PROGRAM GUIDE: NSERC Alliance-AI Advance Program PROGRAM OVERVIEW Background In partnership with NSERC, the NSERC Alliance-Alberta Innovates Advance Program invests in projects that, in alignment with Alberta’s innovation and technology strategies, advance discoveries to develop emerging technologies which can generate economic, environmental, health and social benefits for Albertans and Canadians. The Priority Emerging Technology Target Areas of this Program, Information and Communications Technologies (ICT) and Advanced Materials and Manufacturing Technologies (AMM), offer transformational promise for challenges across Alberta’s existing sectors and entry into wider global markets. Their development provides the foundation for job creation and economic diversification into nascent industries in Alberta. Funding is available to NSERC eligible researchers at Alberta-based universities to help those who have made promising discoveries conduct the research needed to advance to the development stage, which could eventually lead to commercialization. Projects must advance technologies’ readiness level toward future market opportunities within the Priority Emerging Technology Target Areas of this Program. The principal investigator must hold an active peer-reviewed grant from NSERC as primary applicant at the time of application. Detailed description of the Priority Emerging Technology Target Areas are found in Appendix A of this Guide. Applications will continue to be reviewed by Alberta Innovates and NSERC on a first come first serve basis until the annual budget is allocated. Program budget is limited and funding will be competitive. ALBERTA INNOVATES 1 PROGRAM GUIDE: NSERC-AI Advance Program Aug 2021 Program Details Individual proposals can request up to $150,000 per year and can be for up to two years in duration. A maximum to $100,000 per year will be provided by Alberta Innovates and NSERC will match the Alberta Innovates contribution at a ratio of 50% up to a maximum of $50,000 per year. Project funding is intended to help bridge the gap between academic research and technology validation (within Technology Readiness Levels (TRL) 2-4). Projects will advance an idea toward developing a technological solution with an envisioned future market opportunity. Projects could later lead to technology transfer activities and commercialization post-grant. Eligible technology development within this program can begin as early as the conceptual research stage (beginning from TRL 2), up to testing/validation of ad-hoc component integration in a laboratory setting (TRL 4). Projects developing technologies at later stages are not eligible for this program. Partners are not permitted in this program; projects with partners should apply to the NSERC Alliance mainstream program or other AI/NSERC supports. Funding can be used to engage and train undergraduate and graduate students, post-doctoral fellows, research associates and technicians on projects, as well as for operational and equipment costs. IP protection, market assessment and technology transfer costs are not eligible expenses in this program. Project funding will support activities such as (but not limited to): • scientific technology assessment; • characterization of the invention; • proof-of-concept experiment; • testing potential to work in a laboratory environment; • data gathering; Key objectives of the NSERC Alliance-Alberta Innovates Advance Program are to improve the direction of research efforts that could lead to technology transfer and commercialization in Alberta, to develop of emerging technologies with market potential, and to develop an enhanced skill and knowledge base (highly-qualified personnel) for Alberta companies. Technologies that successfully demonstrate a proof of concept and the potential to work in a laboratory environment in this program may be further advanced to market through other supports, including Alberta Innovates’ Health, Clean Resources Sector or Entrepreneurial Investments programs or federal programs like NSERC I2I. Researchers are encouraged to discuss their project with the Industry Liaison Office (ILO) at their institution early in the project to begin interactions with industry and identify potential partners and business advisors. ALBERTA INNOVATES 2 PROGRAM GUIDE: NSERC-AI Advance Program Aug 2021 HOW THE PROGRAM WORKS Eligibility (a) Applicant Eligibility Criteria - To qualify, an Applicant: • Must be a post-secondary institution that is on NSERC’s list of Alberta-based universities. (Researchers from Alberta universities are the Applicant Representatives for applications to this program. To be eligible for the program, the Applicant Representative (NSERC primary applicant) must hold a NSERC peer-reviewed grant when they