Research Chairs

Category: Research
Number: RCH-010-010
Audience: All members of the University research community
Issued: March 08, 2016
Revised:
Owner(s): Provost and Vice-President (Academic), VP (Research)
Approved by: Board of Governors
Contact: Vice-President (Research) - 306-585-5184

Introduction

This policy applies to all employees (faculty, staff, and student employees) of the University’s research community.

The role played by Research Chairs in creating and mobilizing knowledge through research excellence is highly valued by the University of Regina. The University is committed to ensuring the highest standards of research in its community as may be recognized through the creation and renewal of Research Chairs.

This policy supports strategic, coherent, and principled selection of candidates and research areas that advance the strategic priorities of the University.

Definitions

Endowed Research Chair – an employee of the University whose research is supported by an individual and/or corporate partners and/or professional or disciplinary associations. Endowed Research Chairs may be created to recruit, retain, and recognize renowned researchers in sponsored disciplines or research areas

Industrial Research Chair – an employee of the University who holds targeted NSERC funding to support development and engagement in major research endeavours of interest to industry

Research record – data, results, publications, performances, exhibitions, or related facts that are a result of academic inquiry (research); includes, but is not limited to, research proposals, notes, laboratory and primary data records (electronic and physical); abstracts; theses; progress reports; internal reports; presentation and conference materials; peer-reviewed journal articles; performances; and exhibitions.

Tri-Council – CIHR (Canadian Institutes of Health Research), NSERC (Natural Sciences and Engineering Research Council of Canada), and SSHRC (Social Sciences and Humanities Research Council of Canada)

Policy

A Chairholder’s academic freedom is not affected by holding a Research Chair and will be upheld by the University in the same manner as for all academic staff of the University.

Establishment and Allocation of Research Chairs

  1. Establishment and allocation of Research Chairs are the prerogative of the University and are intended to support and promote the University’s strategic research goals and for reinforcing recruitment and training of graduate and highly qualified personnel.
  2. A new Research Chair will be established with the authorization of Senate on the recommendation of Council with approval of the Board of Governors when funding for the Research Chair is made available from external or internal sources, such as when the University receives a new CRC from the Government of Canada or an industry partner provides funding for the creation of a titled, Sponsored, Endowed, or Faculty Research Chair.
  3. When an existing Research Chair becomes vacant, the Vice President (Research), the Provost and Vice President (Academic), and the Associate Vice President (Academic and Research), and the relevant Dean(s) will determine the general research area of the Chair. Depending on the source of funds and conditions of sponsorship, Faculties and Academic Units will be invited to submit letters of intent (LOIs) demonstrating the strategic impact of allocating a Research Chair in a given area.
  4. For allocation of a new Research Chair specifically designated by an external sponsor, targeting a specific research expertise, discipline, profile or candidate for a Research Chair, the establishment of the Research Chair shall be authorized by Senate on the recommendation of Council with approval of the Board of Governors and the allocation process will include consultation with the relevant Deans and Academic Unit head(s) and will follow Collective Agreement provisions for designation of a Research Chair to a currently employed faculty member.
  5. An externally funded Research Chair is not permanently allocated to a specific research area, Faculty, Academic Unit, or Research Centre/Institute at the University unless such condition has been clearly stipulated by the external sponsor at the time of establishment of the Research Chair, and that stipulation has been agreed to by the Senate on the recommendation of Council with approval of the Board of Governors.
  6. If an existing externally funded Research Chair becomes vacant due to resignation, retirement, nonrenewal, or any other reason, the Research Chair position reverts to the University pool and the internal allocation process described in the Processes will be followed. Similarly, an externally funded Research Chair position shall revert to the University pool should no candidate accept a given nomination.

    Nomination and Appointment of Research Chairs

  7. The University will use its allocation of CRCs primarily to recruit new researchers and will endeavour to create and/or access opportunities for other Research Chairs to recognize researchers who currently hold faculty appointments at the University.
  8. Nomination of an external candidate to a Research Chair will involve the recruitment of the candidate to the University with the nomination to the Research Chair to follow at the appropriate time. In the recruitment process, all interested candidates will be notified that the position is related to a Research Chair and all conditions related to the Research Chair designation will be clearly outlined.
  9. The procedure for the recruitment and appointment of faculty members is defined and governed by the Collective Agreement and Human Resources policies and processes.
  10. The authorization to fill an allocated externally funded Research Chair may be revoked and the Research Chair reallocated if:
  • the search process is not completed because of delays outlined in the Processes section of this document
  • the candidacy is not approved by the external sponsor

      To reallocate an externally funded Research Chair, the internal allocation process will be followed.

