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About this guide
Context
The Tri-agency Institutional Programs Secretariat (TIPS), housed at the Social Sciences and Humanities Research Council (SSHRC), administers the Canada First Research Excellence Fund (CFREF) on behalf of the three federal research funding agencies (the agencies): the Canadian Institutes of Health Research (CIHR), the Natural Sciences and Engineering Research Council (NSERC) and SSHRC.
The CFREF Administration Guide (the guide) explains how to administer and use CFREF grant funding. CFREF grants are awarded to lead institutions to support large-scale strategic research initiatives, as opposed to grants awarded to individual researchers to support research projects. CFREF research initiatives help Canadian postsecondary institutions excel globally in research areas that will create long-term social and economic advantages for Canada. This allows institutions to:
- compete with the best in the world for talent, for partnership opportunities, and to make breakthrough discoveries;
- seize emerging opportunities and strategically advance their greatest strengths on the global stage; and
- implement large-scale, transformational and forward-thinking institutional strategies.
For the definition of terms used in this guide, refer to the Glossary.
Order of precedence
In the absence of specific guidance within this guide, or in the event of an inconsistency or conflict between this guide and any other agency guidelines or policies, the following order of precedence will apply:
Institutions are encouraged to review these agreements and policies regularly to ensure compliance with the latest policies.
When both agency and institutional policies exist, the agency policy prevails, recognizing that the lead institution must also comply with applicable institutional requirements. In the absence of an applicable CFREF or federal research funding agency policy, the institutional policy should be applied.
In cases where it is necessary to decide between compliance with individual federal research funding agency policies that are misaligned, the institution will comply with the agency’s policy (CIHR, NSERC or SSHRC) whose research funding area aligns most closely with the relevant project.
Effective date and review
The information in this guide takes effect on December 20, 2024.
The guide is reviewed by TIPS at regular intervals and updated as necessary.
Contact information
Where clarification is required, questions can be directed to TIPS: cfref-apogee@chairs-chaires.gc.ca.
Part 1: Accepting CFREF funds
1.1 Funding agreement
When competition decisions are released, the notice of decision (NOD) will be made available to the lead institution’s designated senior official in the Convergence portal. By accepting the notice of decision in the Convergence portal, the institution confirms that it:
- accepts the award;
- acknowledges the start date of the grant; and
- accepts the terms and conditions as described in the NOD.
The terms and conditions that the institution accepts during the letter of intent and application process are also considered part of this funding agreement.
Provided there are no other conditions attached to the funding, the grant is considered awarded on the date it is accepted in Convergence.
1.2 Start date
Based on the timelines of any given competition, the start dates for grants will be determined by the program.
An institution may request a delay in its start date, which will need to be approved by the program.
However, the funding must start within the fiscal year in which the grant is awarded.
1.3 Duration of CFREF grant
The term of a CFREF grant is seven years.
1.4 Subsequent funding
A CFREF grant is nonrenewable.
Part 2: Use of CFREF funds
2.1 Preamble
The following guidelines are designed to help institutional representatives and delegates understand their financial responsibilities and interpret the appropriate use of CFREF funds.
The CFREF guide supports the agencies’ Renewal of the Tri-Agency Financial Administration initiative by implementing a streamlined principles-based approach to financial administration that provides greater flexibility to administering institutions in ensuring the appropriate accountability and use of funds.
Institutional representatives and delegates are encouraged to communicate with their pertinent internal institutional contacts (e.g., financial officer or research grants officer) when making decisions about expenditures.
Refer to Specific considerations for use of CFREF funds for important program-specific expenditure guidelines.
2.2 Roles and responsibilities for appropriate use of CFREF funds
For a general overview of administration roles and responsibilities for appropriate use of grant funds, refer to the Tri-Agency Guide on Financial Administration (TAGFA). You may also refer to the Tri-Agency Framework: Responsible Conduct of Research for the institution’s responsibilities when applying for or receiving funds, and the Agreement on the Administration of Agency Grants and Awards by Research Institutions for more details on administering funds.
The administration of CFREF funds is carried out by TIPS, the lead institution and the designated institutional representative.
TIPS is responsible for:
- verifying the institution’s continued eligibility for and entitlement to grants according to the agencies’ eligibility requirements and the federal laws and policies regarding grants;
- disbursing CFREF funds through SSHRC’s Finance Division, on behalf of the agencies;
- providing advice and support to institutions on the appropriate use of CFREF funds; and
- ensuring federal research funding agency policies and requirements are met.
