Infrastructure Funding Instruments: National Equipment Programme (NEP) and. National Nanotechnology Equipment Programme (NNEP) Administration

Transcription

1 Infrastructure Funding Instruments: National Equipment Programme (NEP) and National Nanotechnology Equipment Programme (NNEP) Functional Domain: Grants Management and Systems Administration Document: Funding Guide 2014 Date: June 2014

2 Table of Contents TABLE OF CONTENTS... 1 LIST OF ACRONYMS... 3 CONTACT DETAILS INTRODUCTION INFRASTRUCTURE FUNDING INSTRUMENTS Overview Objectives National Equipment Programme National Nanotechnology Equipment Programme Scope of Work ELIGIBILITY Applicant-specific Criteria Institutional Responsibility APPLICATION PROCESS How to Submit Applications Funding Scope and Duration Unacceptable Proposals Online Application documentation The CV Section The Application/Proposal Section BUDGET BREAKDOWN EVALUATION PROCESS Phase 1: Screening Process Phase 2: Panel Peer-Review of Qualifying Proposals Funding Recommendations Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

3 7 GRANTS ADMINISTRATION GRANTHOLDER RESPONSIBILITIES Reporting GENERAL Intellectual Property Rights Ethics Access to data Data Storage, Usage and Dissemination Change of Leadership NRF GRANTING PROCESS ANNEXURE 1: NEP/NNEP PROJECT SCHEDULE/GANTT CHART TEMPLATE Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

4 List of Acronyms APR CFO CSIR CV DA DHET DST DVC GMSA HDI HICD IPRA LO MINTEK MS NEP NNEP NNS NRF NSI PDF PI PO RSA SADA Annual Progress Report Chief Financial Officer Council for Scientific and Industrial Research Curriculum Vitae Designated Authority Department of Higher Education and Training Department of Science and Technology Deputy Vice Chancellor Grant Management System Administration Historically Disadvantaged Institution Human and Infrastructure Capacity Development Intellectual Property Rights Act Liaison Officer Council for Mineral Technology Microsoft National Equipment Programme National Nanotechnology Equipment Programme National Nanotechnology Strategy National Research Foundation National System of Innovation Portable Document Format Principal Investigator Professional Officer Republic of South Africa South African Data Archive Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

5 Contact Details The Grants Management and Systems Administration (GMSA) Directorate of the National Research Foundation (NRF) processes all grant applications and is responsible for the management and administration of grants. Full details of application procedures are explained in this document. Mrs Anthipi Pouris: Director: GMSA Telephone: (012) address: The Professional Officer (PO) is responsible for the co-ordination of grant administration processes and management of Grants. Mr Simon Lotz: Professional Officer: GMSA Telephone: (012) address: The Liaison Officer is the GMSA member in the Infrastructure Funding Instrument project team. Ms Vireshni Moonsamy: Liaison Officer: GMSA Telephone: (012) address: For technical online enquiries, please contact the NRF Support Desk during office hours (08:00 16:30), on: Tel: (012) Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

6 1 Introduction The development and retention of high-end scientific and technological competencies is essential for South Africa to transform into a knowledge-based economy wherein the generation of new knowledge and scientific and technological innovations can bring about economic development, job creation and an improvement in the quality of life of its citizens. State-of-the-art research infrastructure, linked to the development of highly skilled knowledge-workers, is a prerequisite for the generation of globally competitive new knowledge and technologies in the twenty first century. 2 Infrastructure Funding Instruments 2.1 Overview In order to fulfil its mandate, the NRF has initiated, in partnership with the Department of Science and Technology (DST), the Infrastructure Funding Instruments that support the acquisition, maintenance and development, of state-of-the-art research equipment. In order to achieve this objective, two funding instruments, namely, the National Equipment Programme (NEP) and the National Nanotechnology Equipment Programme (NNEP) were established. The latter Programme forms part of the implementation of the National Nanotechnology Strategy (NNS). 1 The Call for Proposals in the two programmes will be open from 17 June 2014 to 15 August No late applications will be considered. The NRF will contribute up to a maximum of R10 million per application only. 2.2 Objectives The objectives of the two infrastructure funding instruments, NEP and NNEP, are to: Support the acquisition, upgrade or development of state-of-the-art instrumentation for South African public research institutions to undertake world class research; Provide infrastructure for research capacity development, mainly postgraduate student training, and staff development; Support the development of technical and applications expertise, related to the research equipment acquisition, through research collaboration and training workshops; Create a long-range planning culture for research equipment utilisation, maintenance and replacement; Support and promote institutional, regional and national research priorities; and Specifically for the NNEP, support the development of nanoscience and nanotechnology research in the country, in line with the objectives set forth in the NNS. 1 Department of Science and Technology, 2007, National Nanotechnology Strategy. DST, Pretoria. The document is available on the DST website Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

