Affiliated Institutes Procedures
– May 25, 2012
Page 1 of 7
A.
PROCEDURES
1.
ESTABLISHMENT OF AFFILIATED INSTITUTES
1.1.
Approval process for Proposed Affiliated Institutes
a.
Proposed Affiliated Institutes will submit a proposal for their establishment
(“Proposal”) to the Office of the Associate Vice President Research
Scholarship and Community Engagement (AVP RSCE), who will forward
the Proposal to the Provost and Vice President Academic (Provost), the
University’s Associate Vice President of Development, the appropriate
Dean and appropriate faculty member/s.
b.
The Provost, and the University’s Associate Vice President of
Development, the AVP RSCE, the appropriate Dean and appropriate
faculty member/s will discuss and consider how the Proposal aligns with
the
University’s Strategic Plan, the University’s Academic Plan, the
University’s funding priorities and the University’s resources and may
approve the Proposal in principle.
c.
If the Proposal is approved in principle, the AVP RSCE, will invite the
Proposed Affiliated Institute to prepare a memorandum for the
University’s
Executive Leadership Team (ELT) that outlines important aspects of the
Proposed Affiliated Institute which may include but is not limited to;
potential donors, potential revenue sources and potential community and
institutional benefit and needs.
d.
The Provost will forward the memorandum and the Proposal to ELT for
their consideration.
e.
After review of the memorandum and Proposal, the majority of the
members of ELT will vote to do one of the following:
i.
Reject the memorandum of the Proposed Affiliated Institute and
therefore its Proposal at which point no further action will occur;
or
AFFILIATED INSTITUTES PROCEDURES
Procedure
Type:
Management
Initially
Approved:
May 12, 2015
Procedure
Sponsor:
Provost and VP,
Academic
Last
Revised:
May 12, 2015
Administrative
Responsibility:
Vice-Provost and
Associate Vice-
President,
Academic
Review
Scheduled:
April 2027
Approver:
Executive Leadership Team
Affiliated Institutes Procedures
– May 25, 2012
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ii.
Request further information from the Proposed Affiliated Institute
before voting to either reject or approve the Proposal in principle;
or
iii.
To approve the memorandum and Proposal in principle at which
point the Vice-Provost and Associate Vice-President, Academic,
will forward the Proposal to Research and Scholarship Committee
of GFC (RSC).
f.
RSC will vote on motions to establish Affiliated Institutes. The majority of
RSC members must vote in favour of establishing the Institute or no further
action will occur.
g.
The AVP RSCE, will communicate successful motions to establish
Affiliated Institutes to the Provost.
h.
At their discretion, the Provost will forward successful motions to establish
an Affiliated Institute to GFC.
i.
GFC will review RSC’s motion and the majority of GFC will vote to do one
of the following:
i.
reject
RSC’s motion to establish the Affiliated Institute; or
ii.
approve
RSC’s motion to establish the Affiliated Institute; or,
iii.
GFC may request additional information from the Proposed
Affiliated Institute before making a final decision.
1.2.
Proposals
a.
All proposals for establishment of a new Affiliated Institute will contain the
following:
i.
Article 1: Name of the Proposed Affiliated Institute
ii.
Article 2: Description and justification for the Proposed Affiliated
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.
Affiliated Institutes Procedures
– May 25, 2012
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iii.
Article 3: Organizational Structure
This will include:
-
the organizational structure of the Proposed Affiliated 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 Affiliated Institute. This
would include current plans, strengths, weaknesses, gaps,
and future needs that the Affiliated 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
Affiliated Institute, will be addressed in this section:
o The Affiliated Institute must provide written confirmation
from the University Librarian committing the University to
provide the Library related resources and services.
o The Affiliated Institute must provide written confirmation
from the Vice-Provost and Associate Vice-President,
Academic, committing the University to provide space and
equipment including but not limited to laboratories and
offices. The Vice-Provost and Associate Vice-President,
Academic, 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 Affiliated Institute must provide written confirmation
from the
University’s CIO/AVP 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 Affiliated Institute must provide written confirmation
from University Deans supporting interactions within their
Faculty.
Affiliated Institutes Procedures
– May 25, 2012
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o The Affiliated Institute may provide letters of support from
organizations external to the University.
vi.
Article 6: Budget and Description of Financial Resources
Budget and description of financial resources must include a
detailed budget proposal for the first three to five years of the
Proposed Affiliated Institute including a description of the
anticipated revenue from all sources (e.g. University, government,
industry, recovery of indirect costs, royalties) and proposed
operating costs.
2.
REVIEW OF AFFILIATED INSTITUTES
2.1
The Office of the AVP-RSCE, will notify the Director of an Affiliated Institute (AI
Director) that a review must be completed at least twelve (12) months prior to the end
of the term of the Affiliation Agreement, or earlier if deemed necessary by RSAC.
2.2
In response to this notification, the AI Director must submit to RSC within three
(3) months a Report which contains the following:
a.
A description of how and why the Affiliated 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;
and
b.
