A.
PROCEDURES
1.
GOVERNANCE AND REPORTING
1.1.
The Provost and Vice-President, Academic delegates responsibilities for
governance of Institutes to the Research and Scholarship Committee (RSC) as
outlined in these Procedures.
1.2.
Institutes will submit an annual report (the Report) to RSC no later than August 31
of each year. The Report will include an executive summary that summarizes and
assesses the Institute’s operations, activities and financial status.
1.3.
The Associate Vice-President, Research, Scholarship and Community
Engagement (AVP RSCE) will forward the Report to the Provost and General
Faculties Council (GFC) for their review.
1.4.
The AVP RSCE will forward the Report to the University President for Board of
Governors review and approval in the fall semester of the reporting year.
2.
ESTABLISHMENT OF INSTITUTES
2.1
Approval Process for Proposed Institutes
a.
Proposed Institutes will submit a proposal for their establishment
(Proposal) to the Office of the AVP RSCE who will forward the Proposal to
the Provost and the Associate Vice President, Development.
b.
The Provost, the Associate Vice President, Development and the AVP
RSCE will review the Proposal and consider how the Proposal aligns with
the University’s Strategic Plan, the University’s funding priorities and the
University’s resources and, if they are in agreement, they may approve the
Proposal in principle.
c.
If the Proposal is approved in principle, the AVP RSCE will invite the
Proposed Institute to prepare a memorandum for the University’s
Executive Leadership Team (ELT) that outlines important aspects of the
Proposed Institute which may include but is not limited to; potential donors,
potential revenue sources and potential community and institutional
benefit and needs. The Provost will forward the memorandum and the
Proposal to ELT for their consideration.
INSTITUTES AT MOUNT ROYAL UNIVERSITY
PROCEDURES
Procedure
Type:
Management
Initially
Approved:
April 13, 2010
Procedure
Sponsor:
Provost and VP,
Academic
Last
Revised:
May 12, 2015
Administrative
Responsibility:
AVP, Research,
Scholarship and
Community
Engagement
Review
Scheduled:
April 2027
Approver:
Executive Leadership Team
d.
After review of the memorandum and Proposal, ELT will decide to do one
of the following:
i.
Reject the memorandum of the Proposed Institute and therefore
its Proposal at which point no further action will occur; or
ii.
Request further information from the Proposed Institute before
voting to either reject or approve the Proposal in principle; or
iii.
Approve the memorandum and Proposal in principle at which
point the AVP RSCE will forward the Proposal to RSC.
e.
Upon receipt of a Proposal from the AVP RSCE, RSC will vote on motions
to establish Institutes. The majority of RSC members must vote in favour
of establishing the Institute or no further action will occur.
f.
The AVP RSCE will communicate successful motions to establish
Institutes to the Provost.
g.
At their discretion, the Provost will forward successful motions to establish
an Institute to GFC. The majority of GFC members must vote in favour of
establishing the Institute for the proposal to be accepted.
2.2.
Proposals
a.
All proposals for establishment of a new Institute will contain the following:
i.
Article 1: Name of the Proposed Institute
ii. Article 2: Description and justification for the Proposed Institute
This will include:
-
a concise statement of the mission and objectives of the proposed
Institute and its alignment with the Strategic plans and priorities of
the University;
-
an identification of the scope of activities envisaged and a
demonstration that these activities complement, but do not
compete with, the activities that fall within the mandate of other
organizational units of the University; and
-
a description of the benefits and opportunities likely to result from
the establishment of the Institute, including an indication of how it
would facilitate research or other scholarly activity among
individuals within the University and in the broader community
iii. Article 3: Organizational Structure
This will include:
-
the organizational structure of the proposed Institute, including the
roles and responsibilities of its Director, and staff; and
-
a description of the roles, responsibilities and procedures for how
the University’s faculty, students and staff will be engaged in
activities of the Institute and a description of how they will be
selected/appointed by the Institute.
iv. Article 4: Management Structure
This will describe the proposed management structure, consistent with
Institute Policy.
v. Article 5: Description of Supporting Resources
This will include at a minimum:
-
a list of facilities and supporting resources/services needs that are
required for the success of the Institute. This would include current
plans, strengths, weaknesses, gaps, and future needs that the
Institute might address. The section should include proposed
costing and/or strategies for obtaining resources or funds; and
-
the following resource support needs, if required, by the Institute,
will be addressed in this section:
o the Institute must provide written confirmation from the
University Librarian committing the University to provide the
Library related resources and services
o the Institute must provide written confirmation from the AVP
RSCE, committing the University to provide space and
equipment including but not limited to laboratories and offices.
