Annex A: Arctic Research Infrastructure Fund Guidelines

1.  Introduction

On January 27, 2009, Budget 2009 announced new funding for INAC to invest in maintaining or upgrading key existing Arctic research facilities. Budget 2009 stated that funds will be allocated on a competitive basis to projects that can be completed by March 31, 2011, with a view to providing a near-term economic stimulus while building a strong foundation for Arctic research capacity that supports government priorities. This announcement supports the commitments of the federal science and technology strategy to promote world class excellence in research, and leverage our research strengths to achieve economic and social advantage. It represents a key deliverable for the Government of Canada's Northern Strategy.  In particular, it supports the commitment and planning to build a world-class High Arctic research station, which will lever existing infrastructure by serving as the hub for scientific activity in Canada's vast and diverse Arctic region.  This investment provides the opportunity to ensure that a robust network of infrastructure is in place when the station opens. 

The Arctic Research Infrastructure Fund responds to recent reports from the Canadian Polar Commission (CPC) and the Natural Sciences and Engineering Research Council (NSERC) on the state of Canada's northern research infrastructure.  Both of these reports highlight the need for basic maintenance and upgrades of existing facilities to maintain the integrity of Canada's current capacity to support research in the North.  The ownership and operations of these facilities are undertaken by various levels of government including federal, territorial, and regional, as well as by universities, private sector, and not-for-profit organizations.

Currently, science and technology in Canada's Arctic is supported by a collage of cabins, stations, and ships located across Canada's 3.5 million km2 North. Many of these facilities are nearing the end of their natural life span and require major refits and upgrades in order to meet health and safety codes, reduce energy consumption, and adapt to current science and technology needs. In recognition of these needs, the Arctic Research Infrastructure Fund will support projects that extend the service of existing facilities, reduce their operating costs and environmental footprint, accommodate new S&T needs through renovations and upgrades, and replace what cannot be salvaged.

2.  Objectives

The overall objective of the Arctic Research Infrastructure Fund is to improve the network of science and technology (S&T) facilities that support Arctic research and deliver benefits to Northerners and Canadians through:

• Support for science and technology excellence: facilities that respond to modern science and technology infrastructure requirements;
• Science and technology solutions for Northerners and Canadians: facilities that develop, adapt, or apply science or technologies for the North in order to increase economic activity, strengthen environmental stewardship, and enhance quality of life; and,
• Economic stimulus: facilities that create employment during both the construction phase and subsequently in the operation of the improved facilities.

3.  Arctic Research Infrastructure Fund Parameters

The Arctic Research Infrastructure Fund will be completed within a two-year period. Proposals will be assessed against a suite of eligibility criteria, with an emphasis on an ability to demonstrate readiness to commence activities quickly and to complete the proposed activities within the two-year period.

Support will only be provided for Canadian facilities supporting Arctic science and technology that are within Canada's North. For the purposes of this Fund, Canada's North is defined as the land and ocean based territory that lies north of the southern limit of discontinuous permafrost from northern British Columbia to northern Labrador.

Please note: If you require assistance or guidance regarding whether your proposed infrastructure fits within this definition you may contact dpsa-aspd@ainc-inac.gc.ca or
819-934-9974.

3.1 Improving Existing Facilities Supporting Arctic S&T

The aim of the Arctic Research Infrastructure Fund is to fund activities that will improve existing infrastructure that supports Arctic science and technology and help to ensure its continued availability for use. Activities must focus on renovations and upgrades to improve the facility or structural changes meant to better support research needs and could comprise activities and costs associated with:

• Renovations to address:
  • Wear and tear
  • Energy efficiency
  • Health and safety
  • Climate change (e.g. shoring to address heaving due to permafrost melting)
  • Conservation of resources (e.g. water)
  • Environmental management  (e.g. treatment of waste, removal and clean up of facility/section being torn down)
  
  
• Upgrades to address:
  • New and/or changing science and technology needs
  • Infrastructure requirements related to logistics (e.g. storage space)

Renovation projects should increase the lifespan of the facility; reduce maintenance and energy costs; address health and safety issues; improve service delivery; and/or decrease the environmental footprint of the facility. Structural changes to the facility such as expansions or interior design modifications should support research excellence.

