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Funded
Research &
Development
Granting Guidelines
and Procedures
August 2004
PRAC R&D Granting Guidelines and Procedures
Table of Contents
1 Introduction ........................................................................................................................... 3
2 Source of Research Funds .................................................................................................... 3
3 PRAC R&D Objectives and Measures of Success ............................................................. 4
3.1 R&D Funding Objectives ............................................................................................... 4
3.2 R&D Measures of Success.............................................................................................. 5
4 Funding Mechanisms ............................................................................................................ 6
4.1 Targeted Call for Research Proposals ............................................................................. 7
4.1.1 PRAC/NSERC Collaborative Research and Development Program ..................... 8
4.2 Transfer to Usability (TTU) Projects .............................................................................. 9
4.3 Facilitated Joint Projects (including JIPs and Contract Research) ............................... 10
5 Schedule and Deadlines for Research Proposals ............................................................. 11
5.1 Targeted Calls for Research Proposals ......................................................................... 11
5.2 Transfer to Usability (TTU) Projects ............................................................................ 11
5.3 Facilitated Joint Projects (JIPs/ Contract Research) ..................................................... 11
6 Proposal Selection Process ................................................................................................. 12
7 Proposal Development ........................................................................................................ 13
7.1 Proposal Identification .................................................................................................. 13
7.2 Preliminary Proposal Submission ................................................................................. 14
7.3 Screening of Proposals .................................................................................................. 14
7.4 Technical Evaluation of Proposals................................................................................ 14
7.4.1 Technical Ranking of Targeted Call Research Proposals .................................... 16
7.4.2 Technical Ranking Criteria for TTU Proposals ................................................... 16
7.4.3 Technical Ranking Criteria for Facilitated Joint Project and JIP Proposals ...... 17
8 Proposal Selection ............................................................................................................... 17
8.1 RSC Ranking Criteria for Targeted Call Proposals ...................................................... 18
8.2 RSC Ranking Criteria for TTU Proposals .................................................................... 18
8.3 RSC Ranking Criteria for Facilitated Joint Projects or JIP Proposals .......................... 18
9 Proposal Approval and Award .......................................................................................... 19
APPENDICES
10 PRAC Proposal Format Guidelines .................................................................................. 20
10.1 General Presentation ..................................................................................................... 20
10.2 Preliminary Proposal Guidelines .................................................................................. 21
10.3 PRAC Full Proposal Format Guidelines ....................................................................... 24
10.4 PRAC TTU Proposal Format Guidelines ..................................................................... 29
10.5 Standard Award Agreement .......................................................................................... 35
10.6 PRAC PROJECT AMENDMENT APPROVAL FORM ............................................. 44
11 Proposal Evaluation Committees (PECs) ......................................................................... 58
11.1.1 Proposal Evaluation Committees ......................................................................... 58
11.1.2 PEC Review Process ............................................................................................. 59
11.1.3 Technical Ranking of Targeted Call Research Proposals .................................... 61
11.1.4 Technical Ranking of Targeted Call Research Proposals .................................... 62
11.2 PEC Conflict of Interest Guidelines ............................................................................. 63
11.3 Research Selection Committee/ Proposal Evaluation Committee ................................ 64
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PRAC R&D Granting Guidelines and Procedures
1 Introduction
Petroleum Research Atlantic Canada’s (PRAC’s) mandate is to foster, fund, and facilitate within Atlantic
Canada, inter-disciplinary research and development related to oil and gas and the diffusion of that
knowledge, in fields such as:
Engineering;
Natural and Human Sciences;
Environment;
Public Policy and Socio-economics; and
Education and Training.
PRAC funds Atlantic Canada research and development in order to:
Achieve practical outcomes through the transfer of research results to identified receptors with the
potential to solve industry problems;
Build linkages and create synergies between the research community and petroleum related sectors
locally and abroad; and
Create jobs and add value by strengthening petroleum related R&D capacity in Atlantic Canada.
PRAC also supports workshops, conferences, and symposia to generate dialogue between researchers and
the petroleum industry in order to increase the understanding of current and emerging issues and associated
research needs and priorities.
This manual is intended to provide information to researchers so they understand PRAC’s objectives,
operating philosophies, and procedures. By reviewing the information contained herein researchers should
be able to develop robust research and development proposals that meet PRAC review standards.
2 Source of Research Funds
PRAC is a federally incorporated, not for profit, public private partnership. It receives cash and in-kind
contributions from its members in order to fulfill its mandate. Cash contributions for research and
development projects come directly from PRAC industry members. Industry members expect a return on
their investment and, as such, PRAC is committed to supporting research that is likely to generate practical
results and improve the competitiveness of the Atlantic Canada oil and gas community.
1
PRAC will fund research and/or development projects that fall between Basic Research and Prototype
Development in the Innovation-Commercialization Spectrum.
1
Refer to PRAC Definitions (Appendix A) to better understand what PRAC means by these terms
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PRAC R&D Granting Guidelines and Procedures
3 PRAC R&D Objectives and Measures of Success
PRAC has identified objectives that it hopes to achieve through the funding of R&D projects. Associated
measures of success help gauge how effective the R&D projects were in meeting the objectives.
Researchers are encouraged to review these objectives and measures of success to help them focus on
practical deliverables for their research proposals.
3.1 R&D Funding Objectives
PRAC supports research that will:
A. Develop solutions to challenges facing the Atlantic Canada petroleum sector in order to add value and
increase the competitiveness of the region.
B. Strengthen communication between researchers and stakeholders in order to achieve efficient and
effective transfer of research results and technology to identified receptors.
C. Strengthen cooperation, linkages and synergy between researchers, government and industry.
D. Capitalize on existing capacity to generate new knowledge and develop expertise in selected areas of
interest for the Atlantic Canadian petroleum sector.
E. Leverage PRAC funding to significantly increase the amount of research generated.
F. Train and develop highly qualified personnel in priority areas consistent with the future human
resource requirements in the public or private sectors.
G. Provide opportunities for local researchers and enterprises to participate in international activities with
Atlantic Canada implications.
H. Avoid duplication and overlap in activities in order to maximize the impact of research funds.
I. Foster R&D in Atlantic Canada that generates outcomes that have the potential to lead to uptake by
industry that would add value to the Atlantic economy.
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PRAC R&D Granting Guidelines and Procedures
3.2 R&D Measures of Success
PRAC tracks research activities, outputs, and outcomes to evaluate a project’s success in relation to the
PRAC R&D Objectives. Researchers need to address these measures in their proposals, work activities,
and deliverables to engender a focus on practical research and transferring research knowledge through to
usability. Explicitly addressing these measures also allows the researcher and PRAC to clearly
communicate the purpose and value of the research.
The following is the full list of measures which will have different weighting depending on the particular
research program that the researcher is applying to, i.e. grants versus TTU.
Quantitative Measures
New products, services, markets, policy, etc. developed
New JIP’s between academic, government and industry groups
Interactions (# and type) between researcher and receptors for research
design/conduct/dissemination
Research publications in peer-reviewed journals, trade journals, petroleum conference proceedings
Collaborations between researchers/researchers and researchers/companies
Measurable increases in research capacity, including new people, new skills or new tools
Amount and types of leveraged support provided and/or attributed to the project
Number of students engaged and exposed to industry practices and needs
Interactions and exchange between local researchers and international organizations/researchers
Funds and support provided by other research organizations
Qualitative Measures2
Stakeholders apply or consider research results in operations and practices, incl. standards and
regulations
Stakeholders are made aware of research results and the practical follow-on applications
Improved interaction between researcher and stakeholders, for research design, conduct and
dissemination
Research enhances the level/quality of interaction between researchers/companies/industry
Research develops enhanced technical facilities and capabilities for future investment/activity
Project develops or locates new sources and kinds of leveraged support
Research team benefits from exposure to industry practices and needs
Research increases regional collaboration with international activities or groups
2
Qualitative measures should be documented (nature and quantity of interactions) so results can be verified and
evaluated.
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PRAC R&D Granting Guidelines and Procedures
PRAC recognizes that research results will have short, intermediate and long-term outcomes. PRAC will
undertake brief follow-on assessments with project leaders for completed projects to capture and report on
additional research outcomes that were not accounted for at project completion.
Follow-Up Measures (12,24 and 36 Month)
New employment, new markets or new revenue generated.
Follow-on R&D activity generated by PRAC-funded research results.
Research results are advanced towards commercialization through technology transfer.
Number of graduate students subsequently employed in the regional (and national) petroleum
industry.
Awards or commendations from peer/professional/industry groups recognizing excellence.
Clear understanding of the PRAC Research Objectives and Measures of Success makes the PRAC final
report and follow-up assessments (12, 24 and 36 month) a logical, straightforward accounting of the
research activities undertaken.
4 Funding Mechanisms
PRAC’s research and development objectives emphasize transferring knowledge (research & development)
through to implementation (by identified end users). Research and development results need to be more
effectively communicated to and applied by receptors whether they are industry, regulators, policy makers,
environmental or community groups, or companies that will develop the research into commercial products
with value to themselves and to the Atlantic Canada petroleum industry. PRAC will continue to use the
research funds contributed by its industry members to support high priority topics that are strategically
important to Atlantic Canada. However, PRAC is expanding its research funding mechanisms in order to
increase and improve the uptake of research results.
Research and development project funding will be divided into two streams, depending upon the access to
intellectual property generated by the research: Public Domain Research and Development and
Restricted Research and Development.
The Public Domain R&D Project Stream encompasses projects typically undertaken to advance public
knowledge in specific areas in order to reduce risks or uncertainties related to petroleum development. The
Intellectual Property can be owned by the researcher (subject to their corporate policy). In most cases the
final project report and data where appropriate is available to PRAC members.
The Restricted R&D Project Stream encompasses projects typically developed by companies or
individuals to advance knowledge for commercial or competitive gain. Typically, they do not divulge all of
the intellectual property to the general public. A restricted report will be available to PRAC members
interested in the research, however it will not divulge intellectual property that is deemed to be of
significant commercial advantage.
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PRAC R&D Granting Guidelines and Procedures
PRAC will promote three (3) types of projects to support these two streams:
1. Targeted Call for Research Projects
Single Grants (short-term up to 1 year); or
Renewable Grants (2-3 years)
2. Transfer to Usability Projects;
3. Facilitated Joint Projects (may involve either Public Domain or Restricted R&D)
Joint Industry Projects (JIPs) or
Contracted Research Projects
All three mechanisms can be funded out of PRAC’s pooled R&D funds, but the Facilitated Joint Projects
will be largely funded directly by companies or groups that are interested in applying or receiving the
research and development results.
Funding Stream Funding Mechanism Funding Amount
- 50 - 70 % of available PRAC research
funds
Targeted Call Projects
Public Domain - proposals to be submitted during yearly
Research Targeted call
Facilitated Joint Projects - up to 10% of available PRAC research
funds to develop particular projects funded
(Joint Industry Projects (JIPs) directly by multiple stakeholders
or - PRAC helps broker/manage the project
Contracted research projects) - proposals can be submitted at any time
Restricted Research - 20 - 40 % of available PRAC research
Transfer to Usability Projects
funds
(TTU)
- proposals can be submitted at any time
Regardless of the mechanism used to request funds, project applicants must demonstrate industry need and
support for the research and there must be clearly defined deliverables and a plan to transfer the results to
the identified end users (regulators, industry, SMEs, policy makers, environmental, or community groups).
Regardless of the funding mechanism used by an applicant, PRAC, upon review, may feel a different
funding mechanism is more appropriate. If this is the case, PRAC will inform the proposal submitter of its
decision and obtain their consent prior to moving the proposal to the new funding mechanism.
4.1 Targeted Call for Research Proposals
PRAC recognizes that innovative ideas and concepts are often driven by researchers and companies in a
bottom-up process and accordingly, PRAC will conduct Targeted calls to solicit research proposals. The
goal of the PRAC call for proposals is to advance the state of knowledge and to enhance research capacity
in areas of highest priority to the Atlantic Canada petroleum industry.
There will be one scheduled Targeted Research call per calendar year which will usually take place in the
fall. The call announcement will provide deadlines for proposal submission, proposal review and
announcement of results. The call announcement will also identify the amount of research funds that will
be awarded in that call. NSERC eligible researchers may make a joint application to NSERC and PRAC
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PRAC R&D Granting Guidelines and Procedures
for matching funds through the PRAC/NSERC Collaborative Research and Development Program (see
Section 4.1.1).
