Research Operations and Administration Guide

Glossary: College and Industry Acronyms

• AR: Applied Research
• CFI: Canada Foundation for Innovation
• CIHR: Canadian Institutes of Health Research
• DMP: Data Management Plan
• FA: Financial Analyst
• HQP: Highly Qualified Personnel
• IP: Intellectual Property
• NDA: Non-Disclosure Agreement
• NRC-IRAP: National Research Council – Industrial Research Assistance Program
• NSERC: Natural Sciences and Engineering Research Council
• OARS: Office of Applied Research Services
• OCAP: Ownership, Control, Access, Possession
• PrairiesCan: Prairies Economic Development Canada
• REB: Research Ethics Board
• RC: Research Coordinator
• RGO: Research Grants Officer
• RPI: Research Partnerships and Innovation
• RPM: Research Programs Manager
• SME: Small and Medium-Sized Enterprises (less than 500 people)
• SSHRC: Social Sciences and Humanities Research Council
• STAR: Strategic Transformation and Applied Research Fund
• TAGFA: Tri-agency Guide for Financial Administration
• Tri-Council or Tri-Agency: CIHR, NSERC, and SSHRC

1. Foreword

Applied research is the application of new or existing knowledge to solve the practical problems of the real world. It is a key element in improving Canada’s productivity and social prosperity through innovation, as well as an expanding role for Canadian Colleges and Polytechnics

Red River College Polytechnic (RRC Polytech) is the province’s largest institute of applied learning and research with campuses located on Treaty One territory — the lands of Anishinaabe, Ininiwak, Anishininiwak, Dakota, and Dené peoples, and the homeland of the Red River Métis Nation. RRC Polytech serves a diverse population of 22,000 students across 8 campuses in 200+ programs. RRC Polytech employs over 2,000 people as one of Manitoba’s largest employers and has established formal relationships and strategic partnerships with more than 750 industry leaders and professionals who power the province. RRC Polytech is inextricably responsive to Manitoba’s most pressing workforce and innovation challenges. 

The goal of applied research is to generate results and solutions that can benefit industry, communities, and society while conferring new skills and capabilities on students, faculty, and research staff and generating knowledge which can be mobilized through curriculum to enhance student experience.  Applied research is the application of research tools or methods to solve a real-world problem or challenge typically in direct partnership with an industry, community, or other external partner. It also includes research involving the development of novel methods, processes, products or services to meet industry or community needs which may not have a direct partner. 

Since 2004, Research Partnerships & Innovation (RPI) at RRC Polytech has held overall responsibility for institutional leadership in the development of core and interdisciplinary Applied Research areas of focus and has served as the gateway to the research-related expertise, technical capabilities, facilities, and Applied Research networks at the College. Supported by NSERC Technology Access Canada and CCI-IE funding as well as direct industry income, endowments, and regional development agency funding, RPI has established several core centers, facilities, and signature research and training areas, including our Technology Access Centre for Aerospace & Manufacturing (TACAM, 2012), Smart Factory (2019), Advanced Composites Development Centre (ACDC, 2022); Vehicle Technology and Energy Centre (VTEC, 2016) including MotiveLab facility (2019); Building Efficiency Technology Access Centre (BETAC, 2015); Prairie Research Kitchen (PRK, 2019); Applied Computer Education(ACE) Project Space (2017), a new cross-institutional Digital Technology Transformation Initiative (DTTI, 2023) as well as industry-funded internships, Applied Research Chairs (ARCs), and variously funded Applied Research and industry training programs. 

Since the inception of RPI in 2004, RRC Polytech has served as a model for implementing applied research programs at colleges nationwide. The program has attracted over $90 million in capital investment from government and industry stakeholders. In addition, applied research has now been integrated into all RRC Polytech’s school-specific academic plans. 

RRC Polytech’s Research Plan, Innovation in Action, 2022-2026 outlines the priorities and goals that focus on building a thriving, inclusive applied research ecosystem by building our reputation as a leader in technology and innovation in education, enhancing relationships and practices guided by Indigenous methodologies and raising awareness of our achievements and aspirations.

The applied research priority focus areas that have been identified as a result of the planning process, are synergistic between RRC Polytech’s current and developing research strengths and the socioeconomic needs of its communities. 

The areas identified are: 

1. Advanced Design and Manufacturing 
2. Clean Technology with focus on EV and Buildings 
3. Digital Technology 
4. Health, Nutrition and Social Sciences

Aligned with RRC Polytech’s 2022 – 2026 Strategic Plan and polytechnic mandate, three new institutional KPIs have been established: (i) applied Research revenue, (ii) businesses and organizations served by applied research, (iii) academic programs with applied research.

Led by RPI and with the support of the faculty, staff and students within the College’s Schools, RRC Polytech’s ability to support industry through applied research has been recognized, awarded, and enhanced through grants and/or other financial awards from organizations such as the Natural Sciences & Engineering Research Council of Canada, Prairies Can, the Canada Foundation for Innovation, the Province of Manitoba and the National Research Council of Canada Industrial Research Assistance Program. These contributions, along with financial and in-kind support from local industry, have driven the steady growth of the College’s applied research program.

The Director, Research Partnerships & Innovation provides the leadership to encourage the development of applied research and innovation capacity at the College and to raise awareness in the community (locally, regionally, nationally and internationally) of the College’s applied research and innovation enterprise. The Director of RPI (coordinating with the Academic Schools) is also responsible for the establishment, start-up and/or initial or on-going operation of Research Centres and the establishment of, and support for, Research Chairs.

