James Webb Space Telescope Early Release Science (ERS) and Cycle 1 General Observers (GO) projects

Space Exploration

CSA Announcement of Opportunity (AO)

Publication date: June 14, 2021

Deadline: July 23, 2021

KEY INFORMATION

1. INTRODUCTION

The James Webb Space Telescope (JWST) is in its final stage of preparation before launch and important steps are being taken to put in place its ambitious science program. As one of the international partners in this NASA's next astrophysics flagship mission, CSA has negotiated that at least five percent of JWST general observing time shall be granted to Canadian astronomers over the mission lifetime. This announcement of opportunity is to request proposals from Canadian astronomers granted observing time through NASA's Cycle 1 General Observers (GO) or the Director's Discretionary Early Release Science call for proposals. The Cycle 1 GO call for proposals has been issued on July 23, 2020 with a deadline of November 24, 2020. Canadian astronomers must have first submitted a winning proposal to the NASA's call for proposals (as a PI, co-PI or co-investigator) to be considered in the context of this CSA's Announcement of Opportunity (AO).

This AO is consistent with the terms and conditions of the Canadian Space Agency (CSA) Class Grant and Contribution 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

The objective of this AO is to provide support to Canadian astronomers for the analysis of JWST data and dissemination of results through publications. It is intended to help Canadian astronomers perform fundamental research in the several areas of infrared astronomy enabled by JWST and to provide a unique training opportunity in Canada for students and post-doctoral researchers.

The key results for CSA expected from selected proposals are:

• advancement of science and technology through space research and development
• increased output of scientific knowledge associated with Canada's participation in international planetary exploration and space astronomy missions
• increased supply of scientists with PhDs in Canada who also have experience in space mission science operations activities and data analysis

3. ELIGIBILITY CRITERIA

3.1 Eligible Recipients

Eligible recipients under this AO are Canadian universities and post secondary institutions.

3.2 Eligible Projects

Eligible projects for this AO are those that were selected based on JWST open observing time and that were selected as a result of the ERS and GO Cycle 1 call for proposals issued by NASA/STScI. Only one application per project will be accepted.

One of the following roles, must be filled by a Canada based astronomer (see section 3.1):

• Category A:
  • Principal Investigator, and/or
  • Co-Principal Investigator(s).
• Category B:
  • Co-Investigator(s) only.

The projects have to be based on the analysis of the ERS and GO Cycle 1 data for the purpose of advancing knowledge of the astronomy fields of research enabled by JWST.

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.

3.3 Links to CSA Priorities

To be eligible, projects supported under this AO must contribute to at least one of the following CSA priorities such as expressed in the Space Strategy (www.asc-csa.gc.ca/pdf/eng/publications/space-strategy-for-canada.pdf [PDF, 1.66 MB]) and the report Canadian Space Exploration - Science and Space Health priorities for Next Decade and Beyond (2017) (PDF, 3.66 MB):

• Maximize the utilization of the Canadian time on JWST by astronomers and help them perform outstanding research in space astronomy.
• Ensure Canada's leadership in acquiring and using space-based data to support science excellence, innovation and economic growth.
• Supporting space science to study Earth and beyond.
• To increase the number of astronomers using space telescopes for their research projects.

Applicants are encouraged to propose projects that increase the representation and advancement of women and underrepresented groups in space sciences and engineering as one means to foster excellence in research and training.

3.4 Links to the Class G&C Program Objectives

To be eligible, projects supported under this AO must contribute to the achievement of at least one of the following objectives:

• To support information gathering, studies and research related to space.
• To support the development of science and technology relevant to the priorities of the Canadian Space Agency;
• To foster the continuing development of a critical mass of researchers and highly qualified people in Canada in areas relevant to the priorities of the Canadian Space Agency.

4. APPLICATIONS

4.1 Required Documentation

Applicants must submit a completed Application as described below.

The Application must include the following:

• A completed typed original application form digitally signed by the Duly Authorized Representative of the proposed project as stipulated in section 3.2;
• One (1) printed copy of the proposal if submitted by mail;
• the proposal;
  • the application form requests a separately attached proposed research and data analysis plan, which must address the evaluation criteria described in section 5.2 and in Annex A;
  • for Category A projects, proposals of maximum 5 pages (excluding figures and bibliography) addressing all of the evaluation criteria will be accepted.
  • for Category B projects, abbreviated proposals of maximum 3 pages (excluding figures and bibliography) addressing all of the evaluation criteria may be accepted when appropriate.
• A copy of the document(s) confirming the legal name of the Applicant;
• A copy of the application (identical to the signed paper copy) in a standard electronic media format (USB flash drive, CD or DVD) if mailed. If there is any discrepancy between the hard and the soft copies, the hard copy takes precedence;
• For Category B proposals, a letter of support from the Principal Investigator of the approved NASA/STScI JWST ERS or Cycle 1 proposal confirming the roles and responsibilities of the Canadian Co-I(s).
• Letters from other funding contributors confirming their contributions (if applicable);
• 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); and
• For organizations in Quebec, 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).

