Earth System Science Data Analyses

Announcement of Opportunity

Publication date: July 21, 2016

Application deadline: October 5, 2016

1. Introduction

The Canadian Space Agency (CSA) is pleased to announce an opportunity for the Canadian Earth system science community to pursue research investigations that will advance understanding of the Earth's atmosphere and the impacts of the Earth's surface on the atmosphere.

This Announcement of Opportunity (AO) is an initiative under the CSA Class Grant and Contribution (G&C) program and is aimed at funding a number of projects that will carry out scientific investigations using space-based atmospheric observations, possibly in combination with space-based Earth-surface observations. These investigations will help advance understanding of physical and chemical processes of the atmosphere as well as Earth-surface processes that affect atmospheric composition, and stimulate the development of models that capture this understanding. The new knowledge and resulting model advancement will help to improve forecasting and prediction capabilities that contribute to increasing societal resilience to impacts of climate change.

With this AO, the CSA solicits proposals for projects that will use observations from Canadian and complementary foreign space missions. Over the past two decades, Canada has developed the Atmospheric Chemistry Experiment (ACE/SCISAT) satellite, the Measurement of Pollution in the Troposphere (MOPITT) instrument onboard the NASA Terra satellite, the Optical Spectrograph and InfraRed Imaging System (OSIRIS) onboard the Swedish Odin satellite, and has contributed instrument subsystems to the CloudSat satellite. Canada also contributes to the European Space Agency's (ESA's) Earth Observation Program. As such, the Sentinel 3 satellite, the Sentinel 5 Precursor satellite, and the Atmospheric Dynamics Mission (ADM-Aeolus) are targeted to provide complementary data.

In order to maximize the scientific value of the data collected by the Canadian space-based instruments, proposals are required to perform both:

• scientific analyses of the data and
• modeling that is based on these analyses, or seeks to reproduce the observations.

Proposers must demonstrate that the team has the expertise required to carry out both of these activities. Collaboration with government scientists working on environmental predictive models is encouraged.

In addition, this AO is consistent with the terms and conditions of the CSA Class G&C Program to Support Research, Awareness and Learning in Space Science and Technology – Research Component.

Applicants are asked to read the following AO thoroughly before submitting their applications. This AO was prepared to help applicants complete the application process and outlines key elements, including mandatory criteria for eligibility, details on eligible projects, and the selection process. In the event of any discrepancies between this AO and the individual funding agreements governing a project, the latter document(s) will take precedence.

2. AO Objectives

One of the objectives of the CSA's Earth System Science program targeted by this AO is

• To improve understanding of the physical and chemical processes of the Earth's atmosphere, and the effects that the sun and other Earth systems have on the atmosphere.

The program is directed to generate advances in understanding that support the development of more accurate and reliable environmental forecasts as well as informing strategies to adapt to the impacts of climate change. Together, these forecasts and strategies will lead to more informed and resilient Canadian programs and services based in evidence and sound science. The role that the current AO will play in delivering these benefits is illustrated by the figure below.

The primary objectives of this AO are:

• To advance understanding of physical and chemical processes of the atmosphere as well as Earth-surface processes that affect atmospheric composition; and
• To develop or improve analytical and computational models of Earth's atmosphere and its interaction with the Earth's surface.

These objectives are supported by the following secondary objectives:

• To develop synergies using complementary data;
• To calibrate and validate new data from space missions; and
• To stimulate research aligned with national and international priorities.

Taken together, the primary objectives will support the development and application of new space-related knowledge. Both primary objectives will be realized through the use of data acquired by Canadian satellites and instruments. These data are given priority over other eligible data in order to maximize the scientific return of the Canadian instruments. The eligible data and prioritization are described below (Appendix B).