The position is responsible for the overall management of applied research and innovation across the College, with an emphasis on cross-College collaboration and consultation (academic and administrative), research funding development, internal capacity building, building and maintaining relationships with the granting councils and other public funding organizations, advocacy (at local and national levels) and the management of the RPI department.  The Director RPI also prepares Institutional Research Plans, as aligned with the College’s Strategic and Academic Plans and reports on activity and progress using established metrics and tracking systems as well as institutional research KPIs.

RRC Polytech has increased its support to applied research, technology transfer, prototyping, product development, testing, and commercialization through the establishment of Research Partnerships & Innovation and in 2024, due to ongoing growth and expansion, established the Office of Applied Research Services (OARS) within RPI. The OARS Guide is an operations and administration manual for applied research at RRC Polytech overseen by OARS.

2. Conducting Applied Research at RRC Polytech

2.1 Office of Applied Research Services (OARS)

The Office of Applied Research Services (OARS) within Research Partnerships & Innovation (RPI) leads the administration of applied research at RRC Polytech, providing expertise, enabling opportunities for researchers and partners, and driving applied research excellence. 

OARS supports the operations and administration of applied research across the college including:

• Overseeing pre-award proposal processes and ensuring adherence to institutional and funding agency policies and requirements.
• Directing and overseeing internal submission and review of research grants and authorizes grant proposal and budget submissions to external funders.
• Overseeing and administering the Research Support Fund (RSF) and General Research Fund (GRF) and oversees transfer requests
• Advising researchers on available provincial and federal (including tri-agency) funding programs, reviewing criteria, eligibility, and submission requirements
• Overseeing the overall administration of research within RRC Polytech
• Providing liaison and guidance to industry and community partners regarding expertise, facilities, funding, and agreements
• Advising researchers on research policies and best practices including R-series policies, REB and OCAP requirements, research security and research data management, TAGFA requirements, project accounting and reporting, research agreement types and uses.
• Overseeing research metrics and KPIs reporting for Board of Governors, Polytechnics Canada, InfoSource and others
• Providing letters of support for research collaborations, and nominations to research awards 
• Supporting and facilitating student applied research projects 

2.2 Research Policies and Procedures

RRC Polytech has developed a comprehensive set of policies and procedures concerning applied research. These policies are fully Tri-Council (see Glossary) compliant, and include: 

• R1 – Research Involving Human Subjects
• R2 – Integrity in Research and Scholarships
• R3 – Animal Care and Research
• R4 – Conflict of Interest in Research
• R5 – Student Rights in the Conduct of Research
• R6 – Research in the Yukon, Northwest Territories and Nunavut
• R7 – Research Involving Biohazards and Radioactive Materials
• R8 – Applied Research Administration
• R9 – Approval to Forward an Application for Research Funds to an External Sponsor
• R10 – Recovery Costs of Research
• R11 – Adjunct Researchers
• F4 – Research Funding Compliance

These policies can be found in Appendices D – N, respectively.

2.3 Tri-agency Guide on Financial Administration

The Tri-agency Guide on Financial Administration (TAGFA) policy sets the terms and conditions governing the administration, by the RRC Polytech, of grants and awards. Tri-council agencies include: The Canadian Institutes of Health Research (CIHR), The Natural Sciences and Engineering Research Council of Canada (NSERC) and The Social Sciences and Humanities Research Council of Canada (SSHRC).

It is the responsibility of all RRC Polytech departments, employees, students and any other third parties involved in research to comply with TAGFA when conducting research or research related activities. Personnel that are approving budgets are required to attend TAGFA awareness sessions. 

The Agencies will periodically review the administering institutions’ use and administration of grant funds to assess the effectiveness of policies, systems and internal controls, and to ensure compliance with relevant agency requirements.

Compliance with this guide is a condition of applying for, holding or administering agency grant funds. Any recourse that may be exercised for a confirmed breach of agency requirements will be commensurate with the nature of the breach.

Refer to the Tri-agency Framework: Responsible Conduct of Research (2021) for information on how the Agencies address allegations about the responsible conduct of research, including the procedures to be followed with respect to a breach of an agency requirement.

These four basic principles govern the appropriate use of grant funds.

Grant expenditures must:

• be a direct costs of research for which the funds were awarded, with benefits directly attributable to the grant
• not be provided by the administering institution to their research personnel
• be effective and economical
• not result in personal gain for members of the grant team

For further information refer to the Tri-agency guide.

2.4 Types of Applied Research

• Research Grants
  • (I.e., funding is provided through a provincial or federal funding agency often with cash matching funds from an industry or community partner. Common examples are NSERC Applied Research and Development Grant, Applied Research Tools and Instruments grants (ARTI), College and Community Social Innovation Fund (CCSIF), Social Sciences and Humanities Research Council (SSHRC) Partnership Engage Grants, Canadian Institutes of Health Research (CIHR) Team Grant, Canada Foundation for Innovation (CFI) College Fund, Research Manitoba Innovation Proof of Concept, National Research Council of Canada IRAP-CTO, Mitacs
• Research Contracts
  • (I.e., a sponsoring company contracts the services of research staff for expertise or equipment to achieve a set of deliverables through an applied research project)
• Technical Services
  • (I.e., a company engages research staff expertise or facilities for a service rendered such as a testing service using established methods)
• Student Applied Research Projects
  • (I.e., students employ research tools or methods in a project-based, non-operational manner to solve a real-world problem or challenge typically in direct partnership with an industry, community or other external partner for instance through project-based coursework, a research-focused co-op or a research internship).  
• Licensing Agreements for Research Products 
  • (i.e., new IP or products are developed resulting from research projects and a company seeks a licensing agreement to use that product.
• Internal Funding
  • (i.e., funding administered within RRC Polytec, often but not always funded by RPI, e.g., RSF or STAR funding)

