Transcript Early Researcher Award Workshop

OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
ORF-RE
Information Session
January 22, 2014
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
ORF-RE Info Session
1. Program Information and Key Documents – MayLiza Baak,
Executive Director, Research Services
2. Evaluation Process and Criteria – Shaun Young, Editorial and
Proposal Development Officer, Research Services Office
3. Funding Formula/Budget – Michelle Deeton, Director,
Institutional Initiatives, Research Services Office
4. Commercialization/IP – Sonya Brijbassi, Business
Development Officer – Industry Partnerships, IPO
5. Editorial Tips – Shaun Young, Editorial and Proposal
Development Officer, Research Services Office
6. Q & A – All
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Your Support Team
Candy Lam and Michelle Deeton - Program/Proposal Guidelines,
Budget
o [email protected]; 946-3603
o [email protected]; 946-3707
Jennifer Niu - Application Drop Off
o [email protected]; 946-0447
Deborah Buehler and Shaun Young - Editorial Support
o [email protected]; 978-3205
o [email protected]; 978-2762
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Your Support Team
• Sonya Brijbassi
Business Development Officer – Industry Partnerships
o Commercialization, IP, and Partnerships
o [email protected]; 946-3483
• Colin Swift
Business Development Officer – Industry Partnerships
o Commercialization, IP, and Partnerships
o [email protected]; 978-6653
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
What is ORF-RE?
• Operated by the Ontario Ministry of Research and Innovation
(MRI)
• The Ontario Research Fund – Research Excellence (ORF-RE)
program promotes research excellence of strategic value to
Ontario by supporting new leading-edge, transformative, and
internationally significant research
• The ORF-RE focuses on scientific excellence and strong
benefits to Ontarians
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
What is ORF-RE?
• While Round 7 is open to all disciplines, the Ministry
particularly encourages applications in three focus areas:
– Bio-economy and clean technologies
– Advanced health technologies
– Digital media and information & communications technologies
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Submission Deadlines
Two-stage process:
Notice of Intent (NoI) (mandatory, non-adjudicated):
• Internal/RSO Submission: February 6, 2014
• RSO submission to MRI: February 12, 2014
Full Application
• Draft internal deadline: June 2, 2014
• Review & Feedback: June 13, 2014
• Final internal deadline to RSO: July 7, 2014
• RSO submission to MRI: July 15, 2014
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Key Documents
Description and documents found in UT Funding Opportunities
http://www.research.utoronto.ca/research-funding-opportunities/ontario-research-fund-research-excellenceround-7/
UT Internal:
• ORF-RE Tips Sheet
• UofT Strategic Research Plan found on VPRI website
http://www.research.utoronto.ca/about/strategic-research-plan/
ORF-RE: http://www.ontario.ca/business-and-economy/research-funding
• Program Guidelines
• Application Instructions
• NoI Form
• Full Application Form
All of the above documents be secured via http://www.research.utoronto.ca/research-fundingopportunities/ontario-research-fund-research-excellence-round-7/
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Assessment Criteria
Applications are reviewed against the following criteria:
• Research Excellence: Scientific merit, quality of research, and
expertise of research team
• Research Impact: Anticipated value to Ontarians in the following
three categories:
– Commercialization
– Economic Benefits
– Societal Benefits
• Research Translation: Strategy for achieving research impact
• Project Management and Governance: Management of the
project, including governance structure, sustainability, budget, and
milestones
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Adjudication Process
• MRI staff review applications for completeness
• Applications forwarded to three external expert
reviewers (ER) for assessment of scientific merit and
quality of research
• Peer Review Panels
o receive applications (and ER assessments) and review
them using the complete set of assessment criteria
• Highest quality applications, along with applicable peer
review panel comments and external reviews, are sent to
the Cross-Disciplinary Assessment Panel (CDAP)
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Adjudication Process
• CDAP makes recommendations to the ORF Advisory Board
• ORF Advisory Board makes recommendations to the
Minister of MRI
• Minister makes final decisions
• Decisions are communicated to institutions by way of a
letter to: the Vice-President, Research & Innovation; Lead
Institutional contact; and the Principal Investigator at the
Lead Institution
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Quality of Research
• Accessible language
• Goals & Objectives
• Directly address assessment criteria in your discussion
• Research Collaboration
• Value Added
• Identify & Justify Role
• NOIs
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Strategic Value to Ontario
