2000-3-6Administration of Research & Scholarly Activity

Responsible Executive:
President
Vice-President, Research & Innovation
Issue Date:
June 23, 2011
Supersedes Date:
June 23, 2011
Replaces:
Former policy titled Research & Scholarly Activity - Administration
Last Review:
March 11, 2020
Last Revision:
January 21, 2020

Upon request, the college will provide a copy of this policy in an alternate format.

Applied Research and Scholarly Activity enhance and enrich the Strategic Priorities and Directions of Academic Excellence, Student Success, Community Success, and Technological and Service Excellence at Lambton College. Scholarly activities, applied research, development and commercialization activities at Lambton College will provide opportunities for faculty innovation, enhance student learning and employability, support economic development, foster technology transfer, and develop private sector partnerships.

While the benefits to the College and its employees and students of engaging in research are many, obligations associated with research contracts or grants can expose Lambton College to risks that carry significant financial and legal liability. Therefore, it is necessary to establish a formal review and approval process at the College that will identify and avoid or limit any liability that might be involved with research contracts or grants.

This policy and the associated procedures and regulations are intended to ensure that research undertaken at Lambton College enhances the College reputation, maximizes the contribution of research to the academic programs, minimizes the College exposure to risk, and ensures the appropriate use of College resources. This policy establishes the standards to be met and the administrative processes and procedures to be followed at Lambton College in the conduct of sponsored research and scholarly activity, for the approval of applications, and the maintenance of financial and external reporting accountability.

Policy

  1. This policy applies to all research contracts and grants that use or propose the use of any Lambton College services or resources (human, physical, intellectual or financial), and to individuals associated in any capacity with Lambton College involved with research conducted under the name of the college or with the use of college resources.
  2. All research that will be conducted under the name of Lambton College or use any college resources, and will be funded through college funds or college controlled or entrusted funds, must be approved by the Vice-President, Research & Innovation. The relevant internal supervisor of the applicants must approve the project if the applicants require release time.
    1. All research projects that will be conducted under the name of Lambton College or use any college resources, and be funded through an external body or agency, must be approved by the Vice-President, Research & Innovation. The relevant internal supervisor of the applicants must approve the project if the applicant requires release time.
      1. Approval for the continuation of any research project must be renewed by the relevant dean, or equivalent, and the Vice-President, Research & Innovation on the anniversary of the effective date of the agreement or contract.
      2. All research conducted under the name of the college or with use of college resources shall be conducted under a research agreement that directly addresses intellectual property and commercialization.
      3. Grant and contract funds arising from research conducted under the name of the college or with use of college resources are held in trust by the college and are not the property of any individual.
      4. All research reports provided to parties external to the college must be approved before release by all contract parties as per agreement between the parties. 
      5. Researchers will disclose to the college all intellectual property arising from research.
      6. No research involving human subjects may be undertaken unless all requirements of college policies have been met, including approval by the Research Ethics Board, and the certificates of approval have been issued where required.
      7. All researchers, and associates working for or with them, will undertake and conduct their research and associated activities consistent with the following principles.
        1. Researchers will recognize the substantive contributions of collaborators and students.
        2. Researchers will use unpublished work of other researchers and scholars only with permission and with due acknowledgement.
        3. Researchers will use archival material in accordance with the rules of archival source.
        4. Researchers will use scholarly and scientific rigour and integrity in obtaining, recording and analyzing data, and in reporting and publishing results.
        5. Researchers will ensure the authorship of published work includes all those who have materially contributed to, and share responsibility for, the contents of the publication,and only those people.
        6. Researchers will reveal to the college, sponsors and other stakeholders, any conflict of interest, financial or otherwise, that may influence their decisions or actions.
        7. Researchers conducting research at or under the name of Lambton College or using dollege resources shall conform to all applicable college policies.
        8. Researchers will abide by all applicable Acts and regulations including all laws and regulations regarding Controlled Information and Controlled Goods.
      8. Proposals for research projects to be conducted under the name of the college or with the use of college resources will be evaluated for college support and approval against criteria that are established, maintained and, from time to time, modified by the Office for Research & Innovation.
      9. The regulations, procedures and position responsibilities for the development and submission of research proposals, and the execution and administration of research projects and associated resources are established, maintained and, from time to time, modified by the Office for Research & Innovation.
      10. Appendix A explains Lambton College's responsibility in general and Research & Innovation as well as the Finance department's responsibilities and duties for research grants and awards.

      Appendix A

      The Administration of Agency Grants & Awards by Lambton College

      This document summarizes Lambton College responsibilities in general and Research & Innovation and the Finance department's responsibilities and duties for research grants and awards.

        Definitions

        The following words will have the meanings assigned to them in this Article.

        Approver
        The individual with signing authority responsible for approving or rejecting the requested expenditure after verification according to granting agencies guidelines and research proposals.
        Award
        Funding provided by an Agency through a scholarship, fellowship, or Agency salary or career support grant.
        Agency
        CIHR, NSERC, SSHRC or others.
        Animal
        A vertebrate or a cephalopod.
        CIHR
        The Canadian Institutes of Health Research.
        Grant
        Funding provided by an Agency to carry out research and related activities.
        NSERC
        The Natural Sciences and Engineering Research Council of Canada.
        Recipient
        An Award holder or a Grant holder.
        Researcher
        An individual who carries out research activities.
        SSHRC
        The Social Sciences and Humanities Research Council of Canada.
        Verifier
        The individual responsible for evaluating and verifying the requested expenditure according to granting agencies guidelines and research proposals.

