Managing academic status changes in the context of research

administration RAN

March 21, 2014

Today’s session • RAN updates • Introduction to eligibility and changes of status • Changes of status scenarios • Final remarks on eligibility and status changes

Upcoming RAN sessions Date & Location

Title Guest Speakers Description

April 25, 2014 9:00am - 11:00am Leacock 232

Fundamentals of the Banner Student Aid (BSA) system

Karen Kirouac - Associate Director, Systems, Student Services

This session will explain McGill's BSA system, including when it should be used, how to process payments, as well as particular research administration considerations (agency guidelines, record retention, etc.).

May 16, 2014 9:00am - 11:00am Leacock 232

The OTHER compliance: understanding the policies and processes governing research involving human subjects and animal subjects

Lynda McNeil - Manager, Research Ethics, (REB-I, II, III) Claude Lalande - Assistant Director, Animal Compliance Office

Presenters will explain the governing principles of research compliance, including McGill's policies and requirements governing the conduct of research. Speakers will also explain the approval process for research protocols and how research compliance impacts the grant management process.

INTRODUCTION TO ELIGIBILITY AND CHANGES OF STATUS

Proposal Development

Internal Review and Approvals

Institutional Endorsement and

Submission

Agency Peer-Review Process

Award Acceptance and Management Fund Creation

Award Administration

Financial Reporting and Monitoring

Award Closure

Academic status in Research Administration

Human Resources

Academic Personnel

Office

Research Administrators

Research administration is unavoidably tied to academic status as it impacts the entire award cycle

Eligibility • Applies to researchers throughout the research funding cycle,

including eligibility to: • Apply for funding • Hold grant funding • Incur research expenses

• McGill has a responsibility to monitor eligibility at all phases of the award cycle • For Tri-Agency and FRQNT/SC, OSR confirms eligibility on an

annual basis. • Changes in eligibility may affect the researcher’s ability to hold

the award. Therefore, please contact OSR as early as possible • Should the researchers status or eligibility change over the

award period, the agency may need to be notified.

Eligibility considerations – Sponsor requirements • Sponsor requirements and definitions for eligible researchers

to apply for or appear as members of the research team • May specify particular academic positions or appointment types • Some sponsors have requirements regarding citizenship

• Tri-Agencies: any researcher affiliated with a Canadian postsecondary institution, regardless of citizenship, is eligible to apply and hold grant funds (note that citizenship requirements do apply for student scholarships and fellowships).

• Fonds de recherche du Québec: must be permanent resident or Canadian Citizen. Researchers, regardless of citizenship, may apply and be awarded grant but must provide proof of citizenship in order to receive subsequent instalments.

Eligibility considerations – Institutional requirements • Institutional requirements

• Institutions have particular guidelines or requirements in order to be considered affiliated and eligible to apply for/hold grant funding

• Most sponsors expect the institution to verify eligibility. If the application is submitted, the institution is confirming eligibility.

• If a researcher is eligible to apply as PI, they are often also eligible to be a Fund Financial Manager. Ineligibiltiy to be an FFM does not mean that they are ineligible to apply

What are common eligible appointment types?

Professor (tenured)

Associate Professor (tenure-stream or contract)

Assistant Professor (tenure-stream or contract)

Emeritus Professor or Post-Retirement

Adjunct Professor (unpaid appointment)

For more information, see the full list of McGill Academic Classifications and their Definitions

What is an eligible affiliation?

• It depends.

• Generally, if the institution signs the application, the applicant is considered eligible. • When the department/faculty signs the OSR Checklist, they are

confirming support of the application • Some special considerations include:

• Some funders allow students/PDFs to apply for grant funding, McGill will submit provided that the supervisor agrees to be the Fund holder if the grant is awarded.

• NSERC: researchers on a contract stream (non-tenure stream) must hold an appointment of at least three years in duration.

• Researchers who have not yet taken up their position at McGill

What are considered changes in eligibility?

Changes of Academic Status • Professor Retired

(Emeritus or Post-Retirement)

• Professor Adjunct • Changes from Assistant

Professor to Associate Professor to Professor rarely need to be reported

• If position changes from paid to unpaid, agency should be notified.

Leaves from the University • Research/sabbatical leave • Personal/Parental leave • Unpaid leave/leaves of

absence

Departures are also considered a change in eligibility

Why does the agency want information on changes of eligibility? • To ensure the research they are supporting continues to be

undertaken • May affect the achievement of expected outcomes

• May also modify the institutional support (access to facilities) to conduct the research project

• May have restrictions on work being conducted in foreign locations

• It does not necessarily mean that the funding will be terminated but it may result in revised award parameters, such as: • Deferral of a payment • Modifications to eligible expenditures • Change of PI

When do leaves need to be reported?