7 2.3 National Equipment Programme The NEP is designed to provide funding and support for research and training within the National System of Innovation (NSI). This funding instrument seeks to improve the competitiveness of South African research and training institutions by contributing to the: Improvement of the research infrastructure; Expansion of the capacity to undertake research and training; and Promotion of collaboration nationally, in line with the national research priorities. The strategic context for the NEP arises from the National Key Research and Technology Infrastructure Strategy 2 of the NRF, which is based on two pillars of intervention namely the: Well-founded Laboratory This involves minimum levels of basic and/or entry level analytical equipment and facilities that are required for postgraduate training and research. The concept of a well-founded laboratory embraces the equipment, infrastructure and utilities needed to operate a scientific laboratory. This is the base case and is expected to be funded by the Department of Higher Education and Training (DHET). Infrastructure for world-class research and innovation This involves major items of equipment for multi- and/or inter-disciplinary research that requires substantial financial investment for its acquisition and operational costs and is therefore usually too costly to be acquired by institutions individually or collectively. World class research equipment can also constitute large or specialised pieces of equipment that are needed to catapult research and student training to new levels of achievement. This research infrastructure for world-class research is to be funded by the DST, through the NRF, with coinvestment from the applicant s institution. The NEP supports the acquisition, upgrade or development of state-of-the-art equipment, only in support of the intervention: Infrastructure for world-class research and innovation. 2.4 National Nanotechnology Equipment Programme The DST, through its NNS, aims to position South Africa as a player in the emerging areas of nanoscience and nanotechnology. The approach will be to harness the existing capabilities by promoting multidisciplinary and inter-institutional research, particularly in the critical socioeconomic impact areas of water, energy and health, as well as in the industrial areas of chemical and bio-processing, mining and minerals, advanced materials and manufacturing. Further to supporting research and innovation in nanoscience and nanotechnology, the DST and the NRF are committed to developing human capacity in these areas, so as to allow the assimilation of nanotechnology based research into industry and the commercialisation of nanotechnology-based products. The specific interventions supporting nanotechnology and nanoscience, as proposed by the NNS, are listed below: 2 National Research Foundation, 2004, A National Key Research and Technology Infrastructure Strategy. NRF, Pretoria. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

8 Characterisation Centres The aim is to establish and maintain geographically distributed multi-user facilities to provide researchers with advanced instruments for design, synthesis, characterisation, modelling and fabrication. Research and Innovation Networks Collaboration among traditional disciplines, research teams and institutions is critical for both progress in understanding nano-scale phenomena and developing nanotechnology applications. Capacity Building Programme The aim of this intervention is to train researchers and provide other incentives that will lead to the development of critical mass in human research capacity in nanoscience and nanotechnology. Nanotechnology Flagship Projects This intervention aims to demonstrate the benefits of nanotechnology by targeting the relevant impact areas as indicated above, within a reasonable period. Underpinning each of the above mentioned interventions is the requirement to create the physical infrastructure to enable world-class nanoscience research, the exploration of its applications and the development of new technologies. The NNEP supports the acquisition of analytical as well as state-of-the-art research equipment that are able to demonstrate the benefits of nanoscience and nanotechnology. 2.5 Scope of Work Proposals submitted to the NRF may be for a single instrument or multiple complimentary instruments that collectively constitute a single analytical research system. The NRF encourages local design and development of the next generation of research equipment in South Africa. Therefore, institutions are encouraged to apply for support for the design, procurement, construction, testing and certification of novel research equipment. 3 Eligibility 3.1 Applicant-specific Criteria Support through NEP and NNEP is intended for researchers from NRF recognised research institutions such as: South African public universities; and South African public research entities such as Science Councils, 3 National Research Facilities, research laboratories, including research hospitals and museums. 3 The Nanotechnology Innovation Centres based at Mintek and the CSIR are excluded from NNEP as they receive funds directly from DST. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

9 All researchers who hold a doctoral degree (for at least five (5) years prior to the application to the infrastructure funding instruments) and are full-time employees or on a full-time fixed termappointment (for at least five (5) years following the application to the infrastructure funding instruments) to any of the above listed organisations are eligible to apply. Eligibility and Grant Criteria Summary for 2014 applications for 2015 funding Eligibility Criteria All researchers who hold a doctoral degree (for at least five (5) years prior to the application to the infrastructure funding instruments) and are full-time employees or on a full-time fixed term-appointment (for at least five (5) years following the application to the infrastructure funding instruments) in any of the NRF recognised organisations are eligible to apply: South African public universities; and Public research entities such as Science Councils,4 National Research Facilities, research laboratories, including research hospitals and museums. In the case where the applicant is approaching retirement (within 5 years to normal retirement), a successor must be identified. Proposed research must fall directly into any of the national research priorities and those referred to in the DST 10-Year Innovation Plan 5 and South Africa s National R&D Strategy 6. In the case of the NNEP, the proposed research must address the requirements of the Nanotechnology Strategy. For either of the NEP or NNEP applications, the total value of acquisition of the equipment (excluding maintenance and other costs) should not be less than R1million. The NRF contribution will not exceed R10 million. In the case of both NEP and NNEP, the Institution at which the applicant is employed must be committed to a funding contribution with the NRF on a 2:1 (NRF: Institution) ratio. Maximum period of support Type of support Expected outputs and reporting This is a once-off grant spanning a maximum period of two years (year of award/remaining part thereof and one (1) additional year). If the acquisition of the equipment has not been completed by that time unspent funds may be withdrawn and reallocated at the discretion of the NRF. For the purchase of research equipment as per application and based on review panel recommendation, the NRF reserves the right to make the final funding decisions depending on availability of funds and objectives of the funding instrument. Annual progress reports for a five-year period, from year of award. In cases where there is a delay in commissioning of the equipment, this would mean that the grantholder must report to the NRF for five years after the commissioning of the equipment. A minimum of 10 postgraduate students trained per year on research utilising the research equipment commissioned. A minimum of three (3) publications in international refereed (peer-reviewed) journals per year from the research undertaken utilising the equipment for research purposes The Nanotechnology Innovation Centres based at Mintek and CSIR are excluded from NNEP as they receive funds directly from DST. DST, 2007, Innovation towards a knowledge-based economy - Ten year plan for South Africa ( ). Pretoria. Accessible at DST,2002, South Africa s national research and development strategy. Pretoria, South Africa. Accessible at: Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