The lead institution is responsible for:
- determining how the total grant is distributed across the proposed research initiative(s) and eligible expense categories;
- maintaining a separate account for the CFREF grant within the institution’s financial reporting system and clearly categorizing and recording all payments made into and from the account;
- keeping complete and accurate records on the use of program funding, following the requirements stipulated in the Agreement on the Administration of Agency Grants and Awards by Research Institutions;
- managing all CFREF funds using robust financial management practices and open and transparent processes, while respecting the principles of responsible stewardship of public funds, public accountability and fairness;
- ensuring that partner institutions and eligible postsecondary institutions also keep accurate records of transferred funds and that the costs associated with those transferred funds are reflected in the CFREF annual financial report;
- being accountable for all funding transfers to partner institutions and eligible postsecondary institutions;
- ensuring funds are not disbursed to support specific research activities until all necessary certification requirements, permits, licenses and other approvals have been obtained for these activities, including, but not limited to:
- approvals of research involving human subjects, human pluripotent stem cells, animals, biohazards, infectious agents, radioactive materials, controlled information, Indigenous Peoples, research in the Canadian territories and research with effects on the environment; and
- review by the Stem Cell Oversight Committee before starting any research involving the use of human pluripotent stem cells that have been derived from an embryonic source and/or will be transferred into humans or non-human animals to ensure compliance with Chapter 12, Section F of Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans;
- ensuring sufficient resources are allocated to equity, diversity and inclusion (EDI) so the CFREF program’s and initiatives’ EDI objectives are met; and
- designating an institutional representative—typically the lead institution’s vice-president/rector of research—to authorize expenditures from the grant account.
The designated institutional representative is responsible for:
- authorizing expenditures in accordance with applicable federal research funding agency, CFREF program and institutional policies and requirements; and
- delegating the authorization of expenditures to an appropriate number of individuals.
Note: No other party may initiate or authorize expenditures from a grant account without the written authorization of the designated institutional representative.
2.3 Principles governing the appropriate use of CFREF funds
To be considered an appropriate use of CFREF funds, expenses must contribute to direct and indirect costs of research that are of direct relevance to the proposed institutional and scientific strategies for which the funds were awarded.
CFREF funds must be used effectively and economically, and the expenses must be essential for the proposed activities for which the funds were awarded.
When assessing whether an expenditure is an appropriate use of CFREF funds, this guide takes precedence over the TAGFA (see Order of precedence).
2.4 Specific considerations for use of CFREF funds
The following guidelines reflect the agencies’ streamlined and flexible principles-based approach to the use of CFREF funds. The list of expenses in this section is not exhaustive; it only addresses important considerations that are specific to the CFREF program. Decisions about the use of funds must take into consideration:
Other types of costs may be justified in the context of the objectives of the program, including costs that cannot be recovered from leveraged cash/in-kind contributions.
If an institution is unsure whether an expense is eligible, contact TIPS.
Contributions to shared expenses (such as shared facilities, equipment or personnel) must be directly attributable to the funded institutional and research activities and must be accepted and authorized by the lead institution.
Any costs associated with EDI that are related to a research project (i.e., a project applying an EDI lens on a research topic) are direct costs of research. Any costs related to developing or implementing the CFREF initiative’s EDI Action Plan are indirect costs of research.
2.4.1 Direct costs
Direct costs are considered essential research expenditures that would not have been incurred had the CFREF initiative not been undertaken. Accordingly, they can be directly assigned to the CFREF initiative’s activities with a high degree of accuracy.
The direct costs of research are divided into the following expenditure categories:
- compensation-related expenses (salaries, stipends and benefit costs)
- recruitment and relocation
- professional and technical services, contracts and miscellaneous expenses
- dissemination of research results and networking
- equipment, including power vehicles, computers and electronic communications
- materials, supplies and other expenditures
- travel and subsistence
Compensation-related expenses (salaries, stipends and benefits)
Institutions should demonstrate their long-term commitment to the funded initiative by eventually paying the salaries of tenured or tenure-track faculty. CFREF is not primarily a salary-support fund and the TAGFA stipulates that agency grant funds must not be used to pay compensation to independent researchers. However, to enable initiatives to recruit top researchers, CFREF funds can be used to pay salaries for a limited number of new faculty appointments attributable to the funded initiative.