New
Knowledge/Innovation
Enhancing Ontario’s
Profile
Commercial Value
Economic and Societal
Benefit
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Training & Mentoring of HQP
Training Plan
Impact
& Employability
Specific Roles &
Responsibilities
The Details
Track Record
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Project Management
• Identify role and function of the project manager
• Describe governance structure
• Sustainability
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Funding Formula
• ORF-RE supports total operating costs, including an indirect cost
component of up to 40% of a project’s direct costs
• Project Funding – Contributions from Ministry, Institutions and
Private Sector on a 1/3 basis (inclusive of direct and indirect costs)
• The ORF Board may consider a “blended” funding formula in case of
exceptional scientific merit where the institution and its private
sector partners, in combination, make up 2/3 of the required
funding
• When constructing the budget please ensure the cash flow is close
to the spending profile i.e., not divided equally over four years
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Budget
• Minimum supported by ORF $1 million (total $3 million)
to a maximum of $4 million (total $12 million)
• Facilities and Equipment can be a maximum of up to 10%
of total direct costs
• Management and Administration costs may account for
up to 5% of total direct costs
• Required to have a plan for youth outreach/mentorship
activities (may use up to 1% of their ORF portion to
undertake annual youth science and technology
outreach activities)
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OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Eligible Direct Costs
• Personnel costs (salaries, stipends and benefits) with a
maximum of $20,000 and $50,000 for graduate students and
PDFs respectively
• Facilities/Equipment including:
- software, staff training, operations and maintenance
(excludes indirect costs like electricity and insurance)
- cost of renovations or alterations to existing space
- leased space
• Other direct research expenses (including supplies, reagents,
dissemination of research results, travel, seminars, consulting,
safety related expenses)
• Management/Administration (including the accounting audit,
salaries/benefits, office supplies)
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OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Researchers’ Relationship
with Partner(s)
• Researcher-owned sole proprietorships are ineligible when
researcher is the Principal Investigator
• Full disclosure required re: any non-arms length interest
(including partial ownership)
• Such relationships will be reviewed on case-by-case basis
and may be deemed acceptable, provided partner can
exploit research resources without depending on
institutional resources
• The applicant must provide all information to satisfy lead
institution's established policies on disclosures of
commercial interests and conflict of interest guidelines
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Intellectual Property
• The ORF does not claim any ownership or rights to any IP resulting from
ORF-RE funded projects. Such rights are to be determined by the lead
institution in accordance with its current IP policy. In cases where a
consortium of applicants exists, the policy, as set out in the InterInstitutional Agreement (IIA) between the consortium members, will
dictate the IP policy.
• In accordance with the lead institution’s current IP policy, describe how
ownership and disposition of IP generated from the project will be
determined.
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OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Intellectual Property
•
Please consult the UofT web site (http://www.research.utoronto.ca/innovationspartnerships) for the University policy on IP, inventions and copyrights. It is
recommended that IP protection and disposition be addressed with the funding
partners at the project planning stage. IPO will work with applicants and PSPs to
negotiate a suitable agreement.
•
Add the specific IP terms of the agreement, if already signed (preferred option); or
if necessary, use the following boilerplate:
“Ownership of IP arising from the project will vest with the party whose personnel
create it. In the case of joint development, joint ownership may be negotiated.
Participants in the project may be granted a royalty-free license to use intellectual
property arising from the project for their internal research purposes. In addition, the
University and the PSP(s) will enter into an agreement whereby the project IP may be
commercialized by the PSP(s). The University standard Sponsored Research Agreement
allows for the PSP(s) to have an option to IP created from the project.”
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OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Intellectual Property
•
The Innovations and Partnerships Office (IPO) will work with individual applicant groups to
customize the IP direction in the application, in keeping with University policy on IP,
inventions and copyrights.
