, databases, and personnel. F. Knowledge and Technology Exchange and Exploitation NCE networks are expected to create social, economic and/or health benefits through the application of evidence-based knowledge generated from research. This includes the range of activities from those encompassed in knowledge mobilization (activities and tools designed to put knowledge into active service, often through the establishment of new or modification of existing policies, processes and standards) to those encompassed in commercialization (transformation of knowledge or technology into marketable goods, processes or services). It is not necessary for NCE networks to cover this entire range of activities. To be effective, these 7

8 activities require the involvement of partners and stakeholders. Applicants are expected to demonstrate that the appropriate activities will be undertaken and the appropriate resources allocated to maximize benefits to Canadians. Discuss the new knowledge, products, processes, or services to be developed; the partners and/or stakeholders who will be involved in their development and their application; and the expected social, economic, health, environmental, cultural and/or wellness-related impacts. Include in your description the network s plans and strategies with respect to: the framework for the network s approach to knowledge and technology exchange and exploitation; how the network will create an environment that encourages collaboration between the usersectors, providing concrete examples, such as the application of research to technology, market development, health systems, or public policy innovations; the anticipated impact of addressing challenge(s) identified by the network, over a five-year period, on Canada s productivity, environment, health, and social systems and/or public policy; how the knowledge translation strategies intend to maximize uptake benefit for the Canadian population; and the management and protection of intellectual property for network research. G. Performance Management Framework and Metrics Describe the planned approach for the network s performance management and risk mitigation strategies, including the roles of the management team, the Board of Directors, and its Committees in assessing performance and implementing risk mitigation. Provide a table indicating the proposed network s performance metrics, targets, and milestones (short- and long-term) on which it will evaluate its overall progress and achievements for each of the NCE selection criteria. For networks with ongoing activities, provide a clear picture of the network s existing metrics, targets, and milestones and those that would be made possible with the proposed NCE funding. H. Response to NCE Standing Selection Committee LOI Report Discuss how the network has addressed or will address the feedback received from the NCE Standing Selection Committee at the LOI stage. I. Explanation of Overlap with other initiatives For both new and established networks: Discuss the role of the proposed network in the landscape of work being conducted in its area(s) of research, including: any overlap or reasonable perceived overlap between the proposed network and currently or previously funded initiative(s); the qualitative and quantitative differences between the proposed network and the currently or previously funded initiative(s); how the proposed network will complement or build on the activities of the other initiative(s); the added value of the proposed network; and 8

9 why the proposed network is essential in terms of advancing work in its area(s) of research and why individual researchers or research programs would be unable to generate these advances without the network. References Cited (Free Form; unlimited pages) Provide a bibliography of all references cited in previous sections. Acronyms (Free Form; unlimited pages) Provide an alphabetized list of all acronyms used in the application. SECTION B: Financial Overview 1. NCE Full Application Form Section B: Budget (Excel tables) Detailed instructions on how to complete the budget forms are found within the.xls documents. Please refer to the NCE Program Guide for details on use of funds and eligible expenses. Complete the budget forms: B.1: Anticipated Funding (NCE and non-nce) B.2: Proposed Expenditures (NCE and non-nce) 2. Budget justification (Free form; maximum 5 pages) Provide details on, and justification for, the contributions and expenditures listed in the budget forms. SECTION C: Letters of Support 1. List of Letters of Support (Fillable PDF) 2. Host Institution Letter (Free Form; maximum 2 pages) A letter, signed by the President or CEO (or delegate with appropriate financial authorities) of the institution that proposes to host the network administrative centre (i.e. the Host Institution) must be included. This letter must outline the nature of anticipated support from the proposed Host Institution. Host Institutions play an important role in networks, through both direct support of the administrative centre and by participating in network governance through membership on the Board of Directors. The signature on the letter should match the signature in Section A of the Application Form. 3. Letters of Support from Primary Partners and/or Stakeholders (Up to 15 letters, Free Form; 2 pages maximum per letter) Up to 15 letters of support from the primary non-academic stakeholders listed in Section A of the NCE Application Form may be included (if applicable). 9

10 Letters of support should: come from a senior executive with signing authority for the contributions being committed; indicate the anticipated level, duration, and nature (cash and/or in-kind) of support for the proposed network; describe potential involvement and added-value of the proposed network to the stakeholder s current and future activities; indicate current and past associations with individuals participating in the proposed network s activities; not be template formatted by the applicant; and be original documents, dated and signed no earlier than the launch of the NCE competition. Letters of support submitted at the LOI stage may be re-submitted as part of the Full Application as longf as there are no changes to the amount or nature of cash and/or in-kind contributions. Sort letters of support by sector (e.g. academic, industrial, provincial, federal, foreign, other) and provide a summary table indicating the name of the organization, page number, and incremental cash and/or in-kind contribution to the network. The signatures of authorized officers of supporting organizations certify that that organization: agrees with the content of the application and will provide the committed resources; and 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 network. If the Scientific Director, applicant, or a Network Investigator is also a principal of a collaborating or supporting organization, another senior official must sign the letter of support on behalf of the organization. Reminders The deadline for the electronic submission of the Full Application for the current NCE Network Competition is, July 19, Full Applications must be received by the NCE Secretariat by 4:30 p.m., applicants local time. Applications must be submitted to the NCE on-line electronic application system as a single, searchable PDF file at Tables, graphs and figures may be included within the page limits noted above. Any extra material will be removed. The NCE Network Competition Guide, the NCE FA Application Form, and details about the NCE Secretariat can be obtained at For more information, please contact the NCE Program at: Tia Moffat, Senior Program Manager Telephone: (613) tia.moffat@nce-rce.gc.ca Pierce McKennirey, Program Officer Telephone: (613) pierce.mckennirey@nce-rce.gc.ca 10

