CALL FOR PROPOSALS FOR R&D COLLABORATION WITH CHINA
CANADA- CHINA SCIENTIFIC AND TECHNOLOGICAL COOPERATION
Joint Call for Proposals for Collaborative R&D projects - 2010
Under the Canada-China Scientific and Technological Cooperation Agreement, the two governments have agreed to foster joint research and development projects (R&D).
This bi-lateral R&D program is implemented by the Ministry of Science & Technology in China (MOST), as a component of China International Science and Technology Cooperation Program; and ISTPCanada, incorporated in Canada, as mandated by Foreign Affairs and International Trade Canada.
This call is open to all projects that include science and technology (S&T) development leading to commercial success and benefit to both countries. There is however an initial specific emphasis on following technology areas:
- Agriculture Foods and Bio-products
- Energy
- Environment
- Health & Life Sciences/Biotechnology
Information and Communication Technologies and Nanotechnology are identified as enabling sectors to the four selected areas.
1. Requirements
The criteria to be followed in order to apply to the present call are:
a) The proposed R&D project must include participants from Canada and China.
b) At least one industry participant from Canada.
c) The project should be innovative and lead to a new product or process with clear commercial potential.
d) The partners should agree in advance on the IP rights and on the commercialization strategy of the product or service.
e) The application will be strengthened by the participation of academic and institutional researchers and by including young researcher exchanges as a component of the R&D program.
2. Eligibility
In Canada
Eligible applicants will be researchers and managers representing Canadian companies, academic institutions, research hospitals, other institutes, or associations which operate and are headquartered in Canada. Subsidiaries of firms headquartered and owned outside Canada are normally not eligible for support. However, recognizing that the overriding consideration is "benefit to Canada", an exception can occur if ISTPCanada is satisfied that clear economic benefit will accrue to Canada because the product or the technology will be substantially produced in, exported from or utilized in Canada.
Agencies of the Crown (including Crown corporations, government institutes, government laboratories, etc.) may be participants of ISTPCanada-funded Activities but are not eligible as recipients of ISTPCanada funding.
In China
Researchers from companies, universities and research institutes registered in mainland China. Private companies or research entities should be owned by mainland Chinese citizen.
3. Size of Investments and Matching Funds
a) Funding support will be given to each partner by its own Authorities (MOST* in China in 2010 and ISTPCanada in Canada) in accordance with the national laws, rules, regulations and procedures in effect.
b) ISTPCanada will limit its contribution to the lesser of $600,000 Cdn. per project or 50% of the eligible costs of Canadian Applicants. Chinese participants will receive funding at a level to be determined by MOST.
*For proposals where there is Canadian participant from Alberta, additional funding source from regional Chinese governments may be available to their Chinese partners, subject to approvals by said governments. These regions include Guangdong, Heilongjiang, Zhejiang, Shanghai or Shenzhen.
4. Submission of the Project Proposals
The Canadian team should e-mail cfp_china@istpcanada.cabefore the Expression of Interest (EOI) deadline of Friday, July 17th, 2009 to get an Application Reference Number (e.g. CCRD09-nnn). This number MUST BE quoted when submitting the EOI and proposal to ISTPCanda by the Canadian Team and the proposal to MOST by the Chinese team.
On top of the application materials required by ISTPCanada and MOST respectively, both the Canada and China teams should submit the following information in both Chinese and Engligh to ISTPCanada and MOST using the Key Information Form which will become part of the EOI document for the Canada team:
- Project Title
- List of all Canadian and Chinese Applicants
- Excutive summary
The Canadian team and the Chinese team MUST co-develop the EOIs and Full Proposals to ensure that the submission in both countries provide the identical information on Project Title, List of Applicants, Goals and Objectives, Innovations, Methodologies, Expected deliverables, Division of Labor, Inputs from both sides, Allocation of IP rights and other benefits from deliverables, Project Plan and Schedule, Commercialization Plans and Benefits to both countries, etc.
In Canada:
A two-stage application process will be used. First an Expression of Interest (EOI) to be followed by a full application. The joint project EOI must be submitted to ISTPCanada by end of day, Friday July 17th, 2009 via e-mail tocfp_china@istpcanada.ca.