Faculty and researchers whose salaries are paid by CFREF funds (either in full or in part) are eligible to apply to other sources of funding from the agencies, either as a principal investigator (PI), co-PI or collaborator. Should a tenured or tenure-track faculty member whose salary is paid by CFREF funds become the grant holder on a federal research funding agency operating grant, that participant can no longer receive a salary using CFREF funds (hereafter referred to as the “salary clause”). This applies to operating grants either from the agencies or that have agency funding attached. There will be no requirement to retroactively refund the CFREF grant account for previous salary payments.
Institutions should not restrict tenured or tenure-track faculty members whose salaries are paid by CFREF funds from applying for operating grants. When recruiting for new faculty positions that would participate in the CFREF initiative, institutions should not exclude candidates if they cannot be paid with CFREF funds because they hold operating grants. Institutions are encouraged to identify alternate sources of funding if a tenured or tenure-track faculty member is either ineligible or becomes ineligible to be paid using CFREF funds because they hold a federal research funding agency operating grant.
CFREF funds may be used to cover the following compensation-related expenses.
- Salaries (including bonuses or merit-based increases) and the institution’s share of the costs of mandated federal, provincial and institutional compensation benefit plans are eligible for a limited number of new tenured or tenure-track faculty appointments attributable to the grant, provided the newly recruited faculty does not hold agency funding as outlined in the salary clause.
- Salaries and the institution’s share of the costs of mandated federal, provincial and institutional compensation benefit plans are eligible for CFREF academic participants directly involved in research activities. This includes students at all levels, postdoctoral researchers, research associates, technicians, research administrative support or research assistants.
- Support for scholarships or stipends are eligible for students and postdoctoral researchers recruited as CFREF academic participants. Institutions are encouraged to use CFREF funding to provide appropriate financial support to students and postdoctoral researchers, although no minimums or maximums apply to scholarships or stipends except for those dictated by institutional policy.
- Indigenous community members who participate in the research project can be remunerated with CFREF funds. For details, refer to the TAGFA.
- In the case of universities, costs of teaching replacements for newly recruited tenured and tenure-track faculty members attributable to the CFREF are eligible, including compensation to a department for a current faculty member to teach one or more of the new faculty member’s courses, provided the new faculty member is not on leave. See Dedicated research time for details and eligibility requirements.
- In the case of colleges and polytechnics, the salary of replacement faculty hired to backfill a college faculty member’s involvement in the applied research initiatives attributable to the CFREF is eligible. Expenditures related to recruitment activities of this replacement faculty are also eligible, in line with the College and Community Social Innovation Fund guidelines.
- A stipend for visiting researchers is eligible, provided it is of reasonable duration and significantly less than what would constitute a faculty salary. A faculty member from an institution within Canada can receive a stipend as a visiting researcher without this affecting their eligibility to apply for and hold grants from the agencies.
- An honorarium or stipend for faculty or researchers undertaking an administrative role in the CFREF initiative is eligible, provided they do not hold agency funding as outlined in the salary clause.
- Mandatory death benefits, as well as mandatory severance or separation pay for the period employed to work on the CFREF initiative, are eligible for individuals employed and compensated from CFREF grant funds.
- CFREF funds must be used to provide students and postdoctoral researchers who are CFREF academic participants with up to 12 months of parental leave support, based on their current salary or stipend, if it is not fully provided by mandated compensation benefits plans. The CFREF program does not provide additional funds beyond the original value of the grant for this expenditure.
- If both parents are supported by CFREF funds, each parent may take a portion of the leave for a combined maximum of 12 months.
- Paid leave for students or postdoctoral researchers being trained in research on a part-time basis will be prorated.
- Research-related expenses and essential travel costs associated with a CFREF academic participant’s sabbatical leave or research leave are eligible. The guidelines regarding use of grant funds continue to apply during sabbatical and research leaves.
Recruitment and relocation
Recruitment and relocation expenses are eligible for CFREF academic participants directly involved in research activities. These expenses can be recovered retroactively.
CFREF funds must not be used to pay for immigration-related expenses, such as legal advice, work permits and temporary residence fees.
