Form 101 - Instructions
Research Tools and Instruments Grants (RTI)
(Including Categories 1, 2, 3 and Subatomic Physics)
About the Program
Read the program description in the Program Guide for Professors before you complete the application.
Who Completes the Application?
The applicant must complete the application and include all required documentation using the On-line System. In addition, the Personal Data Form (Form 100) must be completed by applicants and co-applicants and linked to the application form.
You are responsible for submitting a complete application that conforms to the presentation standards established by NSERC. Incomplete applications and applications that do not meet the presentation standards may be rejected, or be at a disadvantage, in comparison with those that are complete and respect the presentation standards. Where page limits are stated, pages in excess of the number permitted will be removed.
For more information, read the NSERC On-line Presentation and Attachment Standards.
Your application must be received at your institution’s research grants office by their internal deadline date; contact your research grants office for those deadlines.
For programs with deadlines, the application must be received at NSERC by 5:00 p.m. local time (at your location) on the deadline date. If it is not received by the deadline, it will be considered late and will be rejected. Application deadlines are indicated in each of the program descriptions, as well as on the Application Deadlines and Notification of Decision page.
Material or updates received under separate cover (before or after the deadline date) will not be accepted.
The collection, use and disclosure of personal information provided to NSERC are outlined in the following policy statements:
The information you provide in your application is collected under the authority of the Natural Sciences and Engineering Research Council Act. NSERC is subject to the Access to Information Act and the Privacy Act (ATIP). The information you provide is stored in a series of NSERC data banks described in Info Source.
Help with Program Information
Help with the NSERC On-line System
Type of grant
RTI grants are divided into three categories according to the total net cost of the equipment, i.e. excluding taxes, shipping, and handling. These categories are:
NSERC will accept applications under Category 1 for equipment with a total net cost of up to $250,000, provided the applicant is able to secure funding from other sources to bring the amount requested from NSERC to $150,000 or less. This funding must be in place and confirmed at the time that the application is submitted. Such sources may include contributions from NSERC Discovery Grants held by the applicant or co-applicants. The use of other types of NSERC grants is permitted, provided a prior written authorization is obtained from NSERC.
NSERC will pay some or all of the applicable taxes as well as some of the shipping and handling expenses, as long as the overall grant does not exceed $150,000. The applicant will be responsible for any amount in excess of $150,000.
Title of Proposal
The title should describe the equipment applied for. It will be used for publication purposes. It should not contain a company or trade name. Spell out scientific symbols and acronyms.
Enter the time devoted (in hours per month) to the use of the equipment or facility.
AREA(S) OF RESEARCH
Research Subject Codes
Consult the NSERC Code Tables. All applicants are required to select a primary research code.
Provide a maximum of 10 key words that describe the proposal.
Before completing this page, consult the Policies and Guidelines of the Program Guide for Professors concerning the requirements for certain types of research.
Research Involving Humans:
If you select Yes, you must provide your institution's administration with the appropriate certification indicating that research involving humans has been reviewed and has received the required approval.
Research Involving Human Pluripotent Stem Cells:
If you select Yes, or if through peer review the application is found to fall into this category and is recommended for funding, it will be forwarded, with your consent, to the Stem Cell Oversight Committee (SCOC) to ensure compliance with Human Pluripotent Stem Cell Research: Guidelines for CIHR-Funded Research. The SCOC review is in addition to the normal review by local Research Ethics Boards (REBs). Funding will not be released until approval has been obtained from the SCOC.
Research Involving the Use of Animals:
If you select Yes, you must provide your institution's administration with the certification from the animal care committee at the institution that the experimental procedures proposed have been approved and that the care and treatment of animals is in accordance with the principles outlined in the Canadian Council on Animal Care (CCAC) guide.
Research Involving Hazardous Substances:
If you select Yes, you must provide your institution's administration with the certification from the biosafety committee at the institution that the laboratory procedures being used comply with the safety precautions necessary for the level of containment required by the research.
Appendix A (Environmental Information) must be completed and submitted with the grant application ONLY if at least one of the following situations applies to your research activities: (A) any phase of the proposed research will take place outdoors and on federal lands in Canada, as defined in section 2(1) of the Canadian Environmental Assessment Act, 2012 (CEAA 2012); (B) any phase of the proposed research will take place outdoors and outside of Canada; (C)(i) the grant funds will permit a designated project (listed in the CEAA 2012 Regulations Designating Physical Activities (RDPA)) to be carried out in whole or in part; or (C)(ii) any phase of the proposed research will depend on a designated project (listed in the RDPA) that is being carried out by an organization other than NSERC. If none of these situations apply to your proposed research activities, then no Appendix A is required.