Depending on the feedback to the EOI, applicants may submit a full proposal to ISTPCanada by end of day, Tuesday, September 15th, 2009. The application must be signed (electronic/fax signature is acceptable) by the parties in Canada and China responsible for the project. Applicants are required to submit, to the following address, three (3) hard copies and a CD of the completed and signed proposal in the prescribed format, and a copy of the application submitted by the Chinese team to MOST:
ISTP Canada, 371A Richmond Road, Suite 4, Ottawa, ON, Canada, K2A 0E7
Please refer to the Guidelines for Applicants documents for more details on the EOI and the application preparation. You may also click here to access the 2009 EOI Form directly.
In China:
One-stage application process will be used. The Chinese applicants should submit their full proposal on-line to MOST: http://program.most.gov.cn/ by 17:00 (Beijing time), Friday, July 17th,, 2009. Details of the Call can be found at this web address:
http://www.most.gov.cn/tztg/200906/t20090611_71248.htm.
5. Evaluation and Selection of the Projects
ISTPCanada and MOST will carry out parallel evaluation of the applications. The successful projects will be jointly selected by the two funding organizations based on the project criteria and requirements specified in the application form.
6. Publication of the Results Canadian and Chinese applicants whose projects have been selected will be informed of the result by the respective agencies. The list of selected projects will be published by ISTPCanada and MOST.
For further information please contact:
Canada
Stacy Chew
Country Manager for China
International S&T Partnerships Canada
Email: stacychew@istpcanada.ca
Address: 371A Richmond Road, Suite 4, Ottawa, Ontario K2A 0E7 Canada
Phone: 613-729-3069, ext 223
China
ZHAO Linli, XIN Binqing, WU Wei (Application), WANG Jianbo(Policy)
Office of the China International Science and Technology Program
Department of International Cooperation
Ministry of Science and Technology, China
Email:hzs_mdc@most.cn
Phone: 86-10- 63908612/86-10-58881335
Address: Muxidi Beili Jia 11, Guohongdasha B-611, Xicheng District, Beijing 100038 China
APPLICATION GUIDELINES
Download the full Application Guidelines
CANADA-CHINA SCIENTIFIC AND TECHNOLOGICAL COOPERATION
Guidelines for Canadian Applicants
Joint Call for Proposals for Collaborative R&D projects – 2010
INTRODUCTION
In January 2007, Canada and China signed a bilateral “Agreement for Scientific and Technological Cooperation”. The purpose of the Agreement is to encourage, develop and facilitate cooperative activities between the two countries in science and technology (S&T) for peaceful purposes in fields of common interest and on the basis of equality and mutual benefit.
Within the context of the Canada-China S&T Agreement, the two governments have identified funding mechanisms through which companies and research organizations may seek support for joint Canada-China research and development (R&D) projects and other activities intended to generate new or expanded research and technology-based partnerships between the two countries.
For Canada, funding and other services will be provided through International Science and Technology Partnerships Canada (ISTPCanada), a non-governmental organization selected by the Government of Canada for this purpose, and for China, through the Ministry of Science and Technology (MOST) of the government of China. Specific contacts and coordinates for the Canadian and Chinese implementation organizations are provided at end of this document.
These guidelines are specific to the Canada-China collaborative research and development projects submitted under the current call for proposal. ISTPCanada and MOST invite Canadian and Chinese participants to submit proposals for cooperative research and development projects.
APPLICATION PROCESS
The collaborative R&D proposal process includes the submission of an EOI and a full proposal.
The Canadian team should e-mail cfp_china@istpcanada.ca before the EOI deadline of Friday, July 17th, 2009 to get an Application Reference Number (e.g. CCRD09-nnn). This number MUST BE quoted when submitting the EOI and proposal to ISTPCanda by the Canadian Team and the proposal to MOST by the Chinese team.