The models may be expressed in either analytical or computational form and may represent all or part of the Earth's atmospheric system or its interaction with Earth's surface. For the purpose of this AO, an analytical model is considered to be a set of mathematical equations that describe a system while a computational model is any model that must run on a computer in order to describe the system. Computational models include physics- or chemistry-based simulation models and parameterized models derived from statistical analyses of data.

Alignment of the research with national and international science priorities serves to increase the impact of the research. The relevant documents are listed in Appendix C.

3. Eligibility Criteria

3.1 Eligible Recipients

To be eligible, recipients must be Canadian universities or post-secondary institutions.

3.2 Eligible Projects

To be eligible, projects must satisfy the following criteria, which are further described in the referenced sections:

• analyzes data being acquired by Canadian satellites, instruments, or sub-systems in space (Appendix B); and
• develops analytical or computational models of the Earth's atmosphere or its interaction with the Earth's surface.

The principal investigators (PIs) leading these projects must:

• hold a PhD obtained from a recognized institution;
• be on the payroll of an eligible recipient; and
• hold a permanent, term, or contract position at the recipient institution for the duration of the funding agreement.

These conditions must be satisfied at the time of application.

All development phases necessary for a project are eligible. Any logical breakdown or combination of these phases can constitute a funded project. However, breaking down a project into numerous phases to obtain more than the maximum grant or contribution is not allowed. Furthermore, even if the maximum funding for one project is not reached, the completion of a funded phase does not automatically guarantee funding of the remaining phases.

See also Section 6.1 on Available Funding and Duration.

3.3 Links to CSA Priorities

To be eligible, projects supported under this AO must contribute to the following CSA priority (from the 2016-17 Report on Plans and Priorities):

Scientific Data Utilization

This Sub-Sub-Program develops the utilization and validates the quality of Canadian and foreign space-based scientific data and derived information that address science questions, such as those related to our understanding of the Earth's climate system and magnetic field (magnetosphere). This Sub-Sub-Program involves the collaboration of Canadian scientists from Government of Canada (GoC) organizations and academia. This Sub-Sub-Program is necessary to broaden the applicability of currently available space scientific data (optimization) or to create new ones (innovation) for GoC organizations and academia, especially in weather forecasts, climate change and space weather.

3.4 Links to the Class G&C Program Objectives

To be eligible, projects supported under this AO must contribute to the achievement of the following objective:

• to support the development of science and technology relevant to the priorities of the CSA (Section 3.3).

4. Applications

4.1 Required Documentation

The application must include the following:

• a completed original application form signed by the duly authorized representative;
• a copy of the proposal;
• letters from the co-investigators (CoIs) acknowledging their roles and responsibilities, as identified in the proposal;
• statements from agency or science team representatives of the Secondary data sources (Appendix B) confirming the added value of the proposed activity and availability of the data starting in 2017;
• letters from providers of any other data that are not openly accessible confirming the availability of the data;
• letters from other funding contributors confirming their contributions, if applicable;
• a copy of the document(s) confirming the legal name of the applicant;
• a completed Declaration on Confidentiality, Access to Information Act and Privacy Act form signed by the duly authorized representative (refer to the Applicant Declaration on Confidentiality, Access to Information Act and Privacy Act section included in the application form);
• for organizations in Quebec, a M-30 Supporting Documentation form completed and signed by the duly authorized representative (refer to the M-30 form for organizations in Quebec included in the application form); and
• a single PDF-formatted file containing copies (identical to the hard copies) of all the above requested documents with all security features disabled on standard electronic media (USB memory key, CD, or DVD). The proposal and supporting documents must be included in the file as searchable PDF-formatted documents (PDF/A-1a or PDF/A-2a formats preferred). If there is any discrepancy between the hard and the soft copies, the hard copy takes precedence.

It is the applicant's responsibility to ensure that the application complies with all relevant federal, provincial and territorial legislation and municipal bylaws.

The application form and supporting documents must be delivered to the CSA at the following address:

• Applications must be received at the CSA no later than 4 p.m. (EDT) on October 5, 2016.
• Applications sent by email will not be accepted.
• Incomplete or late applications shall not be considered.