The application must be prepared as a single PDF-formatted file containing all of the above requested documents with all security features disabled. Please order the document with the application form and proposal first. 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 are any accessibility issues with the submitted PDF file, all consequences reside with the Applicant.

Any missing supporting document or any incoherence between the requested documents and the information provided within the documents may lead to the rejectionof theproposal on that sole basis.

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

Applications can be:

• Uploaded electronically by first completing an account creation request at the Electronic proposal portal.

  Upon receipt, the CSA will send an email with instructions on how to connect to the CSA secure filer system to allow you to upload documents securely. Please note that Google Chrome is the browser of choice for submissions. Supported browsers are Google Chrome and Internet Explorer with some restrictions. Applicants using the electronic portal are encouraged to create their account many days before the submission deadline as technical difficulties may arise. If the technical issues cannot be resolved, applicants can submit their application by mail. Applicants are strongly encouraged to upload their applications well before the submission deadline.

  Or

• Mail to the CSA at the following address:

  JWST ERS and Cycle 1 AO
  c/o  Dr. Jean Dupuis
  Space Exploration Development
  Canadian Space Agency
  6767 Route de l'Aéroport
  Saint-Hubert, Québec J3Y 8Y9

Documents must be received by the CSA electronically (successfully uploaded) or via mail or recognized courier service, no later than 2 p.m. ET on July 23, 2021.

It is to be noted that:

• Applications sent by e-mail will not be accepted.
• Incomplete applications will not be considered.

4.2 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 2 weeks of receiving the completed application package.
• Decision: The CSA's goal is to respond to the proposal within 20 weeks of the AO's closing date and to send a grant agreement for signature within 8 weeks after formal approval of the proposal.
• Payment: The CSA's goal is to issue payment within 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 Announcement of Opportunity.

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:

Specific evaluation of the criteria is detailed under Annex A "Evaluation Criteria". The annex defines each criterion, the scale rating of each criterion. A minimum score of 60 is required for a proposal to be selected for funding.

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). 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.

A review committee will then make an overall selection based on the evaluation scores and other priorities of the Government of Canada and CSA such as, but not limited to, geographic distribution, implication of HQP and science, technology, engineering and mathematics (STEM) students. Because of a limited availability of funds, we plan on prioritizing projects during the JWST Cycle 1 and ERS call for proposals (NASA/STScI) with Canadian PIs and Co-PIs selected (category A).

6. FUNDING

6.1 Available Funding and Duration

Over a maximum period of 2 years, the total maximum funding amount given in grant for each project will be as follows:

Project size as defined in the NASA/STScI Cycle 1 call for proposals:

• Small project: less than or equal to 25 hours of observation time,
• Medium project: greater than 25 hours (and less than or equal to 75 hours) of observation time, and
• Large project: to greater than 75 hours of observation time.

Category A Maximum Funding:
Projects with Canada based PI/Co-PI.

1. Small project size: $30,000.
2. Medium project size: $60,000.
3. Large project size: $90,000.

Category B Maximum Funding:
Projects with only Canada based Co-I.

1. Small project size: $10,000.
2. Medium project size: $15,000.
3. Large project size: $25,000.

The number of projects under this AO will depend on funding availability. A reminder that only one proposal per project will be accepted. Priority of funding will be given to Category A projects.

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.

The CSA reserves the right to reject any proposals or reduce the amount of the grants or the contributions 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.

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.

Grants

Eligible costs for grants under this AO are the following:

• Salaries and benefits;
• Publication and communication services;
• Registration fees;
• Travel;
• Accommodation and meal allowances;
• Acquisition, development and printing of materials;
• Acquisition or rental of equipment;
• Bursaries;
• Consultant services;
• Data acquisition;
• Data management;
• License and permit fees;
• Marketing and printing services;
• Materials and supplies;
• Overhead (administrative) costs (not to exceed 20% of eligible costs for universities);
• 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;
• Training;
• Translation services.

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.

For grant agreements, payments will be made in a lump sum or instalments as described in the signed 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 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.

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 du Québec aux relations canadiennes (SQRC), 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 supported)
• Collaboration
  • Partners' contributions
  • Partnerships
  • Multidisciplinarity

7.7 Open Access Publications

In the event that publications result from the project, the CSA wishes to promote the dissemination of findings that results from the projects it funds as quickly and to the greatest number of people as possible. Improved access to scientific results not only allows scientists to use a broader range of resources and knowledge, but also improves research collaboration and coordination, strengthens citizen engagement and supports the economy.

Thus, the CSA promotes the use of open access publication and archiving by recipients in order to facilitate the widest dissemination of findings that results from its funded projects. Thus, recipients are invited to publish, in a timely matter, their articles by using one of the following methods:

1. Accessible online repository (institutional or disciplinary) so that the publication is freely accessible.
2. Journal offering open access to articles.

It should be noted that these two methods are not mutually exclusive and that recipients are encouraged to use both.

Finally, the CSA wishes to receive, as a courtesy, a copy of the publications (if not freely accessible) or the hyperlink (if freely accessible) and its digital object identifier (DOI). These will be use to improve accessibility by including them in the CSA publications directory. Also as a courtesy, the CSA would like to be informed in advance of significant press releases or media interest resulting from the work.

