Indirect Costs Outcomes Report
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- Lee Price
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1 Main Contact Information Institution Trent University Contact Family Name Emery Contact Position Vice President Research and International Contact Given Name Neil Contact Department Office of Research Contact Telephone number Area Code Number Extension Contact address at institution Financial Contact Information Financial Contact Family Name Parsons Financial Contact Position Manager Budgeting Services Financial Contact Given Name Anne Financial Contact Department Financial Services Financial Contact Telephone number Area Code Number Extension Financial Contact address at institution Statement of Account Total Indirect Costs Funds available in A $1,874,278 Expenditures incurred in Facilities Resources Management and Administration Regulatory Requirements and Accreditation Intellectual Property Total Indirect Costs expenditures incurred in Outstanding Commitments Health Research Affiliates (The expenditure was incurred but the invoice was not paid in the period ending March 31, but was paid before June 30. Be sure to include the commitments in the appropriate area(s) above.) $66,586 B $584,123 $98,623 $775,646 $240,979 $174,907 $1,874,278 For organizations with health research affiliates only: for each area of priority, indicate the actual amount of your grant that was spent by your health research affiliates. Facilities Resources Management and Administration Regulatory Requirements and Accreditation Intellectual Property $0 $0 $0 $0 $0 2009/03 Page 1 of 14
2 Section I - Facilities Expenditures Was your grant invested, completely or partially, in any of the following ways? Note that A and B are not exclusive (i.e. for any given category, if you have covered both existing and new Expenditures, you would check both A or B). Expenditure category A) The grant covered existing expenditures B) The grant covered new expenditures (not previously covered by grant) C) The grant did not cover this category In which category was the largest proportion of your grant invested? 1. Renovation and maintenance of research facilities (excluding expenditures incurred to meet regulatory requirements - see Section IV) 2. Upgrade, operations and maintenance of equipment 3. Operating costs (custodial, security, maintenance, utilities, leasing, capital planning, insurance on research space) 4. Technical support for laboratories, offices and other facilities (excluding technical support for animal care - see section IV) 2009/03 Page 2 of 14
3 Section I - Facilities (continued) Impact Statement Please explain how the expenditures made in this priority area have allowed your institution (and its health research affiliates, where applicable) to maintain and/or enhance the capacity of its research enterprise. The following questions can help guide your answer: - what difference have your grant investments made? - are there significant changes from the previous year? - why are these investments vital for researchers? - why are these expenditures vital to the university research administration? - what would have happened if expenditures hadn't been possible? - what are the major cost drivers in this category? - what percentage of your O&M expenditure supports CFI-funded equipment? Indirect Cost of Research funding was directed to the annual budget of the Dean of Science to assist with equipment upgrades. In addition, funding continued to be directed to the Water Quality Centre and the Institute for Watershed Sciences to ensure that the state-of-the-art equipment was maintained at all times. Ongoing maintenance and calibration of such equipment such as the mass spectrometers was supported through ICOR funding. Valve replacements, technical labour, nitrogen and argon tank rentals, etc. were part of the ongoing maintenance of the Water Quality Centre. Without ICOR funding these research facilities would be compromised. The Dean of Science also received ICOR funding to support the employment of an Electronics Technician who monitors the maintenance and upgrades of research facilities. The technician also ensures that research equipment is properly calibrated and maintained thus reducing delays in research activity. This individual also provides expert advice in sourcing equipment specifications and needs for new equipment requests. ICOR funds were also used this year to support a portion of the Machine Shop Technician s salary. The Machine Shop Technician works collaboratively with the Science Facilities Manager to ensure that all equipment is functioning a full capacity. In ICOR funding continued to support the Cartographic Technician. ICOR funds continue to be directed to Physical Resources to defray a portion of the costs associated with operating research laboratories that are heavy users of resources such as electrical power. ICOR supported custodial, security, maintenance, utilities, and building insurance costs. The major cost drivers in this category are: more users of research infrastructure, aging infrastructure, increased costs of operation, and increased laboratory space through building expansion. As of March 31, 2012, equipment upgrades and maintenance occurred but were not paid until April The value of this outstanding commitment was $ /03 Page 3 of 14
4 Section II - Research Resources Expenditures Was your grant invested, completely or partially, in any of the following ways? Note that A and B are not exclusive (i.e. for any given category, if you have covered both existing and new expenditures, you would check both A or B). Expenditure category A) The grant covered existing expenditures B) The grant covered new expenditures (not previously covered by grant) C) The grant did not cover this category In which category was the largest proportion of your grant invested? 1. Acquisition of library holdings (journals, books, collections, periodicals, Canada National Site Licensing project, etc.) 2. Improvements to electronic information resources (access to databases, telecommunications systems, information technology systems, and research tools) (excluding technology to track grants and to provide financial services - see Section III) 3. Library operating costs and administration (custodial, security, maintenance, utilities, leasing, capital planning, staff salaries) 4. Insurance on research equipment and vehicles 2009/03 Page 4 of 14