Questions and answers related to this AO will be posted on the CSA website in the Frequently Asked Questions (FAQ) (Section 9).

4.2 Proposal

The proposal is a detailed description of the proposed project that will be assessed according to the evaluation criteria (Section 5.2 and Appendix A). The proposal must include the three sections identified below and must not exceed ten (10) pages in length; any additional pages will be removed. The section descriptions are provided to aid the applicants in writing their proposals. Note that each evaluation criterion is associated with one or more sections; when assessing a criterion, evaluators will be instructed to only consider the material in the associated section(s). The title page, table of contents, references, curriculum vitae (CVs), and letters are not included in the page limit.

Summary (approx. one page)

This summary is a self-contained description of the activity that would result if the proposal were funded. The summary must identify the project objectives, introduce the approach to be used, and clearly demonstrate that the project is eligible under the terms of the AO. As far as possible, the summary should be understandable to a scientifically literate lay reader.

The information provided in this section will be used in determining whether the application satisfies the screening criteria (Application Form, Section 4).

Scientific and technical description (approx. six pages)

This section of the proposal describes the scientific objectives of the proposed project and the methodology to be used in conducting the research. The description relates the research and approach to the current scientific and technical developments in the atmospheric sciences (and Earth-surface sciences if applicable), supported by references to the literature pertinent to the proposal. The methodology describes the relationship between the data source(s), the analysis method(s), and the proposed model(s). This section should also demonstrate the relevance of the research to the objective of the CSA's Earth system science program and its alignment with national and international priorities and opportunities.

The information provided in this section will be used in assessing the following criteria: Benefits to Canada, Results, and Feasibility (Appendix A).

Resources (approx. two pages)

This section of the proposal describes the resources of the proposed project, including the team, complementary funding sources, and in-kind contributions, and how they would be managed. The description identifies the pertinent expertise, the roles, and the expected contributions of the team members to the project, referring to CVs as needed. Note that the team is limited to four (4) CoIs; any additional CoIs will be dropped from the provided list of team members. The description also includes a project work plan that describes how the research team and the project would be managed and the availability of the equipment and infrastructure as well as a discussion of the risks and strategies for their mitigation. The description of funding sources and in-kind contributions refers to the Budget page of the application as needed.

The information provided in this section will be used in assessing the following criteria: Resources, Risk and Mitigation, and Feasibility (Appendix A).

4.3 Service Standards - Complete Applications

Applicants will be notified in writing of decisions regarding their application. Selected applications will be announced on the CSA website. The CSA has set the following service standards for processing times, acknowledgement of receipt, funding decisions and payment procedures.

Acknowledgement: The CSA's goal is to acknowledge receipt of proposals within two (2) weeks of receiving the completed application package.

Decision: The CSA's goal is to respond to the proposal within twenty (20) weeks of the AO's closing date and to send a grant agreement for signature within five (5) weeks after formal approval of the proposal.

Payment: The CSA's goal is to issue payment within four (4) weeks of the successful fulfillment of the requirements outlined in the grant agreement.

Compliance with these service standards is a shared responsibility. Applicants must submit all required documentation in a timely fashion. Service standards may vary by AO.

5. Evaluation

5.1 Eligibility Criteria

• Represents an eligible recipient as defined in Section 3.1;
• Represents an eligible project as defined in Sections 3.2, 3.3 and 3.4; and
• Meets program funding provisions in Section 6.1.

5.2 Evaluation Criteria

Applications will be evaluated according to the following criteria (elaborated in Appendix A):

• Benefits to Canada;
• Results;
• Project feasibility;
• Resources; and
• Risk and risk mitigation measures.

5.3 Evaluation Process

Only applications that have passed the eligibility assessment listed in Section 5.1 will be given further consideration.

