Research Policy

April 2011

The term "research" includes studies research, practice-led research, and creative projects.

Support for Grant Preparation & Submission

The FFA Director of Research and Strategic Partnerships oversees research service delivery, including post award finance management provided by the Research Budget Clerk and grant support services provided by the Research Officer. The Director is also responsible for developing and advancing the Faculty's strategic research objectives particularly in support of community and industry partnerships.

The FFA Research Officer supports all faculty members in their process for acquiring grant money for research and practice-based creative projects. Faculty members can contact the Research Officer for help with such things as: finding grant funding programs, creating a long term plan for obtaining funding support, grant proposal preparation, grant budget development, post-award finance management, MOU preparation for faculty resources, and other project funding matters.

Information about FFA Research Resources including internal application forms and deadlines, budget building tools, research outcomes, ethics protocols, hiring procedures and newsletters can be found at http://www.yorku.ca/ffares/.

York University internal applications for funding are submitted directly by faculty members to the central Office of Research Services (ORS). FFA grant applications should be submitted to the Dean's office, 201 GCFA.

All grant applications needing an institutional signature must be submitted through the FFA Research Office. In order to maximize the support available for grant preparation, those submitting grants must adhere to internal FAA deadlines as well as those of the University. The timely preparation and submission of materials allow time for the necessary reviews but also substantive feedback from the Research Officer ensuring stronger grant proposals going forward.

Grants submitted after the internal deadlines will receive only a technical review.

Grant requests will not go forward without time for review by those responsible for signing off.

Large partnership grants are supported through the Office of the Vice President of Research and Innovation. Please contact Sarah Whitaker, Senior Research Officer at ext. 20757 or sarahw@yorku.ca. Also see their website: http://www.yorku.ca/research/.

Research Computing Support

In keeping with the importance of research to the Faculty of Fine Arts, Fine Arts Computing Services has been mandated to provide assistance to researchers. Faculty members who will require computer support for a research project (laptop and desktop computer configuration and maintenance, website setup and administration, application development, etc.) are to work with Tim Hampton (Director of Computing Services) to prepare a research computing plan. This plan will outline the resources and staff time that will be devoted to the project, divided into two elements:

  1. "In kind" support, i.e. what computing support the faculty member is providing at no charge as a contribution to the project
  2. "Funded" support, i.e. what computing support the faculty member will seek grant funds for. This plan will be a component of the research proposal or grant application submitted to the Dean for approval and is separate from yearly operational computer funds. The "in kind" contribution proposed will be negotiated through discussions with FFA Computing, the Research Officer, and the Dean's Office.

Typical needs for research projects include desktop/laptop configuration and maintenance, data storage, website creation and administration, custom application development, server setup and administration.

In kind contributions typically include the faculty member's CRP machine (a resource at their disposal, if not provisioned solely for research), email, network connectivity, free hosting of simple web pages, limited storage (on existing servers), tape backup of storage, limited digital scanning of slides and photos (large volume work would need to be considered on a cost recovery basis).

Funded contributions could include custom application development, server setup and administration, large volume data storage, setup and maintenance of project laptops and desktops, large digital scanning jobs, assistance with creation of website material.

Site licenses available free to faculty members include Acrobat (PDF writer), Symantec Antivirus and a number of tools like FTP clients. Other software and site licenses can be purchased by faculty members at educational prices through Data Integrity in York Lanes.

Once the research project is approved and funded by the granting agency, computing will begin providing the support outlined on the Research Services Computing Services Checklist (See Appendix A). Reimbursement for the funded support will be sought at roughly four month intervals. Computing will require a budget number before funded work begins. In-kind work can begin as soon as the request is approved. FFA Computing will only support research projects under the above stated conditions.

YUFA/Dean's Travel Fund:

This fund will provide $800 for tenured and $1000 for non-tenured faculty support for those who are attending a conference to present a paper, travel to a site to develop an exhibit or to be involved in a production/performance, and/or other research that is related to the evolution of a faculty's research. A notification of acceptance of the presentation, workshop, exhibit or performance or other documentation must be submitted at the time of the request which is due three weeks prior to travel. Each faculty's request is limited to one per fiscal year (May 1 – June 30).

Other support for travel includes:

The York SSHRC Aid for travel has 4 deadlines each year: Feb 1, May 1, August 1, and November 1. Faculty members can apply once a year to cover transportation costs (including airfare, train, bus or car) to conferences or speaking engagements at which s/he is presenting work. Funds cannot be used for accommodation costs, per diem or registrations fees.

The York Ad Hoc Grant for travel, which is available only when all other sources of funding have been exhausted, also has 4 deadlines each year: March 15, June 15 September 15 and December 15. Again, only transportation costs (airfare, train, bus or car) to conferences or speaking engagements at which applicants are presenting their work are eligible.