5 Section II - Research Resources (continued) Impact Statement Please explain how the expenditures made in this priority area have allowed your institution (and its health research affiliates, where applicable) to maintain and/or enhance the capacity of its research enterprise. The following questions can help guide your answer: - what difference have your grant investments made? - are there significant changes from the previous year? - why are these investments vital for researchers? - why are theses expenditures vital to the university research administration? - what would have happened if expenditures hadn't been possible? - what are the major cost drivers in this category? - what proportion of the acquisitions and operating budget of the library is covered by the Indirect Costs Program? - do you participate in inter-institutional consortia or partnerships to assist in cost reduction in this expenditure category? In , the proportion of the acquisitions budget of the library covered by the Indirect Costs Program was approximately 8%. ICOR grant funding allows the Trent University library to continue to subscribe to over 6000 electronic journals and 1500 print journals. The grant also allows Trent to access approximately 30,000 titles in electronic format through aggregator services (e.g. Ebsco Academic Search Elite, ProQuest Education, Ebsco Business Sources, etc.) Without ICOR funding, Trent s research community would have very limited access to electronic and print journals. Access to current, emerging research is essential to developing Trent s research capacity through the training of high quality personnel in graduate studies. It is also important to note that many Trent researchers learn of opportunities to network and expand their programs of research by learning about the research of other experts in their respective fields. Trent University does participate in inter-institutional consortia and partnerships which assist in cost reduction in this expenditure category. Trent utilizes RACER which is an inter-library loans service funded by the Ontario Council of University Libraries. Trent University is also a partner on the Canadian University Reciprocal Borrowing Agreement which affords registered university students and faculty access to in-person borrowing privileges. ICOR also provided funding to cover the costs of insurance for research vehicles. Trent faculty have been fortunate to receive equipment grants which have increased the number of research vehicles available ( trucks, snowmobiles, boats, etc.). The major cost drivers in this category are: increased costs associated with more infrastructure and users; increased costs associated with higher risk activities. 2009/03 Page 5 of 14
6 Section III - Management and Administration Expenditures Was your grant invested, completely or partially, in any of the following ways? Note that A and B are not exclusive (i.e. for any given category, if you have covered both existing and new expenditures, you would check both A and B). Expenditure category A) The grant covered existing expenditures B) The grant covered new expenditures (not previously covered by grant) C) The grant did not cover this category In which category was the largest proportion of your grant invested? 1. Institutional support for the completion of grant applications / research proposals. 2. Acquisition, maintenance and/or upgrade of information systems to track grant applications, certifications, and awards. 3. Eligible training of faculty and research personnel (excluding training to meet regulatory requirements - see Section IV) 4. Human resources and payroll 5. Financial and audit costs 6. Research planning and promotion, public relations 2009/03 Page 6 of 14
7 Section III - Management and Administration (continued) Impact Statement Please explain how the expenditures made in this priority area have allowed your institution (and its health research affiliates, where applicable) to maintain and/or enhance the capacity of its research enterprise. The following questions can help guide your answer: - what difference have your grant investments made? - are there significant changes from the previous year? - why are these investments vital for researchers? - why are theses expenditures vital to the university research administration? - what would have happened if expenditures hadn't been possible? - what are the major cost drivers in this category? - do you participate in inter-institutional consortia or partnerships that assist in cost reduction in this expenditure category? The ICOR grant continues to support the Director of Research Services and the Research Project Office The ICOR grant enabled the Office of Research to hire an additional Research Project Officer in These three individuals work directly with faculty to develop research proposals, establish research partnerships, and secure funding. Researchers are actively encouraged to pursue funding opportunities as they emerge with the support o these positions in research. Without ICOR funding, it is possible that these positions would be scaled back, thus compromising the university s research capacity. Trent has seen a 65% increase in research activity within the last 9 years. The ICOR grant enabled the university to increase the number of research accountants from two to three, and continue to employ an Accounting Assistant. The Research Accounting team assists the research community with all matters related to the