Formal Designation of Research Chairs

     11. To obtain an externally funded Research Chair designation (e.g., CRC or IRC), the selected candidate must comply with the respective program
           requirements and agency guidelines. The agency grants the approval and the formal designation.

     12. In the case of a Research Chair allocated to a research area that crosses Departments or Faculties, the individual must receive a primary appointment
           in one academic unit.

      13. Other Research Chair designations may be granted at the discretion of the University, based on the priorities or requests of sponsors, whether
            internal or external.

Terms, Conditions, and Support of Research Chairs

      14. A Research Chair will normally hold a full-time tenured or tenure track appointment at the University while the Research Chair designation is in effect.

      15. Externally sponsored Research Chairs are subject to the terms and conditions of their awards as defined by the external sponsor. In the case of
            CRCs, the terms and conditions of institutional support are outlined in the Processes section of this document.

      16.  Internally sponsored Research Chairs are subject to the terms and conditions of their awards as defined by the internal (usually a Faculty in
             collaboration with the Provost’s Office and with support from the Research Office) sponsor.

      17.  Normally, the University will support a request to extend the term of Research Chairs for Chairholders who take a leave (other than a sabbatical)
             from the University.

      18.  Determination of budgets for Research Chairs is negotiated between the respective Dean and Chairholder per research funding and supports, and
             subject to funding agency guidelines.

Discontinuation and Termination of Research Chairs

      19.  Research Chairs may be discontinued by agreement between the University (upon authorization of Senate on the recommendation of Council with
             approval of the Board of Governors) and the Sponsor, whether internal or external. In such cases, the Chairholder will present a plan to the Faculty
             Dean, Vice President (Research) and Provost and Vice President (Academic) for the phasing out of the Research Chair with special consideration
             being given to the implications for students and the highly qualified personnel involved in the Research Chair’s activities.

      20.  Designation of the title, Research Chair, may be terminated when:

  • The status of the faculty appointment is changed to a non-eligible status as defined by the type of Research Chair (i.e., if the eligibility criteria outlined by the University and Sponsor are not met due to a change in a Chairholder’s employment status – generally, a Chairholder holds a full-time, tenured or tenure-track faculty appointment at the University)
  • The outcome of the performance evaluation is unsuccessful or the Chairholder is terminated in accordance with the provisions of the Collective Agreement
  • The Chairholder is non-compliant with the policies and rules of the external sponsor or the University
  • The funding for the Research Chair is fully expended or no longer available

      The procedure for the termination of a Research Chair designation is outlined in the Processes.


Roles and Responsibilities

Board of Governors

The University Board of Governors has purview under the University of Regina Act to approve establishment of new Research Chairs or discontinuation of existing Research Chairs upon recommendation from Senate.

Senate

The University Senate has purview under the University of Regina Act to authorize establishment of new Research Chairs or discontinuation of existing Research Chairs with approval from the Board of Governors. Proposals to establish new Research Chairs are presented to Senate by Executive of Council.

President and Vice Chancellor

The President and Vice Chancellor is responsible for working with the Vice President (Research) and Provost and Vice President (Academic) in the identification of new opportunities and requirements for discontinuation of Research Chairs and presents motions from Executive of Council to the Senate and Board of Governors.

Vice President (Research)

The Vice President (Research) is responsible for identifying opportunities and making recommendations to the Council Committee on Research for approval of establishment and allocation, nomination, designation, evaluation and renewal, and discontinuation of Research Chairs in consultation with the Provost and Vice President (Academic) to the President and Vice Chancellor.

Provost and Vice President (Academic)

The Provost and Vice President (Academic) works collaboratively with the Vice President (Research) and the Associate Vice President (Academic and Research) to identify the general disciplinary focus of new Research Chairs and is responsible for outlining required academic credentials and accomplishments required for candidates to be considered.

Executive of Council

The Executive of Council is responsible for making recommendations to Senate and the Board of Governors on the establishment and allocation, nomination, evaluation, and discontinuation or termination of Research Chairs within the procedures as outlined in this policy.

Council Committee on Research (CCR)

The CCR is responsible for making recommendations to Executive of Council on the establishment and allocation, nomination, evaluation, and discontinuation or termination of Research Chairs within the procedures as outlined in this policy.