2.5 Types of Legal Agreements

2.5.1 Confidentiality and Non-Disclosure Agreements

• NDA one way – Intended to be used where one party will be sharing confidential information to and from each other. Generally used for pre-contractual discussions and negotiations between the College and the other party, e.g. before the parties enter into a service agreement. 
• NDA mutual – Intended to be used where both parties will be disclosing and receiving confidential information to and from each other. Generally used for pre-contractual discussions and negotiations between the College and the other party, e.g. before the parties enter into a service agreement.

2.5.2 Service Agreements

• Provision of Service – Intended for use for transactions in which one party is providing services to another party.  Note that RRC Polytech’s Provision of Service agreement provides that the client becomes the owner of the final deliverable. If that is not what you intend, please speak with Legal and Compliance.
• Provision of Training – Intended for use for transactions in which one party is providing training services to another party.
• Fee for Service – Intended for use for transactions with the objective to hire an independent contractor. Note: In individual cases, please speak to your HR officer or legal department to confirm whether the individual should be hired as an employee rather than an independent contractor.
• Amendments – Intended for use to amend the terms of an existing agreement. e.g. to extend the term of the original agreement.

Execution of research contracts are done in accordance with the Policy R9 –  Approval to Forward an Application for Research Funds to an External Sponsor. The appropriate signing authority signs research contracts and grant. Researchers are not authorized to sign an agreement on behalf of the College. RRC Polytech requires that all legal contracts have two authorized RRC Polytech signatures. One “person” and one “officer”.

Researchers are strongly encouraged to contact OAR’s Industry Liaison Manager who can advise on agreement considerations pertaining to costing, insurance, consulting, transferring/ commissioning equipment, etc. and direct researchers to the appropriate offices for further guidance. 

2.6 Intellectual Property and Commercialization

At RRC Polytech, industry and community partners typically retain the IP developed in the course of collaborative applied research projects. 

Research undertaken in colleges and polytechnics rarely results in the development of IP by our researchers that is typically protected and overseen within Technology Transfer offices in many Canadian research universities. 

Rather, it is central to the polytechnic applied research enterprise facilitated by RPI and OARS that applied research is carried out with an industry or community partners to: 

• advance R&D around the partner’s patents and IP (often at TRL 4- 8), and 
• advance research commercialization by de-risking research and innovation. 

This is supported by adopting IP practices which are favourable to industry. 

This industry-friendly approach to intellectual property enables industry to immediately apply the applied research results to their product, process or service idea and get to market in a timely manner since IP rights have been dealt with up front with a minimum (if any) amount of negotiation.

3. Pre-Award Processes

3.1 Research Project Development/Partnership Initial Exploratory Stage

OARS can help at all stages of research project development, partnership development and application process, including:

• Preliminary assessment of partnerships and funding eligibility
• Assistance in Applied research proposal development
• Matching industry partners with researcher expertise 
• Guidance in building successful partnerships 
• Identification and assessment of applied research funding opportunities 
• Intellectual property and technology transfer guidance 
• Management and administration of applied research grants and contracts 
• Industry liaison and external relations
• Start-up and operation of applied research pilot projects

Industry Liaison – Researchers are encouraged to connect with the Industry Liaison at the initial exploratory stage for guidance on developing partnerships with organizations, sector councils or funding agencies and can offer valuable advice on lessons learned.  

Research Grants Officer and Research Coordinator – Researchers are encouraged to contact the Research Coordinator early on to identify and advise on funding opportunities, assist with proposal development, and liaise with the OARS team to ensure a smooth proposal development process and submission of the funding application. The Research Grants Officer will provide the necessary guidance alongside the Research Coordinator.

3.2 Research Project Development steps for researchers consulting OARS:

1. Initial contact with OARS and Preparation

1. Reach out to OARS via email to schedule a consultation appointment. Provide a brief overview of your research interests, objectives, and any specific areas you need assistance with.
2. Identify the challenge. When a prospective industry collaborator or partner seeks involvement with RRC Polytech to tackle a particular challenge, the crucial initial step is to define the challenge. RRC Polytech can collaborate with the industry partner in formulating the “challenge definition.”
3. Prepare an outline or summary of your research proposal, including the research question, objectives, methodology, and expected outcomes.
4. Compile any relevant background information, literature reviews, or preliminary data related to your research project.

2. Consultation Meeting:

1. The researcher (and industry partner if any) meets with the representatives from OARS at the scheduled appointment. The industry need (product and specific challenges) will be discussed along with the capabilities of RRC Polytech (facilities and expertise). A Non-Disclosure Agreement (NDA) may be signed at this stage.

3. Create statement-of-work 

1. Create a statement-of-work that includes project scope, budget, schedule, and deliverables through consultation with relevant College staff/ faculty and or industry partner. 
2. The College will appoint a key staff/ faculty contact involved in the project while the industry partner appoints a key technical contact for the project. 

