Important Dates

Notices

Table of Contents

• Description
• Objectives
• Eligibility
• Guidelines
• Performance Measurement
• Review Process and Evaluation
• How to Apply
• Contact Information
• Partner/Collaborator Description

Description

CIHR's Commercialization and Innovation Strategy provides a coherent framework for transforming health research into action, improving the quality of life and stimulating economic development through discovery and innovation. To address the challenges and take best advantage of Canada's strengths, CIHR's Commercialization and Innovation Strategy has developed four complementary and synergistic themes: Research, Talent, Capital and Linkages. The Capital theme is focused on facilitating the growth of high-risk small business through development of better integrated, cohesive and knowledgeable capital.

Proof of Principle Phase I (POP-I) Grants will fund proof of principle research projects of up to 12 months duration designed to advance discoveries/inventions towards commercializable technologies, with a view to attract new investment and create new science-based businesses.

Proof of Principle Phase II (POP-II) Grants will fund proof of principle research projects up to 12 months duration at the co-investment stage undertaking follow-on proof of principle activities in partnership with a non-academic investor. This funding opportunity is aimed at providing a platform to better enable the academic institution/researcher to move the discovery/invention further down the innovation pipeline.

Background

CIHR is committed to enabling universities and hospitals to maximize the impact of their knowledge and technology resources for the betterment of healthcare and the societal and economic benefits that flow from it. With respect to commercialization, CIHR endeavours to facilitate the development and delivery of Canadian health discoveries and related products and services for domestic and international markets.

Knowledge and technology diffusion and application are key to building an innovative society and enabling economic benefit through decreased health costs, improved efficiencies and successful commercialization of the Canadian knowledge base. While knowledge creation is an essential element in the equation, it is knowledge translation activities that deliver knowledge in the form of policy, information, products and services to government, communities, users and the public.

In recognition of this, academic institutions (universities and hospitals) have been implementing mechanisms to increase the socioeconomic relevance/impact of academic research, resulting in an increasing number of technology disclosures. Yet attention to facilitate commercial benefit to Canada from these disclosures has not kept pace and additional resources are required to better validate opportunities that would otherwise be missed or exploited by others.

Many of the inventions/discoveries arising through academic research are at a stage beyond discovery-driven research and yet are often of uncertain commercial utility or insufficiently developed to be of interest to relevant receptor companies and potential investors. Such intellectual property may never be licensed or commercialized, or take years to do so, without additional targeted research, market research, investment and business development activities. These activities are of paramount importance, because they serve to validate, better define and add value to the intellectual property, particularly proof of principle research and prototype development. Such activities require resources that typically cannot be obtained through the traditional funding mechanisms. CIHR's Proof of Principle Program aims at filling part of this funding gap.

Definition of Intellectual Property (IP): Intellectual Property means all materials, concepts, know-how, formulae, inventions, improvements, industrial designs, processes, patterns, machines, manufactures, compositions of matter, compilations of information, patents and patent applications, copyrights, trade secrets, technology, technical information, software, prototypes and specifications, including any rights to apply for protections under statutory proceedings available for those purposes, provided they are capable of protection at law.

Funds Available

CIHR's contribution to the amount available for this initiative is subject to availability of funds voted annually to CIHR by parliamentary appropriations, and the conditions that may be attached to them.

• The maximum amount awarded for a single Phase I grant is $150,000 for up to 12 months (non-renewable).
• The maximum amount awarded for a single Phase II grant is $250,000 from CIHR for up to 12 months (non-renewable), an investor must match CIHR funds at a 2:1 ratio (Investor: CIHR).

Funds Available for Research in Specific Areas

In this competition, additional funds are available to encourage and support applications in specific areas that are aligned with strategic research priorities, as identified in the "Objectives" section under Specific Research Areas."

i. Drug Development.

An additional $500,000 is available for projects in Drug Development annually

ii. Proof of Principle Grants for Mobility in Aging Technologies.

An additional $600,000 is available for Phase I projects on Mobility in Aging Technologies. The maximum amount awarded for a single grant will be $150,000 per annum for up to 24 months.