The Canadian team and the Chinese team MUST co-develop the EOIs and Full Proposals to ensure that the submission in both countries provide the identical information on Project Title, List of Applicants, Goals and Objectives, Innovations, Methodologies, Deliverables, Division of Labor, Project Plan and Schedule, and Commercialization Plans and Benefits to both countries, etc.
Expression of Interest (EOI)
Submission of an EOI is mandatory. Applicants interested in submitting a full proposal must submit an EOI by end of day, Friday, July 17th, 2009 to be eligible. An EOI provides a summary of the proposed project with enough detail for the reviewers to make an initial assessment of the merits of the project.
The EOI consists of two parts
Part 1 – Key Information Form:
· Applicants page – provides Title and list of all participants.
· Executive Summary - provides high level description of the project (no more than ½ page).
Part 2 – 2009 EOI Form:
· Budget page – provides lump-sum budget of each participant.
· EOI Body (no more than 5 pages) - This section should provide a summary of the sections on the innovation, analysis of the problem, the proposed solution, a short description of the project plan, the market need, the commercialization plan, the expected collaboration and the management plan.
Please fill in the 2009 EOI Form and email it back to ISPTCanada as your EOI by end of day, Friday, July 17th, 2009.
Please note that the EOI review will have three possible outcomes:
- EOI meets all the requirements and lead participant requested to submit a full proposal.
- EOI clearly does not fit the program criteria and lead participant is advised not to submit a proposal.
- EOI fits most of the criteria, but the lead participant is requested to provide extra clarification or modification before a final decision can be made.
Please refer to the full proposal guidelines below to get a better understanding of what might be included to strengthen the EOI.
On top of the EOI Form, the Canadian team should also submit the following information in both Chinese and Engligh using the Key Information Form:
- Project Title
- List of all Canadian and Chinese Applicants
- Excutive Summary
Full Proposal
Depending on the feedback to the EOI, applicants may be invited to submit a full proposal to ISTPCanada by end of day, Tuesday, September 15th, 2009.
Proposals for the Collaborative R&D Projects include both a technical component and a business plan. The technical component describes the innovation, gives details of the proposed technical approach and contains a Research Program Plan. The business plan component covers the market analysis, commercialization plans, benefits to project participants, project organization and the management plan. The proposal should also provide a description of the companies and other participants along with detailed resumes of key project personnel. Accordingly, proposal guidelines consist of the following (an Application Template, similar to the EOI Form, will be provided to proponents whose EOI application is accepted by ISTPCanada):
Cover Pages (format provided in the Application Template)
Table of Contents (include page numbers)
Executive Summary
A clear and concise statement of:
- Specific objectives of the project;
- Commercial value of the proposed product or process, i.e. projected revenues and time period;
- Capabilities and performance records of the participants in relevant areas.
1. The Innovation
- What is the current "best practice"?
- What are the current limitations? This is an opportunity to elaborate on the shortcomings that exist in the proposed area as a prelude to the description of the innovation and how it can overcome these shortcomings. Current limitations could include: high cost, non-optimal performance, lack of attention to specific market opportunities, e.g., poor suitability to high-or-low-end markets, size, compatibility, nonconformance to standards, etc.
- What is the idea? Sketches, diagrams and tables could be included to help describe the innovation. This description should clearly identify in which way the innovation overcomes current limitations. How the idea overcomes these limitations is to be contained in this section.
- How much will the proposed program cost and how long it will take to develop the product to the point of commercial readiness?
- What is the patent situation, including background patents and the potential for new patents? Are there any obligations to other agencies which have supported any part of the innovation development?
- Which standards relate to the developed product? Will the proposed product meet current and/or emerging standards?
2. Proposed R&D Program
This section of the proposal could be organized in two parts: "Analysis of the Problem" and "Proposed Approach".
Analysis of the Problem
The purpose of this section is to establish a credible basis for the proposed R&D program, with the intent of identifying specific problem areas. These are the problems or challenges that need to be overcome in order to achieve the program objectives. For example, at the start of the project, the companies and participants are at Position A, which relates to the current limitations highlighted in the preceding section. By the end of the project, at the point of commercial readiness, the companies and participants expect to be at Position B. What specific problems must be solved or overcome in order for the companies to reach Position B, consistent with the project budget and timetable? Clearly, these problems and their resolutions should have been considered by the participants in formulating their Proposed Approach and in defining the Program Plan.