Applications for both the York SSHRC Aid for travel and the Ad Hoc Grant for travel are submitted directly to the Office of Research Services, 5th floor Research tower.

Application forms for all travel fund programs, including the Dean's YUFA Travel fund, the York SSHRC Aid for travel and the Ad Hoc Committee travel grant, are available on the FFA Research Website: http://www.yorku.ca/ffares/resources/internalfunding.htm.

Other York University internal support for research includes:

The FFA Minor Research/Creation Grant provides up to $2,500 for non-tenured and $1,500 for tenured YUFA faculty members. The annual deadline is January 31st. Applications are submitted to the Fine Arts Research Office, 278 GCFA.

The York SSHRC small projects grant provides between $1,000 and $4,000 for YUFA faculty members. Awardees can apply every 2 calendar years. There are two deadlines each year: March 31 and October 31. Applications are submitted directly to the central Office of Research Services, 5th floor Research tower.

YUFA members can apply for the following grant opportunities through their union: Release Time Teaching Fellow; Research Development Fellowship; and Teaching-Learning Development Grants. The deadline for all three funding opportunities is Nov. 15th. Sabbatical Leave Fellowships are also available with a deadline of Jan. 15. Please see the YUFA website for all applications forms and guidelines: http://www.yufa.org/contract/leaves&fellowships.html.

CUPE faculty members can apply for the Professional Development Fund for support for conference travel and research project support. There are three deadlines per year. Please see the CUPE website for more information: http://3903.cupe.ca/benefits-funds/professional-development.

The Specific Research Grant program is a self-funded grant that allows YUFA faculty members to designate a portion of their salary as grant funds by shifting T4 salary income to a T4A form. Research expenses can then be deducted from the T4A designated funds. Important regulations apply to this funding program. Check the guidelines for more information. Deadlines: Feb. 1, May 1, Nov. 1

Applications for these internal research grants can be found on the FFA Research Website: http://www.yorku.ca/ffares/resources/internalfunding.htm#research.

Course Release Opportunities

FFA Course Release Fund: Course releases in support of research projects will be distributed on a competitive basis annually. Applications will be adjudicated by FARGAC who will make recommendations to the Dean. The number of awards in a given year will be subject to available funds. The criteria for evaluating requests will include the scale of the project, and engagement with other researchers, universities, cultural institutions, community groups and industry, or the establishment of strategic partnerships and/or alliances. Another important component of the criteria will be the ways in which the Faculty will benefit through increased visibility, support for undergraduate and/or graduate students, the enhancement of existing research facilities or the development of new facilities. With rare exceptions only a .5 course release will be supported in any given year. Faculty members are only eligible to hold an FFA award of course release every 3 years and, only in exceptional circumstances, would faculty members already holding course release from other sources be eligible to apply.

FFA Shared Course Release with VPRI: The VPRI offers support for course release in partnership with the Faculty. Generally, these course releases are negotiated in relation to large partnership grants from external funding agencies. Individual faculty members, in consultation with the FFA Research Office must negotiate requests with both the Dean and the VPRI's office.

If the annual budget allows for support beyond this, some funds might be available for extraordinary research/creation projects not funded by external agencies.

YUFA Release-Time Teaching Fellowships: Deadline November 15. Please see the YUFA website: http://www.yufa.org/docs/rttf.html.

Long and Short Term Space (Also please see the section below on Insurance and Liability)

Use of FFA facilities including space, equipment and other resources for research/creation projects must be negotiated with facility managers, who will prepare MOU's outlining the terms of agreement for use. MOU's should be as detailed as possible including terms for technical support, facilities and equipment use, pricing, anticipated inflation costs for purchase orders, time of use, and so on. Download a sample MOU. Please contact the FFA Research Office to begin the process of negotiating an agreement for the use of FFA space and other facilities for research/creation projects.

Faculty members applying for grants and needing access to FFA facilities and resources for the fulfillment of a proposed project must negotiate for resources as part of the grant preparation process. This includes space devoted solely to research (labs, meeting rooms, offices). The FFA will make every effort to support such requests within constraints of available space. Any in-kind contributions or costs associated with the space will be determined at this time and outlined in signed letters of agreement. Please see Appendix B for a sample MOU rental agreement/liability waiver. Also, please contact the FFA Research Office and appropriate facilities manager.

The priorities and policies of the Departments responsible for these spaces must be adhered to by the researchers. Space will be made available for the duration of the funded research project. Faculty may negotiate additional time in the space, but must demonstrate on-going support for the research through external funding.

Facility Rental Rates: Negotiations for the use of FFA space and facilities will be undertaken on a case by case basis. Considerations include: whether the space or facilities will be used by Fine Arts faculty, staff or students or York employees and/or students or non York employees or students; grant and other funds available to cover rental, insurance, liability and other costs; support staff needed during the rental period; expected revenue for the event, among other considerations.