10 3.2 Institutional Responsibility Institutions submitting applications for funding are required to: Limit the number of applications to a maximum of five (5) per institution for NEP and two (2) for NNEP; Prioritise applications, in the case of multiple submissions, within the NEP and NNEP funding instruments respectively; Ensure completeness of applications, approve and authorise all applications submitted, including the commitment to the criteria mentioned below, through the institutional management structure; Ensure that applicants adhere to the institution s internal closing date for submission of their application to allow for internal institutional screening and review, before submission to the NRF; and Depending on the specific funding instrument, ensure the following: o For NEP and NNEP applications, the host institution is expected to provide funding towards the purchase of each piece of equipment at a ratio of 2:1, NRF: Applying Institution. That is, the NRF will contribute 2/3 of the total cost 7 of acquisition to a maximum of R10 million. It is further required that the institution make a 1/3 contribution towards the cost of the equipment. o That the appropriate building infrastructure to house the state-of-the-art equipment is/will be in place to ensure that the equipment will be fully commissioned within two years of the award having been made. o That training programmes are regularly hosted on a regional and national basis for the optimal utilisation of the equipment. Note: Please refer to the Designated Authority Checklist, which forms part of the Call Documents with the opening of the Call. This document will enable DAs to ensure that the institution s applications are appropriately prioritised. It must be signed off by the DAs and attached at the attachment section of each electronic application. No application will be processed unless it is accompanied by the DA Checklist. 4 Application Process The NRF issues a Call for Proposals for the infrastructure funding instruments, which is placed on the NRF website, is disseminated to the Research Offices of the various institutions, and the application is accessible online at All applications must be duly authorised and approved by the designated authority (DA) of the research administration at the institution that submits the application. Applications must be submitted to the NRF electronically by the Designated Authority (DA) of the submitting institution no later than 22 August The NRF does not encourage more than one application per applicant; although a project proposal that has previously been rejected by the NRF may be revised and resubmitted. In such cases, any revision or reworking of the proposal to accommodate the reviewers feedback on the original application, should 7 Total cost of acquisition is defined as purchasing price of the preferred supplier AND the maintenance costs. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

11 be explained and pointed out in the new proposal. The processing of a successful grant application takes approximately six months from the time of submission until the commencement of funding. 4.1 How to Submit Applications The Call for Proposals for the Infrastructure Funding Instruments will be open from 17 June 2014 to 15 August Applications will be accessible online at from 17 June Applicants are advised to complete their proposals as soon as possible to prevent an IT system overload near the closing date. This is an electronic submission system and applicants need to be registered on the system. If already registered on it is essential that applicants, co-applicants and prospective co-users update their existing Curriculum Vitae (CV) as it becomes part of the application for review purposes. If not yet registered on this site, applicants should register on the submission system at on which the application is being submitted. Applicants are urged to complete or update ALL screens of the CV (which are available as part of the online Application), including the Research Profile and Research Outputs screens as it will be considered an integral part of the application. Applicants who fail to complete the NRF Online Registration and CV sections timeously will not be considered for funding. When the final version of the application form is submitted by the applicant (Final Submit button on the online application), the application will be routed to the DA for internal institutional review and validation. The DA must submit the validated applications to the NRF electronically no later than 22 August 2014 (5 working days after the closing of the Call for Proposals). Late applications, additional supporting documentation or information received after the closing date will not be accepted or considered. Applicants must ensure that they adhere to their institution s internal closing date for submission of their application to allow for internal institutional screening and review. The internal closing date will be announced by the respective research offices and is usually at least two weeks prior to the NRF s closing date. The NRF cannot process applications that are incomplete, contain insufficient or incorrect detail, or fail to follow instructions; therefore such applications will be rejected. The application must be completed in sufficient detail to allow comprehensive review and evaluation by internal and external reviewers. In addition to the electronic application and required attachments, the NRF may request additional information or documentation to support an application. Failure to supply such information or documentation upon request may result in the rejection of the application. It is important that all proposals are screened and approved by internal institutional processes before being submitted to the NRF. Institutional authorities should take particular care regarding the financial information included in applications. The NRF assumes that the, DvC Research, or equivalent, through the respective DAs are satisfied with the standard of all proposals validated and submitted, and that the institution approves and supports the proposed research. 4.2 Funding Scope and Duration For NEP and NNEP the total value for equipment acquisition should not be less than R1 million. The NRF contribution will not exceed R10 million inclusive of a three year maintenance contract with the service provider of choice. This funding may only be utilised for the purchase, upgrade or development of research equipment as set out in the application and according recommendations of the review panel. Funding decisions are Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

12 made by the NRF taking into consideration the recommendations of the review panel, the availability of funds and the objectives of the funding instruments. In the event of a better option or quote being made available after the grant is made, the grantholder should communicate the reasons to the NRF immediately, providing a clear motivation for the change of supplier/model instrument which should be endorsed by the Research Administration of the employing institution. This is a once-off grant spanning a maximum period of two years (year of award/remaining part thereof and one (1) additional year). If the acquisition of the equipment has not been completed by that time, unspent funds may be withdrawn and reallocated at the discretion of the NRF. The minimum and maximum grant size of the funding instruments will be reviewed by the NRF and the DST on an annual basis. 4.3 Unacceptable Proposals The following types of proposals will not be considered: Applications without an updated CV of the applicant and co-applicant (if applicable). Research equipment that cannot be used in postgraduate student training (or where no plan for such training is provided). General laboratory research equipment (i.e. well-founded laboratory equipment) in the case of applications to the NEP. Renovation of buildings, utilities and facilities. Fixed equipment, that forms part of laboratory infrastructure, such as laminar flow cabinets, power systems, cold rooms and gas reticulation systems. Proposals that do not include three (3) written quotations or detailed explanations where less than three suppliers are available. Proposals where a number of equipment is proposed that are not complimentary in capability and can be regarded as a shopping list. Proposals where there appears to be duplication of equipment within departments and / or between regional institutions. It is the responsibility of the applicant to ensure that the relevant background checks with regard to availability and / or access and capacity of existing equipment have been completed (see requirements in section 4.3). A point of departure for searching for such availability could be the National Equipment Database ( 4.4 Online Application documentation The details below provide an overview of the sections, which must be completed through the online application process as explained in Section 4.1 above. This overview details the information that must be submitted in order to provide the NRF with a complete proposal. The online documentation is divided into two main sections: The Curriculum Vitae (CV) Section The Application/Proposal Section The CV Section The CV section forms an integral part of the application as it provides information on the track record of the applicant with respect to student training and research outputs. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