PRAC will identify specific R&D Themes that industry wishes to concentrate on during the Targeted Call.
PRAC will identify these high priority research areas through feedback and discussion among different
working groups and stakeholders. As noted above while specific themes have been identified as having a
high priority, proposals may be submitted in any of PRAC’s five mandate areas (Engineering; Natural and
Human Sciences; Environment; Public Policy & Socio-economics; and Education & Training). Innovative
research that could significantly benefit Atlantic Canada’s oil and gas industry will be evaluated and ranked
alongside the proposals addressing the specified themes.
The Targeted Call for Research Proposals will be conducted in a five month window from November to
March. It is extremely important that completion times be adhered to as failure to comply will render the
proposal ineligible for the current call.
Targeted Call proposals are restricted to projects that divulge all of the intellectual property to the general
public (Public Domain Research Project Stream). The Targeted Call for Research Proposals will be
conducted in a five month window from November to March to parallel the NSERC application schedule;
however, companies and institutions not eligible for NSERC funding can still apply. It is extremely
important that the completion date be adhered to as failure to comply will render the proposal ineligible for
the current call.
Proposals can be 1 to 3 years in duration to allow for graduate student recruitment and involvement. All
proposals requesting multiple year project funding will be classified as “renewable grants” and will be
funded in phase’s contingent upon milestones and measurable outcomes being met.
All applicants submitting a proposal in a Targeted call must demonstrate industry need and support for the
research and there must be clearly defined deliverables and a plan to transfer the results to the identified
end user(s) (regulators, industry, SMEs, policy makers, environmental or community groups).
PRAC will provide financial support for these proposals (up to a maximum of $50,000 per year) but PRAC
expects the researcher to maximize leveraging from other sources, 3 to 4 times PRAC’s contribution.
A three-year proposal would need very strong support and justification in terms of urgency, application,
impact, leverage, and endorsement by the oil and gas industry. Applicants should first consider defining a
shorter, smaller project, and adopt a phased approach to their research program.
Targeted calls for proposals must be submitted using the PRAC R&D Proposal Form found in Section 10.3
4.1.1 PRAC/NSERC Collaborative Research and Development
Program
Under a 2003 Memorandum of Understanding (MOU) NSERC and PRAC agreed to cooperate on funding
petroleum related R&D in Atlantic Canada. NSERC has accepted PRAC as an industrial partner and
recognizes PRAC research funds as eligible for NSERC matching through the NSERC CRD program
(URL). The new CRD is unique in that PRAC and NSERC proposal evaluation process occurs in parallel,
rather than awaiting PRAC approval prior to applying to NSERC. This will shorten the time frame by
months. NSERC will become an active partner in PRAC research proposal selection and evaluation for
those proposals that are NSERC-eligible (NSERC URL).
Applicants from the academic community requesting matching funding from NSERC must clearly note on
their application that they are applying to the PRAC/NSERC Collaborative Research & Development
Program. This program is managed by PRAC and all applications must be submitted to PRAC during the
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PRAC R&D Granting Guidelines and Procedures
Targeted Call for Research proposals. Proposals that are received after the deadline date will not be
accepted by PRAC or NSERC.
Applications to the CRD program must meet all the requirements of both PRAC and NSERC for project
approval. The applicant must complete the NSERC requirements by filling out the appropriate NSERC
forms 100 & 101 which can be found at www.nserc.ca. The applicant is required to address PRAC’s
requirements in the free form of their NSERC application. PRAC requirements can be found in the “PRAC
Proposal Format Section”. Applicants are encouraged to contact PRAC’s Research Manager for further
assistance and information regarding this program. Final details will be available on both NSERC and
PRAC web sites prior to an announced Call for Proposals.
4.2 Transfer to Usability (TTU) Projects
TTU projects will be used to help bridge the gap between Applied Research and Commercialization by
supporting the Proof of Concept and/or Prototype Development phases. PRAC will assist with the proof of
concept, bench testing, and prototype development processes and will help facilitate the hand-off to a
commercialization organization (if required). These projects typically contain intellectual property that has
commercial value and hence fall under the Restricted Research Project Stream.
Transfer to usability proposals will generally arise as the second phase of a research project. During the
initial phase a potential solution was recognized and it needs to be developed further. TTU projects do not
have to be extensions of previously funded PRAC projects; they may be concepts developed outside of
PRAC that need assistance in further development towards commerciality.
TTU projects will typically be developed through an ongoing relationship between a researcher and a
receptor company developed as a research project progresses from the Innovation stage through to
Commercialization. Individual researchers may apply if they feel their research has commercial potential
but they need to prove the concept in order to gain interest from the receptor/investor community prior to
their investment in the project. Individual companies may apply if they have completed their applied
research in-house (or in conjunction with a researcher) but need assistance in fabricating a working model
that can be presented to their ultimate stakeholders.
PRAC will provide financial support for TTU proposals to cover 50% of 3rd party costs used to perform
detailed design, drawings and the fabrication/software development of a proof of concept model or a
prototype model up to $50,000 (whichever is less). PRAC will not cover overheads associated with the
project. The third party recipients must be based in Atlantic Canada and the work must be performed in
Atlantic Canada. PRAC project funding will typically be 1 to 2 years.
A TTU proposal must:
• have an innovative concept,
• show that the remaining financial obligations will be met,
• have a solid project team, and
• present a preliminary commercialization plan as an appendix to the proposal.
TTU proposals should show significant participation from industry both financially and with personnel
support. Additional funding should be available through ACOA, IRAP or the NSERC I2I initiative and
PRAC strongly recommends researchers and receptor companies to investigate these opportunities.
In view of the fact that these opportunities may arise at any time, PRAC will not hold a Targeted call for
TTU projects. Each proposal will be addressed as it is proposed to PRAC, however, PRAC’s Screening,
Technical Evaluation, Ranking and Project Award processes will still be followed.
Commercialization of the product will occur in a final phase funded by organizations other than PRAC.
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PRAC R&D Granting Guidelines and Procedures
TTU proposals must be submitted using the PRAC R&D Proposal Form found in Section 10.3. Prior to
submitting a proposal the applicant must have the support from one of PRAC’s senior staff members to act
as the project champion.
4.3 Facilitated Joint Projects (including JIPs and Contract Research)
Facilitated Joint Projects are projects funded by the project’s direct stakeholders. PRAC’s role will vary
depending on how the Joint Projects arise, how they are developed, and how the intellectual property is
released. PRAC may act strictly as the project broker, assume a stakeholder position in the project, perform
contracted research within the Joint Project, or a combination thereof.
PRAC promotes dialogue between the petroleum industry and researchers on research needs and priorities
in order to increase the understanding of current and emerging issues, and to disseminate the results of
research. This dialogue may identify issues that, for reasons of timing, cost, complexity, confidentiality or
protection of commercial potential are best addressed in a collaborative targeted approach where
stakeholders provide direct funding and control the direction of the research and the application and
distribution of research results. PRAC will act on its members’ behalf to actively identify, develop and
market Facilitated Joint Projects to address these issues.
Facilitated Joint Projects may also arise out of the Targeted Call for Research Proposals when the overall
value of the project is recognized to be of greater scope and it is developed into a larger Public Domain
project with more stakeholders and funders. Facilitated Joint Proposals may be proposed by researchers, or
PRAC may review a proposal submitted under the Targeted Call for Proposals and recommend that it be
transferred to a facilitated joint project.
PRAC may be contracted to either develop or undertake specific aspects of research on behalf of facilitated
joint project stakeholders. PRAC’s position as a neutral arms-length organization with broad membership
support makes PRAC an appropriate vehicle to undertake a variety of Contract Research Projects.
Most Joint Industry Projects (JIP) are proposed by a single entity when they are trying to progress a
concept through the Transfer to Usability (TTU) phase. The size of the project makes it economically
challenging for a single entity to handle; so they petition their end users for assistance. The intellectual
property is usually retained by the researcher (subject to their corporate policy); however, JIP participants
usually insist upon and negotiate, prior to project inception, reasonable secure access to the technology they
helped develop. These projects fall under the Restricted Research Project Stream. PRAC will act as the
broker that develops the JIP, solicit and secure membership, but otherwise remain outside of the JIP.
Some strategic PRAC funding (typically up to $5,000 per project) may be reserved to help seed, identify
and develop facilitated joint projects. Project funding itself will be provided by the project stakeholders
(which may include PRAC) that agree to join the project. The decision on whether to financially support a
particular facilitated joint project lies with each member organization; based upon their business objectives.
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PRAC R&D Granting Guidelines and Procedures
PRAC’s Executive Committee has the authority to authorize strategic funding, on an as needed basis, for a
Facilitated Joint Project pending technical evaluation and selection recommendations.
JIP proposals must be submitted using the PRAC R&D Proposal Form found in Section 10.3. For further
information on JIP requirements contact PRAC’s Industry Outreach Manager.
5 Schedule and Deadlines for Research Proposals
5.1 Targeted Calls for Research Proposals
The Targeted Call for Research Proposals will be conducted in a five month window from November to
March to parallel the NSERC application schedule; however, companies and institutions not eligible for
NSERC funding can still apply. Completion dates and time lines will need to be strictly adhered to, both
by the applicant and PRAC.
Announcement of Targeted Call for Research Proposals September
Submission of Full Proposal to PRAC Office Early November
Proposal Screening & Feedback Mid-November
Initial Technical Evaluation & Requests for Revisions Late December
Revised Proposal Deadline Mid-January
Technical Evaluation Completed Late February
Presentation to Research Selection Committee Early March
Selection Recommendations Late March
Award Announcements by PRAC Executive Director Late March
All proposals must be received by 4:30 pm on the date the call closes. No proposals will be accepted after
the proposal submission deadline. Applicants must submit an electronic pdf copy of the file. All applicants
will be notified via e-mail within two working days of the call closing acknowledging that the proposal has
been received.
Once proposals are received and acknowledged, proposals are logged by PRAC’s Research Associate into
the database of proposals received, the proposal is assigned a file number, and hard copy information
received is placed on file.
5.2 Transfer to Usability (TTU) Projects
TTU proposals can be submitted to PRAC at any time for funding.
5.3 Facilitated Joint Projects (JIPs/ Contract Research)
Facilitated Joint Projects including JIP’s and Contract Research proposals may be submitted to PRAC at
any time for review and support.
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PRAC R&D Granting Guidelines and Procedures
6 Proposal Selection Process
Regardless of the funding mechanism applied for, the basic selection process remains similar. The primary
differences being that Targeted Call for Research Proposals are subjected to a formalized call process while
TTU Projects and Facilitated Joint Projects can be submitted for review at any time.
Proposals submitted to PRAC typically undergo a five-part selection/approval process: Identification
(PRAC or Proponent), Screening (PRAC), Technical Evaluation (PEC) (including External Review
(PRAC) if required), Selection Recommendation (RSC), and Final Approval (PRAC Executive).
1. Research opportunities are identified by PRAC or Industry as discussed under Section 4 – Funding
Mechanisms.
2. Researchers develop and submit Research Proposals to PRAC.
Timing of proposal submission is dependent upon funding mechanism targeted.
Targeted Call Proposals must be submitted in conjunction with a Targeted Call.
TTU or JIP proposals may be submitted at any time.
Preliminary proposals may be submitted at any time. They will be reviewed by PRAC Staff upon
receipt. Based on additional feedback from PRAC’s technical and industry contacts, a
determination will be made on the merits and potential for the proponent to develop a full proposal
in sequence with the Targeted Call for Proposals or as a TTU or JIP Project.
3. PRAC’s R&D Manager and Research Associate screen all proposals to ensure eligibility and
compliance with PRAC’s R&D Proposal Form.
Proposals that do not meet PRAC proposal guidelines will be sent back to the applicant asking for
revision and clarification by a date specified by PRAC. If the proposal is not re-submitted within
that timeframe, it will be placed in sequence with the next call for proposals.
If PRAC feels a different funding mechanism is more appropriate, PRAC will inform the applicant
of its decision and obtain consent to transfer the proposal.
4. Full proposals are reviewed and evaluated by one or more Proposal Evaluation Committees (PECs).
The role of the PEC is to review and evaluate the technical merit of the proposal.
They may request clarification and/or revisions to the proposal. They may also submit the
proposal to an External Peer review.
Once the PEC is satisfied that it understands the technical merits of the proposal the PEC Chair
presents the proposal to the Research Selection Committee (RSC).