financial administration of their grants, including issues related to research personnel, eligible expenses and financial reporting. Increased accountability measures have increased the workload for both research accounting and principal investigators. Without the active support of the research accounting team, it is likely that many researchers would opt out of certain funding opportunities as a direct result of the detailed reporting requirements. ICOR continues to support a Junior Purchasing Buyer who works directly with the research community to purchase goods, services, and equipment. The Junior Buyer assists in the tendering process where appropriate and negotiates best value for the dollar on research purchases. Trent University is in the final stages of implementing an Electronic Research Reporting System which has been fully supported by the ICOR program. This system will enable the University to better meet all of its requirements with respect to the Tri Council Memorandum of Understanding, as well as contractual obligations. ICOR continues to support the Research Showcase which is used as a promotional tool by both the Peterborough Innovation Cluster and the University s Advancement Department. As of March 2012 costs incurred but not paid until April 2012 include $3, for the printing of the spring edition of SHOWCASE; a research promotional publication. 2009/03 Page 7 of 14
8 Section IV - Regulatory Requirements and Accreditation Expenditures Was your grant invested, completely or partially, in any of the following ways? Note that A and B are not exclusive (i.e. for any given category, if you have covered both existing and new expenditures, you would check both A and B). Expenditure category A) The grant covered existing expenditures B) The grant covered new expenditures (not previously covered by grant) C) The grant did not cover this category In which category was the largest proportion of your grant invested? 1. Creation and support of regulatory bodies 2. Training of faculty and other research personnel in health and safety, animal care, ethics review, handling radiation and biohazards, and environmental assessments 3. International accreditation costs related to research capacity 4. Upgrades to, and maintenance of facilities and equipment to meet requirements 5. Technical support for animal care, handling of dangerous substances and biohazards 2009/03 Page 8 of 14
9 Section IV - Regulatory Requirements and Accreditation (continued) Impact Statement Please explain how the expenditures made in this priority area have allowed your institution (and its health research affiliates, where applicable) to maintain and/or enhance the capacity of its research enterprise. The following questions can help guide your answer: - what difference have your grant investments made? - are there significant changes from the previous year? - why are these investments vital for researchers? - why are theses expenditures vital to the university research administration? - what would have happened if expenditures hadn't been possible? - what are the major cost drivers in this category? - to what extent is compliance with Canadian and international regulations required to access research funds from international sources? ICOR funding continues to support the position of Science Facilities Manager who also servers as Trent's institutional Biosafety Officer. The responsibilities of the Biosafety Officer have increased as result of the newly constructed DNA building that includes daily management and oversight of Level II and Level III Biosafety Laboratories. ICOR funding covered expenses associated with the continued appointment of the Level III Biosafetly Laboratory Director. The Level III Biosafety Laboratory Director oversees all regulatory activities associated with research in the lab. The Biosafety Laboratory Director also coordinates all certification requirements for Ministry of Natural Resources scientists located on the Trent campus including drafting of Standard Operating Procedures, receipt of biosafety protocols,education and training. ICOR supported costs associate with proficiency testing by the Canadian Association for Environmental Analytical Laboratories. The ICOR grant continues to support the Compliance Officer who is a full-time administrative resource to the Research Ethics Board and the Animal Care Committee. The Compliance Officer records all activities of the REB and the ACC as well as maintains the online Certifications database for reporting purposes. ICOR funding enabled Trent University to increase its compliance with the Canadian Council of Animal Care guidelines by increasing the number of hours that faculty would have access to veterinary advice as well as to continue to employ an additional Animal Care Technician. This ICOR contribution has enabled Trent University to successfully support the establishment of a new animal care facility which became be fully operational in Support from ICOR also enabled the university to successfully complete a regulatory compliance review by the Canadian Council on Animal Care. The major cost drivers in this category are: increased research capacity; increased due diligence; increased partnership agreements. Expenses incurred prior to March 31, 2012 but not paid until April 2012 include $13,598 for technical support for handling of dangerous substances (lab hazardous waste disposal) 2009/03 Page 9 of 14
10 Section V - Intellectual Property Expenditures Was your grant invested, completely or partially, in any of the following ways? Note that A and B are not exclusive (i.e. for any given category, if you have covered both existing and new expenditures, you would check both A and B). Expenditure category A) The grant covered existing expenditures B) The grant covered new expenditures (not previously covered by grant) C) The grant did not cover this category In which category was the largest proportion of your grant invested? 1. Creation, expansion, or sustenance of a technology transfer office or similar function 2. Administration of invention patent applications 3. Support for technology licensing 4. Administration of agreements and partnerships with industry 5.Administration of agreements and partnerships with the public sector (federal, provincial, municipal governments; including health, education, and social services) 2009/03 Page 10 of 14