13 Registration Details * Contact Details* Qualifications * Career Profile * Research Expertise * Personal Profile Student Supervision Record Absence from Research Books Chapters in Books Articles in Refereed/Peer-reviewed Journals Refereed/Peer-reviewed Conference Outputs Patents Keynote/Plenary Addresses Articles in Non-refereed/Non-peer Reviewed Journals Other Significant Conference Outputs Technical/Policy Reports Products Artefacts Prototypes Other Recognised Research Outputs * denotes a compulsory field The Application/Proposal Section This section needs to be completed in full and was designed to provide the applicant with a platform to present the information that is required as per sections 3.2 and 4.3 respectively. Sections (as per online Application Form) Applicant and Coapplicant details Description of equipment Information required (see Online Application Process in this regard) Applicant s institution details Co-applicant details, if applicable. A co-applicant must be from the same institution. Description of the proposed research equipment. Justification for the proposed research equipment. Equipment capabilities. Describe the complimentary nature of multiple instruments, motivating how they collectively constitute a single analytical research system, where applicable. Documents that would need to be uploaded (under the Attachments section) N/A N/A Classification of equipment Equipment categorised as NEP or NNEP. Detail why equipment is considered to be state-of-the-art. N/A Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

14 Impact of equipment Alignment to the National Research and Development Strategy and to the 10-Year Innovation Plan. In the case of NNEP motivate how the equipment will be utilised to advance the objectives of the NNS and enable world-class nanoscience research as well as the exploration of its applications. Multidisciplinary applications of proposed equipment. Value-add of the proposed equipment and incorporation into the longer-term institutional research plan. Support by the Regional Equipment Committee, if applicable. Upload a Letter of support from the Regional Equipment Committee, if applicable. Motivation for supplier Availability of similar equipment Quotations from a minimum of three (3) suppliers should be supplied. A motivation for a preferred supplier should be provided. In the event where three viable options are not available, the motivation should clearly indicate the reasons for preference and why three quotes were not available. Quotations must be valid for at least 12 months from date of submission. Detail on whether similar equipment exists at own institution, regionally or elsewhere in South Africa. Refer to the National Equipment Database: Expand why similar equipment is not suitable to applicant s research needs. Upload Letters/Confirmation from host institution explaining why applicant is unable to access the equipment. Upload the relevant quotes (under the Motivation for Supplier section) Upload the picture of the equipment Upload Letters / Confirmation on why similar equipment is not accessible. Proposed research project A description of the planned research activities which includes both the: o Scientific merit of the proposed research in terms of advancing knowledge which contributes to the national research agenda and improves global competitiveness; and o Qualification and competence of the researcher(s) to conduct the proposed research. Details on the feasibility of the proposed infrastructure and research work. Justify how the proposed equipment will support the planned research activities. A clearly defined research plan for current and new research projects to be undertaken. N/A The Equipment Management Plan is addressed in a separate subsection. Sections (as per online Application Form) Equipment Management Plan Information required (see Online Application Process in this regard) This section in its entirety is compulsory and should be completed to result in a comprehensive management plan (the complexity of which is commensurable with the value of the proposed equipment), that includes discussion on the subsections provided. It is required that the applicant uploads a Detailed Project Schedule/Gantt Chart outlining the timeframe for the procurement and installation process. A template containing the headings for what the Project Schedule/Gantt Chart forms an integral part of the application and thus no application will be considered without it. (see Appendix) Documents that would need to be uploaded (under the Attachments section) Upload the Project Schedule/Gantt Chart (compulsory) Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

15 Equipment Management Plan: Building infrastructure to house the equipment Equipment Management Plan: Required services and utilities Equipment Management Plan: Safety and security Equipment Management Plan: Insurance arrangements Equipment Management Plan: Alternate power supply Equipment Management Plan: Other supportive/feeder equipment available Equipment Management Plan: Operational responsibility Equipment Management Plan: Maintenance and repairs Equipment Management Plan: Training and accessibility Equipment Management Plan: Operational costs Equipment Management Plan: Envisaged collaboration Detail specific organisational commitments regarding building infrastructure and costs associated with maintenance. Details on service utilities required to operate the equipment. Provide a Safety plan. Detail the insurance arrangements to be made for the proposed equipment. Detail measures to be put in place to supply alternate power in the event of power outages. List and describe feeder equipment available to support the proposed equipment. Alignment of the research infrastructure with other equipment placed at different departments at their respective research institutions with regard to availability, access and capacity of existing equipment. Detail how technical staff and other users will be provided with the necessary training for diagnostic, maintenance and operational purposes by the selected supplier. Maintenance, operation and repair of the equipment, inclusive of the necessary technical expertise for these tasks. Conducting user training workshops to train and acquaint other users with the applications of the proposed research equipment. A comprehensive plan for human resource development, including students, staff, operators and technicians; including mentoring of emerging researchers. In addition the plan must address the involvement of individuals from the designated groups, particularly young, black and female researchers as well as researchers with disabilities. Provide number and demographic profile of postgraduate students that will be trained on the infrastructure. Expand on plans to attract other users. Budget, including all other sources of funding applied for and committed. Applications must clearly indicate how the total cost of acquisition (incl. maintenance), housing, and operation of the equipment applied for will be raised. This should be complemented with a financially viable costing plan, including an indication of the projected income from other sources to cover operational and maintenance costs including training. This viable costing model must also present charge-out rates that do not prohibit researchers from the public research institutions accessing the equipment. Details of current and future collaborations intrainstitutional, regionally, nationally and internationally. The collaborative initiatives proposed must ensure that the equipment is used sustainably across institutions, especially with historically disadvantaged institutions. A strategy for international exposure of young researchers, and for attracting international expertise. Upload a viable Costing Plan Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