4. Eligibility for funding

The College may seek government funding to support the applied research project. Any funding proposals that will be submitted must first be reviewed through OARS. Eligibility for such funding is determined by the specific requirements of each funding program, which can vary significantly and be challenging to navigate. OARS can assist and recommend industry-friendly programs.

Individuals, such as inventors with ideas, may not meet the eligibility criteria of certain third-party funders, such as being incorporated or having a minimum number of employees or business tenure. However, OARS can offer support to try to find other sources of funding.

Colleges commonly utilize programs from the Tri-Council (NSERC, SSHRC, CIHR), and Mitacs (student support) for research projects. College researchers prepare the funding proposals in consultation with OARS. The review and approval process from the funding agency can range from weeks to months, depending on the amount requested. Each funder has its own guidelines regarding eligible costs. These funding awards are usually deposited to the college, not the industry client.

5. Applied Research Agreement

After the industry and College agree on the statement of work, they can negotiate an applied research agreement. This agreement covers elements from the statement of work and includes terms about project scope, activities, budget, schedule, intellectual property terms, confidentiality rules, publication rights, indemnification, payment terms, key contacts, and other relevant aspects.

4. Funding

OARS develops and disseminates information on sources of external research funding: research grants, contracts, travel, equipment, conference and publication grants, and fellowships. All funding notices will be distributed by OARS to the Deans and Associate Deans for further distribution by their Chairs. Major funding will be listed on the OARS website and distributed through the staff news. 

4.1 Internal Sources

4.1.1 Strategic Transformation and Applied Research Fund (STAR)

An annual internal funding competition at RRC Polytech that aims to support a broad range of innovation and activities at the College with emphasis on interdisciplinary and multi-department projects. 

There are three main categories for applications:

1. Academic Innovation
2. Applied Research
3. College-wide Improvements

Proposals must clearly demonstrate innovation, align with RRC Polytech strategic plan commitments, and clearly identify how the project will positively benefit and transform RRC Polytech.

A notice will normally be disseminated at least two months prior to the application deadline. Funding can be used to provide salaries for students or professionals, travel expenses, and research dissemination for example. The value is normally up to $10,000 per project. Internal or external sources of funding will be required for budgets exceeding the limit. Selection criteria and summaries of previously funded projects can be found on the RPI website.

4.1.2 General Research Fund (GRF)

The General Research Fund (GRF) is a special account under the authority of the president of RRC Polytech into which residual funds of expired or terminated grants are transferred with the authorization of the granting agencies (NSERC and SSHRC only). The president has delegated the signing authority for the GRF to the Director, Research Partnerships & Innovation. Following Tri-Agency regulations, the College uses these funds to support research in the fields of natural sciences and engineering or in the social sciences and humanities, respectively.

NSERC and SSHRC (the “Agencies”) will allow the institution to retain unspent funds from prior years under certain conditions determined by OARS. These funds will be transferred to a GRF account. The Agencies will also allow proceeds from any sale of equipment purchased, or facilities established, with funds granted by an Agency, to be transferred to the GRF. The Agencies expect that the institution will use these funds to enhance the quality of research in the natural sciences and engineering, or in the social sciences and humanities, as applicable. Funds from the GRF may be used to provide small start-up grants to new Researchers, bridge funding to Researchers between applications, or support RRC Polytech’s research enterprise. Funds must be spent on time.

Additional information can be found in the Guidelines for the General Research Fund (NSERC and SSHRC only).

4.2 External Sources

4.2.1 Tri-Agency College and Community Innovation program

The College and Community Innovation program is tri-agency funding that provides innovative solutions for local and regional challenges faced by businesses, government and communities, through the expertise of Canadian colleges, CEGEPs and polytechnics. Tri-Council Agencies means The Natural Sciences and Engineering Research Council of Canada and The Social Sciences, Humanities Research Council of Canada, and The Canadian Institutes of Health Research. Tri-agency grants are institutional grants and thus will have to be reviewed through OARS. 

4.2.2 Natural Sciences and Engineering Research Council  

Natural Sciences and Engineering Research Council (NSERC) provides funding specifically geared towards Colleges and Polytechnics under the College and Community Innovation (CCI) program. The CCI program offers funding opportunities that support partnerships in applied research across the spectrum of natural sciences and engineering, social sciences and humanities and health sciences. Partner organizations may be from the private, public and/or not-for-profit sectors. The specific objectives of a CCI funding opportunity may help determine the most appropriate type of partner(s).

4.2.3 Social Sciences and Humanities Research Council

Social Sciences and Humanities Research Council (SSHRC) supports postsecondary-based research, research training and knowledge mobilization activities in the social sciences and humanities. SSHRC strategically supports world-leading initiatives that reflect a commitment to ensuring a better future for Canada and the world. SSHRC-supported research in the social sciences and humanities enhances our understanding of modern social, cultural, technological, environmental, economic, and wellness issues. Funds are provided through a number of programs, including Partnership, Partnership Engage, Partnership Development, Insight, Insight Development, and Connection grants.

4.2.4. The Canadian Institutes of Health Research

The Canadian Institutes of Health Research (CIHR) is Canada’s federal funding agency for health research. CIHR’s mandate is to “excel, according to internationally accepted standards of scientific excellence, in the creation of new knowledge and its translation into improved health for Canadians, more effective health services and products and a strengthened Canadian health care system.” 