Research Office

The Research Office provides support and advice based on best practices, legislation, and contractual agreements. The Research Office supports the Vice President (Research) and provides guidance on matters related to Research Chairs and will also support the work of the CCR for those processes and procedures as designated.

Donor Relations

Donor Relations provides support and identifies external opportunities for the creation and allocation of Research Chairs. Staff work collaboratively with the Vice President (Research) and the Research Office to build relationships with potential external sponsors and in the development of sponsorship agreements.

Faculty Research Committees or equivalent

Members of Faculty Research Committees are responsible for identifying and preparing letters of intent (LOIs) and nominations for strategic allocation of Research Chairs at the University. Faculty committees will similarly be involved with the evaluation of Research Chair performance, renewal applications, and termination of designation.

Research Chairs

Research Chairs are responsible for understanding and complying with this policy, complying with any specific conditions under which the Chair has been established, and taking responsibility for their research, meeting performance criteria, and submitting all reports required for review, renewal, and completion of terms.

Processes

(1)  Externally Funded Research Chairs

Internal Allocation, Nomination and Formal Designation of Research Chairs

The procedure for internal allocation of new, vacant, or vacated Research Chairs to an academic/research unit and the designation of a candidate will follow the processes outlined herein. New Research Chairs shall be established under the authority of Senate and with approval of the Board of Governors.

Call for letters of intent (LOIs):

When an externally funded Research Chair is available, the Office of the Vice President (Research) will notify the Faculties as to the type, level, and any special conditions related to the Research Chair. Deans or their designate (usually the Associate Dean, Research) will coordinate submission of LOIs from their academic/research units. LOIs are expected to identify a strategic area for establishing a Research Chair and the profile of a potential Chairholder by addressing:

a) Rationale for the Research Chair allocation

  • research strengths in the proposed field
  • expected ability to leverage additional resources
  • contribution to the creation and mobilization of knowledge through training of graduate students and highly qualified personnel, outreach activities and interdisciplinary collaboration, and potential of attracting a high-caliber candidate

b) Description of the research environment

  • existing critical mass of research or, if an emerging area, the potential for building critical mass
  • research environment within the academic/research unit

c) Strategic Research Plan

  • expected impact on the research profile of the academic/research unit and the University
  • demonstration of fit with the University’s Strategic Research Plan, including recognition of or alignment with signature research clusters of the University
  • positioning of the University with respect to the Research Chair in the Saskatchewan/Canada context

Candidates for CRC nominations are not expected to be identified and presented at the LOI stage since CRCs at the University of Regina are intended to target only external recruits. The recruitment process of new faculty members must be conducted in accordance with the Collective Agreement and HR policies and processes.

All Research Chair LOIs should address equity with the four designated groups: women, persons with a disability, Aboriginal Peoples, and visible minorities (required per CRC Secretariat).

Research Chair Nomination

When a Research Chair is allocated to an academic/research unit, a candidate will be identified and nominated to the Research Chair in accordance with the Collective Agreement and HR policies and processes. The process for nomination depends upon whether the candidate is a new recruit or has a faculty appointment at the University, the type of chair and how a nomination is evaluated.

Research Chair Designation

The formal designation of the Research Chair is conditional upon the approval of the nomination and the relevant external designation processes.

External designation (i.e., CRC and IRC) is completed following the Faculty search process for an external candidate. The recruitment and appointment of faculty members are defined and governed by the Collective Agreement and Human Resources policies and processes.

The terms and conditions of the Research Chair are governed by the external sponsor and the University.

Nomination Flow

Special Conditions for Endowed or Sponsored Research Chairs

The procedure for internal designation of a candidate for new, vacant, or vacated Endowed or Sponsored Research Chairs for which specific objectives and expertise have been identified by the Sponsor will follow the processes outlined herein.

Sponsor-Driven Conditions

When a sponsor indicates interest in the creation of an Endowed or Sponsored Research Chair, Donor Relations, the Provost and Vice President (Academic) and Vice President (Research) will work collaboratively to negotiate the terms and prepare the agreements for creation of the Research Chair in alignment with the Collective Agreement.

a)    For Sponsor-Identified Candidates: a new, vacated or vacant Research Chair is specifically designated by an external Sponsor, targeting a specific research expertise and ideal candidate from the existing faculty complement for delivering that specific research expertise.

b)    For Undesignated Candidate: a new, vacated or vacant Research Chair is specifically designated by an external Sponsor, targeting a specific research expertise, discipline, or candidate profile for delivering that specific research expertise.