16 Equipment Management Plan: Envisaged students Equipment Management Plan: Utilisation Details How will the equipment be utilised for postgraduate training; as well as research and innovation activities by academic staff and postgraduate students. Plans for student training (Please name students where applicable, state degree level, as well as how they will use the equipment in their research). Ensuring access to the equipment for intra- and interinstitution as well as emerging researchers at HDIs. Details on access to the research equipment or plans for use by staff, students and users from other institutions. Publications from research involving similar equipment. Equipment Management Plan: Current grants held with the NRF Equipment Management Plan: Succession planning Equipment Management Plan: Proposed number of research collaborations to be undertaken List grants held with the NRF, currently and historically. Provide information of who will be responsible for the equipment in the event that the applicant leaves the institution or retires within five years of the allocation of funding. Please enter each proposed collaboration on a separate line for the next three years. The sub-sections indicated below form part of the main application. Sections (as per online Application Form) Information required (see Online Application Process in this regard) Science communication If applicable, describe any previous experience/involvement in science communication through public engagement programmes with SAASTA and propose any involvement/ engagement with SAASTA in the event that your application is successful. Co-users/collaborators A co-user can be from the same research institution or an external research institution, including private sector. The co-user will be accessing time on the equipment in order to achieve his/her research and training objectives. Upon adding a co-user the system generates an Equipment co-user utilisation form that is automatically ed to the co-user for completion. This co-user utilisation form requests information on the co-users utilisation of the proposed equipment for research projects and expected student involvement. Publications emanating To show your experience in the use of similar equipment, from similar equipment select the relevant research output from your CV. Track Record (Human Provide details of staff members from your institution and capacity development) other institutions trained by applicant and co-applicant in the last three years. Clearly identify mentoring of emerging scientists from institutions with low levels of research capacity and activity. Clearly indicate if training was done on the same or similar equipment, where possible. Documents that would need to be uploaded (under the Attachments section) Financial Details Provide detailed financial information for the proposed equipment as follows: The preferred supplier cost of equipment (inclusive of Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

17 VAT) will automatically be drawn into this section based on the quote information submitted under the Motivation for Supplier section. The cost for maintenance/service contract should be included into this sections and will be automatically totalled. With respect to the Development Equipment provide a breakdown of the total equipment costs submitted as follows: o Cost for Design o Cost for Procurement o Cost for Construction o Cost for Testing o Cost for Certification/Accreditation o Other Costs (please specify) Compulsory one third contribution by own institution for both NEP and NNEP Total contribution by other institutions/users Total requested from the NRF If a tender process is required by the institution, this should be completed either prior to submission of the proposal or as soon as possible after receiving the letter of award in the case of a successful applicant, in order to expedite the subsequent steps for the release of funding. Possible reviewers Excluded reviewers Attachments At least six (6) suggested independent peers, not involved in joint research projects or collaboration that can objectively review the proposal. These should not be co-users or collaborators and should not be from the applicant s institution. It is also possible to note, with justification, individuals that should preferably NOT be used as reviewers for the application. Upload the picture of the equipment. Refer to the Motivation for Supplier section (Document type: JPEG/PDF). Picture of Equipment Upload the Letter/Confirmation from the host institution explaining why the applicant is unable to utilise the equipment available in the country. Refer to the Availability of Similar Equipment section (Document type: PDF). Confirmation Letter Upload a Detailed Project Schedule/Gantt Chart (Refer to the Equipment Management Plan section) outlining the timeframe for the procurement and installation process. (see Appendix) This forms an integral part of the application and thus no application will be considered without it. (Document type: PDF / Ms Project). Project Schedule/Gantt Chart (compulsory) Upload a financially viable costing plan including an indication of the projected income from other sources to cover operational and maintenance costs as well as training. This viable costing plan/including must also present charge-out rates that do not prohibit researchers from the public research institutions accessing the equipment. Refer to subsection Operational Costs under the Equipment Management Plan section (Document type: Ms Excel or PDF). Where applicable, attach the letter of support from the Regional Equipment Committee Costing Plan Letter of support from the Regional Equipment Committee (not Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