Partner/Collaborator Participation

CIHR is dedicated to identifying and developing collaborations with other funding organizations and stakeholders to enhance the availability of funding for this strategic initiative, and to create, where appropriate, opportunities for knowledge exchange and translation related to the scope of this particular initiative. Applicants are invited to visit the Partner/Collaborator Description section to find a list of partners/collaborators and their respective mandates and/or strategic interests. This list will continue to evolve as new partners/collaborators join in this initiative. The specific research foci and requirements for each partner/collaborator are outlined in the section "Objectives".

Objectives

The specific objectives of this funding opportunity are:

• promote academic health research and technology transfer activities that support the commercialization of IP;
• provide the opportunity to enhance and strengthen the value of IP (or IP portfolio);
• provide the opportunity to ascertain the potential for commercial viability of IP;
• improve the academic institutional / researcher's business prospects and potential for downstream investments on the IP;
• accelerate the technology transfer/commercialization of IP residing in academia.

The goal of the Proof of Principle Program is to facilitate and improve the commercial transfer of knowledge and technology resulting from academic health research for the benefit of Canadians.

The stage of research that best fits the POP Phase I is one where the IP has been subjected to an initial technology assessment; and where one has already worked out what the novel invention is, what is needed to be protected (or is protected), what will be the product/process/service, and what will be commercialized. Usually applicants have significant data and are planning or expanding critical and confirmatory proof of principle tests in the proposal.

The stage that best fits the POP Phase II is one where the principle of the IP has already been proven and the applicants have acquired interest from partners willing to invest in the new technology. The proposal should be for further confirmatory testing of the IP.

Many applications have been rejected because the stage of research was too early for the Proof of Principle program. Industry-partnered funding opportunities are available for research that is still at the discovery stage.

Specific Research Areas:

Applicants to these specific research areas must indicate that they are applying to the program in response to one of the specific research areas at the Letter of Intent stage. .

i. Drug Development : Targeted funding will be provided to Proof of Principle projects enabling medicinal and organic chemists from Canadian universities and research hospitals to conduct high-throughput target validation, or lead compound optimization studies using the drug development facilities at their institution or at any other Canadian academic institution lead optimization and target validation drug development of innovative and promising compounds.

ii. Proof of Principle Grants for Mobility in Aging Technologies.The CIHR Institute of Aging will fund applications that are determined to be relevant to Mobility in Aging Technologies aimed at sustaining and improving the quality of life of seniors are encouraged and supported as part of CIHR's Strategic Initiative Announcement - Mobility in Aging.

In the context of the Proof of Principle Grants for Mobility in Aging Technologies, the specific objectives are to:

• Accelerate the development of solutions to solve 'real world' mobility problems faced by seniors
• Encourage the development of age-friendly products and designs, taking into account the diversity of seniors' comfort with technology and skills, environments, and health status (combinations of cognitive, sensory and motor deficits) in proof of principle activities
• Promote inclusion, participation in and contribution of seniors to society and its activities

Eligibility

Eligibility criteria for all CIHR research funding programs apply. The business office of the institution of an eligible Nominated Principal Applicant generally administers CIHR funds. Please refer to the Eligibility Requirements for CIHR Grants and Awards regarding the eligibility requirements for individuals and institutions.

It is not a prerequisite to have Phase I funding in order to apply to Phase II.

Groups: For group applications involving more than one institution, inter-institutional agreements must be in place. For agreements with foreign institutions/organizations, CIHR requests a statement from the Canadian academic institution confirming that every reasonable effort has been made to have the results of the supported research exploited in Canada for the benefit of Canadians.

Co-Investors (Phase II grants only): CIHR will consider co-investment with an organization that can further the development of the product, such as venture capital, provincial and municipal governments, start-up companies and SMEs. Canada's research based pharmaceutical (Rx&D) companies are directed to apply through the CIHR/Rx&D Collaborative Research Program. 

Randomized Controlled Trials (RCTs) will not be considered under this funding opportunity.

Specific Eligibility Requirements

Eligibility requirements specific to this funding opportunity include the following:

Phases I & II

1. Funding consideration is open to researchers who have an established track record of recognized, competitive, peer-reviewed funding from recognized agencies for research in areas related to the proposed project.
2. Letters of Intent and Full Applications must be supported and signed by the Director of the Technology Transfer Office (or equivalent) of an eligible institution.
3. In cases where the applicant(s) and/or TT Office fully or partly owns or is affiliated with the identified receptor company, the applicant(s) must declare and describe his/her ownership situation. It is anticipated that the management of such situations will be done in accordance with the Conflict of Interest Policies of the applicant's academic institution.
4. It is expected that the applications put forth be for proof of principle research on intellectual property that has been subjected to an initial technology assessment and selected for its significant commercial potential.