11 On-line Resources NCE Competition Documents ConcoursRCE/Index_eng.asp Granting Agency Mandates CIHR: NSERC: SSHRC: Information Regarding In-kind Contribution Eligibility Tri-Agency Use of Grant Funds GuideAdminFinancier/FundsUse-UtilisationSubventions_eng.asp Tri-Agency Responsible Conduct of Research Privacy Act Environmental Review Policy for Networks Receiving NCE Funds 11

12 Checklist A Full Application consists of three sections, prepared as follows. Each section must be fully paginated, with tabs for each section and subsection. Please adhere to the set page limits; additional pages may be removed prior to peer review. SECTION A: NCE Full Application Form Section A1 Executive Summary (1 page max) Established networks only: Major Outcomes, Achievements and Impacts (5 pages max) Strategic Plan (40 pages max) Network Vision Management of the Network Excellence of the Research Program Development of Highly Qualified Personnel Networking and Partnerships Knowledge and Technology Exchange and Exploitation Performance Management Framework and Metrics Response to NCE Standing Selection Committee LOI Report Explanation of Overlap with Other Initiatives References Cited (unlimited) Acronyms (unlimited) SECTION B: NCE Full Application Form Section B: Budget B.1: Anticipated Funding (NCE and non-nce) B.2: Proposed Expenditures (NCE and non-nce) Budget Justification (5 pages max) SECTION C: List of Letters of Support Host Institution Letter (2 pages max) Letters of Support (up to 15 letters, 2 pages max per letter)

13 Appendix A: Electronic Signatures What do the electronic or original signatures on the application mean? For the Lead applicant By signing and submitting my application, I (the Lead applicant): certify that the information provided in my funding applications and related documents is true, complete and accurate and that I have represented myself, my research and my accomplishments in a manner consistent with the norms of the relevant field; consent to the sharing between the NCE Secretariat and any academic institution to which I am, or may become, affiliated of any and all information, including personal information, in any way related to the application and to the grant/award; understand the Access to Information Act and the Privacy Act (including the Use and Disclosure of Personal Information Provided to the NCE Secretariat) as they pertain to grant application information; attest that participants listed on the application have agreed to be included; certify that I am not currently ineligible to apply for and/or hold funds from Natural Sciences and Engineering Research Council (NSERC), the Social Sciences and Humanities Research Council of Canada (SSHRC), Canadian Institutes of Health Research (CIHR) or any other research funding organization world-wide for reasons of breach of responsible conduct of research policies such as ethics, integrity or financial management policies; certify that I respect and comply with the Values and Ethics Code for the Public Service, as required only if I am, or was in the last 12 months, a public servant in the federal government; accept the terms and conditions set out in NCE Program Guide and the Agreement on the Administration of Agency Grants and Awards by Research Institutions between the federal granting agencies and Canadian institutions; will inform the NCE Secretariat and institutional officials of changes in eligibility status; agree to comply with the policies and guidelines described in the Requirements for Certain Types of Research, including: o research involving humans; o research requiring human pluripotent stem cells; o research requiring the use of animals; o research involving controlled information; o research involving biohazards; o research involving radioactive materials; o research activities having potential effects on the environment; and o other related policies; will inform the NCE Secretariat and institutional officials of any changes in the nature of the research that may have an impact on certification or approvals on the same policies as in the previous bullet; and understand that maintaining public trust in the integrity of researchers is fundamental to building a knowledge-based society. By submitting this application or by accepting funding from CIHR, NSERC and/or SSHRC, I affirm that I have read and I agree to respect all the policies of these agencies that are relevant to my research, including the Tri-Agency Framework: Responsible Conduct of Research. In cases of a serious breach of agency policy, the agency may publicly disclose my name, the nature of the breach, the institution where I was employed at the time of the breach and the institution where I am currently employed. I accept this as a condition of applying for, or receiving, agency funding and I consent to such disclosure. 13

14 For academic participants: By accepting to participate in the Network, I (the academic participant) also agree to the above. 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; the applicant has met, or will meet, the eligibility requirements; the institution obtained written approval from other institutions involved in the application process prior to submission; and the institution agrees to comply with NSERC s, CHIR s or SSHRC s data protection requirements and has adequate safeguards in place to protect sensitive information entrusted to it by the NCE Secretariat for the purpose of administering applications and awards. 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; and 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. For further information, see the Questions and Answers on the Consent to Disclosure of Personal Information at address 14

15 Appendix B: Guidelines for Merging PDF Documents Networks of Centres of Excellence Adobe Pro is required in order to merge PDF documents, which is available for download online on Adobe's website. Once Adobe Pro has been downloaded, various PDF documents can be merged into a single document. The Application Form is a protected document, so you will need to follow the steps below in order to merge various PDF documents into one cohesive, searchable document. 1) Preferred method: a. Open the completed LOI Form b. Select file then print c. When the print options opens select adobe PDF as your printer then click on print d. This will not print the document. It will let you save it as another version e. Once you have saved it, you will be able to merge the LOI Form with the other files f. In order to merge various files, go to the last page of your newly formatted Form, and click the Add Page from Another Document icon in the toolbar; browse to the next PDF document that you want to add, double-click it and choose after the document will automatically be added. g. Repeat step F with your subsequent PDF documents until you have one final merged document. If you do not have the option to merge (which can happen depending on the software you are using, although it is fairly rare), you will have to complete the above steps then use one of the PDF merging websites below: (recommended free and easy to use) 2) Alternate method: From the LOI Form a. Click File b. Click Create c. Click Combine files into a Single PDF d. Click PDF portfolio in the upper right e. Use the Add Files button to select all PDFs that you want to merge together (including selecting the document you are currently using as the first one you select) 15