The problems may focus on a variety of technical issues – for example, how to achieve lower power consumption or higher circuit speed, with data indicating both the current situation and the target values for the innovation. Process challenges may include how to enhance measurement accuracy; improve manufacturing yield; make the software platform-independent; automate a process, etc. Product targets may relate to issues such as the design of a more streamlined system with fewer parts, improved temperature performance, greater reliability, smaller footprint, enhanced market appeal, or greater flexibility. In some cases, the problems may relate to the need for fundamental technological breakthroughs in order to develop a currently nonexistent product. In others, for example, the technological problems may be relatively straightforward, with key issues relating to product integration into an existing line or management of a complex, inter-disciplinary, multi-task project.
Additional items to be addressed in this section may include:
- Definition of the required properties and functions of the end-product that will be used in the service environment. Often, this is referred to as "the specifications sheet". This is the “Position B” referred to previously in this section. What market input has contributed to formulating the end-product characteristics?
- Identification and description of problems associated with realizing the required properties and functions. This is an in-depth discussion of the problems that must be solved in order to achieve the program's objectives. The participants should confirm that any critical technologies required are firmly under control.
Proposed Approach
This section must be sufficiently detailed for expert reviewers to assess the approach being followed for the research. It should include:
- A general plan of the proposed effort, setting the stage for the more detailed task descriptions. This overall plan includes the achievements that will make it possible to realize the program's objectives.
- Any technical or economic constraints.
- Identification and detailed description of each task. This is the heart of the technical part of the proposal, stating the objective for each task and identifying the participant with primary responsibility for the task.
- Describe - for each task - the specific approach that will be employed; i.e., detail the techniques to be used to solve the previously identified problems. In this section, the participants demonstrate that they are aware of current best practice, its limitations and the opportunities inherent in the proposed innovation. As well, this section should demonstrate that the Proposer understands the problems associated with developing the idea of commercial readiness.
- Discuss alternate approaches to resolving problems and the basis for selecting the preferred solution. Even if a preferred solution has not yet been determined, the various alternatives should be reviewed, along with their relative merits.
- The detailed description of the technical approach should provide the reviewers with sufficient information to perform a meaningful review of the proposal. For each task, provide supporting information that justifies the specific approach, where appropriate.
- Since the final objective is a product or process, tasks addressed should include compliance to standards (or why the product will not comply with applicable standards), prototyping, regulatory approvals, exhibitions, marketing activities, documentation, etc. Again, for those tasks relating to "testing", for example, details should be given as to what is to be tested, how many tests are needed, test objectives, test methodology, expected results, etc.
3. Program Plan
Should the project be approved, the Program Plan section of the proposal will be incorporated into the project funding Agreement and will be used by ISTPCanada in monitoring project progress. MOST will also use the Program Plan from the proposal in its own funding agreement to monitor the progress. For projects of duration 18 months or less, the effort should be organized into one project period. For longer projects, the effort should be organized into two periods of roughly equal duration. Note that each project period will also be split into two segments for the purpose of project monitoring and reporting.
The Program Plan should consist of:
- A chronological schedule of program activities presented in graphical form, clearly indicating the estimated time required for the completion of each task in addition to milestones. Specific participant assignments for each task should be identified in the Program Plan even if this information was provided elsewhere, and task assignments for subcontractors and consultants should be delineated.
- A one page summary Gantt chart.
- A labour loading chart detailing the planned time commitment for each task, covering the same project duration.
- And encompass the entire duration of a multi-period program, including all activities that must be performed until commercial readiness.
4. The Market
Although there are uncertainties implicit in predictions of future markets and possible competition for any new product or process, it is important to demonstrate that the participants have made a thorough analysis of the market prognosis. Such an analysis can typically include the following considerations:
- What market needs are served? Are one or more participants currently active in developing, manufacturing and selling similar types of products in this market? What is the basis for this market need?