Phase I only

5. The IP must not be licensed (e.g., the royalty rates have been set), sold, or otherwise assigned to any party (e.g., to a spin-off company) other than the academic institution and/or the researcher-inventor-applicant. Exceptions will be considered on a case-by-case basis while policies are being developed.
6. The IP may be a new therapeutic use of a compound that is not covered under an existing license.
7. The first right of refusal or option on the IP must not have been assigned at the time of application.
8. The IP proposed must not be or have been in the IP portfolio of a company. Exceptions are possible where all rights and the management of the IP have been returned to the academic institution and/or the researcher-inventor-applicant at least 12 months prior to the application deadline and the company confirms that it has no future claims on the IP and requests no rights for future consideration.
9. In addition to the eligibility requirements for the Proof of Principle program, applicants to Institute of Aging Proof of Principle grants for Mobility in Aging Technologies must include seniors (generally above the age of 65) in the validation and testing of products and designs.

Phase II only

10. Nominated Principal Applicants affiliated with the non-academic institution investor must meet the CIHR Policy on Eligibility Guidelines. 
11. Applicants to POP Phase II with equity positions and/or share options between five and 30 percent in the company proposed as industry partner will be examined on a case by case basis to determine eligibility.

Guidelines

This funding opportunity will follow the General Guidelines for Grant Programs for Phase I applications and the General Guidelines for Industry-Partnered Programs for Phase II applications. Applicants are encouraged to demonstrate the use of Gender and Sex-Based Analysis in applications.

Allowable Costs

Applicants should review the Use of Grant Funds section of the Tri-Agency (CIHR, NSERC ad SSHRC) Financial Administration Guide for a complete listing and description of allowable costs and activities. Phase II applications must respect the General Guidelines for Industry-Partnered Programs. 

The Full Application must provide a detailed justification of all costs (research/technical/commercial) requested from the CIHR as well as contributions by all other sources in order to be recognized and approved through peer review.

The following expenditures will be considered eligible for funding received through this funding opportunity:

Up to 20% of the requested budget can be for eligible expenses incurred through the implementation of the commercial plan for the specific IP. Such eligible expenses are as follows:

• Patenting costs (up to $15,000);
• Consulting fees, where services and expertise are not available;
• Market studies, to determine market potential;
• Communication and Networking costs, e.g., web-based information or seminar to attract investors;
• Collaborative Trips;
• Resource materials.

The use of outside expertise for the preparation of the commercial plan will be considered an eligible expense (capped at $10,000) if it is a contract with another academic institution, a business development office, a private consultant, or equivalent. This expense must be fully justified in the budget module.

Conditions of Funding

All conditions specified in CIHR General Grants and Awards Policies shall apply to applications funded through this Funding opportunity. Conditions cover areas such as Applicant and Institutional Responsibilities, Ethics, Official languages policy, Access to Information and Privacy Acts, and Acknowledgement of CIHR's Support. Successful applicants will be informed of any special financial conditions prior to the release of funds or when they receive CIHR's Authorization for Funding (AFF) document.

In addition to CIHR standard guidelines and requirements, the following special conditions shall apply:

• Grantees will be required to provide a final report on the use of POP grant funds in which reference must be made to the milestones and baseline activity in the original application.
• Grantees and Technology Transfer offices (or equivalent) of the grantee's institution will be required to respond to follow-up surveys on the tangible and intangible outcomes of the funded activities.
• In addition to the conditions of funding for the Proof of Principle program, grantees of the Institute of Aging Proof of Principle grants for Mobility in Aging Technologies will be required to submit a two-page progress report after one year to demonstrate satisfactory progress prior to the release of year 2 funding. A standard form will be provided by CIHR.

Access to Information Act and Privacy Act, and the Personal Information Protection and Electronic Documents Act (PIPEDA)

All personal information collected by CIHR about applicants is used to review applications, to recruit reviewers, to administer and monitor grants and awards, to compile statistics, and to promote and support health research in Canada. Consistent with these purposes, applicants should also expect that information collected by CIHR may be shared as described in Use and Disclosure of Personal Information Provided to CIHR for Peer Review.