11 Section V - Intellectual Property (continued) Impact Statement Please explain how the expenditures made in this priority area have allowed your institution (and its health research affiliates, where applicable) to maintain and/or enhance the capacity of its research enterprise. The following questions can help guide your answer: - what difference have your grant investments made? - are there significant changes from the previous year? - why are these investments vital for researchers? - why are theses expenditures vital to the university research administration? - what would have happened if expenditures hadn't been possible? - what are the major cost drivers in this category? One of the key duties of the Manager, Research Corporate Partnerships, supported by ICOR, is to assist faculty with matters related to intellectual property and technology transfer. Over the course of the past year, the Manager, Research Corporate Partnerships has worked with more researchers to explore opportunities for developing their intellectual property. Specifically the emergence of the Biomaterials Research Program and Trent s direct involvement in the Initiative for Small Ruminant Research have involved many hours crafting intellectual property agreements. Trent s success with the Proof of Principal (POP) Fund, supported by the Ontario Partnership for Innovation and Commercialization, has increased the need for intellectual property management. Trent continues to develop its partnership with the Greater Peterborough Innovation Cluster. A number of exciting international opportunities have emerged as result of this collaboration and Trent University has been able to participate in additional opportunities to secure funding in support of research. The partnership with the Innovation Cluster has also supported Trent s Biomaterials Program by securing from a number of private sector partners. The major cost drivers in this category are: emerging funding programs which require industry partnerships; increasedresearch activity which spans multiple provinces/countries; increased participation of HQP in research activities Costs incurred by March 31, 2012 but not paid until April 2012 include $47,751 to Greater Peterborough Economic Development for services provided with respect to private partnership and industrial partnership development 2009/03 Page 11 of 14
12 Section VI - Overall Impacts We strongly recommend that the Vice-President of research (or equivalent) answer the following questions pertaining to the overall impacts of the Indirect Costs grant. 1. Attraction and retention of researchers Has the Indirect Costs grant contributed to the attraction and retention of high-quality researchers at your institution? Yes No If "yes", please provide an explanation. Because of the significant number of variables involved in attracting and retaining faculty across disciplines it would be difficult to identify any one specific metric. Certainly, maintaining and enhancing research infrastructure is essential but, at a small university, teaching pedagogy and resources also play a significant role. 2. Attraction of additional funding Has the Indirect Costs grant contributed directly to your institution's ability to attract additional funding to support the research environment? Yes No If "yes", please provide an explanation. ICOR has contributed directly to Trent's ability to attract additional funding by ensuring that there are sufficient human resources available to support pre-award development. Also, maintenance of infrastructure is essential to attracting industry partnerships and future investment 2009/03 Page 12 of 14
13 Section VI - Overall Impacts 3. Redirection of funds In the case of a number of institutions, the incremental impact of the Indirect Costs Program includes not only the results of investing the grant itself, but also the results of the other investments the institution is able to make by re-directing its own funds away from the areas covered with the grant. These impacts may be in the area of research support or also in the institution's renewed ability to meet the other aspects of its mandate. Has your institution redirected some of its own operating funds as a result of the Indirect Costs Program? If "yes", please provide an explanation. Yes No ICOR s continued support of Research Accounting and the Office of Research has allowed for better identification offunding opportunities as well as better crafting of grant applications. Researchers have also benefited from assistance with negotiation of funding support with public and private sector partners. Trent University continues to celebrate an annual growth in research support and can confidently link this back to the Indirect Costs of Research grant. 4. Other overall impacts If the Indirect Costs Program has had other overall impacts on your institution, which were not listed in the previous questions, please provide details. 2009/03 Page 13 of 14
14 Section VII - Public Disclosure Requirement for Institutions As of June 30, 2012, institutions are required to post a few elements of information on the indirect costs of research and the Program on their website. Please copy and paste below the URL of the webpage where this information is posted. Section VIII - Your comments Describe any problem you have experienced with the Indirect Costs Program, suggest improvements to the program, or highlight particular successes of the program at your institution. 2009/03 Page 14 of 14
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