5. The RSC evaluates the recommendations from the PECs and the external reviewer feedback and then
weighs and ranks all of the proposals received.
Top-ranked proposals are recommended for approval in accordance with the funds available for
the research call.
6. The Executive Director and Executive Committee approve the release of funds for proposals
recommended for funding by the RSC.
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PRAC R&D Granting Guidelines and Procedures
Proposal Phase Stakeholder
Award PRAC Executive Director
Approval PRAC Executive Director or Executive Board
Selection
PRAC Review Selection Committee
Recommendation
External Peer
Technical Review
Evaluation
PRAC relevant Proposal Evaluation Committee
Screening PRAC Screening Process
Annual Call for Facilitated Joint Transfer to
Development
Proposals Projects Usability Projects
Identification PRAC Industry
7 Proposal Development
The following sections outline the policies and procedures to be followed for PRAC Targeted Call for
Research Proposals. Where the Transfer to Usability and Facilitated Joint Project processes differ; they will
be noted.
7.1 Proposal Identification
PRAC will be targeting specific areas of research that are identified through feedback and discussions
amongst different working groups and stakeholders.
When a particular area(s) of research has been identified by the stakeholders as a priority PRAC will
highlight research priorities in the Targeted Call for Research Proposals in order to build regional capacity
in those specific research segments.
While specific themes will have been identified as a high priority, proposals may be submitted in any of
PRAC’s five mandate areas (Engineering; Natural and Human Sciences; Environment; Public Policy &
3
Socio-economics; and Education & Training) . Innovative research that could significantly benefit Atlantic
Canada’s oil and gas industry will be evaluated and ranked alongside the proposals addressing the specified
themes.
3
Applicants considering research projects outside the targeted research priority areas are encouraged to submit a
short preliminary proposal to PRAC for evaluation prior to developing a full proposal.
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PRAC R&D Granting Guidelines and Procedures
7.2 Preliminary Proposal Submission
Prior to expending a significant effort completing the formal PRAC R&D Proposal Form a researcher may
submit a Preliminary Proposal. Atlantic Canada researchers are encouraged to submit R&D ideas to PRAC
at any time in order to:
Seek guidance on the relevance of the research or development idea,
Seek guidance to identify other researchers or receptor companies to collaborate with, and
Seek assistance on the best way to present the idea to PRAC’s evaluators
Preliminary proposals may be submitted at any time on the “Preliminary Proposal Form” found in Section
10.2. The Preliminary Proposal Form is the first two pages of the PRAC R&D Proposal Form so initial
efforts expended to improve the researchers’ understanding of their idea will be useful during the formal
submission.
The preliminary proposal will be assigned a proposal number that will track it through subsequent process
steps. It will go through an internal PRAC pre-evaluation. PRAC’s research staff will provide the lead
Principal Investigator with advice on the proposal’s applicability, merit, potential collaborative partners,
and recommended funding mechanism.
PRAC, with approval from the lead Principal Investigator, may present the preliminary proposal to selected
subject matter experts from industry to solicit their advice and reaction to the merits and potential viability
of the R&D initiative.
7.3 Screening of Proposals
Proposals will not be accepted and will be returned to the lead Investigator if the following information is
not addressed or is incomplete:
No evidence of preliminary engagement of local industry;
Not properly formatted as per the PRAC Proposal Guidelines;
No direct application to Atlantic Canada oil and gas issues;
Leverage opportunities have not been explored;
Incomplete and/or unclear budget information;
Opportunities for Pan-Atlantic team not adequately addressed;
Outside PRAC’s expressed areas of interest; and
No formal letter indicating that the proposal has the support and backing of the proponent’s
organization or institution.
7.4 Technical Evaluation of Proposals
Proposals that pass the screening process are categorized according to PRAC’s mandate and forwarded to
the relevant Proposal Evaluation Committee (PEC) for technical review (refer to PRAC Organization for
further information on the PECs and their mandate). The PEC evaluates the proposal on scientific content,
strategic value, proposal quality, and quality and character of its leverage and partnerships. The main focus
of the PEC is to determine if the proposal is technically sound, of strategic priority and whether it has been
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PRAC R&D Granting Guidelines and Procedures
developed to the point where it should be considered for funding. The PEC may ask for clarification or
revisions as appropriate, reject, or forward the proposal for external peer review. Often additional
researchers or research end-users can be suggested through the broad range of PEC expertise.
Recommendations for funding on proposals are based on committee consensus and external review
feedback. If the PEC asks the applicant to address points raised by the Committee the applicant must
address the questions and respond within the timeframe outlined in the letter. The applicant’s proposal will
not go back to the PEC until the questions posed in the letter are adequately addressed. Proposals that
address the request for modifications in the required timeframe will be forwarded to the appropriate PEC
Chair and lead reviewer for final comment.
Once the revisions are approved by the PEC Chair and lead reviewer, the PEC will convene (teleconference
or e-mail) to either reject the proposal or recommend forwarding to the RSC for funding review.
Applicants may request copies of external reviews once the RSC process is completed. The names of the
reviewers will not be disclosed to the applicant.
Technical PEC proposal evaluation will vary depending on the particular PRAC funding mechanism (e.g.,
Open Call, TTU or Facilitated Joint Project). All Open Call Proposals will be reviewed by the full PEC. At
least a subset of the appropriate PEC will review the TTU and Facilitated Joint proposals. The strong
emphasis on commercialization with TTU projects may require additional market or commercial expertise
to properly evaluate their potential. Facilitated Joint projects will be treated differently depending on how
they were developed and the source of funds they will draw on. Those that require funds from the Directed
Call Reserve will be reviewed by the PEC and RSC.
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7.4.1 Technical Ranking of Targeted Call Research Proposals
Proposal Ranking Criteria Weight
Strength and quality of research approach 40
Does the project identify a challenge relative to Atlantic Canada oil & gas community 20
Is the challenge significant (on priority list) 20
Will results improve competitiveness of Atlantic Canada industry 20
Are there clear, distinct and measurable deliverables 20
Are deliverables achievable 20
Are project management controls in place 20
Does research team have the expertise 20
Will results reduce environmental risk 10
Will results reduce human risk 10
Have receptors been identified 10
Are receptors engaged in the project 10
Have stakeholders been identified 10
Is there a plan to transfer knowledge/product to stakeholders. 10
Is new knowledge, local expertise being developed 10
Is project duration reasonable 10
Is there collaboration between researcher and industry, or other researchers 10
Does research team have proper equipment to perform project 10
Have contingency plans been thought out, incorporated 10
Total 300
7.4.2 Technical Ranking Criteria for TTU Proposals
TTU Proposal Ranking Criteria Weight
Has sufficient research been conducted assure a reasonable expectation of success 40
Does the project identify a challenge relative to Atlantic Canada oil & gas community 20
Is the challenge significant (on priority list) 20
Will results improve competitiveness of Atlantic Canada industry 20
Are receptors engaged in the project 20
Are there clear, distinct and measurable deliverables 20
Are deliverables achievable 20
Are project management controls in place 20
Does research team have the expertise 20
Will results reduce environmental risk 10
Will results reduce human risk 10
Have stakeholders been identified 10
Is there a plan to transfer knowledge/product to stakeholders. 10
Is new knowledge, local expertise being developed 10
Is project manager qualified 10
Is project duration reasonable 10
Is there collaboration between researcher and industry, or other researchers 10
Does research team have proper equipment to perform project 10
Have contingency plans been thought out, incorporated 10
Total 300
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7.4.3 Technical Ranking Criteria for Facilitated Joint Project and JIP
Proposals
Facilitated Joint Project or Joint Industry Project Proposal Ranking Criteria Weight
Strength and quality of research approach 40
Does the project identify a challenge relative to Atlantic Canada oil & gas community 20
Is the challenge significant (on priority list) 20
Will results improve competitiveness of Atlantic Canada industry 20
Are there clear, distinct and measurable deliverables 20
Are deliverables achievable 20
Are project management controls in place 20
Does research team have the expertise 20
Will results reduce environmental risk 10
Will results reduce human risk 10
Have receptors been identified 10
Are receptors engaged in the project 10
Have stakeholders been identified 10
Is there a plan to transfer knowledge/product to stakeholders. 10
Is new knowledge, local expertise being developed 10
Is project manager qualified 10
Is project duration reasonable 10
Is there collaboration between researcher and industry, or other researchers 10
Does research team have proper equipment to perform project 10
Have contingency plans been thought out, incorporated 10
Total 300
8 Proposal Selection
The Research Selection Committee (RSC) reviews the recommendations from all of the Proposal
Evaluation Committees and weighs the proposals. The RSC is not intended to review the scientific merit of
the proposals. Rather, the RSC compares proposals across PECs and compares and ranks them in terms of
their value and impact against PRAC Research funding objectives.
Once all proposals have been weighed, the RSC will review the funding available, balance and compare the
proposals with respect to an overall PRAC portfolio, rank the proposals and develop a list of proposals
recommended for funding.
Open Call proposals that are not ranked sufficiently high to receive funding in this round are rejected and
returned to the proponent. They will not remain in a queue of approved, but unfunded proposals. The
proponent will have to decide whether or no to resubmit the proposal in a subsequent call where it will be
compared and ranked against a new round of proposals.
The selection evaluation will be based on the following criteria:
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8.1 RSC Ranking Criteria for Targeted Call Proposals
Similar to the PEC’s, RSC membership is balanced among industry, government and academia. The RSC has
thirteen (13) members including university representatives from all four Atlantic Provinces and the Chairs of each of
the four Proposal Evaluation Committees (Policy, Environment, Hydrocarbon Resource and Operations &
Technology). Membership within the RSC must be comprised of member representatives. Refer to “Appendix H”
for further detail on the PEC and RSC structure.
The Research Selection Committee (RSC) reviews the recommendations from the Proposal Evaluation Committees.
The main role of the RSC is to weigh and rank the proposals against the goals and objectives of PRAC and its
expressed strategic goals. The RSC approves proposals they feel meet the established PRAC criteria, and then ranks
the proposals based on the following criteria:
Ranking Criteria Weight
Technical Ranking from PEC 30
Successful leveraging of cash and in-kind contributions 10
Potential and plan for uptake of research results in near or short-term (1 to 5 years) 10
Pertinence to Atlantic Canada issues 10
Support of PRAC industry members 10
Significant involvement and training of students 10
Appropriate collaboration with regional (pan-Atlantic) expertise 10
Evenness across PRAC’s Mandate 10
Total 100
8.2 RSC Ranking Criteria for TTU Proposals
Ranking Criteria Weight
Technical Ranking from PEC 30
Potential and plan for commercialization or implementation in near or short-term (1 to 5 years) 20
Support of PRAC industry members 20
Pertinence to Atlantic Canada issues 10
Successful leveraging of cash and in-kind contributions 10
Export potential that benefits Atlantic Canada employment 10
Total 100
8.3 RSC Ranking Criteria for Facilitated Joint Projects or JIP
Proposals
It is not a necessary condition that the RSC have to approve or rank a facilitated Joint Project or JIP. The
RSC will be engaged to provide advice and comments to improve the proposal. In cases where it is
deemed appropriate, the RSC will weigh and rank these projects in a manner similar to both Targeted Call
and TTU projects.
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9 Proposal Approval and Award
The list of Proposals Recommended for Funding is presented to the Executive Director of PRAC. The
executive director can approve proposals requiring funding up to $ 50,000. Proposals with a value greater
than $ 50,000 must be approved by the Executive Committee. Final approval will take into consideration
available funding, RSC recommendations, portfolio balance and strategic opportunities.
In the case where strategic research opportunities are time sensitive the Executive Director has the authority
to reserve strategic funding pending review by the PEC and recommendation on funding by the RSC. The
Executive Committee has the authority to approve strategic projects under the direction of the Executive
Director in consultation with PEC and RSC members.
Once proposals have been approved the Executive Director will inform the successful applicants. The R&D
Research Associate will inform unsuccessful applicants and arrange a debrief meeting if so desired.