Professional and technical services, contracts and miscellaneous expenses
CFREF funds may be used to pay expert advisors required for CFREF-related research activities, such as honoraria for peer review and other professional and technical services.
CFREF funds may be used to cover the costs involved in providing academic participants with professional training and/or development in novel techniques required for the conduct of the research initiative. Other types of training may be eligible as indirect costs.
Equipment, including powered vehicles, computers and electronic communications
CFREF funds may be used to cover the costs of acquiring, operating and maintaining research equipment, research vehicles and other resources required for research.
Only small equipment (valued at $300,000 or less) may be purchased with CFREF funds. Purchases that exceed this amount can be approved, on a case-by-case basis, if the institution provides the program with a justification addressing both (a) the critical and urgent need for the equipment for the research initiative; and (b) the reason why the equipment cannot be funded through other sources, such as the Canada Foundation for Innovation (CFI).
2.4.2 Indirect costs
Indirect costs are the operational costs that underpin an institution’s research activities, such as heating, lighting, ethics reviews, facilities for animals used in research, management of intellectual property, environmental assessment, safety compliance and research security. This includes costs related to developing or implementing the EDI Action Plan.
Indirect costs must be attributable to specific research activities related to the CFREF initiative. They cannot be a contribution to the institution’s general overhead and administration costs.
The salaries of CFREF participants in management and administrative roles are subject to the same salary clause indicated in the Compensation-related expenses section.
A total allowable amount not exceeding 25% of the total grant amount can be used for the indirect costs of the CFREF-funded research.
Eligible indirect costs are divided into the five expenditure categories outlined below (as detailed in the Research Support Fund guidelines):
- research facilities
- research resources
- management and administration of the CFREF initiative, including the development or implementation of the EDI Action Plan*
- regulatory requirements and accreditation
- intellectual property and knowledge mobilization
* Faculty members already employed by the institution who are not participating as researchers in the CFREF initiative can be compensated using CFREF funds to develop and implement the CFREF EDI action plan (for example, as an EDI consultant) and their compensation for this role is not subject to the salary clause.
In addition, under the CFREF program, costs for renovating, moving or renting laboratories and supporting facilities are eligible as an indirect cost of research within the 25% limit.
Part 3: Financial matters
3.1 Availability and payment of funds
Grant instalments are subject to parliamentary appropriations and the conditions that may be attached. The agencies reserve the right to defer or suspend subsequent instalments if the parliamentary appropriations are reduced or cancelled, or if the need for funds is not demonstrated.
3.2 Retroactive expenses
Only recruitment costs and relocation expenses incurred between the launch date of the competition (i.e., for the 2022 competition, November 22, 2021) and the date on which grant funding starts can be recovered retroactively.
All other expenses must be charged to the grant account in the fiscal year the expenses were incurred.
3.3 Extension period for the authority to use CFREF funds
A one-year extension can be allowed to continue making commitments or paying expenditures using funds remaining in the CFREF account beyond the grant’s end date. Extensions are not automatic and must be requested in the seventh year of the grant, at least six months before the end of the seven-year term.The request must include a report projecting and justifying the proposed use of funds during the extension period (a template will be supplied by TIPS).
The lead institution will be required to continue to submit annual progress reports and financial reports for all fiscal years that encompass any extensions. The lead institution must also follow the end-of-grant reporting requirements.
No commitments or expenditures can be made or paid after the extension period is over. If funds remain in the grant account at the end of extension period, see the Residual funds and build-up of funds section.
3.4 Deferral of instalments or payments
According to transfer payment policies, federal research funding agencies cannot pay instalments/annual commitments in advance of need and can provide funds only to correspond with the cash flow requirements of the grant.
The agencies may defer or withhold an institution’s next instalment if, at the sole discretion of the agencies involved, it has been judged that the institution’s buildup of funds in the grant account(s) has not been properly justified, that the need for funds has not been demonstrated, or that issues have been identified during tenure of the grant.
3.5 Financial monitoring of accounts
The agencies will periodically review the administering institutions’ use and administration of grant funds to assess the effectiveness of policies, systems and internal controls, and to ensure compliance with relevant federal research funding agency requirements. Refer to the TAGFA section on Financial Monitoring for more details.
3.6 Transfer of grant funds
The lead institution may transfer grant funds to partner institutions and certain postsecondary institutions that meet the required eligibility criteria described below.