Note: On July 6, 2012, CEAA 2012 came into force. As a result, the review process for applications submitted to NSERC has been revised. Grant applicants are required to provide more specific information under a completely revised Appendix A (Environmental Information), and Appendix B (CEAA Pre-Screening Checklist) no longer exists. In addition, the NSERC Policy on Environmental Assessment has been revoked and replaced by NSERC’s Guidelines on Environmental Review and Assessment.
For team applications, list each co-applicant's name, personal identification number (if known), organization name, as well as the time (in hours per month) each co-applicant will devote to the proposed research/activity or the use of equipment or facility.
Only major (frequent) users should be listed as co-applicants and need to obtain their organization's signature and submit a Personal Data Form (Form 100).
By submitting this form, the applicant certifies that the individuals listed as co-applicants have been informed of the precise uses and disclosures of their personal information by NSERC (see Use and Disclosure of Personal Information Provided to NSERC) and have authorized the release of the information by the applicant.
Co-applicants, except those from the applicant’s institution, must advise the authorized officer of their organization that the applicant, or the applicant’s institution, will be seeking their signature prior to submitting the application to NSERC, agreeing to their participation.
Enter information about each co-applicant organization's signing officer (other than the applicant’s organization). For supporting organizations such as an industrial partner or a government department, enter information about the authorized representative(s).
The applicant must ensure that the co-applicants from other institutions obtain the appropriate signature from the authorized officer of their organization prior to submitting the application to NSERC (see Signatures requirements within this document).
SUMMARY OF PROPOSAL FOR PUBLIC RELEASE
The summary is intended to explain the proposal in language that the public can understand.
Using simple terms, briefly describe the equipment or the facility that is requested, and the nature of the work to be supported. Indicate why and to whom the research is important, the anticipated outcomes, and how your field and Canada will benefit.
If you wish, you may also provide a summary in the other official language in the text box identified for that purpose.
Before completing this page, read the instructions and consult the Tri-Agency Financial Administration Guide for information about the eligibility of expenditures for the direct costs of research and the regulations governing the use of grant funds.
Use the Budget Justification section to explain and justify each budget item.
RTI Grants are one-year awards that assist in buying or developing research equipment that costs more than $7,000. In exceptional cases, multiple-year requests will be accepted. The onus is on the applicant to clearly explain the rationale. While the RTI Grants Program provides the primary avenue through which to obtain support for tools and instruments costing more than $7,000, equipment of any value can be purchased using a Discovery Grant.
Costs that are not eligible for all categories of RTI include:
Indicate, in the space provided, any contributions from other sources to the cost of the equipment.
Provide a detailed explanation and justification for each budget item identified in the Proposed Expenditures page. Provide sufficient information to allow reviewers to assess whether the resources requested are appropriate. This page should only contain information pertinent to the budget.
Equipment or facility
Give a breakdown of the items requested. Provide details on models, manufacturers, prices and applicable taxes. Justify the need for each item requested. Quotations may be required. The Quotations page allows you to describe the quotations to be sent with the proposal.
Explain briefly how each activity relates to the proposal. Only activities related to the purchase of the equipment can be included.
List all items not relevant to previous categories, and provide a brief explanation for major items.
RELATIONSHIP TO OTHER RESEARCH SUPPORT
See Selecting the Appropriate Federal Granting Agency and Addressing Other Sources of Funding for additional information.
Any relationship and/or overlap, conceptual or financial, with work supported by NSERC or other funding sources must be explained.
Use additional pages to provide the following information:
If you have received or applied for funding from the Canada Foundation for Innovation (CFI), provide details on how the money was or will be spent.
The onus is on the applicant to provide sufficient information to enable the reviewers to evaluate the relationship between this application and other sources of support, the incremental value of additional support from the program, and to recommend the appropriate NSERC funding level.
The consequence of not providing adequate information to assess the relationship to other research support is that the reviewers may recommend reduced or no funding.
Provide two recent quotations for items or systems costing more than $25,000 before taxes. Provide justification if two quotations are not available.
Note: For upload purposes, all the quotations must be saved into a single PDF document.