Tri-Agencies

• Only leaves exceeding one year must be reported to the agency.

• After one year on leave, the grant holder may no longer be eligible.

FRQ

• New Researcher grants: Unpaid leaves (leaves of absence) exceeding 3 months

• Team grants: contact OSR

US federal

• All leaves exceeding three months must be reported to the agency

All other agencies

• Contact OSR • Consult

agency terms and conditions

Contact OSR!

Considerations: Leaves • When an award holder is on leave, travel related to

supervisory or academic duties is not usually considered an eligible expense to be charged to research funds

• PI may opt to delegate signing authority to another member of the research team during the leave period. However, the PI remains the grant holder from the perspective of the sponsor and is ultimately responsible for the conduct of the project and the use of funds.

• If the PI has taken family/sick leave, often a no-cost time extension or deferral may be required in order to complete the work. Don’t hesitate to request one well in advance.

SCENARIOS

Scenario 1: Professor is retiring and has inquired what will happen to their research funds.

Gather list of active awards

Confirm with PI if research projects will

continue or be termed early

Confirm with Department/Faculty that they continue to support PI’s program of research

Contact OSR explaining situation

OSR follows up with agencies as required

Award parameters revised as required

Scenario 1: Continued • Retiring professors may elect to:

1. Terminate research funds and phase out program of research 2. Continue program of research

• Emeritus/post-retirement professors are eligible to be Fund holders. Provided the agency authorizes the change of status, they may be eligible to keep the grant.

• Department/Faculty must confirm that the researcher continues to have access to facilities to conduct research and is authorized to supervise students.

• If the researcher will be primarily located elsewhere during their retirement, institutional authorization is required to move any equipment/research materials.

Scenario 2: Professor informs Department/Faculty that they have accepted a position elsewhere and will be leaving McGill.

Assess active awards

• Does the PI intend to terminate awards, keep them here with adjunct status, or transfer grants to new location?

Contact OSR

• OSR will assess sponsor requirements

• OSR will contact stakeholders, as required

RFMS

• Prepares financial reports

• Returns/transfers unspent funds to sponsor or new institution

What happens next?

Scenario 2: PI resigns from McGill Options for ongoing awards

• If new institution is eligible to receive the award • Subject to agency approval

Transfer award to new institution

•Recommended if award cannot be transferred to new location

Change of PI, transferring award to another research team member

• Subject to agency authorization & eligibility requirements

Leaving the award at McGill, but PI will hold adjunct status

•Award parameters revised to close out effective the resignation date • Final financial reports submitted shortly after

Terminate Award

Scenario 2: PI resigns from McGill Option 1: Transferring the award

Request to transfer submitted to the agency

Agency requests 1) confirmation from new institution that they accept the grant 2) financial statement from McGill

McGill

Prepares financial report effective resignation date Returns (either to agency or new institution) unspent funds from the account

New Institution

Requires all documents from the PI in order to build a file and authorize Fund opening

Agency

Issues revised Notice of Award to new institution Grant start date is usually appointment start date

Note that PI must notify OSR that they want to transfer the grant and effective date of the transfer in order to start the process. Grant isn’t automatically transferred if PI leaves.

Scenario 2: PI resigns from McGill Option 2: Change of PI • If the PI resigning will not be eligible to continue to hold the research

funds, they can appoint a new Principal Investigator • Must be requested and approved by the sponsor (contact OSR who will

advise of next steps) • New PI should have sufficient knowledge of the research in order to lead

the intellectual direction of the project to completion, usually expected to be another research team member

• New PI should be informed of status of Fund including reports submitted/pending, revenues received, etc.

• Once approved, OSR revises the award parameters • If the ORG code will be changing as a result of the change of PI, a new OSR

checklist will be required and the ORG code will be changed for the Fund.

This is the recommended option if the grant

cannot be transferred

Scenario 2: PI resigns from McGill Option 3: Adjunct status • Some sponsors will allow the grant to remain active at

McGill if the PI continues to hold an adjunct status • If the PI wants to pursue this option the following steps

need to be taken: 1. Check ongoing awards; is an adjunct status eligible to hold

funds (contact OSR for more information)? 2. PI to talk to the Chair/Dean to explore the possibility of an

Adjunct Appointment – the decision to offer the appointment is up to the Chair/Dean/Provost

3. Adjunct appointment must be processed via regular appointment channels

4. Confirmation provided to OSR 5. OSR will write to the sponsor requesting authorization.

Decision rests with the sponsor.

Scenario 2: PI resigns from McGill Adjunct status and Tri-Agency grants when PI primarily located outside of Canada

Grant holder is no longer eligible to hold NSERC grant funds. Grant

must be terminated (ongoing commitments may be authorized).

