R8 – Applied Research Administration

Originator: Director, Applied Research and Commercialization
Approver: President’s Council
Effective: November 14, 2006
Replaces: New

1. Purpose

1.1

In order to develop an effective applied research environment, RRC Polytech maintains an administrative and budgetary infrastructure to assist researchers in their pursuits.

1.2

The Office of Applied Research & Commercialization (AR&C) has overall responsibility for institutional leadership in the development of applied research in all disciplinary and interdisciplinary areas. AR&C is assisted by the Research and Planning Department in its ethics review role and the Vice-President, Finance and Administration who ensures the legal, financial and liability needs of the College are met.

1.3

This policy outlines RRC Polytech’s applied research infrastructure.

2. Definitions

2.1

Principal Investigator: The researcher with overall responsibility for the direction of a research project, grant or contract.

2.2

Researcher/Scholar: Includes all members of the College who participate in research and scholarly activities. Members of the College may include academic and non-academic staff, administrators, students, visiting or adjunct scholars, paid and unpaid research assistants, and any other person in a similar position.

2.3

Research Contract: An agreement to provide research services under specified negotiated conditions for a specific deliverable. For College purposes, contracts include letters of agreement signed by both parties, purchase orders, form contracts and contracts requiring execution under seal.

2.4

Research Grant I: An award to an academic or professional staff member to support their ongoing research interest. The researcher normally follows the conditions outlined in the submitted research proposal and the use of funds is governed accordingly, subject to the general conditions of the sponsor and the policies of the College.

2.5

Research Grant II: An award to the College or an affiliate of the College. The use of the research funds is subject to the conditions of the sponsor and the policies of the College. Such grants are normally for the acquisition of capital research infrastructure but are also for ongoing applied research projects of the College.

2.6

Restricted Account: Funds that are received by the College may require special handling, such as the specific isolation of financial activities of a research project, restricted use of funds by a specific individual, and facilitation of use of money donated to the College for research purposes.

3. Policy

3.1

The Applied Research & Commercialization Office (AR&C) has overall responsibility for institutional leadership in the development of applied research in all disciplinary and interdisciplinary areas, for providing research services to academics, other staff, and students, for coordinating the activities of related research and the administration of Applied Research & Commercialization activities.

4. Overall Responsibilites

4.1 General Research Administration Responsibilities of the Applied Research & Commercialization Office (AR&C):

4.1.1 administers approved research policies;

4.1.2 applies for research funding;

4.1.3 assists in preparing research funding proposals;

4.1.4 reviews and approves all research funding proposals;
4.1.5 informs faculty and professional staff of the College on research policy, and of the policies and objectives of governments and other research sponsors;

4.1.6 informs sponsors of the research capabilities of the College; assists in locating and soliciting support for research in the form of both contracts and grants;

4.1.7 develops and disseminates information on sources of external research funding: research grants, contracts, travel, equipment, conference and publication grants, and fellowships;

4.1.8 makes contact with sponsors to develop new opportunities for College researchers, assisting in the development of links with external sponsors;

4.1.9 administers special grants programs for the distribution of general research funds; and

4.1.10 distributes information on internal research funds administered by the College.

4.2 Specific Research Administration Responsibilities of the AR&C:

4.2.1 Research Grant Administration.

The AR&C:

4.2.1.1 maintains files on research sponsors, containing current information on the programs of the sponsors;

4.2.1.2 provides application forms and other information on sponsors to College staff;

4.2.1.3 interprets and clarifies conditions of awards and procedures in consultation with appropriate individuals and departments

4.2.1.4 assists faculty and professional staff in the preparation of grant applications;

4.2.1.5 receives grant applications for review of their conformity to the conditions of the sponsor and to the policies of the College, and to ensure that all required College approvals and signatures are obtained;

4.2.1.6 maintains quality control over all research funding proposals;

4.2.1.7 forwards the application to the sponsor; and

4.2.1.8 arranges with Financial Services the assignation of Restricted Account numbers to new grants;

4.3 Research Contract Administration

4.3.1 provides information to faculty and professional staff on the nature and conduct of contract research, and on possible sources of funding;

4.3.2 assists faculty and professional staff in the preparation of contract proposals, especially in the format for the proposal and in the structure of the budget; (budgets are developed in consultation with Financial Services, Enterprise and Contract Services)

4.3.3 receives contract proposals to review their conformity with the conditions of the sponsor and with College Policies, and to ensure that all required College approvals and signatures are obtained;

4.3.4 forwards the proposal to the sponsor;

4.3.5 assists with the negotiation and regulation of research contracts between the College and the sponsor, and arranges for the execution of the contracts;

4.3.6 arranges with Financial Services, Enterprise and Contract Services assignation of Restricted Account numbers to new contracts; and

4.3.7 ensures that in contract research the corporate responsibilities of the College to the sponsor are duly discharged.

4.4 Other Responsibilities of the Office of the ARC:

4.4.1 maintains records of research funding received;

4.4.2 maintains records of funded research projects;

4.4.3 provides administrative support for College research committees;

4.4.4 assists faculty in the formation of research groups;

4.4.5 contributes to the development and maintenance of the College’s Institutional Research Plan;

4.4.6 regularly reviews internal research proposals submitted by staff members;

4.4.7 makes recommendations with regard to the distribution of block grants and generally uncommitted research funds within the College; and

4.4.8 report annually to the Senior Academic Committee on internal research grant allocations;

4.4.9 is responsible for publications, reports, web sites, and events that enhance the College’s research profile; and

4.4.10 to ensure that the college has adequate safeguards in place to protect sensitive information entrusted to it by granting agencies for the purpose of administering applications and awards, including relevant data protection requirements.

4.5 Control of Research Accounts

4.5.1 In matters related to research, the AR&C consults with the Vice-President, Finance and Administration to ensure that the corporate responsibilities of the College are met in terms of legal, financial and liability considerations.

4.5.2 The AR&C is responsible for monitoring the College’s expenditures on research grants and contracts and for the financial management of general research accounts (e.g. CIHR, NSERC, and SSHRC general research grants).

4.5.3 The Principal Investigator exercises overall research and financial management of the grant or contract, the financial management being subject to audit and to the procedures of Financial Services. Researchers are required to consult with the AR&C prior to the commencement of a grant or contract.

4.6 Research Ethics Review

4.6.1 The Research and Planning Department will manage the research ethics process as outlined in the RRC Polytech Policy, H1 – Research Involving Human Subjects.

Related Policies

A9 – Intellectual Property and Copyright
F9 – Conflict of Interest
H1 – Research Involving Human Subjects
H2 – Integrity in Research and Scholarship
H3 – Animal Care and Research Policy
H4 – Conflict of Interest in Research Policy
H5 – Students Rights in the Conduct of Research Policy
H6 – Research in the Yukon, Northwest Territories and Nunavut Policy
H7 – Research Involving Biohazards and Radioactive Materials Adjunct Researchers Policy