4.2.5 Canada Foundation for Innovation

Canada Foundation for Innovation (CFI) is an independent corporation created by the Government of Canada to fund research infrastructure. The infrastructure funded by the CFI includes state-of-the-art facilities, laboratories, equipment, computer hardware, software, and databases necessary to conduct leading-edge research. CFI projects are institutional initiatives where RRC Polytech researchers are offered the opportunity to apply through an internal review process and competition facilitated by OARS.

4.2.6 Mitacs

Mitacs programs are supported jointly by the federal and provincial governments and agencies, industry, and post-secondary institutions within Canada, as well as governments and universities overseas. Mitacs funds various student internships (typically with industry) and can be used to leverage partner funds.

4.2.7 Other Funding Opportunities

OARS regularly receives notices of funding opportunities through various agencies, institutions, and companies, such as Research Manitoba (RM), Prairies Economic Development Canada (PrairiesCan), the Canadian Foundation for Innovation (CFI), and the National Research Council of Canada Industrial Research Assistance Program (NRC-IRAP).

5. Research Proposal Development, Approval, and Submission

5.1 Proposal Development and Review

In general, when a researcher identifies a funding opportunity for which they are interested in applying, OARS needs to be informed. The researcher should discuss their idea with their supervisor, be it a Chair, Dean, or Director, and get their support for the project. The budget for the research proposal should be developed in consultation with OARS and Financial Services.

Researchers are encouraged to contact their Research Coordinator (RC) at an early stage to identify research funding opportunities, assessing fit of the proposed project/partnership with funding program, liaise with OARS, review drafts, provide writing tips as well as sample applications and templates, if available. 

5.2 Ethics and Compliance

The Tri-Agency launched an EDI Action Plan for 2018-2025 to ensure that post-secondary institutions achieve world-class research by ensuring the fulsome and equitable participation of all talented individuals. Accordingly, Applicants must describe specific, concrete practices that will be put in place to ensure that EDI is intentionally and proactively supported in the research training plan. 

See section 9 for links to resources that are recommended reading for researchers, staff, faculty and students on including EDI considerations in grant applications, research teams and research design.

5.2.1 Research Involving Humans Subjects

All research involving human participants which is to be conducted by faculty, staff and students must be approved by the RRC Polytech Research Ethics Board (REB). This is to ensure that accepted ethical guidelines are followed. These guidelines are outlined in the Tri-Council Policy Statement 2 (TCPS 2): Ethical Conduct for Research Involving Humans.

TCPS 2 Tutorial – Course on Research Ethics (CORE) – CORE is a free online self-paced course that features multidisciplinary examples. TCPS2 CORE certificates are required for any students or research assistants on an ethics approval application and strongly recommend for principal investigators and faculty members. 

For more information or to submit a protocol, please see: Research Ethics Board: Overview of the Health Canada and Public Health Agency of Canada REB.

5.2.2 Animal Care and Research

RRC Polytech is committed to maintaining high standards of animal care and use in animal-based teaching, research or testing. An application describing the proposed use of animals must be filed with, reviewed and approved by the College Animal Care Committee before animals can be used for research and teaching. 

For more information or to submit a protocol, please see: Research Ethics Board: Overview of the Health Canada and Public Health Agency of Canada REB.

5.3 Research Data Management

All grant proposals submitted to the agencies will require data management plans (DMPs) to be submitted to the appropriate agency at the time of application, as outlined in the call for proposals; in these cases, the DMPs will be considered in the adjudication process.

• Tri-agency Research Data Management Policy
• RRC Polytech Research Data Management Resources

5.4 Equity, Diversity, and Inclusion (EDI)

The Tri-Agency launched an EDI Action Plan for 2018-2025 to ensure that post-secondary institutions achieve world-class research by ensuring the fulsome and equitable participation of all talented individuals. Accordingly, Applicants must describe specific, concrete practices that will be put in place to ensure that EDI is intentionally and proactively supported in the research training plan.

See section 8 of this guide for links to resources that are recommended reading for researchers, staff, faculty and students on including EDI considerations in grant applications, research teams and research design. 

5.5 Research Involving Indigenous Peoples and Communities

All research involving Indigenous peoples must be undertaken in accordance with the second edition of the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans, and, in particular, Chapter 9: Research Involving the First Nations, Inuit and Métis Peoples of Canada.

Researchers must develop community engagement plans that follow the specific to the community and the relationship. Researchers are expected to address the rights of Indigenous Peoples and Indigenous self-determination and self-governance, as well as the protection and ownership of knowledge and data resulting from the research; for example, the First Nations Principles of OCAP® (Ownership, Control, Access and Possession) for First Nations or other principles as determined by Indigenous partners (e.g., National Inuit Strategy on Research). 