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Appendices
10 PRAC Proposal Format Guidelines
10.1 General Presentation
Print must be in black ink and be of letter quality (minimum standard)
If you use a type size measured in points (pts), it must be no smaller than 12 pts
Use white paper 8 1/2 x 11 inches (21.5 cm x 28 cm)
Set margins at 3/4 of an inch (1.7 cm) (minimum) all around
Print on one side of the paper only
Full proposals should not exceed 15 pages excluding appendices
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10.2 Preliminary Proposal Guidelines
Proposal Title:
Proposal Summary:
Indicate if you are applying under the PRAC/NSERC CRD program Yes ( ) No ( )
Note: Principal Investigator must be eligible for NSERC funding
Principal Investigator
Dr. / Prof. / Mr. / Ms. First Name Family Name
Organization:
Department: Phone: Email:
Address: Fax: Website:
Research Team
Name: Organization: Phone:
Expertise:
Name: Organization: Phone:
Expertise:
Facilities to be used:
Funding:
Project Total Project Cost: Funding Requested from PRAC (by calendar year):
Duration:
Other Funding Sources (Anticipated, Confirmed, Requested)
Project Leverage from other sources (Anticipated, Confirmed, Requested)
(data, expertise, facilities, logisitics)
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Proposal Objectives:
Description of Work Activities:
Anticipated Deliverables
Application and Relevance to Atlantic Canada Oil & Gas Industry:
Identified Stakeholders:
Plan to transfer research results to the Atlantic Canada oil and gas industry
Intellectual Property:
Intellectual Property - Potentially legally protectable knowledge, technology, ideas, and information often resulting
from performance of sponsored activity.
PRAC’s Targeted Calls for research proposals are expected to contain publicly accessible deliverables. Does this
proposal produce proposed work that would result in creation of Intellectual Property.
Yes( ) No( )
If yes, explain plans to protect or negotiate intellectual property amongst project partners
Have any patent applications been filed for the technology that forms the basis of this proposal? If yes; give patent application dates and numbers.
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Have you or your partners submitted this proposal or one similar in content as a project to industry or any other research funding program?
Please give details.
To Whom: Date:
Proposal Title:
I certify that I am authorized by the Company / University Department / Consortium Partners to submit this initial proposal to Petroleum
Research Atlantic Canada for a funding request. The description of this proposal and the information on this application form is accurate and
agreed to by the Company / University Department / Consortium Partners.
Signature: Date:
Name:
Does this preliminary proposal contain confidential information?
Yes: No:
Do you authorize PRAC to circulate the preliminary proposal in confidence as required?
Yes: No:
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10.3 PRAC Full Proposal Format Guidelines
Proposal Title
Principal Dr./Prof./Mr./Ms. First Name: Family Name:
Investigator
Organization: Department: Phone:
E-mail: Address: Fax:
Proponents
Name: Organization: Phone:
Name: Organization: Phone:
Facilities to be used:
Facilities to be used:
Supporting Stakeholders
(Providing funds, expertise, facilities, data, letters
of support)
Does this proposal contain confidential
information? (Yes / No)
Describe any restrictions necessary for external
peer or committee review (beyond standard PRAC
confidentiality procedures)
Indicate if you are applying under the PRAC/NSERC CRD program Yes ( ) No ( )
Note: Principal Investigator must be eligible for NSERC funding
Have you or your partners submitted this proposal or one similar in content as a project to industry or any other research funding
program?
Please give details.
To Whom: Date:
Proposal Title:
I certify that I am authorized by the Company / University Department / Consortium Partners to submit this initial proposal to Petroleum
Research Atlantic Canada for a funding request. The description of this proposal and the information on this application form is accurate
and agreed to by the Company / University Department / Consortium Partners.
Signature: Date:
Name:
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Research Team
(Copy this page if more than one organization is involved in the project.)
One page should be completed by each partner
Organization Name:
Department:
Address:
Type of Organization (e.g. University, Research Institute, Company):
If a company, are you at arms length from the research team? If not, explain
Location where your organization’s project research will be conducted.
Role (operational and/or financial) / Function (e.g. researcher, facilities, sponsor, commercialization) / Task in Project
Relevant Partner Expertise / Experience (include short CV 10 lines of key personnel, facilities to be used)
Authorized Project Contact:
Dr. / Prof. / Mr. / Ms. First Name: Family Name:
Phone: Fax: Email: Website:
I certify the above information is accurate and that my organization has agreed to participate in this proposal.
Signature: Date:
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PRAC R&D Granting Guidelines and Procedures
SUMMARY OF PROPOSED RESEARCH
Provide a short summary of the proposed research program. It should be written in non-technical terms. It should
not be an abstract of the proposal, but rather a self-contained description of the activity that would result if the
proposal were funded. If the proposal is funded, this summary could be used for purposes outside the research
community including requests for information from media and members of the public.
1 page only
RESEARCH PROPOSAL
The research proposal in total should not exceed 15 pages excluding appendices
Background
This is the introduction to your proposal. Evaluators should obtain a complete understanding of the context in which
the effort is being proposed and the nature of the specific problem or opportunity being addressed. This section
should demonstrate your familiarity with current products or practice in this area and previous and ongoing work
relevant to the proposed effort.
Scope
The scope provides an executive summary of the proposal and should include the following:
brief description of the project need;
brief description of the project goals;
total budget figure in (major budget items described separately in the financial section of the proposal);
a brief description of the methods of implementing the project goals;
a statement of the expected outcomes; will the project solve an identified problem itself, or will follow-on
work be required?
project duration.
Scientific and Technical objectives
The objectives of the research should be clearly and specifically outlined. Include a general description of the
project. State the objectives and hypothesis (es) of your proposed effort. For multi-year projects state the objectives
for each year. Specifically outline exactly what do you hope to accomplish. Objectives should be stated in such a
way as to be verifiable upon completion of the project. Scientific and Technical objectives should include the
following:
what problem(s)/challenges does the project aim to address;
describe the objectives in a measurable and verifiable form (outputs to impacts);
link the objectives to quantitative targets and deliverables. For multi-year projects state objectives for each
year; and
Activities and related Milestones
Activities are significant project components or phases such as field work, model development (physical or
numerical) or validation, laboratory analysis, prototype development, etc.
Milestones are significant accomplishments or intermediate goals and are used to measure project progress. In some
cases, these may be triggers for disbursement of funds.
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PRAC R&D Granting Guidelines and Procedures
Project Deliverables and Outputs
Deliverables are tangible products or processes that are provided or completed. Some deliverables may have several
related outputs such as journal publications, presentations, databases, or software.
Research Team
Briefly summarize role and contribution for key project team members.
Facilities
Briefly describe the facilities to be used. Be sure to specify any unique facilities that will be used during the project.
Include project location(s).
Stakeholders
Who will benefit from the development of this research? Have you communicated with potential users, if so what is
their reaction? (Attach letters of support in an appendix to this proposal).
Contribution/Benefits to the Petroleum Industry
1. State the application and relevance to Atlantic Canada’s Oil and Gas Industry:
a. how does this research advance this field of science;
b. how do you suggest the results of this research might be applied;
c. who will put it to use; what are the anticipated benefits
d. what future applications do you foresee;
2. Similarly, provide a brief description of the impact the project could have on the international market.
Where, throughout the world, could the technology be deployed?
Intellectual property
PRAC policy is that Intellectual property (existing and generated) under the Targeted Call Process resides with the
appropriate Principal Investigator(s). If there are any necessary restrictions on this policy, explain fully and outline
steps proposed to protect existing and generated intellectual property.
Dissemination and/or Exploitation of Results
Describe plans for communication and transfer of the research results and how this will be achieved. PRAC is
looking for evidence of a plan to maximize the awareness and application of research results by the identified
stakeholders.
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PRAC R&D Granting Guidelines and Procedures
FINANCIAL PROPOSAL
Proposed Costs
Project Costs Year 1 Year 2 Year 3 Total
Personnel
Equipment-facilities
Materials and Supply
Travel
Other project costs
Total Project Costs
Summarizing table
Leveraged Contributions – Project Financing
Cash Contributions Year 1 Year 2 Year 3 Total
Requested from PRAC
Other sources (list)
Subtotal-Cash
Non-cash Contributions
Subtotal- Non-Cash
Total Project Financing
* Note: List other sources of funds by expected and secured.
* Note: The PRAC objective is to achieve leverage PRAC contributions 1 to 4 against all other sources. PRAC does
not provide 100% cash funding for a proposal.
Summarizing table
The onus is on the applicant to provide sufficient information to enable a review committee to evaluate the
relationship with other sources of support and to recommend the appropriate PRAC funding level. The
consequence of not providing adequate information to enable a selection committee to assess the relationship to
other research support is that the committee may recommend reduced or no funding. Proposals will be returned
by PRAC if tables are incomplete or inaccurate.
References
Appendices
(e.g. Figures, Summary vitae of scientists, letters of interest and commitment)
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10.4 PRAC TTU Proposal Format Guidelines
Proposal Title
Principal Dr./Prof./Mr./Ms. First Name: Family Name:
Investigator
Organization: Department: Phone:
E-mail: Address: Fax:
Proponents
Name: Organization: Phone:
Name: Organization: Phone:
Facilities to be used:
Facilities to be used:
Supporting Stakeholders
(Providing funds, expertise, facilities, data, letters
of support)
Does this proposal contain confidential
information? (Yes / No)
Describe any restrictions necessary for external
peer or committee review (beyond standard PRAC
confidentiality procedures)
Indicate if you are applying under the PRAC/NSERC CRD program Yes ( ) No ( )
Note: Principal Investigator must be eligible for NSERC funding
Have you or your partners submitted this proposal or one similar in content as a project to industry or any other research funding
program?
Please give details.
To Whom: Date:
Proposal Title:
I certify that I am authorized by the Company / University Department / Consortium Partners to submit this initial proposal to Petroleum
Research Atlantic Canada for a funding request. The description of this proposal and the information on this application form is accurate
and agreed to by the Company / University Department / Consortium Partners.
Signature: Date:
Name:
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PRAC R&D Granting Guidelines and Procedures
Research Team
(Copy this page if more than one organization is involved in the project.)
One page should be completed by each partner
Organization Name:
Department:
Address:
Type of Organization (e.g. University, Research Institute, Company):
If a company, are you at arms length from the research team? If not, explain
Location where your organization’s project research will be conducted.
Role (operational and/or financial) / Function (e.g. researcher, facilities, sponsor, commercialization) / Task in Project
Relevant Partner Expertise / Experience (include short CV 10 lines of key personnel, facilities to be used)
Authorized Project Contact:
Dr. / Prof. / Mr. / Ms. First Name: Family Name:
Phone: Fax: Email: Website:
I certify the above information is accurate and that my organization has agreed to participate in this proposal.
Signature: Date:
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PRAC R&D Granting Guidelines and Procedures
SUMMARY OF PROPOSED RESEARCH
Provide a short summary of the proposed research program. It should be written in non-technical terms. It should
not be an abstract of the proposal, but rather a self-contained description of the activity that would result if the
proposal were funded. If the proposal is funded, this summary could be used for purposes outside the research
community including requests for information from media and members of the public.
1 page only
RESEARCH PROPOSAL
The research proposal in total should not exceed 15 pages excluding appendices
Background
This is the introduction to your proposal. Evaluators should obtain a complete understanding of the context in which
the effort is being proposed and the nature of the specific problem or opportunity being addressed. This section
should demonstrate your familiarity with current products or practice in this area and previous and ongoing work
relevant to the proposed effort.
Scope
The scope provides an executive summary of the proposal and should include the following:
brief description of the project need;
brief description of the project goals;
total budget figure in (major budget items described separately in the financial section of the proposal);
a brief description of the methods of implementing the project goals;
a statement of the expected outcomes; will the project solve an identified problem itself, or will follow-on
work be required?
project duration.
Scientific and Technical objectives
The objectives of the research should be clearly and specifically outlined. Include a general description of the
project. State the objectives and hypothesis(es) of your proposed effort. For multi-year projects state the objectives
for each year. Specifically outline exactly what do you hope to accomplish. Objectives should be stated in such a
way as to be verifiable upon completion of the project. Scientific and Technical objectives should include the
following:
what problem(s)/challenges does the project aim to address;
describe the objectives in a measurable and verifiable form (outputs to impacts);
link the objectives to quantitative targets and deliverables. For multi-year projects state objectives for each
year; and
Activities and related Milestones
Activities are significant project components or phases such as field work, model development (physical or
numerical) or validation, laboratory analysis, prototype development, etc.
Milestones are significant accomplishments or intermediate goals and are used to measure project progress. In some
cases, these may be triggers for disbursement of funds.
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Project Deliverables and Outputs
Deliverables are tangible products or processes that are provided or completed. Some deliverables may have several
related outputs such as journal publications, presentations, databases, or software.