CIHR as a federal entity is subject to the Access to Information Act and the Privacy Act, therefore the requirements of these two statutes will apply to all information located in CIHR's premises including, without limitation, cost-sharing agreements related to this Funding opportunity and all matters pertaining thereto.

While respecting the application of the Privacy Act to federal entities, all signing parties involved in a collaborative agreement will also be bound by the Personal Information Protection and Electronic Documents Act (PIPEDA). All personal information (as identified by the PIPEDA) collected, used or disclosed in the course of any commercial activity under collaborative agreements related to the Funding opportunity will be collected, used and disclosed in compliance with the PIPEDA.

Communication Requirements

Grant recipients are required to acknowledge CIHR, its institutes and partners in any communication or publication related to the project. See CIHR General Grants and Awards Policies, Public Communication and Acknowledgement of CIHR's Support for details on CIHR's communication requirements. The contributing institutes / partners will be identified on the Authorization for Funding and decision letter.

Performance Measurement

CIHR is committed to demonstrating results to Canadians for the money invested in health research. Therefore, processes for monitoring progress and appropriate use of funds, as well as for performance measurement and program evaluation are in place. As a result, funding recipients must:

• adhere to CIHR's reporting requirements and provide required information in a timely fashion. contribute to the monitoring, review and evaluation of CIHR's programs, policies and processes by participating in evaluation studies, surveys, workshops, audits and providing data or reports as required for the purpose of collecting information to assess progress and results;
• encourage their associates, trainees and administration to participate in the monitoring, review and evaluation of CIHR's programs, policies and processes as required.

Review Process and Evaluation

Relevance Review

All letters of intent are checked for the eligibility to the POP program. In addition letters of intent aligned with the CIHR IA Proof of Principle Grants for Mobility in Aging Technologies will be subjected to a relevance review.

The CIHR IA will provide funding for applications that are relevant to (in alignment with) the specific objectives and relevant areas described under "Specific Research Areas" within the "Objectives".

The relevance of proposals will be determined prior to peer review. For this process, senior Institute of Aging staff, in consultation with the Institute Advisory board members and other Mobility in Aging Partners, as required, will have access to anonymized Letters of Intent, project titles and summaries. The relevance review will be conducted provided that applicants have indicated their consent on the "Applicant Consent Form for Use and Disclosure of Personal Information Provided to CIHR for Peer Review," which is included in the application forms.

Upon completion of peer review, the Institute of Aging representatives will receive the ranking list, merit scores (ratings) and recommendations of the peer review committee with regards to award term, for the submitted applications that fall in the fundable range and have been determined to be relevant to the specific eligible areas of inquiry and objectives of the funding opportunity. The list will be used for funding decision-making purposes and will remain anonymous.

Peer Review

POP applications will be evaluated by a peer review committee established by CIHR and comprised of experts in health research, intellectual property management, technology transfer, commercialization, institute-industry relationships, entrepreneurship, and/or venture capital investors. The committee will follow the CIHR Peer Review Process - Policies and Responsibilities of Grants Committee Members. For information on CIHR's peer review process in general, see Peer Review.

For each application, the research and technical plan will be assessed together with essential elements of a commercial plan. Each application is evaluated on its own merit in relation to the objectives of the POP Program and using the following evaluation criteria. Please note that applications must be rated in the fundable range on both criteria in order to be considered for funding.

I) Criteria for Research and Technical Plan

• Importance and originality of the research hypothesis.
• Relevance and description of the proposed research and scientific and/or technical requirements to move the invention/discovery toward commercialization.
• Qualifications/training/experience and time commitment of the researcher(s) associated with the project; track record of applicant's scientific and technological advances.
• Demonstrated familiarity with literature in the field, and current competitive, or emerging technologies.
• Accessibility of the researcher(s) to relevant scientific and/or technical expertise.
• Feasibility of the research plan, appropriateness of the methodologies and likelihood of successful completion of the proposed research.
• Extent to which the proposed experiments will strengthen the intellectual property position or generate new intellectual property of potential commercial utility.

