| Policy Sponsor: | Vice President, Academic (VPA) |
| Policy Contact: | Manager, Research Services |
| Policy Number: | N/A |
| Effective Date: | April 1, 2011 |
| Approval Group: | Athabasca University Governing Council, Executive Committee |
| Approval Date: | April 1, 2011, Motion # 267-7 |
| Review Date: | Annually |
| Purpose |
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This policy clarifies the responsibilities of Athabasca University (AU) executive portfolios and individual researchers with regard to the administration and budget control of external research funding. |
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| Definitions |
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| Researcher | An individual employed by, studying at, or otherwise formally affiliated with AU (e.g., an Adjunct faculty member, Visiting Professor, Postdoctoral Fellow) who is engaged in scholarly research activity, and who is designated as having principal responsibility for the day-to-day execution and administration of a specific project, grant or contract. |
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| Funder | An agency or organization outside AU that provides monetary or material support for scholarly research. |
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| Proposal | The application provided to a Funder for a specific funding opportunity by a prospective Researcher. |
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| Award | Monies (or other forms of direct or indirect support) awarded by a Funder under the terms of a Research Contract to a Researcher. |
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| Matching Funds | Monies (or other forms of direct or indirect support including gifts-in-kind) awarded by AU with the approval of the OVPFA under the terms of a Research Contract to a Researcher. |
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| Terms | The specifications, conditions, obligations and prohibitions specified by a Funder in the documentation of a funding opportunity or program. |
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| Research Contract | An agreement between AU and a Funder that specifies the conditions under which research is to be carried out and reported. This includes Letters of Agreement, Purchase Orders, standard Contracts for Service and Contracts requiring execution under seal. Research Contracts are written in the name of the University and cannot be written in the name of an individual researcher, department, institute, centre, school or faculty. Research Contracts are administered by AU. |
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| Policy Statements |
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| 1. | This policy applies to external funding opportunities requiring matching funds in which any one of the conditions apply: the Terms require AU to administer the award; the Terms include reporting requirements that, filed unsatisfactorily, are deemed to have potential to damage the reputation of AU; the Funder is a foreign (non-Canadian) entity or an Intergovernmental Organization (e.g., the World Bank). |
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| 2. | The Vice-President, Academic (VPA) has overall responsibility for the development of research capacity of AU, and for ensuring the primacy of scholarly research in the wider activity of AU, and, on delegated authority from the President, approves all applications for research funding that meet any of the conditions specified in Policy Statement 1. |
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| 3. | The Associate Vice-President, Research (AVPR), is responsible for reviewing the Terms to determine if any of the conditions in Policy Statement 1 obtain, to consult with the Researcher, and to initiate any required consultations with the VPFA, and VPAdv. |
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| 4. | The Vice-President, Finance and Administration (VPFA), is responsible for reporting on external research funding, ensuring accounting and reporting compliance with the terms of Research Contracts, AU policy, and other legislative, legal, and fiduciary responsibilities of AU. Specifically, prior to the submission of the application to the Funder, the VPFA is responsible for approving the allocation of matching monies from internal AU accounts to a Research proposal should it receive funding approval. |
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| 5. | Prior to starting work on a Proposal, a Researcher is required to consult with the Office of the AVPR to confirm/determine the applicability of Policy Item 1 (above), to minimize duplication or complement efforts by others, and to obtain advice on timelines, feasibility, support, etc. |
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| 6. | While the Office of the AVPR is expected to provide advice and support, it is the responsibility of the Researcher to ensure that the format, content and supporting documentation of the Proposal align with the expectations of the Funder, and to ensure that AU’s deadlines are met so that the Proposal is received by the Funder according to the specified deadlines. Proposals received after the AU deadline may not be approved in time to meet the Funder’s specified deadlines. |
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| 7. | The Vice-President, Advancement (VPAdv), participates in the administration of Research Contracts with fund development components; specific divisions of labour are determined in consultation with the AVPR and VPFA on a case-by-case basis. |
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| 8. | The financial accounting of the grant/contract is administered through the Office of the AVPR and is subject to audit and the procedures of Financial Services. |
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| 9. | The Researcher exercises day-to-day management and budget control of a Research Contract. Responsibilities of the Researcher can be found in the Guide to Research Services and Conducting Research at Athabasca University. |
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| Applicable Legislation and Regulations |
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| Post-Secondary Learning Act, S.A. 2003 |
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| Related References, Policies, Procedures and Forms |
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Athabasca University References, Policies and Procedures: |
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| Strategic Research Plan (2006 - 2011) | ||
| Research Administration and Budget Control Procedures | ||
| Ethical Conduct for Research Involving Humans Policy | ||
| Restricted (Trust) Accounts for Research Policy | ||
| Professional Salary Component in Research Grants and Contracts Policy | ||
| Ownership of Items Purchased from Research Grants and Contracts Policy | ||
| Indirect Costs of Facilities and Administration Policy | ||
| 070_007: Overload - AUFA and Excluded Staff Policy | ||
| AUAC Bylaws | ||
| Research Centre Website | ||
| Academic Research Committee - See Terms of Reference: General By-Laws of the Athabasca University Academic Council, PART III Committees, C. Academic Research Committee (ARC) | ||
| Research Ethics Board - See Terms of Reference: General By-Laws of the Athabasca University Academic Council, PART III Committees, D. Research Ethics Board (REB) and E. Research Ethics Appeals Board (REAB) | ||
| Graduate Student Research Fund Committee Terms of Reference | ||
| Academic & Professional Development Fund (A&PDF) Terms of Reference |
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| History |
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| Approved as Research Administration and Budget Control Policy by Athabasca University Academic Council, Motion Number 172-7; September 25, 2002 | ||
| Athabasca University Academic Council, Motion Number 184-18; September 15, 2004 | ||
| Reformatted July 2006 | ||
| Title changed to Research Funding Administration Policy, AUGC Executive Committee, Motion # 267-7, April 1, 2011 | ||
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Office of the University Secretariat, April 14, 2011
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