5.6 Budget Preparation and Approval

Applicants are encouraged to work with their Research Coordinator (RC) and consult with the Research Financial Analyst (FA) as appropriate, to ensure an accurate budget is being requested. Applicants must obtain approval for the final budget from OARS prior to submission to the Funding Agency. As a designate of OARS, the Research Grants Officer (RGO) is required to review and approve the final budget request for all funding applications from RRC Polytech. The FA will provide feedback directly to RGO with cc to the RC and the Director of RPI. The RGO will consolidate and provide feedback to the Applicant. Refer to the step-by-step process below:

• The research team drafts a budget based on the call/ needs of the project.
• The research team works with FA and RPI to develop a draft budget
• Draft provided to RPI (Research Coordinator and RGO)
• RPI reviews draft in parallel with Finance.
• Finance (e.g., Director Finance) provides comments on budget
• RGO reviews comments from Finance and determines appropriate response, referring to Director RPI if required
• RPI provides suggestions/direction to the research team for changes.
• The research team edits the budget
• RGO completes a final review of the budget and authorizes budget and proposal submission. The application package is submitted to the funding agency

5.6.1 Infrastructure requests

All Applicants shall be aware that along with costs for new equipment, a proposal may require an estimate for renovations or new build to house the requested equipment. Even small equipment upgrades to be housed in existing facilities can trigger major infrastructure servicing upgrades, with unforeseen costs including indirect and construction costs associated with the infrastructure changes/upgrades required, or costs for work done by College departments such as IT. Facilities is the first point of contact for infrastructure requests. 

5.6.2 Quotes

At the application stage, obtaining quotes for equipment is for the purpose of budget justification only, and not for the purpose of procuring equipment. Therefore, consultation with or oversight by the Procurement office is not needed at the application stage though researchers may wish to seek input from Procurement to advise on potential vendors. If/when the application is awarded, grant recipients must follow RRC Polytech’s procurement policy and procedure to purchase equipment. 

5.7 Submission Process for External Funding

5.7.1 Approvals and Signatures

Policy R9 – Approval to Forward an Application for Research Funds to an External Sponsor
An applicant (principal investigator) shall submit each application for grant or contract funding, including letters of intent, from any research sponsor (for example, government; industry; international organization; business, labour, or other organization; foundation, whether private or public) to the Director of RPI for approval before the application may be forwarded to the sponsor. College approval is required whether the sponsor requires such approval. It is the responsibility of the researcher to obtain College approval before submitting a grant or contract application to an external sponsor.

Thus, OARS must review and approve all letters of intent and proposals before they can be submitted to the funding agency. All applications/proposals must have the appropriate academic endorsement before being submitted to OARS. The costing must be signed by the researcher, the Research Financial Analyst (FA), and the researcher’s supervisor. Completed grant and contract submissions require submission of a Research Funding Application Approval Form, which is used to track necessary compliances and approvals, and must be routed for all academic signatures prior to submission to OARS for approval. The project must be approved by the researcher’s chair and dean or director with final sign off by the Director, RPI.

5.7.2 Internal Deadlines

Completed funding application package or letters of intent to apply, signed costing and application approval form are due to the RGO five (5) business days before the agency deadline unless otherwise noted. 

The FA will provide feedback on the budget directly to RGO with cc to the RC and the Director of RPI and will not provide feedback on the budget directly to the researcher/applicant. The RGO will consolidate and provide feedback to the Applicant. OARS deadlines are set to allow adequate time for the Applicant to incorporate OARS suggestions/finalize the application. Once the proposal materials and budget are authorized as eligible and appropriate for submission by the RGO, the RGO shall forward the grant or research proposal to the appropriate agency. OARS deadlines for submitting applications will be posted in the weekly notice that will be distributed to faculty by their Research Chair/Dean, and will be listed on the Funding website maintained by OARS.

The general financial review process is provided below:

1. Research team drafts a budget based on the call/ needs of the project.
2. Research team works with FA and RPI to develop draft budget
3. Draft provided to RPI (Research Coordinator and RGO)
4. RPI reviews draft in parallel with Finance.
5. Finance (e.g., Director Finance) provides comments on budget
6. RGO reviews comments from Finance and determines appropriate response, referring to Director RPI if required
7. RPI provides suggestions/direction to research team for changes.
8. Research team edits the budget
9. RGO completes a final review of the budget and authorizes budget and proposal submission 
10. Application package is submitted to funding agency

If any of the conditions below are met, earlier review/more substantial process is required and a copy of submission is provided to Finance. The budget should be submitted to RPI Director, CC RGO and RC, 10 business days prior to the agency deadline when:

1. The proposal includes any kind of RRCP cash commitment
2. The proposal includes significant allocation of College resources
3. The budget is over $500K
4. Any significant risk has been identified

The budget should be submitted to the RPI Director, copying RGO and RC 3 business days prior to the funder deadline if none of the above conditions are applicable.  Do note that regardless of grant value, OARS needs to be notified of upcoming proposals to determine the type of support required for submission. All budgets (regardless of amount will need to be reviewed by Finance). 

Final budget to be submitted to Financial Analyst no later than five business days prior to submission deadline if the proposal meets any of the above or three business days prior to submission if it does not. No changes to the budget are allowed at this point.

5.7.3 Letter of Support – Institutional

Some research funding programs require a letter of institutional support that describes any financial or other commitments made by the lead institution and potential partner institutions in support of the proposed research project. Sponsors usually permit only one letter of support per institution that documents specific commitments to the research initiative and includes institutional endorsement of the application. Some funders prescribe that the institutional letter of support must come from the president of the institution (i.e. for major grants like Technology Access Canada, and NSERC’s Lab to Market) while other funders consider the senior official in charge of research (Director of RPI) would be sufficient. 

At RRC Polytech, for letters of support committing contributions to the project are purely in-kind, the Director of RPI can sign off on the letter of support. 

Where financial or other resource commitments (space, release time, access to specialized facilities, etc.) are made at the unit/divisional level, written approval from the appropriate unit/division head must be obtained for those commitments to be incorporated into the institutional letter.