Where possible, these renovations and upgrades should use local labour and result in facilities that are more energy and water efficient and utilize greener technologies.

4.  Mandatory Eligibility

Eligible recipients must meet all three of the following mandatory requirements:

• Canadian-owned organization;
• A government, academic, or not-for-profit organization; and,
• Existing facility supporting Arctic science and technology, that addresses a demonstrable Arctic science and technology infrastructure need, located in Canada's North (see Section 3 for a definition of Canada's North).

5. Responsibilities of The Recipients

Recipients will demonstrate clearly how they will:

• Implement the guidelines as outlined;
• Be accountable for the development and implementation of all the activities included within their proposal;
• Fund or obtain separate funding for the operations and maintenance of the facility.; and,
• Preparation of regular reports.

6.  Proposal assessment criteria

All proposals will be assessed using the following criteria (listed in the order of importance):

IMPLEMENTATION ACTIVITIES: The overall level of readiness to initiate the proposed project and the capacity to complete the project by March 2011.

MEETING OBJECTIVES: The degree to which the proposal meets the Arctic Research Infrastructure Fund objectives as outlined in Section 2.

FACILITY DEMAND: The degree to which the proposal demonstrates that the facility has a proven track record in supporting Arctic science and technology and that it is well utilized. A clear case that the proposed enhancements to the facility will provide value to one or more defined user groups (e.g. scientists from different disciplines or sectors; Northerners, local residents). Proposals that meet the needs of more than one user group will be considered more favourably.

PROJECT QUALITY: The degree to which the proposal can justify the particular renovation or upgrade proposed in terms of the need(s) it will meet, the scope and scale proposed, and the soundness of the design and engineering.  Conformance to standards such as building codes, health and safety regulations, and environmental requirements should be indicated.

PROJECT MANAGEMENT: The degree to which the proposal demonstrates experience, expertise, and capacity to undertake the proposed activities within two years.  As well as the degree to which the proposal clearly explains how the project will be managed with regards to timelines, human resources, risk, and meeting legislative requirements (e.g. environmental assessments and acquisition of necessary permits for the project).

BUDGET: The degree to which the level of funding requested is clearly explained, justified, reasonable and cost-effective in relation to the objectives. As well as the degree to which the budget is substantiated by quotations and/or estimates.

NORTHERN PARTICIPATION: The extent to which Northern communities and partners have been consulted as well as the degree to which the facility demonstrates good partnership and collaboration with Northern stakeholders.

ASSET CRITERIA: The following are not requirements, but will be considered as assets to a proposal when included: Letters of support from prospective users (e.g. academic institutions, community associations, and government); letters of support indicating the provision of funding to cover ongoing operating expenses relating to the facility; the degree to which the proposed infrastructure will employ green technologies in its build and operation; proposals that will result in the employment of Northerners, engagement of Northerners' professional services, or use of Northern suppliers or Northern firms in carrying out the contracts; the inclusion of space for multidisciplinary activities; and, the proposal's inclusion of sources of direct or in-kind funding to support the project.

PLEASE NOTE: Meeting these criteria does not necessarily guarantee funding from the Arctic Research Infrastructure Fund.

7.  Proposal Submission

The deadline for submitting proposals is Wednesday March 4, 2009 at 23:59 PST. Letters of Support will be accepted up to March 11, 2009 at 23:59 PST.  Due to the tight timelines associated with this fund, no extensions will be granted.  Applicants will be notified of the results of the selection process approximately four weeks after the submission deadline.

For more information on the Arctic Research Infrastructure Fund or if you require assistance or guidance in interpreting the program guidelines, contact: the Arctic Science Policy Directorate by email dpsa-aspd@ainc-inac.gc.ca or by phone at 819-934-9973. 