The AVP RSCE and/or Provost will be responsible for
initiating discussions with appropriate University departments
and/or committees to address requests for space and
equipment.
o the Institute must provide written confirmation from the
University’s CIO/Associate Vice-President of Information
Technology Services (“ITS”), committing the University to
provide ITS related resources and services required by the
Institute, including but not limited to information technology
and network needs, specialized software and hardware
support/investment.
o the Institute must provide written confirmation from University
Deans supporting interactions within their Faculty.
o the Institute may provide letters of support from organizations
external to the University.
vi. Article 6: Budget and Description of Financial Resources
This will include the following:
-
a detailed budget proposal for the first three to five years of the
proposed Institute which includes the anticipated revenue from all
sources (e.g. University, government, industry, recovery of
indirect costs, royalties, etc.) and proposed annual operating
costs, as well as plans for achieving financial self-sufficiency
through external cost recovery.
2.3.
Directors
a.
The AVP RSCE, in consultation with RSC and any associated deans, is
responsible for establishing and chairing the hiring committee for a new
Director of an Institute.
b.
The AVP RSCE will recommend the appointment of Directors of Institutes
to the Provost for terms up to five years and may also recommend the
revocation of a Director’s appointment. In both cases the Provost’s
decision will be final.
3.
ADVISORY COMMITTEES
3.1.
The purpose of Advisory Committees is:
a.
To advise Institutes during the formulation of their strategic plans, and with
respect to the development and evaluation of its activities;
b.
To provide information and advice about research, scholarship and other
activities;
c.
To keep Institutes informed of changes external to the University and other
external factors which may influence the development, continuation or
discontinuation of Institutes;
d.
To provide contact in the community to further research and scholarly
activities for employees of the University;
e.
To assist Institutes in obtaining feedback on their performance; and
f.
To inform the community about the Institute’s opportunities and
accomplishments.
3.2
Function of Advisory Committees
a.
The University acknowledges that the most effective function and structure
of an Advisory mechanism may vary with each Institute, but must be
consistent with the objectives outlined in 3.1. This includes the option of
not striking a formal advisory committee.
b.
The Institute annual report will include a summary of the role and impact
of the Advisory Committee (or equivalent approve Advisory mechanism).
4.
CHANGES TO EXISTING INSTITUTES
4.1.
An Institute that wishes to make any changes to components of its original
Proposal over time must obtain approval through the 5 year Review process
(section 5 below) or through the same process as outlined under Establishment of
Institutes in the Procedures. Changes may include, but are not limited to:
a.
renaming of the Institute;
b.
management structure;
c.
t
he Institute’s mission;
d.
organizational structure; and,
e.
financial resources must obtain approval through the same process as
outlined under Establishment of Institutes in these Procedures.
5.
REVIEW OF INSTITUTES
5.1.
RSC will review (the Review) all Institutes on a periodic basis, at least once
every five (5) years.
5.2.
Reviews will be conducted to ensure that all activities are consistent with the
approved charter of the Institute.
5.3.
The Office of the AVP RSCE will notify the Director that a Review must be
completed at least Twelve (12) months prior to the end of the mandate of the
Institute, or earlier if deemed necessary by RSC.
5.4.
In response to this notification, the Director of the Institute will submit to RSC within
three (3) months a Report which refers to details i
n the Institute’s original Proposal
and contains the following:
a.
A description of how and why the Institute has achieved or revised its
original objectives; a detailed listing of its accomplishments; detailed
information about the engagement of faculty members, students, and staff
from across the University; and a detailed financial statement;
b.
A five-year plan for the Institute which identifies future directions and
development strategies;
c.
A summary of the role and impact of the Institute’s Advisory Committee or
Advisors;
d.
Letters indicating continued support for the Institute from appropriate
internal and external persons and agencies; and
e.
The names of individuals who could provide external assessments of the
Institute, if necessary.
5.5.