Research Team
Briefly summarize role and contribution for key project team members.
Facilities
Briefly describe the facilities to be used. Be sure to specify any unique facilities that will be used during the project.
Include project location(s).
Stakeholders
Who will benefit from the development of this research? Have you communicated with potential users, if so what is
their reaction? (Attach letters of support in an appendix to this proposal).
Contribution/Benefits to the Petroleum Industry
3. State the application and relevance to Atlantic Canada’s Oil and Gas Industry:
a. how does this research advance this field of science;
b. how do you suggest the results of this research might be applied;
c. who will put it to use; what are the anticipated benefits
d. what future applications do you foresee;
4. Similarly, provide a brief description of the impact the project could have on the international market.
Where, throughout the world, could the technology be deployed?
State the commercial relevance to Atlantic Canada’s Oil and Gas Industry - This section should respond to
questions such as:
how does this research advance this field of science;
who will put it to use;
have you communicated with potential users;
(It is strongly recommended that you do so before submitting the proposal.) Letters of support appended to
your proposal are appropriate;
what future applications do you foresee;
how do you suggest the results of this research might be applied to industry.
Intellectual property
PRAC policy is that Intellectual property (existing and generated) under the Targeted Call Process resides with the
appropriate Principal Investigator(s). If there are any necessary restrictions on this policy, explain fully and outline
steps proposed to protect existing and generated intellectual property.
- have any patent applications been filed for the technology that forms the basis of this proposal? If yes;
give patent application dates and numbers;
- does the proposal contain confidential information (Yes/No).
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PRAC R&D Granting Guidelines and Procedures
Dissemination and/or Exploitation of Results
Describe plans for communication and transfer of the research results and how this will be achieved. PRAC is
looking for evidence of a plan to maximize the awareness and application of research results by the identified
stakeholders.
For TTU and JIP Project include:
Estimate future market prospects. How will the project contribute to economic growth? What market
opportunity(ies) will it create for the partners? What risks (marketing, financial or technical) might there be in
entering/expanding in this market? What effect will this have on partner business plans? Specify IPR arrangements.
Note: It is expected that this initial analysis will be refined as the project progresses from feasibility, through
research and development.
FINANCIAL PROPOSAL
Proposed Costs
Project Costs Year 1 Year 2 Year 3 Total
Personnel
Equipment-facilities
Materials and Supply
Travel
Other project costs
Total Project Costs
Summarizing table
Leveraged Contributions – Project Financing
Cash Contributions Year 1 Year 2 Year 3 Total
Requested from PRAC
Other sources (list)
Subtotal-Cash
Non-cash Contributions
Subtotal- Non-Cash
Total Project Financing
* Note: List other sources of funds by expected and secured.
* Note: The PRAC objective is to achieve leverage PRAC contributions 1 to 4 against all other sources. PRAC does
not provide 100% cash funding for a proposal.
Summarizing table
The onus is on the applicant to provide sufficient information to enable a review committee to evaluate the
relationship with other sources of support and to recommend the appropriate PRAC funding level. The
consequence of not providing adequate information to enable a selection committee to assess the relationship to
other research support is that the committee may recommend reduced or no funding. Proposals will be returned
by PRAC if tables are incomplete or inaccurate.
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References
Appendices
(e.g. Figures, Summary vitae of scientists, letters of interest and commitment)
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PRAC R&D Granting Guidelines and Procedures
10.5 Standard Award Agreement
THIS GRANT AGREEMENT made this day of , 200
BETWEEN:
PETROLEUM RESEARCH ATLANTIC CANADA
(hereinafter called “PRAC”)
OF THE FIRST PART
- and -
(hereinafter called “The Awardee”)
OF THE OTHER PART
PRAC has reviewed the application by the Awardee for a grant to assist in project
funding for research activities, purchasing of assets and financing of the services more
particularly described in the Schedule “A” attached hereto (the “Project”).
PRAC has awarded a grant to the Awardee to assist in funding the cost of the Project on
the terms, covenants and conditions hereinafter specified.
PRAC grants and the Awardee agrees to accept the Grant on the terms, covenants and conditions
specified in this Agreement.
1.00 Grant
1.01 PRAC hereby grants to the Awardee a sum not to exceed Dollars ($ ) (the
“Grant”) to assist in funding the cost of the Project. The Grant shall be disbursed as
specified in Schedule “A” , the Notice of Grant Award as attached hereto as Schedule
“B” and on the terms and conditions specified herein.
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1.02 Upon the Awardee providing to PRAC, to the attention of the Research and Development
Manager:
(a) a requisition for the portion of the Grant to be paid pursuant to the Notice of Grant
Award and in accordance with the forecasted cash flow target for the fiscal years
as specified in Schedule “A”;
(b) a project status report including an estimate of the percentage completion of the
Project;
(c) a one page summary of the results of the research and the Project to date;
(d) an estimate of the cost of completion of the Project;
(e) such other documents, reports and records, including payroll records and such
other material as may be necessary to support the requisition, as PRAC may
require;
(f) financial report showing funds expended by budget category and confirmation of
all other sources of funding prior to advance of the next instalment.
Subject to approval by PRAC of the documents and material provided, PRAC shall disburse the
portion of the Grant requested or such amount as PRAC deems appropriate.
1.03 A requisition for an advance shall not be made more frequently than semi-monthly in
accordance with the forecasted cash flow target as specified in Schedule “A”.
1.04 Prior to completion of the Project, the total advance and progress payments of the Grant
shall not exceed ninety percent of the total amount of the Grant. Ten percent of the
amount of the Grant shall be held back until the Project is completed to the satisfaction of
PRAC.
1.05 Neither the execution nor delivery of this Agreement nor the advance of a portion of the
Grant shall bind PRAC to make any advance or further advance of the Grant.
1.06 PRAC shall not make any payment of the Grant for work completed after
the date specified in Schedule “A”. Costs incurred in excess of the Grant or total Project
cost shall be borne by the Awardee and shall not be reimbursed by PRAC.
1.07 The Grant herein is not a consideration for supply and the requirements
placed on the Awardee are to maintain accountability. The Grant is deemed not to be
subject to GST/HST. In the event that GST / HST or any taxes are levied with respect to
the Grant, the tax shall be deemed to be included in the amount of the Grant.
2.00 The Project
2.01 The Awardee shall be solely responsible under the supervision and direction of
the “principal investigator” for carrying out and completing the Project.
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PRAC R&D Granting Guidelines and Procedures
2.02 The Awardee shall be responsible for ensuring that the principal investigator receives a
copy of the Grant conditions including the terms of this agreement and any special terms
and conditions or subsequent changes in the Grant conditions.
2.03 The Awardees shall carry out and complete the Project in compliance with its application
for the grant, all of the terms and conditions of this Agreement, the conditions pursuant to
which funding was provided to PRAC, a copy of which conditions shall be provided to
the Awardees, and in compliance with all statutes, rules, laws, regulations and by-laws
which affect the project.
2.04 Unless otherwise specified in Schedule “A” attached hereto, title to equipment,
intellectual property and chattels purchased, fabricated or developed pursuant to the
project shall vest in and belong to the Awardee. Such equipment is considered exempt
property subject to the Awardee ensuring that each purchase of equipment is:
(a) necessary for the research or activity supported by the project;
(b) not otherwise reasonably available and accessible;
(c) of the type normally charged as a direct cost to sponsored agreements;
(d) acquired in accordance with organizational practice.
2.05 The Awardee shall give written notice to PRAC prior to any proposed amendment or
change in the Project, its scope or the issue under study or the objectives of the Project
stated in the application approved by PRAC. The Project or any portion thereof shall not
be changed or amended without the prior written approval of PRAC.
2.06 The Awardee shall give immediate written notice to PRAC of a proposed change in the
principal investigator or in the event the principal investigator intends to:
(i) devote substantially less effort to the work than anticipated in the approved
application (defined as a reduction of twenty-five percent or more in time);
(ii) sever his or her connection with the Awardee; or
(iii) be absent for a continuous period of three months or more or otherwise relinquish
active direction of the project. A change in principal investigator shall require the
prior written consent and approval of PRAC;
2.07 The Awardee shall proceed diligently and use qualified personnel to
perform the work required to carry out and complete the Project. No diversion of key
personnel, equipment or other resources shall be made without the prior written approval
of PRAC.
2.08 The Awardee shall carry out the Project in Atlantic Canada.
2.09 The Awardee shall complete the Project on or before .
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2.10 The Awardee shall not permit the use of services, resources, equipment or chattels
purchased in whole or in part with the Grant for any purpose other than carrying out and
completing the Project until the Project is completed and approved by PRAC, without the
prior written approval of PRAC.
3.00 Project Reporting
3.01 The Awardee shall give PRAC such on site access, documents and material as PRAC
may reasonably request relating to the Project and the review of its progress.
3.02 The Awardee shall complete a project final report and submit it to PRAC within four
weeks after completion of the project as part of the final claim. The report shall be in the
form as attached hereto as Schedule “C”.
3.03 The Awardee shall submit reports as follows:
(a) For standard grants of two or more years and for continuing or incrementally
funded grants a Targeted project report. Unless otherwise specified in the Notice
of Grant or Schedule, Awardees are required to submit Targeted reports (with a
two page summary to include a budget summary and a press release) in electronic
format (Word or PDF – for approval by PRAC). Unless otherwise specified
Targeted project reports shall be submitted one month prior to the anniversary
date of the Notice of Award.
(b) Unless otherwise specified, the Awardee shall submit a final project report as
specified in PRAC’s final report guidelines within four weeks following the date
of completion of the Project. Unless otherwise specified the final report shall be
submitted electronically in Word or PDF formats to PRAC. The report shall
include a one page summary of the results and a press release about the completed
research.
4.00 Publications
The Awardee is responsible for ensuring that an acknowledgement of PRAC support is
made:
(a) in any publication (including World Wide Web pages) of any material based on or
developed pursuant to the Project, in the following terms: “This Project was
undertaken and completed with a Grant and the financial assistance of Petroleum
Research Atlantic Canada”.
(b) Disclaimer. The Awardee is responsible for ensuring that every publication of
material (including World Wide Web pages) based on or developed under this
award, except scientific articles or papers appearing in scientific, technical or
professional journals, contains the following disclaimer:
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“Any opinions, findings, and conclusions or recommendations expressed in this
material are those of the author(s) and do not necessarily reflect the views of
Petroleum Research Atlantic Canada.”
(c) Copies for PRAC. The Awardee is responsible for ensuring that two copies of
every publication of material based on or developed with the assistance of the
Grant are clearly labeled with the Grant number and other appropriate identifying
information, and are sent to the PRAC R&D Manager promptly after publication.
The Awardee shall give PRAC (30) days notice in writing in advance of any event or
press releases to be held in conjunction with the Project.
5.00 Site Visits
5.01 PRAC, through authorized representatives, has the right, at all reasonable times, to make
site visits to review the Project and management control systems and to provide such
technical assistance as may be required. If any site visit is made by PRAC on the
premises of the Awardee or a contractor, the Awardee shall provide and shall require its
contractors to provide all reasonable facilities and assistance for the safety and
convenience of the representatives in the performance of their duties. All site visits and
evaluations shall be performed in such a manner that will not unduly delay the work.
6.00 Suspension or Termination
6.01 PRAC may suspend or terminate the Grant in whole or in part and may require
reimbursement of the portion of the Grant disbursed and reserves the right to repossess
and retain ownership of equipment, intellectual property and chattels funded in any of the
following situations:
(a) if the Awardee has materially failed to comply with the terms and conditions of
the Grant or this Agreement;
(b) for any reasonable cause;
(c) if the Awardee requests termination and gives written notice to PRAC setting
forth the reasons for such action, the effective date, and, in the case of partial
termination, the portion to be terminated or suspended (with the understanding
that if PRAC determines that the unterminated portion will not accomplish the
purposes of the Grant, it may suspend or terminate the entire Grant;
(d) matching funds from other parties are withdrawn from the project.
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6.02 Where practicable PRAC shall not suspend or terminate a Grant until it has provided the
Awardee with notice of any deficiency on its part and given an opportunity to correct it;
6.03 No costs incurred during a suspension period or after the effective date of
a termination will be paid, except those costs which, in the opinion of PRAC, the
Awardee could not reasonably avoid or eliminate, or which were otherwise authorized by
the suspension or termination notice;
6.04 Within 30 days of the termination date, the Awardee shall furnish a summary of progress
of the Project and an itemized accounting of costs incurred prior to the termination date.