As indicated in the roles and responsibilities for appropriate use of CFREF funds, the lead institution is accountable for all transferred funds and must ensure that associated expenses are correctly reported in appropriate financial categories in CFREF annual financial reports. The lead institution must also ensure that the receiving institution has designated personnel responsible for managing the transferred funds.
A transfer agreement must be signed between the lead institution and the secondary administering institution, clearly articulating each party’s roles and responsibilities for managing CFREF funds and ensuring that the use of transferred funds complies with the following, in order of precedence:
The CFREF program does not permit the subsequent transfer of funds from a secondary administering institution to a tertiary administering institution.
Refer to the TAGFA for an overview of all requirements for the transfer of funds and for guidelines on preparing a transfer agreement.
3.6.1 Transfer of grant funds to partner institutions
The lead institution may transfer grant funds to partner institutions. The program must approve the addition of any new partner institutions not originally listed in the application before funds are transferred to that institution.
3.6.2 Transfer of grant funds to eligible postsecondary institutions
Grant funds may also be transferred to eligible postsecondary institutions to facilitate research support for members of the CFREF team located outside the lead institution and partner institutions.
To be eligible for a transfer of grant funds, a postsecondary institutions must meet the same eligibility requirements to administer agency funds as the lead and partner institutions and must have entered into the Agreement on the Administration of Agency Grants and Awards by Research Institutions with the agencies.
The lead institution must notify the program before transferring funds to an eligible postsecondary institutions.
3.6.3 Transactions with partners that are not eligible to administer agency funds
Invoices, contracts and accountable advances are not considered to be grant transfers and should be used for all transactions of CFREF funds between the lead institution and other partners who are not eligible to administer agency funds. In these cases, the agencies expect the lead institution, and the partner group, to have adequate internal policies and processes in place to manage such transactions in compliance with agency requirements.
Note: Academic research institutions located outside Canada and private sector partners are expected to self-fund their participation in the CFREF initiative. However, they may recover eligible costs through invoices, contracts or accountable advances when their goods and/or services are deemed necessary by the lead institution.
3.7 Residual funds and build-up of funds
Any annual build-up of funds in the grant account can be carried over to the next fiscal year, but not beyond the grant end date. In the case of extensions or terminations, any build-up of funds can be carried to the next fiscal year but not beyond the given extension of the authority to use funds period or the termination closeout period.
Residual funds remaining after the end date of the grant or after any given extension or termination must be returned to SSHRC’s Finance Division. Residual funds cannot be transferred into the institution’s General Research Fund.
Part 4: Reporting and supporting evidence
4.1 Annual reporting
Lead institutions are required to submit annual progress and financial reports. TIPS will contact institutions in advance to provide the necessary reporting templates, instructions and deadlines.
The annual progress report will summarize the CFREF-related activities undertaken during the previous fiscal year (April 1 to March 31) and present how the institution is progressing toward meeting its objectives as set out in its performance measurement plan (PMP).
Note: Any amendment to the performance indicators and targeted outcomes in the PMP may be initiated by either the lead institution or the program and must be approved by both. Amendments to the PMP must be explained and approved by the program and the lead institution as part of the reporting exercise (annual progress report or midterm report).
The accompanying annual financial report will include an annual statement of account detailing spending and outstanding commitments, as well as an updated financial projections table for the remainder of the funding period.
Reports will also identify other sources of funding leveraged to support the CFREF initiative, including funding provided by the lead institution and secured partners (both cash and in-kind contributions).
Institutions are required to report annually on progress in implementing their EDI Action Plans, and to put in place a self-identification data collection strategy to report on the CFREF initiative’s progress in mitigating and addressing systemic barriers.
The annual reports will be reviewed to ensure that the award activities comply with CFREF policies, terms and conditions, and the guidelines as set out in this guide. Annual reports may be used for ongoing monitoring of the CFREF program as a whole and to effectively support the needs of CFREF program evaluations.
The lead institution is responsible for ensuring that annual report materials are submitted before the deadline. Failure to submit the report materials may result in the suspension of payments until they are received.
4.2 Midterm report and review
Lead institutions must submit a midterm report before the end of the fourth year of the grant. The report summarizes CFREF-related activities over the first half of the grant and presents how the lead institution is progressing toward meeting its objectives as set out in its PMP and CFREF EDI Action Plan. The institution will also be expected to demonstrate its ability to sustain the research advantage created by the CFREF initiative after the end of the grant (see Sustainability).
