Subatomic Physics Research Tools and Instruments grants program

Important information

• Memo to potential applicants to the subatomic physics research grants competition
• Subatomic Physics Research Tools and Instruments (SAP-RTI) program – Frequently asked questions

Objectives

SAP-RTI grants foster and enhance the discovery, innovation and training capability of researchers in the field of subatomic physics at a Canadian university by supporting the purchase of research equipment and installations.

Description

SAP-RTI grants are awards that assist buying or developing research equipment that costs more than $7,000. SAP-RTI grants are divided into three categories, according to the total net cost of the equipment (before taxes, customs and importation fees, transportation and shipping charges, assembly and installation costs). These categories are

• SAP-RTI grants – category 1: $7,001 to $150,000
• SAP-RTI grants – category 2: $150,001 to $325,000
• SAP-RTI grants – category 3: more than $325,000

Under category 1, SAP-RTI grants are one-year awards. In exceptional cases, multi-year requests will be accepted. The onus is on the applicant to clearly explain the rationale. Under categories 2 and 3, SAP-RTI grants are typically multi-year awards.

Regardless of the category, if the applicant is able to secure funding from other sources to complement the requested support from NSERC, this funding must be in place and confirmed at the time the application is submitted. Other 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 that prior written authorization is obtained from NSERC.

NSERC will only accept the following requests

• for tools and instruments that form a comprehensive system intended to support NSERC-funded research in the field of subatomic physics—a comprehensive system in which each tool or instrument forms part of an integrated system of operation to support the research program(s). Requests that bundle unrelated tools and instruments together will not be accepted.
• for the purchase of new, used or refurbished equipment, the repair, upgrade or rental of equipment, or for the fabrication of equipment that is not readily available off the shelf
• for equipment that is purchased or rented after the application deadline

If requested, NSERC will pay all of applicable taxes, as well as all of the shipping and handling expenses.

SAP-RTI grants must be used only to purchase the specific type of equipment for which the grant was awarded. Grantees who wish to purchase equipment different from that specified in the application must obtain written permission from NSERC prior to its purchase. Grantees may, however, buy a model different from that requested in the application without prior NSERC approval.

Equity, diversity and inclusion

NSERC is acting on the evidence that equity, diversity and inclusion strengthen the scientific and engineering community and the quality, social relevance and impact of research. Increasing diversity and gender equity in the research enterprise are key priorities in our current strategic plan, NSERC 2020, and are highlighted in the strategic goal, “Build a diversified and competitive research base.”

Applicants are expected to increase the inclusion and advancement of under-represented and disadvantaged groups in the natural sciences and engineering, as one means to enhance excellence in research and training. Where applicable, consideration of sex, gender and diversity in the research design should be addressed in the proposal. Equity, diversity and inclusion considerations should be developed into the rationale for the composition of research teams, including trainees. For more information, applicants should refer to the application instructions and the Guide for applicants: Considering equity, diversity and inclusion in your application.

Eligible costs

Costs that are not eligible for all categories of SAP-RTI include

• insurance costs for equipment and research vehicles
• costs of the construction, renovation or rental of laboratories or supporting facilities
• items that are part of laboratory infrastructure or intended to render other equipment compliant with health and safety standards
• software licensing or upgrades for subsequent years

Note: All project expenditures are subject to the principles and directives governing the appropriate use of grant funds as outlined in the Tri-agency Guide on Financial Administration.

Eligibility to apply

In addition to NSERC’s eligibility criteria for faculty, applicants and co-applicants must each currently hold or be applying for one of the following NSERC research grants at the time of application: Subatomic Physics Discovery Grant, Discovery Development Grant, Strategic Partnerships Grants, Collaborative Research and Development grants, Canada Research Chairs, Canada Excellence Research Chairs or Canada 150 Research Chairs.

Application procedures

Only applications in the field of subatomic physics, from applicants and co-applicants who currently hold or are applying for an NSERC research grant at the time of application, will be accepted.

Subatomic Physics – Research Tools and Instruments – category 1

Applicants must submit an application for a SAP-RTI category 1 grant through the Research portal by the deadline date. In order to do this, each applicant and co-applicant must complete a Canadian Common CV (CCV) and link it to the application.

Applicants should include:

• two (2) recent quotations for any individual item(s) over $25,000 (before taxes) or for any system(s) to be purchased from a single supplier and costing more than $25,000 (before taxes)
• if applicable, a letter from an organization (that is not the applicant’s institution) that clearly explains the financial contribution toward the purchase of the equipment
• if applicable, written authorization from NSERC to use funds from Strategic, Collaborative Research and Development or other Partnership grants toward the equipment in the SAP-RTI application—authorization is not required from NSERC in the case of cash contributions from the applicant’s and/or co-applicant’s NSERC Discovery Grant

Letters from supporting organizations, if submitted, should clearly explain the support that the organizations will provide, such as their involvement in the research, their contribution (cash or in-kind) to the purchase and installation of the equipment, etc.

Subatomic Physics – Research Tools and Instruments – categories 2 / 3

The first step in applying to the SAP-RTI program is to submit to NSERC a notification of intent to apply (NOI) for a SAP-RTI grant categories 2 or 3 by the deadline date. In order to do this, each applicant and co-applicant must complete a Canadian Common CV (CCV) and link it to the NOI.