Process for Obtaining a Letter of Institutional Support
The Principal Applicant, or designate, should work with their unit head and divisional leadership (and, through co-investigators, with heads of other participating units and divisions) at the earliest possible opportunity when requesting financial or other commitments in support of the application. The Applicant is encouraged to also contact the RGO at the earliest opportunity to ensure the required content is included in the letter. The draft letter and documented approval of all divisional commitments should be submitted to ten (10) business days prior to the internal deadline for the full application.

OARS will review the letter, confirm the institutional commitments outlined, and then obtain the required institutional signatures. 

6. Post-Award Processes

For externally funded projects, commonly from the Tri-Agency, the following steps should be followed as soon as the notice of decision is received.

• Inform the research leads that the project was approved/awarded. Forward the ‘Notice of decision’ or email received from the funder. 
• The research lead will use the ‘Notice of decision’ and other relevant documents to set up a project account (see section 6.3 Preparing a project costing) with the start and end date.
• Review the notice of decision for details on a communication protocol (when it’s allowed to make a public announcement), funding installment schedule (if applicable), and reporting requirements and schedule.
• When the project account is set up, the project can start and funds can be spent per the project work plan. For infrastructure projects, refer to section 6.4 Procurement Process.
• For multi-year projects, work with the Finance Analyst to generate the project statement of account (F300/301) to be reviewed by the research leads and signed by the authorized signatories (RPI Director and Finance).
• For projects requiring extension, please coordinate with the RGO at least one month before the grant end date so that the extension request can be communicated to the funding agency.
• Projects with unspent funds at the end of the project will follow the GRF process (see section 4.1.2 General Research Fund)
• When projects are completed, the research leads will be asked to complete a final report (for NSERC is usually one month after the project end date). At this point, the research lead can coordinate with the Finance Analyst and Research Operations Manager to reconcile and close the project account.

6.1 Managing Funds

All internally funded projects will be overseen by the Financial Services department. Once selected for funding, the researcher will meet with the Research Financial Analyst to determine the needs and expectations of their projects. A project costing on which their finances will be based will be the result of this meeting. Researchers are responsible for properly managing their own projects.

6.2 Delegation of Authority

Upon notification of a successful grant application, the grant recipient, i.e. primary applicant (RPI Director), will forward the notification to Manager, Research Operations to complete the Delegation of Authority process. 

A Delegation of Authority Form (DOA) is required by the funder for all Tri-Council funded projects to authorize the budget holder the authority to approve the grant expenditures. Only the grant recipient can delegate their authority to use grant funds to others. Similarly, only grant recipients or individuals duly delegated by grant recipients can authorize grant expenditures or other charges to the recipient’s grant account. 

• NSERC – Inter-Agency, Tri-Agency Financial Administration, Roles and Responsibilities

6.3 Preparing a Project Costing

Costing Template:
A project costing is required to set up a project account. The costing template is available on HUB – College Forms on Teams Sites – Project Administration (Financial Accounting and Business Solutions) –Project Costing and Approval Sheets Jun2019.

Assign a Project Coordinator (PC)
The PC is responsible for filling in the project costing template with the information provided by the Project Manager, initiating the maestro process, submitting all documents on maestro and ensuring process flow. Typically, an Administrative Assistant is assigned as the PC. 

Overhead:

• Overhead may be waived on all Research projects and Government funded projects.
• Overhead may not be waived for Training projects or Technical services. 
• In cases where overhead is to be waived for a Research project, select “Other” from the dropdown box and add the following line to the project description box “Overhead waived due to Applied Research project”.

For Tri-Council funded projects, use the project start date as shown on the award letter and the “Use of Grant Funds End Date” for the project end date.  Fill in the File# under the Funder Ref # section.

GST is not charged on applied research projects.

If Tri-Council funded (NSERC, SSHRC, CIHR) confirm if there is a Delegation of Authority Form (DOA). A DOAis required to be filled out to grant the budget holder authority to approve expenditures. This is a funding requirement.

Contact Manager, Research Operations for additional information.  

6.4 Procurement Process

Equipment and supplies for research grants are to be purchased according to the RRC Polytech Purchasing Policy and Procedure (M1) and the Tri-agency Guide on Financial Administration (TAGFA). 

6.4.1 Order of Precedence

The following is the order of precedence and interpretation RRC Polytech will apply to research financial transactions in using TAGFA: 

1. The Agreement on the Administration of Agency Grants and Awards by Research Institutions. This agreement between the Tri-Agencies and RRC Polytech sets out the general terms and conditions governing the administration of Tri-Agency grants and awards.
2. Tri-Agency program/funding opportunity-specific literature. 
3. Any other relevant agreements between RRC Polytech / grant recipients and the Tri-Agencies if applicable. 
4. TAGFA.
5. RRC Polytech financial policies and processes.

If there is any doubt about whether an expenditure is allowable, the most stringent policy applies.

6.4.2 Basic Procedures

The following basic procedures apply to all research expenditures: 

• Expenditures must be in accordance with RRC Polytech policies and processes
• Grant recipients are responsible for authorizing expenditures, ensuring expenditures are eligible, and including supporting documentation
• If RRC Polytech or the approver of an expenditure considers the grant-related purpose unclear, a written justification must be included with the supporting documentation
• Adjustments made to grant expenses require supporting documentation justifying the adjustment as well as authorization from the grant recipient

6.4.3 RRC Polytech Procurement Policy and Processes

All expenditures should be purchased with an authorized PO issued prior to the receipt of that product or service. The requisition application, ESM, is accessible to authorized users through HUB.  