II) Criteria for Commercialization Plan

• Demonstration of a business opportunity.
• Is the most appropriate product or service being proposed? Is the product meeting a need? Where does the product fit in the value chain?
• Demonstration of the need for proof of principle research based on an initial technology assessment.
• Appropriateness of strategy and business plan (technology and market evaluations, protection, marketing, licensing, human resources, company formation if intended).
• Have the essential elements/steps in the commercial plan been identified?
• Is the chosen commercialization route appropriate?
• Has the applicant appropriately addressed Prior Art and Freedom to Operate?
• Has the applicant identified potential hurdles and how these will be addressed?
• Intellectual Property - Appropriateness of patenting process and strategy.
• Has a patent search and/or patent opinion been completed?
• Has a patent application been filed (when, what jurisdiction)?
• Is there a lot of related patent activity?
• What are the next steps and when and how will these be conducted during the term of the proposed project?
• Market - Extent of market opportunity as demonstrated through an assessment of competing technologies and companies.
• What are the benefits of the new technology vs. the current technology within the intended markets?
• Have market characteristics (size, segment, value, growth rate) and market considerations (barriers, environmental market forces, regulatory environment) been adequately addressed?
• What is the extent of market interest?
• Have key industry and business contacts been made related to the commercialization of the invention/discovery?
• Is the receptor company appropriate (based on potential alternate receptors and receptor's experience in area?
• Qualifications/track record of persons currently associated with the commercial aspects of the project and the identification of business expertise that may be needed to complete the plan.
• Effective use of human and technical resources (high quality research, superior management, innovation, creativity, and entrepreneurship).
• Appropriateness and feasibility of deliverables and milestones of commercial plan.
• Capacity, ability and commitment of applicant's institution to take the project from a successful completion forward through the commercialization process.
• Appropriateness of the follow-on steps planned at the conclusion of the proposed POP project.
• Extent of potential economic returns and if applicable, social returns and/or health benefit for Canadians.

On completion of the peer review, applications passing on each of the two above criteria will be ranked according to merit scores (ratings) and the funding recommendations of the committee will be submitted to CIHR. Applications will be funded from the top-ranked down as far as the quality of the applications and the budget will allow.

Common Peer Review Committee Concerns

• Commercialization plan not well thought out or articulated;
• Incomplete description of IP management;
• Lack of detail or omission of relevant information in research proposal;
• Failure to address barriers such as potential technical shortcomings, market, competition, and freedom to operate;
• Proposal may be premature for Proof of Principle Program.

How to Apply

Letters of Intent and Full Applications should be prepared and submitted by the Nominated Principal Applicant and the Technology Transfer Office (or equivalent) of an eligible institution.

The application process is comprised of two stages: 1) Letter of Intent (LOI), and 2) Full Application.

Please submit your application using CIHR WebForms. (Updated: 2007-08-22)

Step 1 - Letter of Intent

Please see the Proof of Principle Program - Letter of Intent Package for details on how to submit a Letter of Intent.

Applicants of Letter of Intents deemed eligible will receive an invitation to submit a full application.

Step 2 - Full Applications

Please see the Proof of Principle Program - Application Package for details on how to submit a full application to this program.

Contact Information

For questions about CIHR funding guidelines, how to apply, and the peer review process contact:

Edit Palencsar
Program Coordinator
Canadian Institutes of Health Research
Telephone: (613) 946-0095
Fax: (613) 954-1800
Email: epalencsar@cihr-irsc.gc.ca

For questions on the research objectives of the Proof of Principle grants for Mobility in Aging Technologies and the CIHR Institute of Aging, contact:

Dr. Linda Mealing
Assistant Director, CIHR Institute of Aging
Fax: 613-954-1800
Email: lmealing@cihr-irsc.gc.ca

Partner/Collaborator Description

CIHR - Institute of Aging (IA)
IA supports research to promote healthy aging and to address causes, prevention, screening, diagnosis, treatment, support systems, and palliation for a wide range of conditions associated with aging. IA has identified five priority topics for research on aging and health (in no particular order): healthy and successful aging; biological mechanisms of aging; cognitive impairment in aging; aging and maintenance of functional autonomy; and health services and policy relating to older people. This funding opportunity emphasizes on the area of mobility in aging in the context of the aging and maintenance of functional autonomy priority.