/var/www/www_htdocs/Applications/PoliciesAndProcedures/html-policies/0B2rB1ncpgWxvNnA4eXUxUzV3Zm8/index

PROCEDURES

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.

ESTABLISHMENT OF INSTITUTES

2.1

Approval Process for Proposed Institutes

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.

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.

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.

After review of the memorandum and Proposal, ELT will decide to do one

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

of the following:

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.

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.

The AVP RSCE will communicate successful motions to establish

Institutes to the Provost.

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

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

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.

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.

ADVISORY COMMITTEES

3.1.

The purpose of Advisory Committees is:

To advise Institutes during the formulation of their strategic plans, and with

respect to the development and evaluation of its activities;

To provide information and advice about research, scholarship and other

activities;

To keep Institutes informed of changes external to the University and other

external factors which may influence the development, continuation or

discontinuation of Institutes;

To provide contact in the community to further research and scholarly

activities for employees of the University;

To assist Institutes in obtaining feedback on their performance; and

To inform the community about the Institute’s opportunities and

accomplishments.

3.2

Function of Advisory Committees

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.

The Institute annual report will include a summary of the role and impact

of the Advisory Committee (or equivalent approve Advisory mechanism).

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:

renaming of the Institute;

management structure;

the Institute’s mission;

organizational structure; and,

financial resources must obtain approval through the same process as

outlined under Establishment of Institutes in these Procedures.

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 in the Institute’s original Proposal

and contains the following:

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;

A five-year plan for the Institute which identifies future directions and

development strategies;

A summary of the role and impact of the Institute’s Advisory Committee or

Advisors;

Letters indicating continued support for the Institute from appropriate

internal and external persons and agencies; and

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:

Continuation of the Institute with annual and comprehensive review in

three (3) to five (5) years;

Continuation of the Institute with review in one (1) year; or

The discontinuation of the Institute.

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.

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

RELATED POLICIES

• Institutes at Mount Royal University Policy

RELATED LEGISLATION

• Alberta Post-Secondary Learning Act

RELATED DOCUMENTS

•

Establishment and Recognition of Research and Scholarship Collaborations other than

Institutes

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

Document Outline