- What is the total addressable market for the product? What is the current position of the participants in this market? What is the expected growth of this market over the effective sales window of the product being developed, and what is the basis for this projection? What events could significantly alter this projection? What market share is expected to be captured in the year of market entry and over the product sales lifetime?
- What barriers, e.g., regulatory, might be encountered, and how will they be overcome?
- What competition exists or can be imputed? Provide an evaluation of the impact of competition on the commercialization of the proposed product.
This is not a complete list. The basic message is that developing innovative concepts for commercial gain is an intrinsically risky, uncertain, but occasionally highly rewarding undertaking whose prospects of success can be immeasurably improved by acute, objective and early planning. The participants should present whatever additional information they consider relevant.
5. Commercialization – Plans and Prospects
It is obviously beneficial to those making investment decisions regarding new technology if a single index can be derived which provides a "figure of merit" for deciding on a particular investment, or for evaluating various alternatives.
A preliminary financial analysis which includes the potential gain from successful implementation of the proposed project should be made using a Cash Flow Analysis approach of your choice.
Should the project prognosis be encouraging, the commercial program needs to be planned and implemented? Some of the questions to be discussed are:
- Will the participants be engaged in production? What are the existing manufacturing facilities and how can the proposed product manufacturing be incorporated into the existing infrastructure?
- Who will sell to which market regions? What is the current sales level of the participants in the primary target regions for the proposed product?
- Do any of the participants currently have a suitable sales and service network? If there is such a network, it should be described. Alternatively, does such a network need to be created from scratch? Describe the process by which the participants plan to establish such a network and the resources required.
- Considering the maximum cash requirements based on the cash flow analysis, to what extent are the necessary resources - financial or otherwise - available within the participating companies? If any additional resources will be required, how will they be mobilized? Describe all relevant potential sources.
6. Cooperation and Benefits
Previous sections deal with the proposed division of tasks between the participating participants in two countries. Please summarize here the projected mode and extent of cooperative activity.
The clear expectation of risk-sharing by participants during product development and of mutual benefit during commercialization is central to participation of Canada and China under the CCSTC. An important factor in evaluating the proposal, therefore, is the extent to which the participants will share in the research, product development and introduction to the marketplace, as well as the benefit to be derived by each participant during product commercialization. Also of importance is the benefit to Canada and China in the form of new export markets, new employment opportunities, new capital formation, productivity improvements, etc.
Please elaborate these issues in the context of the agreement between the participants with respect to their agreed-upon roles during the various project stages including the commercialization process.
If there are plans for exchange of young researchers involved in this project, please indicate the length of exchange and the role(s) to be played in the R&D activities. Also explain how the exchange of young researchers adds value to the project goals.
7. Organization and Management Plan
This section should contain a presentation of the proposed management procedures for the program, including the internal review procedures and overall management plan that will ensure, barring unforeseeable circumstances, implementation to design specifications, on schedule and within budget.
- Describe the procedures to be implemented to maintain timely communications between lead participant's project team in each country. Indicate the role of review meetings (when, where, for what purpose, with whom) during the project.
- Provide an organization chart for the project, identifying each participant's project leader and the overall program manager, and indicate the relationship of this ad hoc organization to the formal hierarchies in the participant’s organization. Identify the program's key project personnel and their responsibilities.
- Regarding staff - indicate positions to be filled by new employees and identify the status of these staff.
- Identify the role of key consultants and subcontractors on the organization chart and indicate if a relationship between the consultants/subcontractors and the participants currently exist.
8. The Participants and the Project Personnel
In the final analysis, the determining factors in the successful commercialization of innovations are the people and the participating companies involved. Please provide information about each of the participants, including the following:
- In the case of company participants, please provide the year in which each company was established, company ownership and principal business of each company,revenue/profit, number of full time/part time/contractors, previous business focus and future plan, if applicable. Please fill up the Industrial Partner Information form (to be provided).
- Record of performance in similar/related undertakings. Describe the extent to which products similar or related to the proposed innovation have been developed and commercialized. What is the track record or history of each participant that also substantiates a positive prognosis for this proposed product's successful commercialization?