Letters indicating continued support for the Affiliated Institute from
appropriate internal and external persons and agencies.
2.3.
On the basis of this Report, RSC will make a motion to renew or terminate the
Affiliation Agreement. RSC must consider any legal agreements that may affect
the status of an Affiliated Institute in their formal motion.
2.4.
If RSC makes a motion to continue the Affiliated Institute, RSC will recommend that
the Affiliated Institute will continue either for period of one year with subsequent
RSC review, or for three to five years.
2.5.
RSC will forward successful motions to continue an Affiliated Institute to GFC for
their information.
2.6.
If RSC makes a motion to continue the Affiliated Institute, the AVP RSCE will notify
the University’s Office of General Counsel and they will draft and/or amend the
Affiliation Agreement.
2.7.
If RSC’s motion is to discontinue the Affiliated Institute, the AVP RSCE, will work
closely will the Office of General Counsel to develop a plan for discontinuation.
2.8.
The Provost may, at any time, recommend to ELT that an Affiliated Institute be
discontinued.
Affiliated Institutes Procedures
– May 25, 2012
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3.
RENAMING OR CHANGING LEGAL STATUS
3.1.
If an Affiliated Institute renames their Institute, changes their legal status or
significantly changes their strategic direction without the prior written agreement of
the University Provost, the University may take steps to terminate the Affiliation
Agreement.
4.
DISCONTINUATION OF AN AFFILIATED INSTITUTE
4.1.
Prior to discontinuing their Affiliated Institute the Affiliated Institute must:
a.
Notify the AVP RSCE, in writing that a discontinuation of the Affiliated
Institute is being considered;
b.
Notify the AVP RSCE, of the physical and financial resources that will
remain at the University following the discontinuation of the Affiliated
Institute, if not already stated within the Affiliation Agreement; and
c.
Must follow the requirements of the Affiliation Agreement.
5.
AFFILIATION AGREEMENT REQUIREMENTS
5.1.
Proposed Affiliated Institutes shall not operate prior to the proper execution of a
legal agreement (an Affiliation Agreement) that is drafted and reviewed by the
University’s Office of General Counsel.
5.2.
All new Affiliation Agreements and amendments to existing Affiliation Agreements
must be drafted and reviewed by the Office of General Counsel.
5.3.
No changes to proposed or existing Affiliation Agreements are permitted without
the review and advice of the Office of General Counsel.
5.4.
All Affiliation Agreements will be entered into the name of the Board of Governors
of Mount Royal University and signed or entered into in accordance with University
policy.
5.5.
Parties to an Affiliation Agreement will provide the University’s Office of General
Counsel with adequate information to draft the Affiliation Agreement. This
information will usually include but is not limited to:
a.
Legal Status of the Parties;
b.
Shared goals of the parties to the Affiliation Agreement;
c.
Space Requirements;
d.
Finances;
e.
Term and Termination provisions;
f.
Privacy Requirements;
Affiliated Institutes Procedures
– May 25, 2012
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g.
Equipment Purchase;
h.
Indemnification and Insurance;
i.
Roles and Responsibilities of the parties to the Affiliation Agreement;
j.
Ownership of Intellectual Property; and
k.
Confidential Information.
5.6.
The Office of the Provost is the office of primary record for all signed Affiliation
Agreements for Affiliated Institutes.
B.
DEFINITIONS
(1)
Affiliation
Agreement:
means a legal agreement
drafted by the University’s Office of
General Counsel, entered into in the name of the Board of
Governors of Mount Royal University and executed in
accordance with University policy
(2)
Affiliated Institute:
means an Institute at the University that is established by an
Affiliation Agreement with a Financially Self-Sufficient third party
through which research and scholarly activities are developed
and coordinated
(3)
Board of Governors:
means the Board of Governors of Mount Royal University
(4)
Director:
means the individual who is administratively responsible for an
Institute and is normally an employee of the University
(5)
Financially Self-
Sufficient:
means an Institute that, once fully operational, has annual
revenue that equals or exceeds expenditures and the approved
budget for the following two years show a similar balance. Due
to the cyclic nature of gift agreements and grants, self-sufficiency
will be evaluated in a multi-year context.
(6)
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.
(7)
Policy:
means the Institutes at Mount Royal University Policy
(8)
University:
means Mount Royal University
C.
RELATED POLICIES
• Institutes at Mount Royal University Policy.
Affiliated Institutes Procedures
– May 25, 2012
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D.
RELATED LEGISLATION
• Alberta Post-Secondary Learning Act.
E.
RELATED DOCUMENTS
F.
REVISION HISTORY
Date
(mm/dd/yyyy)
Description of
Change
Sections
Author
Approver
05/12/2012
New
Split out from Policy
Provost & VP
Academic
ELT
08/18/2017
Editorial
– Title
Changes, Formatting
Director, University
Secretariat
06/22/2020
Editorial
– Position
Title
All
Policy Specialist
University Secretary
04/04/2023
Minor Update
All
RSC Institutes Policy
Working Group
ELT