PRAC may pay under a termination settlement an amount in accordance with the terms of
the Grant, giving due consideration to the progress of the Project. In no event shall the
total of payments on termination exceed the amount of the Grant, or the pro rata share of
the total project costs where a cost-sharing was anticipated, whichever is less.
7.00 Liability
7.01 The Awardee shall be fully responsible and liable for all actions, accidents, illnesses,
claims or damages arising out of or resulting from work performed on the Project or from
the Project or for unauthorized use of patented or copyrighted materials. The Awardee
shall indemnify and save harmless PRAC from any claims or damages which may arise
or result from work performed on the Project or from the Project.
7.02 The Awardee shall maintain such insurance coverage as may be required to indemnify
and save harmless PRAC from any claim or damage which may arise or result from work
performed on the Project or the Project.
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8.00 Other Conditions
(a) Upon request by a person who has provided funding to PRAC (“funding partner”)
or PRAC, the Awardee shall provide promptly such information, as may
reasonably be requested in elaboration of any report required by a funding
partner.
(b) The Awardee shall permit authorized representatives of the funding partner and or
PRAC representatives reasonable access to work completed to assess the progress
of the Project.
(c) PRAC expects significant findings from research and education activities it
supports to be promptly submitted for publication, with authorship that accurately
reflects the contributions of those involved. It expects investigators to share with
other researchers, at no more than incremental cost and within a reasonable time,
the data, samples, physical collections and other supporting materials created or
gathered in the course of the work on the Project. It also encourages awardees to
share software and inventions or otherwise act to make the innovations they
embody widely useful and usable. Adjustments and, where essential, exceptions
may be allowed to safeguard the rights of individuals and subjects, the validity of
results, or the integrity of collections or to accommodate legitimate interests of
investigators.
(d) The Awardee is responsible for the protection of the rights and welfare of any
human subjects involved in research, development and related activities supported
by the Grant. Research involving human subjects will be awarded after review
and approval by an appropriate Research Ethics Board (REB). Refer to the Tri-
Council Policy Statement on Ethical Conduct for Research Involving Humans
(www.nserc.ca/programs/ethics) for information on REBs.
9.00 General
9.0l Joint and Several Covenants
The Awardee hereby agree and declare that all warranties, covenants and
agreements herein contained and on the part of the Awardee to be observed and
performed shall be joint and several responsibilities in the event that more than
one person constitutes the Awardee.
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9.02 Further Assurances
Each of PRAC and the Awardee hereby covenants with the other to do or omit all
acts, matters and things, and to execute and deliver or sign such documents and
further assurances as may be requisite or desirable for the purpose of carrying out
the terms and intent of this Agreement.
9.03 Survival of Covenants
Each party hereby declares that all covenants, warranties, conditions, terms and
agreements herein contained and on the part of each of them to be observed and
performed shall survive the completion of the Project and shall not terminate on
such completion.
9.04 Entire Agreement
The parties hereby acknowledge and agree that the provisions herein, the
Schedules attached hereto, the application for Grant and all Grant Guidelines and
Conditions shall constitute the Agreement between the parties and references to
the Agreement shall mean all of these.
9.05 Notice
Every notice required to be given by either party to the other hereunder shall be in
writing and shall be addressed to PRAC at:
And to the Awardee at:
or to such other address as either party may by notice to the other signify. Every
notice to be given pursuant to the Agreement may be personally delivered or sent
by pre-paid registered mail or by Fax and, if delivered, shall be deemed to be
given at the time of delivery or, if sent by mail, shall be deemed to have been
given at the expiration of forty-eight (48) hours after a pre-paid envelope
containing the same shall have been placed in the registered mail.
9.06 Enurement
This Agreement shall enure to the benefit of and be binding upon the parties
hereto and their respective heirs, executors, administrators, successors and
permitted assigns.
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9.07 Governing Law
This Agreement shall be governed in all respects by and construed in accordance
with the laws of the Province of .
9.08 Headings
The headings above each article of this Agreement are for convenience only and
shall in no manner affect the meaning of interpretation hereof.
9.09 Gender
This Agreement shall be read with all appropriate changes of number and gender as
the context may require.
IN WITNESS WHEREOF the parties hereto have properly executed These Presents on the day and year
first above written.
SIGNED, SEALED AND DELIVERED )
in the presence of: ) PETROLEUM RESEARCH ATLANTIC
) CANADA
)
) Per: ________________________
)
) Per: ________________________
)
)
)
)
) Per: ________________________
)
) Per: ________________________
)
)
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PRAC R&D Granting Guidelines and Procedures
10.6 PRAC PROJECT AMENDMENT APPROVAL FORM
PRAC Project Title: PRAC Project #
Principal Investigator:
Current Grant Period: To
Requested by: Date of Request
(if other than project director)
Please check one of the following boxes:
Request for Change in Project Duration
Request for Change to Approved Budget
Request for Change in Project Activities
Request for Change in Project Personnel
Request for Other Change
Check the type of change that is being requested and explain why the change(s) is needed in the space provided on
page two of this form.
1. Request for Project Extension
Number of months
Please check on of the following boxes:
1st extension of 12 months or less
1st extension exceeding 12 months
2nd extension
A one-time extension of up to 12 months can be made if additional time is required to complete the original scope of
the project with funds already made available. At least two months before the grant is scheduled to expire, the
PRAC’s Research Manager must be informed in writing of the new expiration date and the reason the grant had to
be extended. A second request or a request to extend the grant for more than twelve months must include a detailed
justification for the extension, an estimate of the unexpended funds and a plan of work for activities that will be
undertaken during the requested extension period.
2. Request for Budget Extension
PRAC President approval is required before a grantee can proceed to make a change in the original budget. The
applicant must apply in writing to PRAC’s Research and Development Manager, Mr. Gary Sonnichsen, requesting
budget modification(s) at least one month in advance of the proposed implementation period. In making such a
request, the grantee should understand that PRAC's authority to approve changes that affect the budget categories of
a project is determined by the Executive Director and will not affect the total funding committed by PRAC.
Transfer of budgeted funds between direct cost categories.
Addition of the following costs that were not included in the original budget approved by PRAC.
Travel,
Equipment purchase(s),
Stipends and travel for attending conferences, symposia, and training,
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PRAC R&D Granting Guidelines and Procedures
Publication and printing costs,
Addition of costs that are specifically disallowed by the terms and conditions of the grant award,
Other.
3. Change in Project Activities that Affect Scope
Written PRAC approval is needed before a grantee may make a change in project activities that affects in any way
the purpose of the grant, the subject matter, the treatment of the subject matter, the volume of material that is to be
treated/studied, or the outcomes that are expected to result from grant activities. In making such a request, the
grantee should understand that PRAC's authority to approve changes that affect the scope of a project is determined
by the Executive Director and for projects requiring a change in scope greater than $50,000 the decision will be
made by the Executive Committee. (Explain in detail why a change in project activities is necessary and what
change is proposed).
4. Change in Project Personnel that Affect Scope
The replacement of the project lead, the co-lead, or other project personnel whose replacement is restricted in the
grant award or a substantial reduction in the level of their effort (e.g., their unanticipated absence for more than three
months, or a twenty-five percent reduction in the time devoted to the project) requires prior written approval from
PRAC. (Evidence of the qualifications of replacement personnel must be provided).
5. Other Change
Explanation/justification of requested changes
Requested Changes
Approved Not Approved
(signature) (title) (date)
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PRAC R&D Granting Guidelines and Procedures
Interim Report Guidelines
Introduction
Petroleum Research Atlantic Canada requires interim reports for three main reasons:
1. Accountability: The project leader is accountable to PRAC and its membership which includes industry,
government, and academia. The project leader at all times must be able to demonstrate that the R&D is being
carried out with due diligence. The interim report should be of sufficient quality that the R&D could be
repeated by PRAC staff using the report as guidance since PRAC’s members are continually looking for a
return on their investment from the projects funded.
2. Awareness and Access: Excerpts of Interim Reports will be lodged into PRAC’s research and development
database. The purpose of logging excerpts into the database is to allow Researchers to learn about R&D efforts
by searching the site. This can potentially avoid the replication of R&D by others and can also be used as a
forum for others to understand the expertise that is available with which to joint venture or align with for
further related research.
3. Implementation of Research Outcomes: One of the major goals of PRAC is to disseminate research results
with the objective of tangible research outcomes being adopted. All reports will be presented formally to
PRAC in a research forum setting to allow PRAC members to obtain the full details of the research. Please note
Interim Reports should not be seen as the sole vehicle for communication to industry.
In order to satisfy the three requirements above, Interim Reports should be produced within the following
guidelines:
Substantiation
Please note interim reports are available documents to PRAC members upon request. It is important that project
leaders and those involved in the preparation of interim reports and, all material contained and experiments referred
to in interim reports, should be aware of the following:
A third party may rely on results and descriptions contained in Interim Reports.
Confidentiality
Interim reports are not intended to be of confidential nature. If special circumstances arise interim reports that
contain confidential information should be clearly marked CONFIDENTIAL on the front cover.
This status must be agreed by the PRAC Research and Development Manager prior to submission. Under, the
PRAC Research and Development Guidelines PRAC will require an additional (not confidential) version of the
interim report for potential release to its membership upon request.
Due Dates
Interim Reports are due on the date agreed in the PRAC Research and Development Guidelines. Usually one year
after the first installment of PRAC funds were released.
Project Leaders with overdue interim reports will not have new proposals for R&D funding considered until the
Interim Report is received and accepted by PRAC.
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PRAC will provide written acknowledgment to the person submitting the report. The Research Associate and
Research Manager will review the Interim Report on receipt to ensure that it is of sufficient quality to be accepted.
In the event that the Interim Report is not acceptable to PRAC, the Project Leader will be asked to resubmit the
Report. Funds will be withheld until the Report is accepted.
What to Do With a Completed Report
E-mail the Interim Report with project number and “Interim Report” in the subject line to
Jennifer matthews@pr-ac.ca
Specific Requirements of the PRAC Interim Report
Style
All Interim Reports must be submitted in portrait format, set across a single column, on single sided pages.
Elaborate typefaces should be avoided, and PRAC recommends that Times New Roman at 10/12 point, with single
spacing, is used for the body text with headings set at 14-16 point bold.
The interim report should not exceed 10 pages.
Sections
The Interim Report should contain the following sections:
- Front Cover
- Summary
- Scientific Objectives
- Summary of Project Progress
- Technology Transfer
- Publications
- Funding
- PRAC expenditures by calendar year
- Employment Summary
Front Cover
The following information should be included on the front cover:
Petroleum Research Atlantic Canada project number (with completion date of project in brackets);
Project Title;
Project start date, and duration; and
The period of time covered by the report and the date of submission.
Summary
The summary should provide historical background to the project, why it was undertaken, its significance for
industry and academia and the aims of the project. The summary should also contain the following:
Briefly describe the science undertaken over the last year; and
Highlight major research findings and outcomes applicable to both industry and academia.
As a guide, the introduction should normally be one page or less.
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Scientific Objectives
State the objectives as they appeared in the original application, or as otherwise approved. Also provide an outline
of what is proposed to be done in the next term of support and what is expected to be accomplished.
Note: If either the objectives or approach changed, this must be clearly described with the reasons for such change.
In case of a major change, the revised proposal (as approved by the PRAC R&D Manager) must accompany
the report.
Summary of Project Progress
Provide a summary of progress made to date towards achieving the project objectives. Briefly describe how project
research has refined or advanced the state-of-knowledge expanding upon what you have described in the project
summary above. The summary of project progress section should be no more than 750 words or a single page in
length.
Technology Transfer
This section of the report should indicate the activities undertaken to ensure adoption of the R&D, throughout the
life of the project and what is planned for the future.
Provide recommendations to industry, the research
community, and PRAC on what is required to advance the area of research you are currently engaged in;
Indicate contribution to new technology and any future work suggested;
Describe joint projects that you are involved in with academic, government, and industry groups that is directly
related to this project, and
Describe any new products or services developed.
In this section also include a brief description of events/meetings attended. Related papers or articles should be
included as an appendix. Also list (conferences and other professional meetings) include those attended throughout
the duration of the project.
Publications
List published, accepted, and submitted papers including research publications in peer-reviewed journals.