18 Other documents: Besides the documents uploaded as requested by the NRF, please indicate what other documents was added and why. Other documents should not exceed more than 1 ½ A4 pages in length. compulsory, only if applicable. Provide a Descriptive Title for documents to be uploaded. Applicants are advised to complete their proposals as soon as possible to prevent IT system overload near the closing date. Specifically, allow sufficient time for co-users to respond once a co-user utilisation form is created and sent as part of the Online Application Process. 5 Budget Breakdown Provide detailed financial details for the proposed equipment through the following: Classification of Equipment Required information for each classification Financial Details required for 2014 applications for 2015 funding In the Classification of Equipment Section it is required that an applicant indicates whether the requested equipment is: New Equipment Upgrade Development Equipment For New Equipment it is required that the applicant provides the following financial information: Equipment Costs (inclusive of VAT) Three year Maintenance/Service Contract Contribution by own institution Operational Expenditure (cost to be assumed by Institution) Total Requested from NRF For New Equipment it is required that the applicant provides the following financial information: Equipment Costs (inclusive of VAT) Three year Maintenance/Service Contract Contribution by own institution Operational Expenditure (cost to be assumed by Institution) Total Requested from NRF For New Equipment it is required that the applicant provides the following financial information: Equipment Costs (inclusive of VAT). Provide a breakdown of the total equipment costs submitted as follows: Cost for Design Cost for Procurement Cost for Construction Cost for Testing Cost for Certification/Accreditation Other Costs (please specify) Three year Maintenance/Service Contract Contribution by own institution Operational Expenditure (cost to be assumed by Institution) Total Requested from NRF. Equipment Costs (incl. VAT) Costs for a three-year Maintenance/Service Contract Contribution by own institution For NEP and NNEP the total cost of acquisition should not be less than R1million. The NRF contribution will not exceed R10 million. Cost for maintenance/service contract over at least a three-year period. The NRF will, as part of its two-thirds contribution, subsidise the cost of the maintenance contract for the first three years. The institution thereafter needs to commit to covering the additional cost for a full five year maintenance contract with the preferred supplier. Compulsory one third contribution by own institution. For both NEP and NNEP applications, the host institution is expected to provide funding towards the purchase of each piece of equipment at Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

19 (compulsory ⅓ contribution) Operational Expenditure Total contribution by other institutions/users Total requested from NRF a ratio of 2:1 (NRF: Research Institution). That is, the NRF will contribute 2/3 of the total cost of acquisition to a maximum of R10 million. It is further required that the institution to make a ⅓ contribution towards the cost of the equipment. Applicants must clearly indicate how the total cost of acquisition (incl. maintenance), housing, and operation of the equipment applied for will be raised. This should be complemented with a financially viable costing plan/including an indication of the projected income from other sources to cover operational and maintenance costs including training. Finally the viable costing model must also present charge-out rates that do not prohibit researchers from the public research institutions accessing the equipment. This cost must be assumed by the institution. Applicants should indicate whether any other source(s) of funding/financial contributions will be received for the equipment applied for in the infrastructure funding instrument. This should amount to ⅔ of total cost of acquisition, and cannot exceed R10 million. 6 Evaluation Process The evaluation process will be conducted in a phased approach: 1. Phase 1: Screening Process 2. Phase 2: Panel Peer-Review of Qualifying Proposals 6.1 Phase 1: Screening Process All applications will be screened by GMSA staff for completeness. If the criteria, described in detail, in this document, are not met, the application will be returned to the institution without review. Pre-screening will be done on the following criteria: 1. Does the applicant meet all other eligibility criteria as per Funding Guide? 2. Are the CVs updated? 3. Is the application complete? 4. Are there three quotes? If not, is there a motivation? 5. For applicants within the five year period of retirement, is a succession plan attached? 6. Have co-users confirmed access to equipment? 6.2 Phase 2: Panel Peer-Review of Qualifying Proposals The Reviews and Evaluation Directorate (RE) of the NRF identifies local and international panel members who are experts in the scientific fields of the applications as well as in the use of the specific equipment. There are three peer-review panels to which the applications are assigned: 1. NNEP this panel evaluates those applications that request equipment required for the advancement of nanotechnology and nanoscience; 2. NEP physical sciences and engineering this panel evaluates those applications that request equipment required for the advancement of the physical sciences and engineering disciplines; and Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

20 3. NEP environmental and biological sciences this panel evaluates those applications that request equipment required for the advancement of the environmental and biological sciences. The peer review panel undertakes an evaluation process according to the criteria listed in the scorecard below, and makes recommendations to the NRF regarding the funding of the applications. In the case of a re-submission, the previous panel comments will be added. The following is described below: 1. The scoring scale, with clear descriptors on each category, to be used for all components of the Application Form (Table 1); 2. The scorecard that provides clear descriptors and weightings for each category; and 3. The categories for the funding recommendations emanating from the peer review process. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

21 Table 1: Scoring Scale Score Descriptor General guiding notes Scientific Merit Management Plan HR Development Collaboration and Accessibility 5 Recommended for funding This is an exceptionally strong proposal that is well conceptualised and strongly motivated and exceeds all the requirements in this section. The applicant has a worldleading track record and the proposed scientific research represents internationally leading standards in terms of quality, significance and scientific impact. The proposed management plan is considered outstanding. It represents world-leading standards in terms of the sustainable management of state-of-theart research equipment and/or facilities. There may be some low probability risks that can be easily addressed. The PI (and co-pi) demonstrates an outstanding track record and worldleading in terms of: Training and graduating Masters and Doctoral students; Mentoring young and/or emerging researchers including Postdoctoral Fellows; Developing researchers from historically disadvantaged institutions and backgrounds; and The PI (and co-pi) demonstrates an outstanding track record in terms of establishing and sustaining collaborations: At the intrainstitutional and interinstitutional levels (regional and national collaborations); With international partners; and With private sector. Training black and female Masters and Doctoral students and Postdoctoral Fellows. 4 Recommended for funding This is a strong proposal that fully addresses all the requirements in this section. However, there are minor issues that the applicant is advised to bear in mind. The applicant has an internationally competitive track record and the proposed scientific research is at the forefront of South African research in terms of quality, significance and scientific impact. The proposed management plan is considered to be very good. It represents internationally competitive standards and is at the forefront of South African standards in terms of the sustainable management of state-of-the-art research equipment and/or facilities. There may be several low probability risks that can be The PI (and co-pi) have an internationally competitive track record that is at the forefront of South African standards in terms of: Training and graduating Masters and Doctoral students; Mentoring young and/or The PI (and co-pi) have an internationally competitive track record that is at the forefront of South African standards in terms of establishing and sustaining collaborations: At the intrainstitutional and interinstitutional levels Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