Once the eligibility criteria are confirmed, evaluators will assess the screened applications according to the criteria listed in Section 5.2 and elaborated in Appendix A. Evaluators shall be experts in the fields relevant to the applications and may include representatives of Canada and other countries, and representatives of other government and non-government agencies and organizations. If applicable, a multidisciplinary evaluation committee will be formed when applications from several different disciplines are competing in order to provide a uniform final score and ranking of proposals.

Before a final decision is made, the CSA's Program Manager responsible for this AO may seek input and advice from other organizations, including (but not limited to) federal, provincial, territorial and municipal government agencies and organizations.

6. Funding

6.1 Available Funding and Duration

The total maximum funding amount given in grant for each project will be $240,000 over a maximum period of three years.

The number of projects under this AO will depend on funding availability.

Each eligible recipient can be funded for multiple projects under this AO. A PI can be funded for only one project under this AO and may only submit one application. A PI may be a CoI on any number of other projects.

The CSA reserves the right to reject any proposals or reduce the amount of the grants at its entire discretion.

Approved proposals will be eligible for a total amount of government assistance (federal, provincial, territorial and municipal) of up to 100% of total project costs in the case of eligible recipients.

To determine the amount of funding to be allocated, consideration will be given to the availability of CSA funds, the total cost of the project, and the other confirmed sources of funds provided by other stakeholders and the applicant.

Applicants must identify all sources of funding in their applications and confirm this information in a funding agreement if the project is selected for funding. Upon completion of a project, the recipient must also disclose all sources of funding.

6.2 Eligible Costs

Eligible costs are direct expenses that are associated with the delivery of the approved project and that are required to achieve the expected results of the project. Expenses will be covered subject to the applicant signing a funding agreement, in the form of a grant, with the CSA.

Eligible costs for grants under this AO are the following:

• access fees;
• accommodation and meal allowances;
• acquisition, development and printing of materials;
• acquisition or rental of equipment;
• consultant services;
• costs related to obtaining security clearance;
• data acquisition;
• data management;
• license and permit fees;
• marketing and printing services;
• materials and supplies;
• overhead (administrative) costs (not to exceed 10% of all other eligible costs);
• participation fees at conferences, committees and events;
• PST, HST and GST net of any rebate to which the recipient is entitled and the reimbursement of any taxes for goods and services acquired in a foreign country net of any rebate or reimbursement received in the foreign country;
• publication^{Footnote 1} and communication services;
• registration fees;
• salaries and benefits;
• training;
• translation services; and
• travel.

7. Funding Agreements

7.1 Payments

The CSA and each successful applicant (the recipient) will sign a funding agreement. This is a condition for any payment made by the CSA with respect to the approved project.

Payments will be made in a lump sum or instalments as described in the signed grant agreement. Grant funding agreements will include a clause stipulating the recipient's obligation to confirm - once a year in the case of multi-year agreements – their eligibility for the G&C Program – Research Component (Section 5.1) and inform the CSA in writing of any changes to the conditions used in determining their eligibility for this component.

7.2 Audit

The recipient of a funding agreement shall keep proper records of all documentation related to the funded project, for the duration of the project and for six (6) years after the completion date of the project, in the event of an audit. This documentation shall be available upon request.

7.3 Conflict of Interest

In the funding agreement, the recipient will certify that any current or former public office holder or public servant it employs complies with the provisions of the relevant Conflict of Interest and Post-Employment Code for Public Office Holders and the Values and Ethics Code for the Public Sector respectively.

7.4 Intellectual Property

All intellectual property developed by the recipient in the course of the project shall vest in the recipient.

When applicable, the funding agreement will include a provision granting to the Government of Canada a non-exclusive, irrevocable, world-wide, free, and royalty-free licence in perpetuity to use or sub-licence the use of any such intellectual property contained in recipient's reports for non-commercial governmental purposes.