Funding
Please report on other sources of financing including cash and in-kind that has been secured and is not contained in
your original PRAC proposal.
PRAC Expenditures By Calendar Year
Provide a reconciliation of the funding expended in your project against the funding you applied for.
Please use your initial application budget as a guide to filling in your reconciliation form. Using the same
breakdown will allow us to compare the proposed and actual expenditure more easily.
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The following is an example only:
Funding Approved by Actual
Budget
PRAC Year 1 Expenditure
Saleries 28,000.00 25,000.00
Benefits 5,000.00 3,000.00
Equipment 15,000.00 13,000.00
Travel 1,000.00 1,000.00
Cost of workshop preparation 1,000.00 800.00
Total 50,000.00 42,800.00
Total Funds Disbursed from PRAC 50,000.00 Total Expended 42,800.00
,000 at beginning of project therefore I need to account for $7,200 prior to requesting a further advance.
Request to PRAC that $7,200 be carried over
Employment Summary
Prepare a table outlining the employment created by the project. Please include: The name, position, and work
months associated with the position.
Name Position Student Graduate, Full or Scientific Work Months
(Yes or No) Undergrad, Part time contributions associated
or Ph.D made to the with the
research position
group
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Final Report Guidelines
Introduction
Petroleum Research Atlantic Canada requires final reports for three main reasons:
4. Accountability: The project leader is accountable to PRAC and its membership which includes industry,
government, and academia. The project leader at all times must be able to demonstrate that the R&D is being
carried out with due diligence. The final report should be of sufficient quality that the R&D could be repeated
by PRAC staff using the report as guidance since PRAC’s members are continually looking for a return on their
investment from the projects funded.
5. Awareness and Access: Excerpts of final reports will be lodged in the research and development database.
You may access the database online at Internet at http://www.energyresearch.ca/. The purpose of logging
excerpts into the database is to allow Researchers to learn about R&D efforts by searching the site. This can
potentially avoid the replication of R&D by others and can also be used as a forum for others to understand the
expertise that is available which could possibly lead to joint ventures or alignment related researchers.
6. Implementation of Research Outcomes: One of the major goals of PRAC is to disseminate research results
with the objective of tangible research outcomes being adopted by the time a final report is written. All reports
will be presented formally to PRAC in a research forum setting to allow PRAC members to obtain the full
details of the research. Please note: final reports should not be seen as the sole vehicle for communication to
industry.
In order to satisfy the three requirements above, final reports should be produced within the following guidelines:
Planning
It is important to allocate for the cost of producing final reports in the final year budget of your PRAC project.
PRAC encourages early planning and collating to develop the information that PRAC expects in a final report.
Remember as the research leader you are responsible for delivering the final report to fulfill the project contract
within 30 days of the project completion date as outlined in your PRAC “Grant Agreement.”
Substantiation
Please note final reports are available documents to PRAC members upon request. It is important that project
leaders and those involved in the preparation of final reports and, all material contained and experiments referred to
in final reports, should be aware of the following:
A third party may rely on results and descriptions contained in final reports.
They may be in a position to substantiate all facts, matters, statements and descriptions contained in final
reports, especially subjective comments and analysis made or referred to in them.
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Confidentiality
Final reports that are confidential in nature should be clearly marked as such on the front cover.
This status must be agreed by PRAC’s Director - Research and Development prior to submission. Under, the PRAC
Research and Development Guidelines PRAC will require an additional (not confidential) version of the final report
for potential release to its membership upon request.
Due Dates
Final Reports are due on the date agreed in the PRAC “Grant Agreement.”
Project Leaders with overdue Final Reports will not have new proposals for R&D funding considered until the Final
Report is received and accepted by PRAC.
PRAC will provide written acknowledgment to the person submitting the report. The Director - Research and
Development will review the Final Report on receipt to ensure that it is of sufficient quality to be accepted. Once
the Final Report is accepted, the 10% holdback will be released.
In the event that the Final Report is not acceptable to PRAC, the Project Leader will be asked to resubmit the
Report. Funds will be withheld until the Report is accepted.
What To Do With A Completed Report
PRAC requires one printed copy of the final report. You must also supply the document on computer disk to
PRAC. Alternatively, email the final report with project number and “final report” in the subject line to
Jennifer.matthews@pr-ac.ca
Final Reports should be sent to:
Attn: Director - Research and Development
Petroleum Research Atlantic Canada
1321 Edward Street
Halifax, N.S.
Specific Requirements of the PRAC Final Report
Style
All final reports must be submitted in portrait format, set across a single column, on single sided pages. Elaborate
typefaces should be avoided, and PRAC recommends that Times New Roman at 10/12 point, with single spacing, is
used for the body text with headings set at 14-16 point bold.
All reports must include a contents page (which should be counted as page 1) with subsequent page numbers
centered at the bottom of each page. The report must be in MS Word or PDF file format. The report should not
exceed 15 pages in length excluding appendices.
Footnotes, bibliographies and indexes are also encouraged where appropriate.
Do not only rely on automatic spellcheckers in word processing programs.
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PRAC R&D Granting Guidelines and Procedures
Photographs/Graphics
The use of photographs and graphics are encouraged, but only when they serve to illustrate a point. If a number of
photographs are essential to tell the story, it may be worth considering producing a separate document as an
appendix to the final report.
Sections
A final report should contain the following sections:
- Front Cover
- Release Statement
- Title Page
- Table of Contents
- Media Summary / Abstract
- Technical Summary
- Introduction
- Objectives
- Results
- Discussion
- Technology Transfer
- Recommendations
- Networking
- Publications
- Funding
- Budget Reconciliation
- Employment Generated
Front Cover
The following information should be included on the front cover:
Petroleum Research Atlantic Canada project number (with completion date of project in brackets);
Project Title;
Focus area of the research project;
Project start date, and duration;
The type of report (interim or final);
The period of time covered by the report and the date of submission;
The names, affiliations, and signatures of all Principal Investigators.
Release Statement
The release statement shall be printed on the reverse side of the front cover. It must include the following
information (a sample is included):
Sample Collaborating Release Page
Project Title Hydrocarbon Formations found in the Horton Group
Principle Investigator John Doe
University N/A
Company Innovative Research Inc.
Collaborator(s) Johnson Engineering
Collaborating Company John Coe, VP
Representative(s)
As authorized representative of the collaborating entity, I have reviewed this report and approve it for release to
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Petroleum Research Atlantic Canada.
Signature Date
The Project Manager and Lead Principal Investigators are required to acknowledge that the document is a true and
correct report on the project.
Title Page
The following information should be provided on the first page of the report:
Petroleum Research Atlantic Canada’s Project Number and Project Title;
Project leader’s name and contact details and a list of other key personnel and collaborating institutions;
Brief statement about the purpose of the report;
Acknowledgment of all funding sources, using logos where appropriate;
Date of the report.
Table of Contents
The Table of Contents page should be numbered with small Roman numerals (i)
Page numbering with Arabic numbers (1, 2, 3, etc.) should begin with the body of the report.
Acknowledgements
Media Summary/Abstract
The target audiences for the media summary are oil and gas exploration, production, and service companies as well
as government and academia from around the world. The media summary will be used to communicate the
adoptable outcomes of the project to industry and should describe the project “in a nutshell”. PRAC will use the
media summary to report to industry through a variety of channels, its Internet site, for media purposes and in
research reports and other publications. The media summary is the “front” of the report and should be able to stand-
alone. It important to highlight actual and potential public and industry benefits from the R&D in this section.
The Media Summary should be written in plain English for a general readership. It should be reader-friendly
and, above all, brief and to the point.
Try to keep sentences and paragraphs short and use active and direct words and phrases.
Write the media summary expecting that the reader has no knowledge of this R&D. It is useful to ask an
independent person to read the media summary and provide honest feedback.
The key components of the project;
Why is the project significant to the Atlantic Canadian Oil and Gas industry;
Key outcomes;
Clear conclusions;
Recommendations for future R&D;
Recommendations for practical application to industry.
The Media Summary should be no more than 350 words or half a single page in length.
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Technical Summary
The Technical Summary should include the following:
Indicate the nature of the research;
Briefly describe the science undertaken;
Highlight major research findings and outcomes applicable to both industry and academia;
Provide recommendations to industry, the research community and PRAC on what is required to advance the
area of research you are currently engaged in;
Indicate contribution to new technology and any future work suggested.
The Technical Summary should be no more than 750 words or a single page in length.
Introduction
The introduction should provide historical background to the project, why it was undertaken, its significance for
industry and academia and the aims of the project. The introduction should also contain implications for industry of
the R&D and indicate the likely impact of the results. As a guide, the introduction should normally be two pages or
less.
Objectives
State the objectives as they appeared in the original application, or as otherwise approved;
Highlight any changes to the original objectives.
Note: If either the objectives or approach changed, this must be clearly described with the reasons for such change.
In case of a major change, the revised proposal (as approved by the PRAC R&D Manager) must accompany
the report.
Results
Detail results for each logical component of the project with an accompanying discussion section.
Any statistical analysis should be presented in this section. The Results should include key information only. If
large amounts of data need to be included to demonstrate a point, graphs or tables should be used.
Discussion
Discussion of the results should include an analysis of research outcomes compared with the initial project
outcomes and objectives. This is particularly important from an accountability perspective. Please keep the
discussion as concise as possible to enhance readability.
Include information on the following:
The extent to which the project achieved its objectives;
New products, services, markets, policies, developed;
New JIP’s between academic, government and industry groups;
Interactions (# and type) between researcher and receptors for research design/conduct/dissemination;
Research publications in peer-reviewed journals, trade journals, petroleum conference proceedings;
(include information on titles, name of journal/book, magazines/conference)
Collaborations between researchers/researchers and researchers/companies;
Measurable increases in research capacity, including new people, new skills or new tools;
Amount and types of leveraged support provided and/or attributed to the project;
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Number of students engaged and exposed to industry practices and needs;
Interactions and exchange between local researchers and international organizations/researchers;
Funds and support provided by other research organizations;
Highlight of the novelty of the research;
Lessons learned;
Indicate whether further research is required;
Application of the research (main beneficiaries);
Number of patents registered.
Spin-off companies (name of company, date of establishment, directors’ names).
Intellectual Property (elaborate on issues of ownership/ consortium agreements etc)
Summarize any Master and PhD student participation in the project. Indicate any further involvement of the
students in the project. Include student names in summary.
Fill out the following table with Yes or No answers
Stakeholders have been made aware of research results and Yes/No
the practical follow-on applications
There is improved interaction between researcher and Yes/No
stakeholders, for research design, conduct and
dissemination
This research enhances the level/quality of interaction Yes/No
between researchers/companies/industry
The research develops enhanced technical facilities and Yes/No
capabilities for future investment/activity
The project develops or locates new sources and kinds of Yes/No
leveraged support
The research team benefits from exposure to industry Yes/No
practices and needs
The research increases regional collaboration with Yes/No
international activities or groups
Technology Transfer
This section of the report should indicate the activities undertaken to ensure adoption of the R&D, throughout the
life of the project and what is planned for the future. A brief description of events/meetings attended and related
papers or articles should be included as an appendix.
Recommendations
Recommendations should relate to the key outcomes of the project. Recommendations should also be made on the
need for further research and industry/academic activities that may be undertaken to enhance adoption of the
outcomes of this project.
Final Reports for projects involving the uptake of technology will include monitoring and evaluation by PRAC for a
period of up to 24 months. The reason that PRAC continually seeks evaluation of projects is in part due to
accountability, but more importantly, to ensure that the industry is aware of potential applications.
Networking
List (conferences and other professional meetings)
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PRAC R&D Granting Guidelines and Procedures
- include those attended throughout the duration of the project
Publications
List published, accepted and submitted papers.
Funding
Please report other proposals (title, funding source, and amount) related to the PRAC project (a) under preparation;
(b) under review; (c) submitted and declined for funding; and (d) submitted and awarded.
Budget Reconciliation:
Provide a reconciliation of the funding expended in your project against the funding you applied for.
Please use your initial application budget as a guide to filling in your reconciliation form. Using the same
breakdown will allow us to compare the proposed and actual expenditure more easily.