Establishment of a Research Chair

Establishment of a new Research Chair and allocation of a vacant or vacated Research Chair must be approved by the Vice President (Research) and Provost and Vice President (Academic), as well as the President and Vice-Chancellor and Board of Governors.

Research Chair Designation

The agreements for terms and conditions of the Research Chair will be drafted collaboratively by Donor Relations and the Research Office.

All Research Chair appointments must include a statement about how the Chair aligns with supporting a representative, addressing equity with the four designated groups: women, persons with a disability, Aboriginal Peoples, and visible minorities.

The formal designation of the Research Chair is conditional upon the approval of the nomination and the relevant external designation processes. Designation of a candidate will take place in accordance with the Collective Agreement and HR policies and processes.

Donar Responsibility

(2)  Internally Funded Research Chairs

The procedure for internal designation and funding of a candidate for new, vacant, or vacated Faculty Research Chairs for which specific objectives and expertise have been identified by the Faculty Dean, Provost and Vice President (Academic), and Vice President (Research) will follow the processes outlined herein. New Research Chairs shall be established under the authority of Senate and with provision of the Board of Governors.

Faculty-Established Conditions and Expectations

When a Faculty indicates interest in the creation of a Faculty Research Chair, the Provost and Vice President (Academic) and Vice President (Research) will work collaboratively to determine the terms and conditions for said Research Chair and prepare the agreements for creation of the Research Chair in alignment with the Collective Agreement.

A new, vacated or vacant Faculty Research Chair will be specifically designated targeting a specific research expertise that is of strategic importance to the University and an ideal candidate from the existing faculty complement for delivering that specific research expertise.

Establishment of a Faculty Research Chair

Establishment of a new Faculty Research Chair and allocation of a vacant or vacated Research Chair must be approved by the Vice President (Research) and Provost and Vice President (Academic), as well as the President and Vice-Chancellor and Board of Governors.

Research Chair Designation

The agreements for terms and conditions of the Research Chair will be drafted collaboratively by the Faculty, in consultation with the Provost and Vice President (Academic), and the Research Office.

All Research Chair appointments must include a statement about how the Chair aligns with supporting a representative, addressing equity with the four designated groups: women, persons with a disability, Aboriginal Peoples, and visible minorities.

Designation of a candidate will take place in accordance with the Collective Agreement and HR policies and processes.

(3) All Research Chairs

Reporting, Evaluation and Renewal of Research Chairs

  • Annual reporting is required of all Research Chairs.
    • The Research Office will coordinate the format, submission deadlines, and requirements for inclusion in annual reports.
    • Additional requirements for annual reporting of externally sponsored Research Chairs are governed by the rules of the external sponsor.
  • Mid-term review is required of all Research Chairs and will be coordinated by the Research Office in collaboration with Faculty Research committees.
  • Research Chairs that are renewable after a completed term must undergo an internal performance evaluation.
    • Each Faculty will establish a committee at least 12 months prior to the external renewal application deadline to review the renewal package assembled by the Research Chair.
    • The Faculty committee recommendation will be submitted to the Vice President (Research) and Council Committee on Research at least 6 months in advance of the external renewal application deadline.
    • The renewal package will include annual reports, outcomes of the mid-term evaluation, and any other additional and applicable evidence to support renewal.
  • Following a positive recommendation from the Council Committee on Research to the Vice President (Research):
    • An externally sponsored Research Chair may proceed with the development of the renewal dossier. A successful renewal nomination by the external sponsor will result in the continuation of the Research Chair designation.
    • An Endowed or Sponsored Research Chair will be considered renewed and will receive a letter of appointment stating the terms and conditions of the upcoming term.
  • Following a negative recommendation by the Council Committee on Research, the Vice President (Research) confers with the Provost and Vice President (Academic) and the Chairholder’s dean or director to confirm the Committee’s recommendation and either return the Research Chair to the University pool, per policy, or mandate a second review of the Research Chair performance evaluation.

Discontinuation and Termination of Research Chairs

The following describes the procedure for the discontinuation of Research Chairs as well as the termination of the Research Chair designation.

Discontinuation of a Research Chair:

A Research Chair may be discontinued by mutual agreement between the University, as authorized by Senate on the recommendation of Council with approval of the Board of Governors and a Sponsor. The discontinuation may be due to the withdrawal or lack of sufficient funds by the Sponsor or other reasons.