Research Staff

Funding for additional dedicated research staff hired for large scale projects (project managers, lab directors, technical support) must be provided by the grant. On-going support for these positions must come from external funding.

Procurement and Hiring procedures:

Research personnel should never be paid by personal cheque. It is NOT possible to obtain reimbursement from your research cost centre for payment to research personnel by personal cheque.

There are two ways in which personnel can be hired on research grant money: i) as a Research Assistant, hired using an ETF form and paid either bi-weekly or a one-time-only payment, or ii) as a consultant, i.e. a professional who provides specific services paid for by a cheque from York University.

For Research Assistants, ETF and bi-weekly payroll forms can be found here: http://www.yorku.ca/hr/documents/index.html#PHRIM.

To hire someone as a consultant or professional, who is paid directly by cheque from York University a consultant's questionnaire must be completed and submitted before the invoice and cheque requisition will be accepted. The consultant's questionnaire can be found here: http://www.yorku.ca/finance/documents.htm.

Honorariums: It is also possible to pay honorariums from research cost centres. Generally, honorariums should be under $1000.00. For honorarium payment forms, follow this link: http://www.yorku.ca/hr/documents/honorarium_payment_form.doc.

It is highly recommended that grant holders consult first with the Faculty Research Assistant or Research Officer before hiring personnel on research cost centers. For online information about hiring employees using research grant money, please see: http://www.yorku.ca/hr/services/researchers/hiring.html.

Whenever grant holders purchase goods and materials costing over $10,000 or hire research personnel as consultants who will be paid a total over $10,000, it is required that the grant holder go through Procurement Services. Please see their website for further information: http://www.yorku.ca/procurement/internal/.

Conflict of Interest Guidelines

A conflict of interest exists whenever a researcher hires on grant money a family member, including oneself or one's production company. Researchers must adhere to University procedures and conflict of interest guidelines when hiring external consultants, technical support, collaborators, and freelance services.
Please see the Conflict of Interest Policy and Guidelines for Faculty and Librarians: http://www.yorku.ca/secretariat/policies/document.php?document=144.

Faculty members are allowed to operate a business on campus, for example, by using their campus facilities to teach private music lessons or to act as consultants, however, there are procedures that must be followed. The relevant policy can be found at http://www.yorku.ca/secretariat/policies/document.php?document=149.

A clear understanding of these guidelines and procedures is the responsibility of the researcher. Anyone with questions concerning conflict of interest should consult with the Research Officer or FFA Research Assistant before hiring external services.

Insurance and Liability

All York University employees and students are covered for liability by York's insurance policy. However, visitors to York and non-York employees hired on research grants are not covered by the York policy. Researchers who involve non-York employees and non-students should be aware of liability rules and procedures when i) using equipment and York facilities; and ii) travelling with hired personnel for field trips and research conferences. Either waivers of liability or insurance certificates are needed for non-York employees and non-students.

Download a sample waiver form.
Insurance Certificates are issued by insurance carriers underwriting risks incurred by:

  1. Independent contractors performing construction or any type of work or activity under a service agreement or any other contract entered into by the University;
  2. For businesses providing services to the University; and
  3. Third party use of University facilities

Please see the University Insurance Manual for more information: http://www.yorku.ca/finance/services/riskinsurance/insurance.htm.

The main contact person is Steve Pottle, Manager, Insurance and Risk Management at ext.55514 or pottles@yorku.ca.

Intellectual Property

Ownership for intellectual property is governed according to guidelines stipulated in the collective agreement. See Article 23, pg 129 in the 2009-2012 YUFA Collective Agreement.

Additional provisions may be required when working in networks and with external partners and should be outlined in Memorandums of Understanding (MOU) negotiated with input from the Faculty, the Office of Research Services and the Office of the Vice President Research and Innovation.

Please contact Sarah Howe, Associated Director, Research and Agreements and Intellectual Property, ext. 20579 or showe@yorku.ca.

Policy for Graduate Programs on Intellectual Property Relationships between Graduate Students and Their Supervisors: Students should refer to the Faculty of Graduate Studies' policy on intellectual property with respect to authorship, publication, individual agreements, education and information, and dispute resolution: http://www.yorku.ca/grads/policies/intellectualproperty.htm.

As well, graduate programs may have program-specific policies.
Students should also be familiar with the document entitled Intellectual Property and the Graduate Student at York University, an excerpt from the Faculty of Graduate Studies' Task Force on Intellectual Property Report: http://www.yorku.ca/grads/policies/intellectualproperty.htm.

Reporting

Researchers are required to adhere to external and internal requirements and deadlines for reporting upon completion of projects. Some grant applications are not eligible without final report out on the previous award.