Grant holder may be eligible to continue to hold their grant, subject to CIHR’s approval.

Insight Grants (435), Insight Development Grants (430)

Standard Research Grants (410): Grant holder is no longer eligible

to hold grant funds from these funding opportunities. Grant must

be terminated (ongoing commitments may be authorized).

For all other SSHRC grants: Grant

holder may be eligible to continue to hold their grant, subject to

SSHRC’s approval.

Scenario 2: PI resigns from McGill Option 4: Grant termination

Sponsor Notified

OSR revises award Parameters as required

RFMS prepares final financial report

PI submits all required technical reporting

Scenario 2: PI resigns from McGill Option 4: Contract termination

Assess actual revenue received vs. expenses incurred to date for active and recently termed contracts

Assess outstanding reports/status of deliverables • If there are outstanding deliverables, who will be responsible for

them?

Sponsor notification, as required

Fund closeout

Scenario 3: Researcher is recruited to McGill.

PI informs current institution which follows process in

Scenario 2.

PI/Dept works with OSR to establish list of awards to be

transferred to McGill

Current institution provides list of active awards to PI and

notifies agencies

OSR works with PI/Dept to prepare documents required

by sponsor

OSR will require copies of original grant applications,

notices of awards, as well as an estimate of unspent

balance transferring to McGill

Agency issues the new notice of award, transferring

responsibility to McGill effective PI’s start date

OSR Checklist will be required for each award transferring to

McGill

OSR authorizes Fund opening

Scenario 3: considerations PI’s confidentiality • Never contact the PI’s current institution without the authorization of the PI • It’s common that they have initiated the discussions but have not informed their

current institution

Ownership of Equipment • Ownership must be relinquished by current institution and accepted by McGill prior

to any equipment being moved • Contact Risk Management and Insurance for questions related to insurance

Gaps in award close-out and new award authorization • OSR may be able to authorize an advance approval of the creation of a Fund • If the research involves human subjects, animal subjects, and/or biohazards, an

approval from the applicable McGill-affiliated office will be required.

New funding • PI may be eligible to apply for research funding via McGill prior to appointment start

date. Contact OSR for more details.

Resources for new faculty • McGill’s New Faculty Guide outlines key McGill policies and

processes • Office of Sponsored Research

• Table of Agency Programs – quick reference tool for Tri-Agency and FRQ programs

• Funding opportunities listserv – email notices of upcoming funding opportunities

• Research personnel rates of pay and McGill’s Indirect Costs Policy • New Faculty Orientation Sessions – held every year in August-

September • Financial Services

• For Researchers website • Knowledge Base – How to Request an Expense Reimbursement

Scenario 4: McGill is recipient of subaward but lead PI will be changing institutions

Sponsor

U of T (current

institution)

McGill

Harvard

Cambridge

U of A (new institution)

McGill

Harvard

Cambridge

Prime Institution must be changed with sponsor, the grant is closed out (including subs), and then new subawards issued

Scenario 4: McGill recipient of subaward but lead PI will be moving institutions PI informs current institution which follows process in Scenario 2.

Current institution issues amendment terminating the subaward

RFMS prepares the Fund closeout and the final financial report. Unspent funds must be returned to Prime Institution.

Agency confirms transfer

New Prime Institution sets up award & issues subawards

McGill opens a new PT/Fund # for the sub, effective the start date of the new sub

Project continues until slated end date

OSR may be able to advance approve the new Fund, so that the impact on the project activities at McGill is minimized.

IN CONCLUSION

Considerations when PI is relocating Will any McGill-owned equipment or research materials be moved?

If so: Has proper authorization to move the equipment been obtained? Dean/Chair/Provost (if required) Risk Management and Insurance

If research program involves human subjects, animal subjects and/or biohazards, have the appropriate offices been notified. Will data be brought to the new institution? If so, a material transfer

agreements may be required. Contact OSR for more details. If data continues to be used by McGill students, will it remain

accessible to them? Have all technical reports been submitted to the sponsor? Have all supporting documentation related to financial transactions

been placed in a central local repository? Does the PI have any unrestricted/research residual Funds?

Research Administration Tools Departure Checklist

• Visit the Research Administration Toolbox for the PI Departure Checklist – a helpful tool that details the key steps that need to be undertaken when a PI resigns from the University.

Clarifications since presentation was given March 24, 2014: • During the session, it was mentioned that there is flexibility

regarding NSERC’s requirement for a three-year appointment with non-tenure appointments if the grant will term prior to the end of the three year appointment.

• NSERC has clarified that even if the appointment renewal occurs in the final year of the grant, the grant holder must be reappointed to a contract of at least three years in order to remain eligible to continue to hold grant funds.