The following is an example only:
Funding Requested Actual
Budget
from PRAC Expenditure
Saleries 1,000.00 1,000.00
Equipment 400.00 200.00
Travel 1,000.00 1,000.00
Cost of workshop preparation 1,000.00 800.00
Final report preparation
Total 3,400.00 3,000.00
Add 10 % GST 340.00 300.00
Total Funds Requested from PRAC 3,740.00 Total Expended 3,300.00
Amount Due to PRAC 440.00
Less Holdback 374.00
Remitted to PRAC 66.00
Employment Generated
Prepare a table outlining the employment generated by the project. Please include:
- Number of full-time staff employed and person hours of work generated
- Number of part-time staff employed and person hours of work generated
- Number of students employed and person hours of work generated.
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PRAC R&D Granting Guidelines and Procedures
Feedback to PRAC
- Summarize any comments on PRAC’s administrative procedures. Positive and negative criticism is welcome.
- Indicate whether you will be applying for future funding assistance is required from the organization
Conclusion
Appendices
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11 Proposal Evaluation Committees (PECs)
11.1.1 Proposal Evaluation Committees
PRAC’s research and development activities fall into five broad categories – hydrocarbon resource evaluation,
environmental impacts and effects, operations and technologies, policy/socio-economics, and human resources.
Once submitted proposals have been accepted by PRAC research staff as appropriate and eligible for PRAC
funding, technical screening of proposals is conducted by the five Proposal Evaluation Committees (PECs)-
Environment, Hydrocarbon, Operations and Technology, Policy and Socioeconomics, Human Resources. Each PEC
committee has between eleven (11) and thirteen (13) members, drawn from a broad cross-section of organizations,
and who have particular knowledge and experience in the topic areas.
Membership is balanced among industry, government and the academic community. Becoming a member of a PEC
is not exclusive to PRAC member organizations and is based on the knowledge of qualified individuals. PEC
Committee members are required to read and sign off on PRAC’s confidentiality agreement guidelines “Section
11.2 Conflict of Interest Guidelines” All PEC members are required to serve a one year term commencing April 1.
At the discretion of the Research and Development Manager, members who do not participate in two consecutive
PEC meetings may be approached to confirm their or their employer’s ability to participate in a meaningful way. If
members are unable to participate fully or provide sufficient input, they can be removed from the PEC Committee
structure. Any PEC or RSC member who releases confidential material in their possession related to PRAC
proposals will be immediately dismissed from the committee.
11.1.1.1 Hydrocarbon
Hydrocarbon resource evaluation covers the general area of hydrocarbon resource assessment including regional
basin history, resource evaluation and technology for resources assessments.
11.1.1.2 Environment
The second area, environmental impacts and effects, covers two general topics related to offshore development - the
impacts of exploration, development and production activities on the environment, and the quantification of
environmental design loads to deliver safe designs for hydrocarbon exploration and production.
11.1.1.3 Operations and Technology
Operations and technology is a broad area intended to deal with all aspects of hydrocarbon exploration and
development. This research topic includes new, innovative, cost-effective technologies, including those associated
with environmental protection. It also considers new operational approaches and/or technologies that address
improvements to health & safety, economics, and that reduce environmental impacts, increase efficiencies, and
improve business practices.
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11.1.1.4 Policy and Socio-economic factors
The policy committee considers research that relates to local, provincial, federal, and international policy issues
associated with hydrocarbon development in Atlantic Canada. The issues under this research area include socio-
economic impacts and benefits, rights issuance processes, environmental assessments, and harmonization of policies
and regulations.
11.1.1.5 Human Resources
PRAC clearly recognizes that it is the responsibility of universities, colleges and other institutions to develop and
deliver specific programs and courses aimed at the oil and gas industry’s needs. PRAC does not undertake delivery
of education and training programs or overlap the well defined responsibilities of the educational institutions.
The Human Resources PEC will consider research topics that will:
Improve the level of coordination and cooperation between industry, academia and governments related to
human resources planning by promoting and facilitating dialogue amongst the various interest groups.
Increase the understanding of regional issues affecting oil and gas education and training to enable more
informed and effective planning.
Enhance the breadth, comprehensiveness and quality of information available to individuals to enable them to
make more informed career choices with respect to opportunities in the offshore oil and gas industry.
11.1.2 PEC Review Process
The purpose of the PEC’s is to review research proposals that are received through requests for proposals. The
committee meets no less than twice per year to review and make recommendations for funding on proposals based
on committee consensus and external review feedback. Note: When proposals are considered mature by the PEC,
they are sent for external peer review and then referred back to the PEC Chair and lead reviewer from one of the five
committees for recommendation on funding prior to proceeding to the Research Selection Committee.
PEC committee meetings currently alternate between Newfoundland and Halifax, but other Atlantic centres will be
used as appropriate. The meeting location, date and format (in person, teleconference or video conference) are
usually set by consensus to be as efficient and convenient as possible.
One month prior to the PEC meeting that PEC members are sent an agenda, a set of previous minutes, and are
assigned a proposal to lead the discussion during the meeting. The Research Associate is responsible for assigning
each file received to the appropriate PEC under the direction of the R&D Manager. All proposals are placed on a
password protected area of PRAC’s website where PEC members download the documents prior to the meeting.
Hard copies of the proposals can be sent to members upon request. PEC members who have questions pertaining to
the application that cannot be addressed by PRAC’s R&D Manager or Research Associate may request that the
R&D Manager contact the applicant with appropriate questions they would like addressed to prior to the meeting.
PEC members should not contact applicants directly without the authorization of PRAC’s R&D Manager.
Two weeks prior to the PEC meeting a reminder is sent to members and a final notice is sent one week prior to the
meeting. Teleconferencing, meeting room, and catering for the PEC’s is handled by the Research Associate.
The day of the PEC meeting, members review the previous minutes and are invited to bring forward updates prior
to proposal review. During the review phase each member who has been assigned a proposal proceeds to give an
overview on the proposal and their insight into the subject matter presented. The floor is then open for discussion
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PRAC R&D Granting Guidelines and Procedures
facilitated by the PEC Chair. The Research Associate is responsible for transcribing minutes during the review
process.
The PEC evaluates the proposal on scientific content, strategic value, proposal quality, and quality and character of
its leverage and partnerships.
The main focus of the PEC is to determine if the proposal is of strategic priority and whether it should then go
forward for external review. The PEC may reject, forward to external review, or ask for revisions as appropriate.
Often additional researchers or users of the research can be suggested through the broad range of expertise resident
within a PEC.
The week after the PEC meeting, the Research Associate is responsible for completing a set of minutes for the
meeting that are sent to the PEC Chair for approval and are then forwarded to the PEC members. A copy of the
minutes is placed on the committee documents section of the website for one month
In the two weeks after the PEC meeting, the Research Associate drafts letters to the applicants notifying them on
the status of their proposal. All letters are sent to the PEC Chair for approval prior to being sent out to the applicant.
Once the PEC Chairs have approved the letters they are sent to the applicants via mail and e-mail to ensure receipt.
If the PEC asks the applicant to address points raised by the Committee the applicant must address the questions and
respond within the timeframe outlined in the letter. The applicant’s proposal will not go back to the PEC until the
questions posed in the letter are adequately addressed. If more than six months passes the applicant will be sent a file
closer letter, if the applicant does not sign the letter and respond within 14 working days the PRAC file will be
closed and removed from the proposal review queue.
Proposals that address the request for modifications in the required timeframe will be forwarded to the appropriate
PEC Chair and lead reviewer for final comment. Once the revisions are approved by the PEC Chair and lead
reviewer, the PEC will convene by teleconference or e-mail to either reject the proposal or recommend forwarding
for review. External reviewers are chosen by PEC members and can be identified using PRAC’s external reviewer
contact database. Note: External reviewer comments are not made available to the applicant until after the RSC
recommendations are before PRAC’s Executive Committee. Applicants may request copies of the external reviews
once the RSC process is completed.
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11.1.3 Technical Ranking of Targeted Call Research Proposals
PROPOSAL EVALUATION COMMITTEE
√ Checklist
Proposal #______________
General
1. Preliminary or Full (P/F) ____________
2. Consistent with one or more PRAC research themes ____________
3. Appropriate funding potential maximized from other sources ____________
4. Technically sound ____________
5. Pertinent to issues in Atlantic Canada ____________
6. Includes collaboration with other research teams ____________
Particulars
Does the proposal:
a) show some level of innovation ____________
b) improve cost-effectiveness/economics ____________
c) improve environmental protection ____________
d) new operational approach/technology ____________
e) improve business practices ____________
f) enhance efficiencies ____________
Should this proposal be reviewed by another PEC ____________
If so, which one? ____________
Comments:
___________________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
Recommendation:
Needs further development ____________
Ready for external review ____________
Not appropriate
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PRAC R&D Granting Guidelines and Procedures
11.1.4 Technical Ranking of Targeted Call Research Proposals
Proposal Ranking Criteria Weight Score
Strength and quality of research approach 40
Does the project identify a challenge relative to Atlantic Canada oil & gas 20
community
Is the challenge significant (on priority list) 20
Will results improve competitiveness of Atlantic Canada industry 20
Are there clear, distinct and measurable deliverables 20
Are deliverables achievable 20
Are project management controls in place 20
Does research team have the expertise 20
Will results reduce environmental risk 10
Will results reduce human risk 10
Have receptors been identified 10
Are receptors engaged in the project 10
Have stakeholders been identified 10
Is there a plan to transfer knowledge/product to stakeholders. 10
Is new knowledge, local expertise being developed 10
Is project manager qualified and not overloaded 10
Is project duration reasonable 10
Is there collaboration between researcher and industry, or other researchers 10
Does research team have proper equipment to perform project 10
Have contingency plans been thought out, incorporated 10
Total 300
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PRAC R&D Granting Guidelines and Procedures
11.2 PEC Conflict of Interest Guidelines
1. Chairs of the PECs will ensure that:
a) Proponents are not present during any discussion of his or her proposal;
b) PEC members declare in the meeting (or in any correspondence) any institutional affiliation (including
R&D that would directly benefit their institution) with a proposal under discussion
2. PECs are consensus-based committees, but in the event of a vote on any decision related to a proposal,
proponents cannot vote. Minutes must identify any member who has an institutional conflict of interest in
the result of the vote.
3. Members of PECs can collectively or individually develop proposals, proposal ideas, or recommend
specific projects for funding by PRAC.
a) Proposals developed by members must follow the Guideline 1.
b) In the event that proposal ideas result in the submission of a proposal(s) to PRAC and the Member(s) is
not a proponent, the Member(s) must follow Guideline 2;
c) If the PEC recommends that specific projects be undertaken by PRAC through a limited request for
proposal (RFP), Members are permitted to respond to the RFP. If Members respond to the RFP,
PRAC will not include these Members in the review process of the responses to the RFP.
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11.3 Research Selection Committee/ Proposal Evaluation Committee
Confidentiality agreement
I understand that confidentiality in my work as a Proposal Evaluation Committee (“PEC”) or Research Selection
Committee (“RSC”) member is crucial to maintaining the integrity of the Petroleum Research Atlantic Canada
(“PRAC”) research selection process. As a PEC or RSC member, I will have access to documents containing
personal information relating to each proposal.
I agree that I shall not violate the confidentiality interests of proponents and of PRAC. The documentation I am
provided with must be used only for the purpose for which it was originally collected, i.e., assessing research
proposals submitted to PRAC (RSC and PECs) and making funding recommendations (RSC only). It must not be
used for any other purpose, discussed with others, or disclosed to external parties.
I understand that PRAC documents in my possession must be stored in a secure manner to prevent unauthorized
access. Information regarding these documents (and the documents themselves) must be transmitted using secure
techniques and when no longer required they should be destroyed by deleting electronic files and by shredding or
burning paper files.
Evaluation deliberations are confidential. Comments made by individual committee members during the proposal
assessment and the conclusions of the committee’s review must never be discussed or disclosed except where the
disclosure is:
1. At the request of PRAC
2. Required under legal compulsion, such as by order of a court or tribunal
By signing this agreement I consent to following its guiding principles; acknowledge reading its provisions; and
agree to take personal responsibility for my actions. I also acknowledge that I have read PRAC’s Conflict of Interest
Guidelines. I understand that any violation of this agreement, the Conflict of Interest Guidelines, or of
confidentiality in general may be cause for disciplinary action and my removal from the PEC or RSC.
If I have any questions about this agreement, or the Conflict of Interest Guidelines, I understand that I am free to
consult with PRAC.
____________________________ ____________________________
Name (Please print) Signature
____________________________
Date
Please return this form to: PRAC, 1321 Edward St, Halifax NS B3H 3H5 .
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