ORF-RE Information Session January 22, 2014 O FFICE OF THE V ICE -P RESIDENT, R ESEARCH AND I NNOVATION.

ORF-REInformation 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

Your Support TeamCandy Lam and Michelle Deeton - Program/Proposal Guidelines, Budget

o [email protected]; 946-3603o [email protected]; 946-3707

Jennifer Niu - Application Drop Offo [email protected]; 946-0447

Deborah Buehler and Shaun Young - Editorial Supporto [email protected]; 978-3205o [email protected]; 978-2762


mailto:[email protected]



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




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


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


Submission DeadlinesTwo-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


Key DocumentsDescription and documents found in UT Funding Opportunities http://www.research.utoronto.ca/research-funding-opportunities/ontario-research-fund-research-excellence-round-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 FormAll of the above documents be secured via http://www.research.utoronto.ca/research-funding-opportunities/ontario-research-fund-research-excellence-round-7/


http://www.research.utoronto.ca/research-funding-opportunities/ontario-research-fund-research-excellence-round-7/



http://www.research.utoronto.ca/about/strategic-research-plan/

http://www.ontario.ca/business-and-economy/research-funding

http://www.ontario.ca/business-and-economy/research-funding





Assessment CriteriaApplications 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


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 Panelso 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)


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


Quality of Research

• Accessible language

• Goals & Objectives

• Directly address assessment criteria in your discussion

• Research Collaboration

• Value Added• Identify & Justify Role• NOIs


Strategic Value to Ontario

New Knowledge/Innovation

Enhancing Ontario’s Profile

Economic and Societal BenefitCommercial Value


Training & Mentoring of HQP

Training Plan Specific Roles & Responsibilities

Impact & Employability

The Details Track Record


Project Management

• Identify role and function of the project manager

• Describe governance structure

• Sustainability


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


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)

17


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)

18


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


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 Inter-Institutional 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.

20


• Please consult the UofT web site (http://www.research.utoronto.ca/innovations-partnerships) 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.”

21


Intellectual Property

http://www.research.utoronto.ca/innovations-partnerships

• 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)22


Intellectual Property

http://www.research.utoronto.ca/innovations-partnerships

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

• 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

24


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

25


Commercialization

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



• Rich context and strong theoretical framework: well situated within current debatesall important positions are addressed

• Clear, unambiguous methodology

• Appropriate and justified budget


Characteristics of Strong ProposalsOverall 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


Characteristics of Strong ProposalsOverall 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



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


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

Q & A


ORF-RE Information Session January 22, 2014 O FFICE OF THE V ICE -P RESIDENT, R ESEARCH AND I NNOVATION.

Documents

budget o

ontarians o ffice

nnovation slide

r esearch

v ice p resident

info session o ffice

research services office

significant research