7.5 Organizations in Quebec

An organization in Quebec whose operations are partially or fully funded by the province of Quebec may be subject to the Act Respecting the Ministère du Conseil exécutif, R.S.Q., Chapter M-30.

Under Sections 3.11 and 3.12 of this Act, certain entities/organizations, as defined in the meaning of the Act, such as municipal bodies, school bodies, or public agencies, must obtain authorization from the Secrétariat aux affaires intergouvernementales canadiennes du Québec (SAIC), as indicated by the Act, before signing any funding agreement with the Government of Canada, its departments or agencies, or a federal public agency.

Consequently, any entity that is subject to the Act is responsible for obtaining such authorization before signing any funding agreement with the Government of Canada.

Quebec applicants must complete, sign and include the M-30 Supporting Documentation form with their application.

7.6 Performance Measurement

The CSA will ask the recipients to report on certain aspects of their projects such as:

• Knowledge Creation
  • Knowledge production (including publications)
  • Presentations
  • Intellectual property (including patents)
• Capacity Building
  • Project's research team (including highly qualified personnel [HQP] supported)
• Collaboration
  • Partners' contributions
  • Partnerships
  • Multidisciplinarity

As a courtesy, the CSA would like to receive a copy of publications arising from the work, and to be informed in advance of significant press releases or media interest resulting from the work.

8. Privacy Notice Statement

The CSA will comply with the federal Access to Information Act and Privacy Act with respect to applications received. By submitting personal information, an applicant is consenting to its collection, use and disclosure in accordance with the following Privacy Notice Statement, which explains how the applicant's information will be managed.

Necessary measures have been taken to protect the confidentiality of the information provided by the applicant. This information is collected under the authority of the CSA Class G&C Program to Support Research, Awareness and Learning in Space Science and Technology – Research Component, and will be used for the evaluation and selection of proposals. Personal information (such as contact information and biographical information) included in the rejected proposals will be stored in a CSA Personal Information Bank for five (5) years and then destroyed (Personal Information File no. ASC PPU045). Personal information included in the successful proposals will be kept along with the proposal results for historical purposes. These data are protected under the Privacy Act. According to the Privacy Act, the data linked to an individual and included in the proposal being evaluated can be accessed by the specific concerned individual who has rights with respect to this information. This individual may, upon request,

1. be given access to his/her data and
2. have incorrect information corrected or have a notation attached.

Applicants shall note that for all agreements over $25,000, information related to the funding agreement (amount, grant or contribution, name of the recipient and project location) will be made available to the public on the CSA website.

For additional information on privacy matters prior to submitting a proposal, please contact:

9. Frequently Asked Questions

It is the responsibility of the applicants to obtain clarification of the requirements contained herein, if necessary, before submitting an application.

For any questions related to the AO, applicants shall use the following generic email address: lecedessetc-thegandccoe@asc-csa.gc.ca. Questions and answers related to this AO will be posted on the CSA website in the Frequently Asked Questions (FAQ) section of this AO. The CSA will respond to questions received before 4 p.m. (EDT) on September 7, 2016.

At any point, applicants are welcome to share with the CSA their comments or suggestions regarding the AO, the program or the process. Applicants may either use the generic email address or the generic web-based Comments and Suggestions Box.

10. Appendicies

Appendix A - Evaluation Criteria Scale

Each evaluation criterion below will be rated on a letter scale from A to D, with A being the highest score. A numerical weight is associated with each letter as indicated hereafter.

1. Benefits to Canada

• Max. 30
• Min. 10

The potential for advancement of knowledge in the Earth system sciences will be assessed on the following

• the relevance of the research to the stated objective of the CSA's Earth system science program: to improve understanding of the physical and chemical processes of the Earth's atmosphere, and of the effects that the sun and other Earth systems have on the atmosphere;
• the novelty of the overall concepts (i.e. scientific excellence and discovery) and approach compared to the state-of-the-art; and
• the extent to which the new knowledge is expected to have an impact^{Footnote 2} on the Earth system Sciences.