apply and meet NSERC eligibility criteria when applying and when funding is released.) • Only one application per Primary Applicant (Principal Investigator) is permitted, per fiscal year (April 1 to March 31). There is no limit on the number of applications submitted as co-applicant. • Applicants cannot hold more than one Advance grant simultaneously; current Advance grant holders are ineligible to apply. (b) Project Eligibility Criteria To qualify for funding all Projects must: • Meet NSERC’s eligibility criteria; • Align with any of the Priority Emerging Technology Target Areas listed in this Program Guide; • be completed within the term (two years or less); • comply with other criteria that Alberta Innovates may develop from time to time. Program Objectives and Performance Measurement Key objectives of the NSERC-Alberta Innovates Advance Program are to improve the direction of research efforts that could lead toward technology transfer and commercialization in Alberta, to develop emerging technologies with market potential, and to develop an enhanced skill and knowledge base (highly-qualified personnel) for Alberta companies. Over the life of a Project, Alberta Innovates employs an active project management philosophy, monitoring performance and supporting the Applicant to reach their objectives. Funding is tied to outcomes and achievement of results. For this reason, Alberta Innovates funds on a milestone completion basis. This means the Applicant are expected to submit a Progress Report before Alberta Innovates advances the next tranche of funds. Once Projects are completed, Alberta Innovates continues to monitor performance for five (5) years to accurately evaluate the economic, social and environmental benefits realized for the province. All Investment Agreements outline performance indicators tracked over the course of the Project and the responsibilities of the Applicant to report on outcomes subsequent to the completion of the Project. ALBERTA INNOVATES 3 PROGRAM GUIDE: NSERC-AI Advance Program Aug 2021 Objectives and Performance Metrics SHORT TERM SHORT APPLICANT OBJECTIVES Gather strong scientific evidence and advance discoveries in Emerging PROJECT PERFORMANCE Technologies within the TRL 2 to 4 range, where a local/global market application INDICATORS has been identified Training and Graduation of HQP Train Highly Qualified Personnel (HQP) in Innovations advanced Emerging Technologies responding to identified market needs Invention disclosures Discussions for tech transfer initiated with Industry Liaison Move research from idea to proof of Office at Applicant’s institution concept/lab prototype validation, and encourage HQP to do so as well Explore future commercialization paths by engaging with your ILO LONG TERM PROGRAM PERFORMANCE INDICATORS Improve direction of research efforts toward technology transfer and commercialization Development of Emerging Technologies with market ALBERTA OBJECTIVES and potential applications to industry/end-user Economic Diversification challenges Develop high-tech talent pool Enhanced skill and knowledge base for industry Develop new industries in Alberta / job creation Address Alberta industry and global challenges with Alberta-developed Emerging Technologies solutions ALBERTA INNOVATES 4 PROGRAM GUIDE: NSERC-AI Advance Program Aug 2021 How Funding Works (a) Project Funding Projects approved by both Alberta Innovates and NSERC will receive an Alberta Innovates investment. Project funding for approved applications will be provided from Alberta Innovates and NSERC separately, through separate agreements. The maximum Alberta Innovates investment for an approved Project under the NSERC Alliance-AI Advance Program is $100,000 per year for up to two years; NSERC will match the Alberta Innovates contribution at a ratio of 50% up to a maximum of $50,000 per year. NSERC Alliance – AI Advance Grants can support projects of up to two years in duration. Only those Projects approved by both Alberta Innovates and NSERC will receive the Alberta Innovates investment. (b) Eligible and ineligible expenses Expenses must follow the respective NSERC and Alberta Innovates expense requirements. Alberta Innovates only funds reasonable costs incurred after the Effective Date on an Investment Agreement with you. Any costs incurred prior to the Effective Date in the Investment Agreement, or costs greater than market prices are deemed ineligible. Costs must be incurred between arm’s length entities. Please refer to our standard form Investment Agreement found on our website to get an in-depth understanding of eligible and ineligible costs. ALBERTA INNOVATES 5 PROGRAM GUIDE: NSERC-AI Advance Program Aug 2021 HOW TO APPLY PHASE 1 PHASE 2 PHASE 3 Engagement and Intake Application and Evaluation