– Background IP remains the property of the owning party, and is not compromised by this
Agreement
– Ownership of Foreground IP is determined by level of creative contribution, according to
Patent Law:
•
•
•
•
IP developed solely by PSP personnel is owned by the PSP
IP developed solely by University personnel is owned by the University/personnel
IP developed collaboratively by personnel of both parties is jointly owned
Inventors will file a complete Invention Disclosure to the IP Officer, describing creative and financial
contributions to the invention.
– PSPs in compliance with contractual obligations are generally eligible for an Option to the
Foreground IP. IP Option Terms can include (as appropriate):
•
•
•
•
•
Non-exclusive license (royalty-free)
Exclusive License (usually royalty-bearing, but can be as negotiated)
Assignment of University interest in Foreground IP (for a separate amount as negotiated)
University always retains rights to publication, internal use, and academic advancement of HQP
(http://www.research.utoronto.ca/innovations-partnerships)
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OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Commercialization
•
Clearly describe the projected outcome of the proposed research with respect to
anticipated marketable products.
•
Highlight the benefits of your products compared with similar products that are
currently available.
•
Provide a brief market analysis including:
– quantitative information (market size and growth rate, competition and barriers to
entry)
– Strategic alliances, partnerships, or licensing agreements you have, or plan to have,
in place
– Relevant industry and/or community partners and how you plan to work together
– Vested interest of your private sector partners in the research (Important:
meaningful private sector commitment is demonstrated through financial private
sector contribution to the project and/or evidence of practical interest in the
research outcomes.)
•
Describe the commercialization potential of your research and when it could be
achieved (timelines/milestones). ie. when your anticipated products will reach the
marketplace
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Commercialization
•
In the outline of your commercialization pathway, please address the following
areas:
– Expected Outcomes: identify financial, social, environmental and/or ethical
goals
– Knowledge transfer: address potential for knowledge transfer to industry
•
Describe how your research would contribute to commercialization outcomes such
as spin-off companies, patents, licenses, and other forms of knowledge transfer to
industry.
•
Describe the technology (product or process) that would be developed from this IP
and explain how potential customers (End-Users) would use this invention.
•
Explain how your project will improve the value of the IP rights, and enhance
current/future patent or copyright protection
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OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Commercialization
• IPO is here to support you in preparing this section
• Contact IPO early in your proposal preparation
• Assist you in obtaining market information, writing
and reviewing section
• Assist you in identifying partners and starting early
discussions
• Include members of IPO as part of an ongoing
commercialization committee to strengthen section
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OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Characteristics of Strong Proposals
• Clear and concise
• Originality (i.e. “leading-edge”, “transformative”), significance
and expected contribution to/impact are compelling
• Objectives are clear and well-defined
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Characteristics of Strong Proposals
• Rich context and strong theoretical framework:
 well situated within current debates
 all important positions are addressed
• Clear, unambiguous methodology
• Appropriate and justified budget
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Characteristics of Strong Proposals
Overall Presentation – Substance
• Write to address assessment criteria
• Anticipate possible questions or objections
• Be as specific as possible about the parameters of the project

scope, scale, and level of analysis must be clear
• Demonstrate how this new project builds upon your past work
and accomplishments
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Characteristics of Strong Proposals
Overall Presentation – Tone
• Convey and inspire confidence
• Convince your peers that the likelihood of success is high
• Present a challenging topic that sparks interest and engages
the peer reviewers
• Your excitement about your project should be evident in your
proposal
• Assert the originality and significance of the project, and how
it relates to societal challenges and opportunities
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Characteristics of Strong Proposals
Overall Presentation – Language
• Use ORF-RE (sub)headings/terminology
• Use clear, unambiguous language
• Avoid tentative language (use will instead of may, might, etc)
• Avoid/minimize use of jargon, acronyms and trendy terms
 when necessary, define terminology
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Submission Checklist
Full Application
• 1 original paper copy, including all necessary attachments and
signatures, of the complete ORF-RE application (unbound –
binder clips are acceptable). Consult application instructions
for document order
• A PDF version of the complete ORF-RE application (including
all attachments)
• For Internal UT purposes – Completed MRA application
“signed” by applicant, Chair and Faculty/Division Vice-Dean
Research
OFFICE OF THE VICE-PRESIDENT,
RESEARCH AND INNOVATION
Q&A