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

Priority Announcements within the CIHR Proof of Principle competitions aim to promote specific CIHR research priority areas or mandates by offering additional sources of funding for highly rated applications. Applications are submitted through the April "2008(04)" and October "2008(10)" competitions of the Proof of Principle: 2007-2008 funding opportunity.

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.

Funds Available

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

Funds Available for Research in All Areas:

Funds are available for applications in all areas of research that address any important health problem or issue through the April "2008(04)" and October "2008(10)" competitions of the Proof of Principle: 2007-2008 funding opportunity.

Funds Available for Research in Specific Areas:

In this competition, funds are available to encourage and support applications in specific areas that are aligned with CIHR's research priority areas and mandates. Information on the research areas to be funded as well as the maximum amounts per grant that can be requested is found in the "Objectives" section.

The CIHR Institute of Aging has dedicated $600,000 for meritorious Phase I Proof-of-Principle 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. The CIHR Institute of Aging anticipates that up to four grants will be funded through this competition.

CIHR Research Priority Areas:

Mobility in Aging Technologies

Objectives

The specific objective of the CIHR Proof of Principle Priority Announcement (Specific Research Areas) is to offer additional sources of funding for highly rated applications that are relevant to specific CIHR research priority areas and mandates.

CIHR Research Priority Areas:

1. Mobility in Aging Technologies. Within the context of CIHR's Mobility in Aging Initiative, the CIHR Institute of Aging will fund meritorious Phase I Proof-of-Principle applications advancing Mobility in Aging Technologies aimed at sustaining and improving the quality of life of seniors. As such inclusion of seniors (generally above the age of 65) in the validation and testing of products and designs is expected. The specific objectives of the Proof of Principle Priority Announcement (Mobility in Aging Technologies) 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

Additional Requirements:

Grantees of the Proof of Principle Priority Announcement (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.

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.
5. Proof of Principle Grants are not renewable. Applications for the continuation of a research project funded through the POP program must progress from Phase I to Phase II. Applicants wishing to submit new applications to a Phase where they have already received funding must clearly explain how the IP in the present application is distinct from the previously funded application.

Phase I only

6. In order to qualify for this program no exclusive option for license or purchase can be offered to a for profit commercial entity. It is permitted to offer non exclusive licenses.
7. The IP may be a new therapeutic use of a compound that is not covered under an existing license.
8. If the IP proposed has been in the IP portfolio of a company, a legal, binding statement acknowledging that all rights to the IP have been given back to the research/academic institution must be included at the LOI stage.

Phase II only

9. Nominated Principal Applicants affiliated with the non-academic institution investor must meet the CIHR Policy on Eligibility Guidelines. 
10. No single applicant can have equity positions and/or share options greater than 30% in the partner company. More than 50% of the equity positions and/or share options in the partner company must be owned by a party unrelated to the applicants and/or academic institution(s).

Guidelines

General CIHR 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 and 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.

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 this CIHR Proof of Principle Priority Announcement will be subjected to a relevance review.

The relevance of proposals will be determined prior to peer review. For this process, senior CIHR Institute staff, in consultation with the Institute Advisory board members and other 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 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.

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

How to Apply

Applications are submitted through the April "2008(04)" and October "2008(10)" competitions of the CIHR Proof of Principle: 2007-2008 funding opportunity. The application instructions are outlined in the "How to Apply" section of the Proof of Principle: 2007-2008 funding opportunity.

Additional Instructions

CIHR Research Priority Areas:

Priority announcements for research in specific CIHR priority areas are listed in the "Objectives" section of this funding opportunity, under "CIHR Research Priority Areas."

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

Applicants are required to complete their applications using the CIHR Web Forms.

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 will receive a confirmation of receipt of their Letter of Intent by e-mail.

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.

Additional instructions must be followed for this funding opportunity:

• In the Research Funding Program section of the Research Module, select "Strategic Initiative" and enter the title of this funding opportunity.
• Within the Research Funding Program section of the application web form, select "Priority Announcement," then enter the relevant research area(s) that relate(s) to your application and the title of this Priority Announcement in the spaces provided.
• Complete the Applicant Consent Form for Use and Disclosure of Personal Information Provided to CIHR for Peer Review, which is included in the application form.
• Complete one Relevance Form for each research area identified. Detailed instructions are provided on the Relevance Form (see Lists of Forms and Guidelines for Completion). Completion of the relevance form is mandatory.

You may request that your application be considered for up to three priority announcement research areas per application, in each Proof of Principle competition.

Contact Information

For questions on 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 about the research objectives of the Mobility in Aging Initiative contact:

Dr. Linda Mealing
Assistant Director, CIHR Institute of Aging
Telephone: 613-952-4537
Fax: 613-954-1800
Email: lmealing@cihr-irsc.gc.ca

Partner/Collaborator Description

CIHR - Institute of Aging (CIHR-IA)
CIHR-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.