The NOI is a mandatory step in the application process for both category 2 and 3 grants. It allows NSERC to determine the most appropriate review mechanism for the grant application. Researchers who do not submit an NOI will not be allowed to submit a full application.

Applicants must then submit the application through the Research portal by the deadline date. In order to do this, each applicant and co-applicant must complete a Canadian Common CV (CCV) and link it to the application. The CCV can be updated following submission with the NOI, prior to submission with the application.

Applicants should include

• two (2) recent quotations for any individual item(s) over $25,000 (before taxes) or for any system(s) to be purchased from a single supplier and costing more than $25,000 (before taxes)
• a letter of support from the applicant’s head of department, which must indicate the importance and priority that the department places on the proposed equipment and the extent to which the department proposes to provide support
• if applicable, a letter from an organization (that is not the applicant’s institution) that clearly explains the financial contribution toward the purchase of the equipment
• if applicable, written authorization from NSERC to use funds from Strategic, Collaborative Research and Development or other Partnership grants toward the equipment in the SAP-RTI application— authorization is not required from NSERC in the case of cash contributions from the applicant’s and/or co-applicant’s NSERC Discovery Grant
• category 3 only, a letter of support from the university president or delegated representative indicating the importance and priority placed on the proposed equipment or facilities—should explain the extent to which the university will provide support, such as the provision of space, financial contributions to the purchase and installation, the purchase of ancillary equipment, funding of technical support staff, etc.

Letters from supporting organizations, if submitted, should clearly explain the support that the organizations will provide, such as their involvement in the research, their contribution (cash or in-kind) to the purchase and installation of the equipment, etc.

Review procedures and selection criteria

All applications for SAP-RTI grants are reviewed by the subatomic physics evaluation section on a competitive basis. No external input is usually sought. The section may request expert input from individual reviewers, if necessary. For SAP-RTI category 3 applications, the subatomic physics evaluation section may also receive input from an expert ad hoc committee that would perform an on-site evaluation and review. Furthermore, according to the internal procedures of the subatomic physics evaluation section, applicants submitting SAP-RTI category 3 applications may be invited to make oral presentations during the Large Project Day held every year by this committee.

Any application to the SAP-RTI program is assessed on the basis of the five selection criteria listed below. Each criterion lists factors that will be considered. It is very important to keep in mind that all criteria are taken into account in the assessment of any SAP-RTI grant application. The onus is on the applicants to thoroughly address each criterion in their applications and provide detailed information to the subatomic physics evaluation section.

• excellence of the applicant(s)
• scientific or engineering calibre of the applicant(s) and major users
• extent to which the applicant or the group has relevant experience and demonstrated ability to fully use the equipment
• consideration of equity, diversity and inclusion in the rationale for the team composition (applicant[s] and major users)
• merit of the proposed research program(s)
• overall quality of the research programs of the proposed users
• recent track record 
• potential for major advances in the disciplines 
• need for and urgency of the equipment, including availability of, and access to, similar equipment
• what is the impact of a delay in the acquisition of the equipment
• is new equipment moving the research forward or helping to launch new research directions
• will the progress of the research be slowed by a lack of access to the new equipment
• are there difficulties in accessing existing equipment (e.g., the increased number of users slowing research progress)
• are there other available facilities/services in the vicinity
• is there a need to upgrade or replace obsolete or failed equipment
• suitability of the requested item(s) for the proposed research program(s)
• is the equipment essential to do the work, or are there other more cost-effective ways of obtaining the results (e.g., send samples for analysis, use other techniques)
• what is the capability of applicant(s) to fully utilize the equipment
• how accessible will the equipment be, in terms of both location and availability of technical support to assist in operations
• for multi-user applications, is the proposed equipment suitable for a multi-user facility and for the desired applications
• importance of the requested item(s) for the training of highly qualified personnel (HQP)
• importance of the equipment for training, as well as the value of the training
• quality and extent of training
• consideration of equity, diversity and inclusion in the training of HQP
• opportunity for hands-on training
• will the training enable the highly qualified personnel to gain useful technical and scientific skills

For SAP-RTI categories 2 and 3 grant applications, the following additional criterion is also taken into account:

• organizational structure, accessibility and synergy—applicant(s) must demonstrate a clearly defined organizational structure to ensure that the equipment can be operated and maintained efficiently and effectively, as well as providing access for other users; examples of elements to be addressed include
• suitability and effectiveness of the oversight/management structure and the users’ representative body
• policies and practices to support equity, diversity and inclusion within the team (e.g., recruitment of team members, management of the team, mentorship)—for more information, refer to the Guide for applicants: Considering equity, diversity and inclusion in your application (questions 1 to 4)
• plans for effective operation and maintenance of the equipment
• accessibility for other users—a transparent and fair process to grant access
• synergy of the proposed equipment or installation with existing ones—synergy, in this case, considered to be the extent to which a grouping of equipment enhances the value and capability of each piece of equipment and enables researchers to obtain results or carry out studies that would otherwise be very difficult or impossible

Duration and conditions

SAP-RTI category 3 grants are typically multi-year awards. For grants whose amount is an average of $500,000 per year or higher, the payment of the second and any subsequent yearly instalment is conditional on the submission of an annual activity report to NSERC. The submission deadline for this report is February 1. NSERC reserves the right to request an activity report for any SAP-RTI category 3, even for grants that are less than an average of $500,000 per year.