22 easily addressed and present moderate consequences to the management of the equipment and/or facility. emerging researchers including Postdoctoral Fellows; Developing researchers from historically disadvantaged institutions and backgrounds; and (regional and national collaborations); With international partners; and With private sector. Training black and female Masters and Doctoral students and Postdoctoral Fellows. 3 Conditionally recommended for funding / Revise and resubmit The proposal meets the necessary requirements in this section. However, there are some issues that should be addressed by the applicant and institution before an award is made. The applicant has a nationally average track record and the proposed scientific research is satisfactory in terms of quality, significance and scientific impact. The proposed management plan is considered satisfactory and represents nationally average standards in terms of the sustainable management of state-of-the-art research equipment and/or facilities. There may be medium probability risks that may present moderate consequences to the management of the equipment and/or facility. The PI (and co-pi) have a track record that is satisfactory and represents nationally average standards in terms of: Training and graduating Masters and Doctoral students; Mentoring young and/or emerging researchers including Postdoctoral Fellows; Developing researchers from historically disadvantaged institutions and backgrounds; and The PI (and co-pi) have a track record that is satisfactory and represents nationally average standards of establishing and sustaining collaborations: At the intrainstitutional and interinstitutional levels (regional and national collaborations); With international partners; and With private sector. Training black and female Masters and Doctoral students and Postdoctoral Fellows. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

23 2 Not recommended for funding The proposal partially addresses the requirements in this section. However, some key issues have not been adequately addressed. The applicant has an unsatisfactory track record and/or the proposed scientific research is not convincing in terms of quality, significance and scientific impact. The proposed management plan is unsatisfactory in terms of the sustainable management of state-of-theart research equipment and/or facilities. There may be high probability risks that may present significant consequences to the management of the equipment and/or facility. The PI (and co-pi) have a track record that is unsatisfactory and is nationally lacking in terms of: Training and graduating Masters and Doctoral students; Mentoring young and/or emerging researchers including Postdoctoral fellows; Developing researchers from historically disadvantaged institutions and backgrounds; and The PI (and co-pi) have a track record that is unsatisfactory and is nationally lacking in terms of establishing and sustaining collaborations: At the intrainstitutional and interinstitutional levels (regional and national collaborations); With international partners; and With private sector. Training black and female Masters and Doctoral students and Postdoctoral Fellows. 1 Not recommended for funding The proposal provided insufficient information, and/or numerous inconsistencies. Therefore a fair evaluation cannot be conducted. As such this is considered a high risk investment. The proposal provided insufficient information, and/or numerous inconsistencies. Therefore a fair evaluation cannot be conducted. As such this is considered a high risk investment. The proposal provided insufficient information, and/or numerous inconsistencies. Therefore a fair evaluation cannot be conducted. As such this is considered a high risk investment. The proposal provided insufficient information, and/or numerous inconsistencies. Therefore a fair evaluation cannot be conducted. As such this is considered a high risk investment. The proposal provided insufficient information, and/or numerous inconsistencies. Therefore a fair evaluation cannot be conducted. As such this is considered a high risk investment. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

24 Table 2: Scorecard of the NEP and NNEP funding instruments Criterion Details Weight Not recommended for funding Not recommended for funding Conditionally recommended for funding Recommended for funding Recommended for funding Source Document/ part of the application Management Plan 25% Appropriate building infrastructure to house equipment; required services and utilities, alternate power supply and safety and security are addressed. Ability of applicant (and co-applicant if applicable) to manage the equipment based on their experience. 5% Online Application form: Equipment Management Plan and Project Schedule/ Gantt Chart 5% Appropriate insurance arrangements, maintenance and repair 5% Appropriate technical staff for operational responsibility, training and accessibility 5% Operational costs adequately addressed 5% Scientific Merit 30 % Scientific/technical excellence of the current and proposed research activities 10% Online Application form: Proposed Research activities Alignment of scientific activities with the capabilities of the proposed equipment 5% Online Application form: Impact of Equipment Impact on National priorities 5% Online Application form: Proposed Research activities Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

25 PI track record: research productivity of applicant and co-applicant (specific references: 5-8 years) 10% Online Application form: CV Section Human Resource Development 30% PI track record in HCD: in last 5 8 years Staff Development 5% Online Application form: Student Supervision Masters, Doctoral and Postdocs 10% South African Black and Female students trained by the applicant (and co-applicant, if applicable 7% Feasibility of HCD and training plan Online Application form: Track record Staff Development 3% Mentoring emerging researchers from HDIs 5% Collaboration and Access to equipment 15 % Feasibility of collaborations (collaborations and co-users (current and proposed) Online Application form: Envisaged Collaboration and Couser sections Intra-institutional 5% Regional and national 5% Private sector 2% International 3% Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