The University may consider limited support during the phase-out period in order to ensure that existing student commitments are met. As a result, the Chairholder must present a plan for the phasing-out of the position, with special consideration being given to the implications for the students involved in the Research Chair’s activities. The Chairholder retains their pre-existing academic appointment at their existing rank and salary level, excluding the stipend from the Research Chair.

CRCs Eliminated by the Chairs Secretariat

If an institution's performance decreases relative to other institution to the extent that the institution's Chair allocation is reduced through the re-allocation process, the Chairs Secretariat will reclaim the lost Chair allocations. The institution can choose, in consultation with the Secretariat, to give back unoccupied Chairs or to use a deactivation funding mechanism using a sliding scale of decreasing support (100–50–0 per cent) on active Chairs.

CRC allocations eliminated prior to completion of a full term due to reallocation by the Chairs Secretariat require that the University of Regina terminate an existing CRC position. In that event, the Chairholder whose CRC is terminated will be granted an extension of all teaching load provisions and Faculty research support, at the discretion of the relevant Dean or Director. The institutional stipend and research portion will be terminated. Chairholders will retain their titles until the end of their existing terms.

http://www.chairs-chaires.gc.ca/program-programme/allocation-attribution-eng.aspx 

Determination of the CRC whose term shall be terminated in the event of elimination by the Chairs Secretariat will be completed at the discretion of the Vice President (Research) who will consider time remaining in the existing terms of all CRCs, research performance and funding status of all CRCs, and potential for converting CRCs into other existing or emerging Chairs positions.

Termination of a Chairholder’s Designation as Research Chair:

A Chairholder may, at any time, voluntarily relinquish a Research Chair designation. In this case, a written notice shall be sent by the Chairholder to the Faculty Dean who shall ensure that the Office of the Vice President (Research) and the Research Office are informed.

A Research Chair’s designation may be terminated by the University if any of the following situations apply:

a)    The status of the faculty appointment is changed to a non-eligible status as defined by the chair type. Eligibility criteria for Chairholders are governed by the University and the Sponsor. In general, a Chairholder holds a full-time, tenured or tenure-track faculty appointment at the University. If the faculty appointment changes (i.e. from full-time to part-time or adjunct), the Chairholder might not be eligible to continue holding the Research Chair designation and the designation will be terminated as of the date of the status change. The same applies if a Chairholder leaves the University.

b)    The outcome of the Research Chair’s performance evaluation is unsuccessful or if the Research Chair is terminated in accordance with the Collective Agreement and/or relevant HR policies and processes. Based upon the outcome of the performance evaluation for renewal, the CCR, in consultation with the Faculty committee, may decide not to renew the Research Chair. In cases of non-renewal, the Chairholder will relinquish the Research Chair at the end of the term. The Chairholder retains a full-time academic appointment at the existing rank and salary level, excluding the stipend from the Research Chair. In addition, if the Chairholder is terminated from the University in accordance with the Collective Agreement, the term as Research Chair shall terminate simultaneously.

c)    The Chairholder is non-compliant with the regulations set by the University or by the Sponsor. There are two aspects of compliance that impact a
Research Chair:

(i)   compliance related to academic performance and/or

(ii)  compliance with the regulations outlined by the University and the Sponsor.

Any compliance issues raised during annual reporting or mid-term review will be monitored in the following annual report. Two consecutive unsatisfactory evaluations may be grounds for ending the Research Chair designation. If the Faculty considers terminating the designation of a Research Chair during a term, a written justification shall be submitted to the Vice President (Research). In the spirit of conciliation, the Vice President (Research) may convene all parties involved and seek advice from the CCR to propose a plan for either the realignment of the Research Chair or the phasing out of the Research Chair activities.

Non-compliance with the regulations outlined by the University or the Sponsor or the Collective Agreement may result in the freezing of funds for the Research Chair. Fraudulent use of funds or other forms of academic, scholarly, or research misconduct are sufficient grounds for the University to terminate the Research Chair designation without notice. In addition, the University will promptly report any fraudulent use of funds to the appropriate authorities and implement internal processes for academic, scholarly, and research integrity.

The grievance provisions of the Collective Agreement shall apply to the termination of a Research Chair’s designation by the University.

When a Research Chair designation is terminated, the University will contact the Sponsor to inform them of the termination. If the Research Chair is still available to the University, it will become vacant and the internal procedure for a new nomination will be initiated in accordance with the allocation process.

The termination of a Canada Research Chair is governed by the CRC program Secretariat’s administrative guidelines, acknowledging that University regulations supersede all other factors concerning the faculty appointment of Research Chairs.

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