All purchases of goods and services shall conform to the principle of competitive bidding based on the following parameters defined in the Purchasing Policy: 

1. For purchases of like items that are reasonably foreseen to cost from $25,000 to $74,999, three written quotes are required. 
2. For purchases of like items that cost from $75,000 or more, three or more written competitive bids are required; the competitive process will be administered by the procurement team. 

The procurement team is available to assist with obtaining quotes of any value and has bidding tools in place to ensure increased competition and favourable pricing, fair and equitable treatment of vendors and formal evaluation and documentation process. 

The quotation or bidding requirements noted above may be waived in the following circumstances:

1. Where the product or service can only be provided through a strategic partnership
2. Where the product or service can only be reasonably delivered by a single supplier 
3. Where an emergency order is required 

In the cases noted above, a waiver form will be required to be approved. 

For additional information refer to the Procurement and Logistics Guide.

7. Knowledge Transfer and Media Relations

Approval from industry or other external partner(s) is required prior to sharing results from work with partners.Prior to sharing the results of applied research projects in a public forum such as any publication or presentation that would have the effect of putting the results in the public domain, intentions shall be disclosed by researchers to OARS Manager, Research Operations.. Once partner agreement is confirmed, OARS and/or the Communications Office will coordinate with the Researcher. Media inquiries and public relation matters (e.g. interviews, media appearances, press releases, announcements) must be referred to the College and Public Relations Office for review prior to any commitment or undertaking.

8. Resources

8.1 Resource Links:  

• CFI (2024)
• About CIHR (2024)
• About NSERC (2024)
• About SDTC (2024)
• About SSHRC (2024)
• Canadian Intellectual Property Office (2024)
• Polytechnics Canada (2024)

8.2 Agency specific Equity, Diversity, Inclusion and Indigenization in Applied Research (2024):

Canadian Institutes of Health Research (CIHR)

• Eliminating systemic racism in Canada’s health research funding system
• Equity, Diversity and Inclusion (EDI) in Action at CIHR
• Equity, Diversity and Inclusion in the Research System
• Improving accessibility and eliminating systemic ableism in Canada’s health research funding system
• Sex and Gender in Health Research

Natural Sciences and Engineering Research Council of Canada (NSERC)

• NSERC’s Framework on Equity, Diversity and Inclusion (pdf)

Social Sciences and Humanities Research Council (SSHRC)

• Equity, diversity and inclusion in research practice and research design
• Equity, diversity and inclusion in the research enterprise

Best practices

• Best Practices in Equity, Diversity and Inclusion in Research (Government of Canada, New Frontiers in Research Fund)
• Creating an Equitable, Diverse and Inclusive Research Environment: A Best Practices Guide for Recruitment, Hiring and Retention (Government of Canada, Canada Research Chairs)

Guides for including EDII in your grant applications

• Guide to addressing EDI in CCI grant applications
• CCI guide for research involving Indigenous Peoples and communities
• Alliance grants: Equity, diversity and inclusion in your training plan (Natural Sciences and Engineering Research Council of Canada)
• Guide for Applicants: Considering equity, diversity and inclusion in your application (pdf) (Natural Sciences and Engineering Research Council of Canada)
• Guide to Addressing Equity, Diversity and Inclusion Considerations in Partnership Grant Applications (Social Sciences and Humanities Research Council)

8.3 Research Involving Indigenous Peoples and communities

• The First Nations Principles of OCAP® (First Nations Information Governance Centre)
• Indigenous Research (Social Sciences and Humanities Research Council)
• National Centre for Truth and Reconciliation (University of Manitoba)
• Setting new directions to support Indigenous research and research training in Canada 2019 – 2022 (Government of Canada, Canada Research Coordinating Committee)

8.4 Recommended courses

• Gender-based Analysis Plus course (Government of Canada, Women and Gender Equality Canada)
• Unconscious bias training module (Government of Canada, Canada Research Chairs)

8.5 Tri-Agency

• Tri-Agency Statement on Equity, Diversity and Inclusion (EDI)
• Overview of all EDI-targeted Tri-Agency grants and awards
• Dimensions program 

OARS Contacts

Appendices

• Appendix A: Research Plan, Innovation in Action 2022-2026
• Appendix B: Tri-agency Framework Responsible Conduct of Research 
• Appendix C: Tri-Council Policy Statement Ethical Conduct for Research Involving Humans
• Appendix D: POLICY – Research Involving Human Subjects
• Appendix E: POLICY – Integrity in Research and Scholarship
• Appendix F: POLICY – Animal Care and Research
• Appendix G: POLICY – Conflict of Interest in Research
• Appendix H: POLICY –Student Rights in the Conduct of Research
• Appendix I: POLICY – Research in the Yukon, Northwest Territories, and Nunavut
• Appendix J: POLICY – Research Involving Biohazards and Radioactive Materials
• Appendix K: POLICY – Applied Research Administration
• Appendix L: POLICY – Approval to Forward an Application for Research Funds to an External Partner
• Appendix M: POLICY – Recovery of Costs of Research
• Appendix N: POLICY – Adjunct Researchers
• Appendix O: POLICY – Intellectual Property and Copyright