        Financial Administration

        1. Lambton College shall:
          1. Administer the funds that it receives from an agency in accordance with:
            1. The agency's financial policies and procedures including, but not limited to, the Tri-Agency Financial Administration Guide, as they may be amended or supplemented from time to time; and
            2. Any additional terms or conditions of the grant or award;
          2. Establish and maintain policies, systems, procedures and controls that require and ensure compliance with recipients with the agency's financial requirements;
          3. For each grant and award:
            1. Maintain a separate account;
            2. Ensure that each expenditure and charge made to the grant or award account is authorized by the recipient, or by their deligate if the delegation is clearly documented; and
            3. Keep complete and accutate records on teh use of agency funding including verifiable audit trails with complete supporting documentation for each transaction, for at least seven years;
          4. Withhold or withdraw approval of expenditures that contravene an Agency or institutional policy or a term of the grant or award;
          5. Consult with the funding Agency whenever Lambton College is uncertain as to the Agency's financial requirements;
          6. Promptly process eligible and approved payments from Recipient accounts;
          7. Provide adequate financial and administrative support to its Recipients to ensure sound management of funds;
          8. In the event of a transfer of grant or award funds from Lambton College to another institution, ensure that the transfer complies with the provisions of the Agency's applicable financial policies, guidelines and procedures;
          9. Provide regular and timely financial reports on the use of agency funds, as the agency may require, and comply with agency requirements related to ongoing financial monitoring;
          10. Provide each grant and award holder with regular information regarding their account;
          11. Upon reasonable notice, allow agency representatives access to its premises and facilities to carry out monitoring reviews and compliance audits, provide them with access to all accounts, records and other information related to a grant or award, and respond fully and accurately to any inquiries the agency may make for the purpose of verifying adherence to agency requirements; and
          12. Allow representatives of the Auditor General of Canada access to the information mentioned in (xi) and to Lambton College's premises so that he or she may exercise the powers granted under the Auditor General Act, including the carrying out of financial or performance audits.

        Role of Lambton College Departments for Financial Administration of Grants

        1. Research & Innovation Department
          1. Understand eligibility criteria and budget monitoring process according to Lambton College guidelines;
          2. Understand, be up-to-date, share and carry out projects with respect to the Funding Agencies eligibility criteria, processes, procedures and guidelines;
          3. Develop and execute the award agreement;
          4. Request a cost centre for the grant;
          5. Assign verifier and approver for the grants;
          6. Assign and request proper signing authorities for the grant;
          7. Monitor and manage the grant operation including hiring, purchasing and travel according to the agency's and Lambton College’s financial policies, procedures and guidelines;
          8. Develop regular financial reports for the funding agencies;
          9. Provide each grant and award holder with regular information regarding their account;
          10. Monitor all collaborative applied research and contract project budgets, revenue and expenses considering guidelines by the college and funding agencies;
          11. Prepare documentation to verify and issue purchase orders, hiring and invoices;
          12. Maintain contribution reporting documents from project partners;
          13. Identify discrepancies, propose solutions and make adjustments to the budget as required with respect to the agency's and Lambton College’s financial policies, procedures and guidelines;
          14. Communicate with external funding sources regarding use of grant funds and reporting if it is required;
          15. Work with the Finance Department to prepare documents for external audits;
          16. Prepare service/equipment tender documents;
          17. Manage the ownership of grant based equipment and facilities according to the funding agency guidelines;
          18. Liaise with appropriate college personnel or department to ensure financial activities are properly carried out according to the terms of research agreement and the funding agencies guidelines;
          19. Process timesheet hours submitted by researchers/students and compare to budgeted time and inform the researchers and Finance Department of potential issues;
          20. Monitoring deadlines for surveys and reports for the funding agencies;
          21. Coordinate the orientation process and training of new faculty researchers and student research assistants regarding reporting, administrative processes and grant related requirement;
          22. Ensure that Lambton College is comply with the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans, second edition ("TCPS2"), as amended from time to time for all research involving humans carried out under its auspices;
          23. Ensure that researchers about projects involving human subjects are informed of their obligations under the TCPS2 and provided such training as they may reasonably require;
          24. For any project uses animals in any of its research, maintain a valid Certificate of Good Animal Practice® from the Canadian Council on Animal Care ("CCAC"), or an indirect certification by a formal agreement with another organization that has a valid Certificate, and ensure that research funded by an Agency complies fully with CCAC standards, as amended from time to time;
          25. Monitor the projects and allow access to research funds only after the Lambton College's animal care committee or another animal care committee designated by Lambton College has approved the research, unless the activities involving animals will only take place in the future, in which case a part of the funds may be released to cover only expenses to be incurred before animals are used;
          26. Ensure that approval by the animal care committee is maintained for the duration of research activities involving the use of animals;
          27. Assist the agencies in fulfilling their responsibilities under the Canadian Environmental Assessment Act 2012 to comply with any request for information that an Agency may require to meet its obligations under the Act;
          28. Ensure that public communications concerning research, research training or related activities funded by an Agency, including publications and events, meet the requirements of the Government of Canada and of Lambton College. More specifically, Lambton College will adhere to the Public Communications Policy of the Federal Research Funding Organizations, as amended from time to time.
        2. Finance Department
          1. Ensure agreements and /or documentation are in place for each research grant;
          2. Create cost centre for each grant with proper accounts, communicate to all accounting staff;
          3. Approve signing authority and communicate to accounting staff;
          4. Communicate with research personnel to ensure financial activities are carried out according to the terms of the research agreement;
          5. Review financial working papers and statements to approve for submission to the Funding Agencies; and,
          6. Review expenditures for compliance and reporting to granting source.

      For questions or concerns regarding policies, please contact the policy sponsor. See the phone list for contact info.

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