We request that proposals be submitted by electronic mail to dpsa-aspd@ainc-inac.gc.ca. Applicants are advised that due to server restrictions electronic submissions should not exceed 10 MB at the risk of being filtered out. Proposals may also be submitted on CD by mail to:

Arctic Science Policy Directorate
C/O Floor: 10 15 EDDY
10 Wellington Street
Gatineau, Quebec K1A 0H4

Targeted timelines

Call for proposals launched by INAC	February 2009
Deadline for Submission of project proposals (no extensions will be granted)	Wednesday March 4 2009
Letters of support due (no extensions will be granted)	March 11, 2009
Notification of successful proposals	Early April 2009
Funding agreements prepared	May 2009
Funding transferred	Summer 2009

8. Proposal Selection Process

All proposals will undergo an initial screening for eligibility by INAC. Each proposal then will be evaluated against the proposal assessment criteria (see Section 6) by a National Selection Committee who will make funding recommendations based on the strength of the proposals, the quality of each submission, and the funds available. The Committee will comprise experts in Arctic science and technology, infrastructure, and logistics drawn from stakeholder communities including governments, academia, logistics providers etc.  Final funding decisions are anticipated in early April 2009 and funding will flow to applicants during the summer of 2009.

9.  Project Costs

9.1 Eligible Expenditures

• Salaries, wages and benefits for the people hired specifically to work on the project
  • Benefits should not exceed 20% salary.  Type and amounts of benefits will need to be detailed by the proponent
  • Any wages paid as part of contracts let under the proposal should not be included in this category as these are to be covered under “professional fees”
  • Salaries of any federal employees participating in the proposed project should be provided in-kind

• Construction materials and goods
  • Building supplies such as wood, steel, wire, and concrete
  • Building components such as doors, windows, furnaces, and ducts

• Fixed equipment and furniture
  • Costs for built-in equipment/furniture such as lab benches and fume hoods, walk-in freezers, telecommunications network, cabinetry, and generators

• Mobile or containerized labs
  • Pre-fabricated mobile infrastructure (e.g. mobile or containerized labs) may be eligible under this fund particularly if they comprise a justified component of a larger proposal, although the associated lab equipment is not eligible

• Facility costs related to space rental
  • Rental of space to accommodate equipment and/or research needing to be displaced or stored while construction is taking place (e.g. swing space or storage)

• Professional and construction fees
  • Contracts such as for the design and construction of building renovations and upgrades to be let under the request

• Travel and shipping
  • Travel, accommodation, meals and incidentals directly related to this project can be included. All expenses claimed must be justified and in accordance with the Government of Canada's Treasury Board travel directive  . Details should be supplied about the travel destination, number of travelers, mode of transportation and number of days.  Air travel must be claimed at the lowest rate available and not exceed full economy fare.  Travel cancellation insurance can also be included
  • Cost of shipping (e.g. freight) charges 

• Tear down and site clean-up
  • The costs of demolition, site clean-up, and environmental management required for a renovation that involves the removal of an existing structure or component of an existing structure (e.g. wing, mechanical system such as HVAC)

9.2 Ineligible Expenditures

Expenditures related to:

• Operation and maintenance of the facility;
• Overhead costs;
• Ongoing science and technology activities of the organization;
• Purchase of scientific equipment/instruments related to research, monitoring or observations (e.g. microscopes, telemetric instruments, etc.) that are not built into the structure of the facility;
• Purchase of furniture (e.g. chairs, beds, etc.);
• Purchase of vehicles (e.g. snowmobiles, dinghies);
• Development of a business case and/or market research activities;
• Permits or hook-up charges (e.g. to gain access to municipal water supply);
• Community consultation activities; and/or,
• Purchase or leasing of land.

10.  Funding

To be considered under the Arctic Research Infrastructure Fund, interested organizations must submit a proposal. There is up to $85 million available to be allocated over two fiscal years. The value of any single award per project proposal must be at minimum $500,000 and may not exceed $20 million over two years.  It is anticipated that one to two projects may be funded at the maximum amount. Please be advised that funding will be allocated up to $35 million in 2009/10 and $50 million in 2010/11 fiscal years respectively. Depending on the availability of funding after the first round of funded proposals, subsequent rounds may be issued. INAC is seeking the necessary approvals for this Fund. Should these approvals not be confirmed, applicants should note that the Call for Proposals will be cancelled and no funding will be awarded. If the Call for Proposals is cancelled, proposal preparation costs are the sole responsibility of the applicants and will not be refunded by the Government of Canada. 

11.  Reporting Requirements

Recipients will be required to submit an annual performance report outlining the project's progress by the Government of Canada's fiscal year end (March 31) and a financial report no later than 90 days after the Government of Canada's fiscal year end (March 31) in accordance with the schedule outlined in the funding agreement. Reporting templates and guidelines will be provided at a later date.