The FFA Research Office collects data on external funding outside of tri-council and other York administered awards. This data is used to represent the actual scope and diversity of research/creation undertaken by individual faculty members in the FFA.

Faculty members are encouraged to respond to annual requests for information about arts council and other external funding for their or their company's creative projects.

Research Proposal Computing Services Checklist (doc) (pdf)

Sample Memorandum of Understanding (Liability Waiver) (doc) (pdf)

Definitions:

The following definitions are mostly taken from Tri-Council websites.

Principal Investigator: An individual or an institution applying for funds for a research grant. Eligibility requirements may vary between specific funding opportunities. The principal investigator has primary responsibility for the intellectual direction of the research or research-related activity, and assumes administrative responsibility for the grant. In the case of teams or formal partnerships, the principal investigator is understood to be responsible for the overall leadership of the team or partnership.

Co applicant: An individual, participating in a grant application, who makes a significant contribution to the intellectual direction of the research or research-related activity, who plays a significant role in the conduct of the research or research-related activity, and who may also have some responsibility for financial aspects of the research. Eligibility requirements may vary between specific funding opportunities. A co-applicant affiliated with a Canadian postsecondary institution may be named principal investigator in the event of the original principal investigator's death or resignation.

Collaborator: An individual, participating in a grant application, who may make a significant contribution to the intellectual direction of the research or research-related activity, and who may play a significant role in the conduct of the research or research-related activity. Collaborators are not eligible to be named principal investigator in the event of the original principal investigator's death or resignation. Collaborators do not need to be affiliated with a Canadian postsecondary institution.

Partner: A partner is an organization that participates actively in a formal partnership and contributes in a meaningful way to the success of the endeavour. A partner organization may be, for example, a Canadian or foreign: postsecondary institution, government department (federal, provincial, territorial, municipal), for-profit or not-for-profit organization, or foundation. Partner organizations are required, for administrative purposes, to identify an individual who will act as a contact person. A partner is expected to support the activities of the formal partnership by sharing in intellectual leadership or providing expertise. The partner is also expected to provide cash and/or in-kind contributions.

Formal partnership: A bilateral or multilateral formal collaboration agreement between an applicant (normally an individual or a Canadian postsecondary institution) and one or more partners. These partners agree and commit to work collaboratively to achieve shared goals for mutual benefit. Evidence attesting to that commitment may include: an agreed-upon governance and/or management structure, a mutually determined methodological approach with established roles and responsibilities, a memorandum of understanding, or other sources of evidence endorsed by the partners. While the formality of partnerships may vary, a formal partnership is grounded in trust and mutual respect, with partners contributing in a meaningful way to the success of the endeavour. This may include, for example, sharing in intellectual leadership or providing expertise. The partner is also expected to provide cash and/or in-kind contributions.

Program of research: A sustained research enterprise that includes one or more projects or other components, and that is shaped by broad objectives for the advancement of knowledge. It might be undertaken primarily by one investigator and encompassed within a single research career, or it could mobilize a team of researchers during a specific period. In pursuit of the overall objectives, specific approaches and methods are advanced, adopted and modified as the research proceeds and as findings are made and reported.

Program of research/creation: A sustained research enterprise that includes one or more projects or other components, and that is shaped by broad objectives for the advancement of knowledge in the fine arts, through the development or renewal of the field of artistic endeavour concerned. It might be undertaken primarily by one investigator and encompassed within a single research career, or it could mobilize a team of researchers during a specific period. In pursuit of the overall objectives, specific approaches and methods are advanced, adopted and modified as the research proceeds and as findings are made and reported.

Knowledge mobilization (KM): includes a range of activities that enhance the two-way connection between researchers and research users. KM provides networking, collaborative activities and capacity development to maximize the impact and dissemination of research. Dedicated knowledge brokers support researchers by matching them with an organization to facilitate the collaboration and dissemination, such as influence on policy or professional practice. For more information, please contact the York KM office: http://www.yorku.ca/research/innovation/knowledgemobilization/.

Knowledge translation (KT): encompasses all steps between the creation of new knowledge and its application to yield beneficial outcomes for society. Essentially, KT is an interactive process underpinned by effective exchanges between researchers who create new knowledge and those who use it. Users and creators of knowledge are brought together during all stages of the research cycle. KT is a relatively new term coined by the Canadian Institutes of Health Research (CIHR) in 2000. CIHR defined KT as "the exchange, synthesis and ethically-sound application of knowledge—within a complex system of interactions among researchers and users—to accelerate the capture of the benefits of research for Canadians through improved health, more effective services and products, and a strengthened health care system" (CIHR, 2005, para. 2). Since 2000, the concept of KT has broadened beyond the scope of health care research.