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| Policy
#: |
5200 |
| Subject: |
Internal
Research Grants |
| Group: |
Institutional
|
| Approved
by: |
Provost
and Vice-President, Academic and Research |
| Approval
date: |
5 December
2008 |
| Effective
date: |
5 December
2008 |
| Revised: |
17 December
2011 |
| Administered
by: |
Provost
and Vice-President, Academic and Research |
|
|
| 1 - SCOPE |
This
policy sets out the objectives, terms, and conditions that apply to all
internal research and teaching grants and awards held by faculty, staff,
or students at Mount Allison University. These grants and awards include,
but are not limited to, the following:
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| Each type
of grant or award may have its own eligibility criteria, application requirements,
or terms and conditions.
This policy and the revised descriptions of individual
grants and awards replaces and renders null and void all other policies
and procedures for the allocation of internal research grants and awards.
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| 2.
Introduction |
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2.1
Objective |
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The
objective of internal grants and awards is to nurture and sustain
a vibrant research community at Mount Allison University by encouraging
the participation of faculty, librarians, technicians and students
in research endeavours. To this end, the University will assist in
meeting the financial needs arising from research projects leading
to peer-reviewed publications in the natural sciences, social sciences
and humanities, and research and creative and scholarly work in the
fine and performing arts. In addition, the University also provides
some funds to help defray the costs of presentations at conferences.
Researchers are encouraged to explore new or alternative sources of
external funding including partnerships with the public and private
sector. |
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2.2
Sources Of Funds |
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Internal
research grants and awards are funded by a variety of sources internal
and external to the University. In addition to using operating funds
to support research and creative activity by faculty members and students,
the University receives funding annually from two external government
agencies (the Natural Sciences and Engineering Research Council and
the Social Sciences and Humanities Research Council) and from a variety
of internal restricted and unrestricted funds, which include the Petrocan,
Bell, Crake, and Universitas funds. Actual sums and percentages differ
from year to year. The granting councils currently use a formula which
makes their General Research Grants dependent on the amounts of monies
received by Mount Allison University scholars for their own individual
or group projects. Restricted trust funds have clauses that preclude
monies from being used for any purpose other than research and in
some cases for some disciplines only, e.g., the Crake Foundation.
Operating funds, on the other hand, have no such provision and the
amount of monies allocated to support research and creative activities
is set annually by the Provost and Vice-President, Academic and Research
from the academic operating envelope. |
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| 3.
Principles and Procedures for Adjudicating Applications |
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3.1
Committee-Applicant Communication |
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In general,
and to avoid misunderstanding, only the Chair of the adjudication
committee may discuss proposals with applicants once they have been
submitted. The nature of the discussion will be explanatory: i.e.,
the Chair might ask an applicant to explain a procedure or technique
that the committee does not understand. In exceptional circumstances,
an adjudication committee may request an applicant to appear in person
to explain procedures, techniques, etc. for which there is no expertise
within the committee. However, applicants may consult with members
of the committee in the preparation of their application, i.e., prior
to submission. |
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3.2
Policy Regarding the Allocation of Internal Grants and Awards to Faculty
Members |
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The
principal aim of internal research funding is to help researchers
to initiate research projects in the expectation that they might obtain
more substantial and sustaining funding through the competitive grants
processes external to the University. Recipients should therefore
endeavour to bring their research projects to the stage where external
grants applications are undertaken. It is expected that applicants
will apply for external funding sources at the first opportunity.
Consistent with these objectives, adjudication committees may choose
to apportion available funds into two pools to be judged separately:
one pool would support new faculty or first-time applicants; the other
pool would support all other applicants. In any event, in ranking
applications committees will attempt to balance the following considerations: |
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- the
need for new faculty members to get their research careers launched;
- the
need for faculty members who have an established track record
to continue to progress; this includes faculty members who have
applied to granting councils and whose applications have been
recommended but not funded;
- the
need to recognize that not all research falls within the interest
of the traditional granting councils and may need to be supported
by institutional means;
-
the need for faculty members without an extensive track record
to launch new initiatives that will vitalize their research profile;
and
-
the need to assist those on term appointments to participate in
research as a means to enhancing their potential to secure more
permanent positions .