8. PRIVACY NOTICE STATEMENT

The CSA manages and protects the information provided by the applicant under the Privacy Act and the Access to Information Act. By submitting your personal information, you consent to its collection, use and disclosure in accordance with the following Privacy Statement, which explains how the information about the applicant will be processed.

The information is collected under the CSA Class Grants and Contributions Program in Support of Awareness, Research and Learning - Research Component (ASC PPU 045) and Awareness and Learning Component (ASC PPU 040) . This information will be used for administration and application evaluation purposes. Personal information (such as name, contact information and biographical information) will be kept for 6 years and destroyed. According to the Privacy Act, any individual may, upon request,

1. have access to his or her personal data and
2. request correction of the incorrect information.

Applicants should also note that information relating to the Funding Agreement could be disclosed publicly in accordance with the laws, policies and directives of the Government of Canada.

For additional information regarding this statement, please contact:

9. FREQUENTLY ASKED QUESTIONS (FAQ)

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 (csa_jwst_cycle1@asc-csa.gc.ca). Questions and answers related to this AO will be posted on the CSA website in the Frequently Asked Questions section of this AO. The CSA will respond to questions received before 5 p.m. ET on July 9, 2021.

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 (lecedessetc-thegandccoe@asc-csa.gc.ca) or the generic web-based Comments and Suggestions Box available at www.asc-csa.gc.ca/eng/resources/gc/comments-form.asp

Appendix A – Evaluation Criteria Definition, Scale Rating, and Scores

Scoring and weights

A numerical weight is associated with each criterion. Each criterion will be rated on a letter scale from A to E, with A being the highest score. It is strongly recommended that applicants write their proposals by providing information related to each highest score.

There is an overall minimum score of 60 to pass, as well an individual minimum requirements on all criteria individually. The Applicant is advised to read Evaluation Criteria carefully when preparing the proposal.

1. Benefits to Canada

Scoring:

• Maximum: 20
• Minimum: 10

The significance and potential for advancement of scientific knowledge in astronomy relevant to JWST science objectives and how the work is anticipated to enhance Canada's reputation in space astronomy will be assessed on the following:

• How significant an advance would be made?
• If the work were disseminated, would it significantly enhance the reputation of Canada in space astronomy?
• Is the project providing leadership opportunities for Canadian HQP in the context of JWST?

2. Project Feasibility

Scoring:

• Maximum: 30
• Minimum: 21

2.1 Research methodology

This criterion evaluates the feasibility of the proposed research methodology to meet the proposed research objectives.

• Does the proposal include a description of the data reduction and analysis plans in sufficient details to justify the level of effort?
• Is there a description of the software packages to be used and if the project can be done using existing resources and/or if new development will be required?

2.2 Research plan and schedule

This criterion evaluates the appropriateness and feasibility of the research and data analysis plan and of the schedule.

• Is the schedule well correlated with the project objectives?
• Is the work plan credible and the likelihood to achieve the anticipated results during the period of performance high?

3. Resources: Qualification and experience of the PI, Co-PI or Co-I (applicant) applying for the grant as well as the investigation team, and budget justification.

Scoring:

• Maximum: 25
• Minimum: 16

3.1 Qualification and experience of the applicant and investigation team

This criterion evaluates the qualifications and past performance of the applicant and team and roles and responsibilities of each team member in the collaboration.

• Does the applicant possess the scientific expertise required to undertake the proposed project?
• Has the applicant demonstrated the ability to manage and complete similar projects?
• Does the applicant or team have experience in space astronomy missions (guest investigators or science team membership), increasing confidence that science investigations defined through this work will be successful and impactful?
• Does the proposal include an implementation plan with appropriate roles and responsibilities?

3.2 Budget justification

This criterion evaluates the appropriateness of the budget.

• Is the budget well justified by the investigation tasks and by budget category?
• Is a detailed budget breakdown provided and is the budget appropriate?
• When available, are other sources of funding well described and used efficiently in complementarity to the CSA funding?

4. Results: Publication and science dissemination plan

Scoring:

• Maximum: 20
• Minimum: 10

This criterion evaluates the applicant's commitment to sharing data and disseminating results from the proposed investigation based on their JWST data.

• Does the proposal include a plan to share reduced JWST data with a broader science community and/or with the public?
• Does the proposal include a plan to disseminate results (articles, conference presentations, seminars, public talks, websites, etc.)?

5. Risk and mitigation strategies – Project risks (financial, managerial, scientific and/or technical) and mitigation strategies.

Scoring:

• Maximum: 5
• Minimum: 3

This criterion evaluates key risks associated with the project and the mitigation strategies for each risk. It includes a thorough analysis of the project's financial, scientific and/or technical, and managerial risks.

• Has the applicant identified and described in detail the risks associated with the project, including, but not limited to, financial, scientific and/or technical, and managerial?
• Are the mitigation strategies for each risk correctly addressed and realistic? What is the probability that such risks would occur?