Use the guidelines outlined in the NSERC On-line Presentation and Attachment Standards to provide the requested information in a document to be attached to the application.
Follow the instructions and address the selection criteria for the Research Tools and Instruments Grant program you are applying to. Using the headings below and the maximum number of single-sided pages permitted, describe:
Applications for computing equipment are considered on the same basis as all
other equipment applications, including proposals to develop computing facilities
to support research programs. RTI grant funds may be used to purchase hardware
and/or to pay for the acquisition of software.
For RTI - Categories 2 and 3 (Subatomic Physics only)
Complete the Expected Revenues section for a RTI - Categories 2 or 3. The "Cash Contributions from University" and "Other Contributions" (items 3 and 4) will be transferred automatically to the Total Cash Contributions from Other Sources under the Proposed Expenditures for Direct Cost of Research section.
LETTER(S) OF SUPPORT
For all RTI categories, if a cash contribution towards the purchase of the equipment is provided by an organization (other than the applicant’s and or co-applicants’ institution[s]), a letter is required from the organization confirming this commitment. If you have more than one letter, combine them into one document and save the document as a PDF file.
For RTI - Categories 2 and 3 (Subatomic Physics only) grant applications, letters from academic, industrial or government partners attesting that they intend to use the proposed facility and/or contribute to the costs of the equipment or its operation will be accepted. If you have more than one letter, combine them into one document and save the document as a PDF file.
NSERC does not require original signatures on applications or other documents submitted electronically through its On-line System. The electronic submission of applications through this system represents approval and replaces the traditional "physical" or "wet" signatures. Refer to the Frequently Asked Questions in the Program Guide for Professors for more details.
What do the electronic or original signatures on the application mean?
Before you, as an applicant or co-applicant, submit your application to NSERC or link your Personal Data Form to an application, you must read and agree to the following terms and conditions.
By submitting your application or linking your Personal Data Form, you are certifying that:
By submitting your application or linking your Personal Data Form, you are also confirming that, during tenure of the grant/award, you will comply with the terms and conditions of the grant/award.
Consent to Disclosure of Personal Information: You understand that maintaining public trust in the integrity of researchers is fundamental to building a knowledge-based society. By submitting any application, by linking your Personal Data Form (Form 100 or 103CV) as a co-applicant to an application, or by accepting funding from CIHR, NSERC and/or SSHRC, you affirm that you have read and you agree to respect all the policies of these agencies that are relevant to your research, including the Tri-Agency Framework: Responsible Conduct of Research. In case of a serious breach of agency policy, the agency may publicly disclose your name, the nature of the breach, the institution where you were employed at the time of the breach and the institution where you are currently employed. You accept this as a condition of applying for, or receiving, agency funding, and you consent to such disclosure. If you do not agree to the disclosure of your personal information, you cannot participate in this application.
Note: If you have any concerns about your ability to comply with the terms and conditions listed above, contact your institutional official or NSERC staff responsible for the program immediately. Do not agree to the terms and conditions and do not submit your application or Personal Data Form until you are certain that you can and will comply with all of the requirements.
The signatures of authorized officers of other supporting organizations certify that the organization:
If you are both the applicant or co-applicant and a principal of a collaborating organization, another senior official must sign on behalf of the organization.
APPENDIX A - ENVIRONMENTAL IMPACT
Appendix A (Environmental Information) must be completed and uploaded to the Environmental impact page if required.
APPENDIX C - REFEREE SUGGESTIONS
For RTI – Categories 2 and 3 (Subatomic Physics) only
Suggest the names of seven people competent to assess the technical aspects of the proposal. This list should include experts from the academic community, the government sector and, for industrially-relevant research, at least one expert from the industrial sector. As appropriate, also include people competent to assess the research aspects outside the natural sciences and engineering.
Give the name, complete mailing address, telephone and facsimile numbers, e-mail address and the area(s) of expertise of potential referees.
Referees should be able to review the proposal in the language in which it is written.
You may also request, in a cover letter, that some individuals or companies not be involved in the review of your application. Your request will be taken into account by NSERC.
Suggested referees should not be in a conflict of interest. Refer to the Conflict of Interest and Confidentiality Policy of the Federal Research Funding Organizations for more information. In addition, referees (external reviewers) must sign the Conflict of Interest and Confidentiality Agreement for Review Committee Members, External Reviewers, and Observers before they access the application material.
Research Tools and Instruments
NOTE: Pages in excess of the number permitted will be removed.