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Applications
will be adjudicated on the basis of the quality of the proposed research
or creative activity and the applicant’s record of research
achievement (including the outcomes of projects previously funded
through internal research grants and awards). Where applicable, adjudication
committees will follow the guidelines set out by NSERC and SSHRC,
and applicants should review and follow the disciplinary or area guidelines
provided by these agencies on their respective web sites. It is important
to stress the importance of preparing a clearly and concisely written,
methodologically sound, and properly budgeted proposal that would
normally fall within the applicant's long term research goals. All
items in the proposed budget must be fully justified and their need
explained in the proposal. Attention to these details will provide
a useful preparation for later applications to the granting councils.
Projects in the fine and performing arts will be given the same depth
of review as research proposals in the science, social science and
humanities. Normally, the University will not fund applications for
new research projects from applicants who have doctoral dissertations,
and the like, still to be completed. |
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3.2.1
Career Interruptions |
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It
is recognised that applicants may have had their research trajectory
interrupted by maternity, medical or other special leaves granted
by Mount Allison University, or by previous employers. When
applicants believe their research record requires explanation,
they are encouraged to append an explanatory note to their application
detailing the extent and ways that their productivity may have
been so affected. Adjudication committees will consider these
factors in their decision making. |
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3.2.2
Research Reports |
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A
report on the use and impact of previous funding received is
required before any subsequent funding will be awarded. These
reports should be submitted to the Office of the Provost and
Vice-President, Academic and Research as soon as possible after
the project is completed. A copy of the report must be attached
to any subsequent application. |
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3.3
Eligible Expenses |
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Funding
for internal research grants and awards for faculty members is intended
to cover the direct costs of the research or creative activity, including,
but not limited to, for example: small equipment, supplies, the hiring
of student assistants, and travel to field research sites, libraries,
archives, and other research institutions. Please note the following
additional regulations regarding eligibility: |
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- Sabbatical:
travel to and from the sabbatical site is normally funded only
by the Marjorie Young Bell Faculty Fund, Category A. Other internal
research grants and awards may fund research projects conducted
at or from this site.
- Conferences:
funds for travel to conferences to report on research are normally
provided only by the Marjorie Young Bell Faculty Fund, Category
B. In addition, an individual normally may receive funding for
this purpose every second year.
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These
funds may not be used to fund research leading to a university degree.
All costs must be receipted or accountable through Financial Services
and are subject to all existing University policies and procedures. |
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3.4
Maximum Amounts |
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In addition,
the following maximum amounts will apply, unless otherwise announced
in the call for applications: |
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- Research
and creative projects - $7,000
- Conference
travel - $2,000
- Sabbatical
leaves (Marjorie Young Bell Category A) - $5,000
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Applications
that exceed these amounts will not be considered. Please note that
adjudication committees are rarely able to fund every application
fully. |
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3.5
Simultaneous Applications |
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Except
as outlined below, an individual faculty member may not apply for
more than one (1) research or creative project at any one time. An
individual may, however, apply for two research grants when the second
is part of a collaborative project, provided that individual is not
the primary researcher of that project. |
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3.5.1
Applications to the Marjorie Young Faculty Fund, Categories
A and B |
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A
faculty member may apply simultaneously to Category A and B.
Normally, Category B will support travel to one (1) conference
only. |
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3.6
Duration of Grants and Awards to Faculty Members |
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All
faculty members are expected to expend their grant or award within
two years of receipt. Unspent funds will revert to the University
for re-allocation. Recipients of awards whose research or creative
activity is interrupted as a result of a maternity, medical or special
leave granted by the University, or other extenuating circumstances
may request an extension from the Provost and Vice-President, Academic
and Research. In responding to such requests the Provost and Vice-President,
Academic and Research will weigh the prospects that the project can
and will be completed within a reasonable and foreseeable time. If
the Provost and Vice-President, Academic and Research does not intend
to grant such an extension, the case will be referred to the Research
and Creative Activities Committee for consideration. |
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3.7
Policy Regarding the Allocation of Internal Research Grants and Awards
to Students |
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The
primary objective of Student Summer Research Awards is to provide
students with comprehensive, quality research experiences. The main
considerations in the allocation of these awards is the excellence
of the student and the quality of the proposed research. In ranking
the applications, committees will take into account the following
principles: |
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- Awards
should be available to students from all disciplines in an equitable
manner;
- Awards
that are funded for a specific set of disciplines should not displace
a share of general awards for those disciplines;
- A
faculty member cannot be the proposed supervisor on more than
three (3) different student applications (only the primary supervisor
is considered to be the supervisor);
-
Preference will be given to students about to enter their fourth
year, since such students are best positioned to benefit from
the research experience;
-
In the case of applicants of near quality, preference will be
given to the distribution of awards across the full range of disciplines
and the full variety of supervisors; and
- Normally
awards will not be made to graduating students or students currently
in first year.