26 6.3 Funding Recommendations The peer review panels based on the afore-mentioned evaluation criteria, submitted by the applicant and discussions by the peer reviewers will result in recommendations that will be categorised as follows: Recommended for funding Proposal does not have any gaps or weaknesses apart from minor changes (e.g. to the management plan that may be addressed without requiring any further peer review); OR Conditionally recommended for funding / Revise and resubmit Proposal meets all necessary requirements in this section. However, there are some issues that should be addressed by the institution before an award is made; OR Not recommended for funding Proposal contains are numerous inconsistencies and gaps in the proposal which makes the proposal non-fundable. 7 Grants Administration Grants are paid to the organisation where the grantholder is employed The release of NRF funds for payment will be made according to the normal granting rules used by the NRF, that is, 80% of the grant will be released on receipt of the following documentation: (i) The signed Conditions of Grant (CoG) of the NEP or NNEP grant, which declares the institutional commitment towards addressing the additional requirements for installing and maintaining the equipment, including but not limited to the requirements below: (ii) (iii) (iv) (v) Management Plan, approved by the DvC: Research and the CFO, which describes the institution s commitment towards addressing the requirements for installing and maintaining the equipment. The management plan must include: The physical infrastructure for housing the equipment; Appointment of appropriately skilled staff to maintain and operate the equipment; Training of operators and technicians by the supplier of the equipment, as well as ensuring that provision is made for them to access training abroad (the Equipment Related Travel Grants Programme that is managed by SPP HICD at the NRF is geared towards such needs); Service and maintenance contracts; and Sustainability i.e. a non-profit financial model is in place to recover the costs of operating the equipment and that the fees for usage if this equipment does not prohibit researchers from the public research institutions from accessing the equipment. The outcome of the tender process, if applicable; Information that can be uploaded onto the National Equipment Database at the following URL, A Project Schedule/Gantt Chart; and

27 (vi) Pro Forma Invoice(s) from the supplier. These documents are subject to approval by the NRF. The balance of the grant (20%) will be released for payment upon receipt of: A final Tax Invoice; Updated information for uploading onto the National Equipment Database (where applicable); and An official written notification, signed by the Grantholder and the Designated Authority, of the equipment having been installed and working satisfactorily. 8 Grantholder Responsibilities 8.1 Reporting All grantholders must submit Annual Reports for five (5) years following the year of commissioning of the equipment. The APRs will be based on an electronic online template that will be provided by the NRF, stating the: 1. Number of Honours, Masters and Doctoral students; Postdoctoral Fellows; and researchers, from both the private and academic sectors, that utilised the equipment. Details to be provided include the names and demographics of student, research title and how equipment was used in research; 2. Number of Honours, Masters and Doctoral students that graduated with the use of the equipment indicating the name of the student, research title and how the equipment was used in research; 3. Number of Postdoctoral Fellows that have used the equipment, stating the name of the fellow, research title and how the equipment was used in research; 4. Number of researchers, from both local and abroad, that used the equipment during the year with demographic profiles defined; 5. Revenue generated over the past year from public and private sector users; 6. Operational costs over the past year; 7. Training of technical staff on the operational, maintenance and diagnostic purposes; 8. Training workshops undertaken; 9. Collaborative initiatives with historically disadvantages institutions, and other regional players in the same field of research; 10. Number of active research collaborators who use equipment; 11. Number of collaborative projects associated with the equipment; 12. Research and knowledge and/or innovation outputs; Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

28 13. A brief narrative describing how the equipment impacted the advancement of national priorities; and 14. Co-users need to report on actual usage and research outputs achieved. The NRF will also conduct annual institutional site visits to ensure that the research equipment is being properly maintained, well-utilised and that postgraduate students and staff members are being trained to understand and operate the state-of-the-art research equipment. Annual progress reports must be submitted by 31 March following the installation of the equipment, and for five consecutive years after payment of the full grant by the NRF. 9 General 9.1 Intellectual Property Rights The intellectual capital generated by NRF funded research must be appropriately protected and exploited for the benefit of South Africa. This condition should not interfere with the Intellectual Property Rights arrangements already made on condition that the majority of the benefits arising from the intellectual capital accrue to South Africa and its citizens. This condition is aligned with the Intellectual Property Rights Act 8 which will override this condition of grant. 9.2 Ethics A grantholder, and all users of the equipment commissioned through an NEP or NNEP grant, is required to maintain the highest ethical and safety standards in conducting the research, particularly when human and animal subjects are involved. It remains the responsibility of the project leader to comply with all relevant regulations in this regard, including those of the institution at which the research is carried out. An ethical clearance certificate (where applicable) must be submitted to the NRF in respect of successful applications before funding can be released. 9.3 Access to data The data generated from the proposed research must become available to other researchers working in the same field. Therefore, it is important that the data is provided to domain specific databases or in their absence, to the South African Data Archive (SADA). 9.4 Data Storage, Usage and Dissemination Should the outputs of the research project not be protected, conscious plans need to be made to make the data available to the larger research community through existing databases, some of which can be specific to the research field and others to generic research fields. Furthermore, measures need to be undertaken to ensure effective data management and integrity. 9.5 Change of Leadership In the event of the Grantholder leaving the Institution for whatever reason, the NRF must be informed (where possible, prior to the departure of the Grantholder from the Institution), of alternate arrangements for the continued management of the research equipment, use of the equipment and alternate leadership. 8 Republic of South Africa, 2008, Intellectual property rights from publicly financed research and development. Act 51 of Government Gazette, 22 Dec Vol 522, no 31745, RSA. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

29 A new grantholder must be nominated by the institution for approval by the NRF. The new grantholder will be required to sign a revised Conditions of Grant document and submit a CV as well as a revised management plan. It is therefore intended that the equipment will remain with the Institution and will not move with the current leader. Funding will only continue if the NRF is satisfied that the equipment will be managed at the same level under the proposed alternate leadership. Infrastructure Funding Instruments (NEP/NNEP)_Funding Guide

30 10 NRF Granting Process Figure 1: Application process flow diagram for the NEP and NNEP funding instruments