2. Results

• Max. 35
• Min. 12

2.1 The use of data and the development of models will be assessed on the following

• the analysis of data from Primary data sources^{Footnote 3} (defined in Appendix B.1);
• the extent to which data from other data sources complements the data from Primary data sources;
• the calibration and/or validation of data from Secondary (new) data sources; and
• the development or improvement of models^{Footnote 4} that are based on the data analyses and/or seek to reproduce phenomena observed in the data.

2.2 The alignment with external priorities and opportunities will be assessed on the following

• the alignment of the research with national and international priorities (identified in Appendix C); and
• the extent to which the research will prepare the team for anticipated international opportunities.

3. Feasibility

• Max. 15
• Min. 5

The feasibility of the research will be assessed on the following

• the focus and clarity of the objectives of the project;
• the appropriateness of the research methodology;
• the probability of achieving the objectives in the proposed time frame;
• the coherence of the activities, milestones, timelines and deliverables described in the project schedule;
• the availability of the data, models, equipment, and infrastructure required;
• the need for the funds requested; and
• the plan for how the team and project will be managed.

4. Resources

• Max. 15
• Min. 6

The quality of the team and access to other funding sources and resources will be assessed on the following

• the research record of the team;
• the relevance of the team's expertise to the proposed project;
• the breadth and complementarity of the team's expertise, which may include members from both academia and government;
• the budget and the team's access to additional funding sources and resources; and
• the justification of the line items in the budget sections.

5. Risk and Mitigation

• Max. 10
• Min. 3

The project risks and the associated mitigation strategies will be assessed on the following

• the assessment of technical risks and strategies for their mitigation;
• the assessment of managerial risks and strategies for their mitigation;
• the assessment of financial risks and strategies for their mitigation.

Evaluation Score

• Maximum score 105
• Minimum passing score 65

Appendix B - Eligible Data

This AO makes a distinction between eligible data sources for the purpose of maximizing the science value of data being acquired by Canadian instruments in space. The two levels of data sources—Primary and Secondary—reflect the different priorities given to Canadian and international data sources by this AO. These priorities are reflected in the evaluation criteria (Appendix A).

Appendix B.1 - Primary Data

Primary Data sources are Canadian instruments or sub-systems on currently operational spacecraft. These are:

Note: even though the study of aerosol extinction profile measurements from the ACE-Imager are encouraged, the imager instrument is not considered a Primary Data source for this AO.

and the following Canadian instruments on foreign missions:

• Information about the SCISAT/ACE satellite and its instruments, data availability, and data access may be found on the SCISAT/ACE website.
• Information about the MOPITT instrument on Terra, data availability, and data access may be found on the Terra website.
• Information about the OSIRIS instrument on Odin, data availability, and data access may be found on the OSIRIS website.
• Information about the CPR instrument on Cloudsat, data availability, and data access may be found on the Cloudsat website.

Appendix B.2 - Secondary Data

Secondary data sources are specific instruments on ESA satellites listed below that have potential complementarity (synergy) with the Primary data sources. The proposal must demonstrate how data from the Secondary data sources complement data from the Primary data source(s). Statements from ESA or science team representatives of the Secondary data sources confirming the added value of the proposed activity and availability of the data starting in 2017 should be included in the proposal.

Secondary data sources eligible for this AO are the following:

Appendix C - National and International Priorities

The CSA's Earth System science program is supportive of national and international Earth system science priorities expressed by the organizations listed below:

• Environment Canada's Science Strategy 2014-2019
• Polar Knowledge Canada collaboration with NASA to study vulnerability of the Arctic and boreal region
• World Climate Research Program (WCRP)
• Stratosphere-Troposphere Processes And their Role in Climate (SPARC)
• International Global Atmospheric Chemistry (IGAC) Program
• WMO Global Atmosphere Watch (GAW)
• World Weather Research Program (WWRP)