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3.7.1
Eligibility |
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In
order to be eligible to apply for a Student Summer Research
Award, a student must have a minimum cumulative GPA of 3.0 for
a third-year student and 3.3 for a second-year student. |
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| 4.
Ethics Review |
| Successful
proposals dealing with human subjects must be submitted for approval to
the Mount Allison University Research Ethics Board (REB) before funds will
be released. Conceivably the REB may request the applicant to modify the
research protocol to conform to the Tri-Council Policy on Research Involving
Humans. Similarly, proposals dealing with experimental animals must be approved
by the Mount Allison University Animal Care Committee (ACC), following policies
of the Canadian Council on Animal Care. The REB and ACC will make every
effort to expedite their review of proposals so that researchers can proceed
smoothly into their projects. |
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| 5.
Regulations Governing Research Accounts |
| Internal research
accounts are governed by the following regulations: |
| 1. |
Grants
are to be used solely for the specific projects for which funding
is awarded. |
| 2. |
Researchers
must make purchases and expense claims in accordance with the University's
policies and guidelines. If in doubt, seek guidance from Financial
Services before the fact. |
| 3. |
Accounts
established for grants may not be used as depositories for other research
funds. |
| 4. |
Funds
from grants may not be transferred to other accounts without the approval
of the Provost and Vice-President, Academic and Research. |
| 5. |
Any
unspent funds in the accounts of researchers who are no longer employed
by the University will immediately revert to originating fund, unless
special provision is made with the Provost and Vice-President, Academic
and Research. |
| 6. |
Any
funds remaining at the close of the grant period will revert to the
originating fund for re-allocation. |
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| 6.
Equipment |
| Equipment
purchased with internal research grants and awards shall remain the property
of Mount Allison University. |
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| 7.
Post-Award Changes To The Research Plan |
| To provide
researchers with some guiding principles in this matter, the following policies
and procedures have been adopted: |
| 1. |
It is understood that in awarding grants to applicants, the adjudicating
committee will make explicit the project dimensions and purposes for
which the award is intended. This statement will be contained in the
letter of award and should guide the researcher in planning the scale
and objectives of the research, and the use of the funds provided.
The researcher is then at liberty to expend the funds allocated within
the general framework of the award. It should be noted that letters
of award are sent to Financial Services as a matter of course and
this unit is obliged to administer awards within the terms set out
in the award letter. |
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| 2.
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It is
understood that research, by its nature, frequently involves deviations
from the path originally proposed. These deviations can be minor,
e.g., altered sequences of steps, or alternative travel or field work
plans. On the other hand, deviations can be major, e.g. abandonment
of the project and the re-formulation of a new project direction,
or substantial re-allocation of budget priorities. It is understood
that when alterations to the research project are deemed to be of
sufficient magnitude as to give the appearance of a major change,
the researchers will ask the Provost and Vice-President, Academic
and Research for a review of the proposed revised research plan. It
is imperative that this review be conducted in a timely way so that
the planned research is not unduly delayed. If in the judgement of
the Provost, or his/her designate, the changes proposed are compatible
with the original intent, the researcher will be given leave to continue.
If, however, the changes are judged to be unsupportable, the case
will be referred to the Research and Creative Activities Committee
for consideration. Every effort will be made to convene this committee
via e-mail or other means should it be necessary to do so during the
summer or other periods. If unsupportable at this level, the award
will revert to the originating fund. |
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| 8.
Acknowledging Sources of Funds |
| It is requested
that researchers acknowledge the support given by the University (and the
specific fund) in any publications resulting from a grant. |
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