On the basis of this Report, as well as a review of annual reports, RSC will make
a recommendation to continue or discontinue the Institute; or request that an
independent University Committee conduct a more formal review of the Institute.
RSC must review and consider any legal agreements that may affect the status of
an Institute in their formal recommendation.
5.6.
If RSC makes a recommendation to continue the Institute, RSC will make a motion
to GFC that the Institute continue either for period of 1 (one) year with subsequent
RSSC review, or for 3 (three) to 5 (five) years.
5.7.
If RSC makes a motion to discontinue the Institute, RSC will advise GFC of that
motion.
5.8.
If discontinuation of the Institute is approved by the majority of GFC, the AVP,
RSCE will work closely with the Director to develop a plan for discontinuation.
5.9.
If RSC makes a motion that a University Committee must conduct a formal review
of the Institute, the AVP RSCE will form the University Committee.
5.10.
The membership of the University Committee will normally include: a senior
member of the University with administrative experience who has no direct
involvement in the Institute and who will act as chair, the Director of another
Institute, a University faculty member with appropriate expertise and who is not
affiliated with the Institute; the AVP RSCE or his/her designate and other members
as deemed appropriate.
5.11.
The University Committee will have the discretion on how to conduct the review.
The primary focus of the review will be an assessment of the extent to which the
Institute has fulfilled its objectives; the appropriateness of its future goals; and the
Institute’s current and projected financial sustainability.
5.12.
The review process will involve meetings with the Director, and members of the
University Committee. Required documentation will include the solicitation of
external assessments as well as discussion with non-members of the Institute from
related University departments/fields.
5.13.
The University Committee will submit a written report to AVP RSCE and to the
Director within three (3) months of the University Committee being established.
5.14.
Within two weeks of receipt of the University Committee report, the Director may
submit a written response to the Chair of the University Committee.
5.15.
The Chair of the University Committee will submit final documentation including
the University Committee’s report and Director’s response, if any, to RSC. RSC
will consider the report of the University Committee, and may consult with the
University Committee and the Director Institute before making a motion to GFC
concerning the future of the Institute.
5.16.
RSC’s final motion to GFC must include consideration of any legal agreements
that may affect the status of the Institute. RSC’s motion may be any one of the
following:
a.
Continuation of the Institute with annual and comprehensive review in
three (3) to five (5) years;
b.
Continuation of the Institute with review in one (1) year; or
c.
The discontinuation of the Institute.
6.
DISCONTINUATION OF INSTITUTES
6.1.
Notwithstanding the Review process outlined in these Procedures, the Provost
may, at any time, recommend discontinuation of an Institute to both the ELT and
GFC.
6.2.
If the majority of the ELT
or GFC or both of them approve the Provost’s
recommendation for the discontinuation of an Institute, the AVP RSCE will work
closely with the Director of the Institute to develop a plan for discontinuation.
B.
DEFINITIONS
(1)
Advisory Committee:
means a committee of individuals established by the
Director of an Institute in accordance with the
Procedures to this Policy
(2)
Board of Governors:
means the Board of Governors of Mount Royal
University
(3)
Director:
means
the
individual
who
is
administratively
responsible for an Institute and is normally an employee
of the University
(4)
Institute:
means an Institute at the University that is a Financially
Self-Sufficient entity through which research and
scholarly activities are developed and coordinated and
that has been established in accordance with the
Procedures to this Policy
(5)
Policy:
means the Institutes at Mount Royal University Policy
(6)
University:
means Mount Royal University
C.
RELATED POLICIES
•
Institutes at Mount Royal University Policy
D.
RELATED LEGISLATION
•
Alberta Post-Secondary Learning Act
E.
RELATED DOCUMENTS
• Establishment and Recognition of Research and Scholarship Collaborations other than
Institutes
F.
REVISION HISTORY
Date
(mm/dd/yyyy)
Description of
Change
Sections
Author
(Position Title)
Approver
(Position Title)
04/13/2010
NEW
– split
procedures out from
policy
05/12/2015
Rewrite
All
08/11/2017
Editorial
– formatting
Director, University
Secretariat
06/18/2018
Editorial
– Committee
name update
All
Policy Specialist
Director, University
Secretariat
04/04/2023
Minor Update
All
RSC Institutes Policy
Working Group
ELT