Policy 5200 — Internal Research Grants

2 — INTRODUCTION

2.1 Objective

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 that lead to activities like knowledge mobilization outputs, student training opportunities, etc. in the natural 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 faculty presentations at conferences. Researchers are encouraged to explore new or alternative sources of external funding including partnerships with the public and private sector.

2.2 Sources Of Funds

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 administers funding annually from a variety of external agencies (e.g. the Natural Sciences and Engineering Research Council - NSERC - and the Social Sciences and Humanities Research Council - SSHRC) and from a variety of internal restricted and unrestricted funds, which include the Petrocan, Bell, Crake, and Universitas funds. Actual spending allocations from each source differ from year to year. Restricted trust funds have clauses that preclude monies from being used for any purpose other than research and in some cases for certain disciplines only (e.g. the J.E.A. Crake Foundation). Operating funds, by comparison, have no such provision; 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.

3 — PRINCIPLES AND PROCEDURES FOR ADJUDICATED APPLICATIONS

3.1 Committee-Applicant Communication

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 prior to submission.

3.2 Policy Regarding the Allocation of Internal Grants and Awards to Faculty Members

The principal aim of internal research funding is to help researchers initiate research projects that extend knowledge through a disciplined inquiry and/or systemic investigation. Internal research grants also serve to support research, research-creation, and creative activities that have historically been under supported by funding agencies, either because of subject matter suitability or funding thresholds. Where applicable and eligible, it is expected that internal grant applicants will apply for external funding sources at the first opportunity in order to obtain more substantial and sustained funding. 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:

• the need for new faculty members to launch their research careers;
• the need for faculty members who have an established track record to continue to progress;
• 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 in a given area to launch new initiatives that will contribute to their research profile;
• the need to assist those on term appointments to participate in research as a means to enhancing their potential to secure more permanent positions; and
• the degree to which student trainees are incorporated in the research plan.

Applications will be adjudicated for merit by an interdisciplinary committee that will consider the quality and justification of the proposed research or creative activity and and the applicant’s record of research achievement (including the outcomes of projects previously funded through internal research grants and awards) as relevant for their discipline and career stage. It is important to stress that applicants' proposals are expected to be clearly and concisely written, methodologically sound, include a defensible budget, and advance the applicant's long-term research goals. All items in the proposed budget must be fully justified and their need explained in the proposal. 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 disciplines. Normally, the University will not fund applications for new research projects from applicants who have doctoral dissertations, and the like, still to be completed.

3.2.1 Career Interruptions

It is recognised that applicants may have had their research trajectory interrupted by various factors. Career interruptions occur when, for health, family, or other reasons, a scholar is limited in their ability to conduct research work for an extended period (e.g. pregnancy, parental care, eldercare, illness, bereavement, or other special leaves granted by Mount Allison University, or by previous employers). When applicants believe their research record would benefit from consideration of eligible career interruptions, 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.

3.2.2 Research Reports

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.

3.3 Eligible Expenses

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: research equipment, supplies and consumables, salaries of research staff and student assistants, publication costs, and travel to field research sites, libraries, archives, and other research-related locales. Recipients of internal research grants are not permitted to reimburse themselves for research work undertaken with internal research grants. Please note the following additional regulations regarding eligibility:

• 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.

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.

3.4 Maximum Amounts

In addition, the following maximum amounts will apply, unless otherwise announced in the call for applications:

• Research and creative projects - $15,000
• Conference travel  (Marjorie Young Bell Category B) - $2,500
• Sabbatical leaves (Marjorie Young Bell Category A) - $5,000

Applications that exceed these amounts will not be considered. Please note that adjudication committees are rarely able to fund every application fully.

3.5 Simultaneous Applications

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.

3.5.1 Applications to the Marjorie Young Faculty Fund, Categories A and B

A faculty member may apply simultaneously to Category A and B. Normally, Category B will support travel to one (1) conference only.

3.6 Duration of Grants and Awards to Faculty Members

All faculty members are expected to expend their grant or award within the timeframe outlined in the letter of award. Normally, unspent funds will revert to the University for re-allocation. Recipients of awards whose research or creative activity is interrupted because of a parental, medical, or special leave granted by the University, or other extenuating circumstances; however,  may request an extension in time for use of funds 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.

3.7 Policy Regarding the Allocation of Internal Research Grants and Awards to Students

The primary objective of Independent Student Research Grants is to provide students with comprehensive, quality research experiences. The main considerations in the allocation of these awards are the excellence of the student and the quality of the proposed research. In ranking the applications, committees will consider the following principles:

• Awards should be available to students from all disciplines in an equitable manner;
• A faculty member cannot be the proposed primary supervisor on more than three (3) different student applications, though they can be a co-supervisor on additional student applications;
• Preference will be given to students about to enter their final year of studies, 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
• Awards will not normally be made to graduating students or students currently in their first year of study.   

3.7.1 Eligibility

In order to be eligible to apply for an Independent Student Research Grant, a student must normally have a minimum cumulative GPA of 3.5.

4 — PRINCIPLES AND PROCEDURES FOR START-UP FUNDING

4.1 Policy Regarding Allocation of Start Up Awards

Start-up funds are awarded to new tenure-track faculty at the time of hiring and are intended to help recipients launch and establish their research programs. In some cases, research start-up funds may be allocated to faculty members appointed with tenure, or limited-term appointments (e.g. three-year term positions or as designated by certain endowed positions). The purpose of start-up funds is to help recruit faculty members who have the potential to significantly contribute to Mount Allison's research, creative, and scholarly mission. Start-up funding is determined through hiring negotiations involving the relevant Dean and the Provost, Vice-President Academic and Research. The value of start-up funding for a faculty member is determined on a case-by-case basis and is influenced by such factors as the overall budget available, including contributions per the Marjorie Young Bell Faculty Fellowships Committee, historical funding values, the relative costs of the new faculty member's research compared to disciplinary norms.

Start-up funding amounts are stated in official employment offer letters signed by a Dean and approved by the Provost, Vice President Academic and Research. Funds will be made available for three-years from the start date of the appointment and are non-renewable. Extensions to this time-frame can be made for approved research interruptions, as per 3.6 above. Payment of research start-up funds will not normally be made, nor can costs be incurred against these funds prior to the official start date of a faculty member. The payment of start-up funds is activated following an initial meeting between a new faculty member and a Director in the Office of Research Services to review internal research policies, requirements, and support the faculty members emerging research program.

5 — 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 Statement: Ethical Conduct for Research Involving Humans. Similarly, proposals involving the use of animals in research experiments 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 approved proposed research can proceed.

6 — 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, including any extensions for use of funds, will revert to the originating fund for re-allocation.

7 — EQUIPMENT

Equipment purchased with internal research grants and awards shall remain the property of Mount Allison University.

8 — 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.
      
2. 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) or they can be major (e.g. abandonment of the project as funded and the re-formulation of a new project direction or substantial re-allocation of budget priorities). It is understood that when changes to an as-funded 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 in writing 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 their 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.

9 — ACKNOWLEDGING SOURCES OF FUNDS

It is requested that researchers acknowledge the support given by the University (and the specific fund) in any knowledge mobilization activities (e.g. publications, presentations, etc.) resulting from a grant.