- Degree to which the proposed project can be absorbed into the existing structure of each participant. To what extent are the staff, equipment, facilities, etc., available for the project? Identify the need to hire staff, obtain (purchase, lease or rent) capital equipment, or expand manufacturing operations.
- Relationship of the proposed project to other participant projects that receive/have received support from any outside agency for development of the proposed innovation.
- In the case of company participants, the financial information validating that the companies cannot only contribute their share of the project cost, but have the resources available for the commercialization phase. Public companies can submit annual and quarterly reports rather than specially prepared information. At a minimum, annual revenues expected during the current fiscal year and realized during each of the last two fiscal years should be given, in addition to an indication of the profitability of the company participant during this period. Number of employees at home, at field locations and abroad should be given, along with an indication of changes in the employment picture during the past two years.
- Description of relevant facilities, equipment, infrastructure, etc., which are expected to be utilized during the project and during product commercialization.
- Resumes of key personnel/researchers who will work on the project. The resumes should include each individual's role in the project, e.g., project manager, senior software engineer, field engineer, etc. Include the person's current affiliation with the participant’s organization, job title, relevant job experience and significant accomplishments, starting from the most current position. List professional affiliations and committee memberships. Indicate higher education and degrees and provide a listing of relevant publications authored or co-authored (maximum, one page). Resumes of consultants should also be included. In general, the reviewers of the proposal need to see that the experience, education and capabilities of the professional staff are commensurate with the R&D tasks to be performed.
- Additional pertinent information, such as product brochures, expressions of interest from potential customers in the products or processes to be developed, marketing agreements, etc., should be included.
9. Intellectual Property Treatment
Most of the collaborative projects funded under the CCSTC are expected to produce new intellectual property (IP). The program also recognizes the value to the participants of any background IP they might bring into the project. In general, a participant’s background IP will remain vested with the owner.
Please provide a detailed list of the background IP brought into the project by all participants. The proposal must describe, to the extent possible, the new IP which is expected to result from the project and must address the proposed treatment of all the intellectual property. This includes the ownership of new IP and sharing of the new IP between the participants. Any IP agreement between the participants must respect the IP laws of each country along with the IP policies of the academic and other research institutions involved in the project.
10. Project Budget
A separate budget should be presented for the project component in Canada and in China covering each participant's activities for each period of the project as proposed (Please use the appropriate budget sheet for Canadian and Chinese participant from appendix A). Each participant should provide its budget detail in a separate budget sheet and the lead participant should provide an overall budget for the project’s national component. For a project whose duration is 18 months or less, the budget should be organized into one project period. If greater than 18 months, the budget should be presented in two project periods, using the format on the following page.
Furthermore, the funding of the project begins from the effective start date agreed upon in the project funding agreement signed with the successful lead participants. Expenses incurred by the participants prior to the effective start date of the project cannot be restructured to fit into the eligible expenditures.
11. Canadian Stacking Rules
Please note that Government of Canada stacking rule applies to all Canadian applicants. A stacking limit is the total of all government assistance as a percentage of eligible costs. Total assistance includes federal, provincial and municipal funding. This stacking limit is 75%. Any amount exceeding this limit is subject to recovery. It is the responsibility of the applicant to disclose all the sources of government funding in the proposal and during the life of project.
12. Project Agreement
On being successful, lead participants are expected to complete all necessary internal procedures for project implementation and enter into an agreement or contract with their implementing organization.
Appendix A
This appendix should include the following sheets:
- Proposed project budget sheet for Canadian participants. This sheet must be completed by each Canadian participant
- Accompanying Notes to the Budget Sheet for Canadian Participants
- Proposed project budget sheet for Chinese participants. This sheet must be completed by each Chinese participant (from MOST application form)
- Sample Cover Page for the Expression of Interest Sample Cover Page for the Proposal
For further information please contact:
CANADA
Stacy Chew, Country Manager for China
ISTP Canada
371A Richmond Road, Suite 4
Ottawa, ON K2A 0E7
Phone: (613) 729 3069 x223
www.istpcanada.ca
stacychew@istpcanada.ca
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