TIPS will provide lead institutions in advance with the necessary reporting templates, accompanying forms, instructions and deadlines.
The lead institution is responsible for ensuring that the midterm report is submitted before the deadline. Failure to submit this report may result in the suspension of future payments until it is received.
If the assessment of progress at midterm determines that progress is unsatisfactory, the CFREF Steering Committee reserves the right to impose additional oversight measures, suspend or terminate the funding, as described in Termination of CFREF grant.
4.3 Public accountability requirements
EDI Action Plans must be published on the institution’s public-facing website.
4.4 End-of-grant reporting requirements
The lead institution must submit a final statement of account recording expenses up until the end of the grant, inclusive of any extension periods. If funds remain in the account at the end of the grant, refer to the section on Residual funds and build-up of funds.
From the 2022 CFREF competition onward, lead institutions are required to submit an end-of-grant report The report will enable institutions to provide a comprehensive account of the initiative and highlight its overall outcomes, achievements and impacts. This report will be used for program monitoring and evaluation purposes.
TIPS will contact lead institutions in advance to provide any necessary reporting templates, instructions and deadlines.
Part 5: Equity, diversity and inclusion
5.1 Expectations for equity, diversity and inclusion
Exceptional EDI leadership in CFREF initiatives
EDI are embedded as foundational principles in CFREF objectives, expected outcomes and reporting requirements of the 2022 (third) competition and forthcoming competitions. The three agencies expect that CFREF-funded initiatives will demonstrate exceptional leadership in contributing to transforming their research disciplines and Canada’s research ecosystem to help it become equitable, diverse and inclusive.
Recruiting and retaining excellent talent
As defined in the EDI Action plan template and instructions, institutions are required to take active and rigorous measures to identify and prevent systemic barriers and ensure that excellent students, trainees, early-career researchers and faculty from underrepresented groups—including racialized individuals, African, Caribbean and Black individuals, Indigenous Peoples, persons with disabilities, women and individuals from 2SLGBTQIA+ communities—fully contribute to the initiative.
EDI in research design
Sound EDI principles must be applied to the research design, methods, analysis, interpretation and dissemination of research findings to ensure that the results are impactful and relevant to the diversity of the Canadian population.
5.2 CFREF EDI Action Plan
All 2022 competition grant recipients are required to develop and submit EDI Action Plans using the template provided by the program and to submit it by the deadline stipulated.
EDI Action Plan evaluation process
After they are submitted, all EDI Action Plans will be formally evaluated by an external committee of experts. If plans do not receive a minimum of “satisfies” rating across each of the four main plan components, they will be required to be revised and resubmitted to the program.
Part 6: Additional program considerations
6.1 Acknowledgement and public communications
The agencies and institutions are responsible for informing the Canadian public and stakeholders of who receives CFREF funds, the type of research that will be conducted, and how funds are administered.
Institutions holding a CFREF grant are required to acknowledge CFREF’s support in all professional communications, publications arising from the supported research, conference or congress materials, and on equipment and facilities purchased and/or developed with grant funds.
In addition, institutions should make every effort to ensure that all CFREF-funded research personnel acknowledge CFREF support, as appropriate.
Scholarships or awards created with CFREF funds (ex., to support research trainees) should not be named or branded as CFREF scholarships or awards. As a suggestion, they could be branded or named after the CFREF initiative or according to a particular research project/area they support, at the institution’s discretion.
For more information, refer to the Public Communication Policy of the Federal Research Funding Organizations and the CFREF Public communication guidelines for institutions.
6.2 Governance
CFREF initiatives must implement a governance structure that sets the strategy for research projects and oversees the initiative’s management. The governance structure should include various governance bodies (i.e., Steering/Oversight Committee, External Advisory Board, Indigenous Advisory Council, etc.). These governing bodies should meet regularly throughout the year. Meeting proceedings should be documented, including detailed records of decisions on how meetings were used to achieve the initiative’s goals.
CFREF initiatives are expected to invite TIPS representatives to observe high-level governance meetings, such as steering committee meetings and board meetings.
6.3 Sustainability
CFREF initiatives will develop a rigorous sustainability plan that will use leveraged and supporting funds to ensure that the momentum created by the initiative is maintained after the end of the grant. This includes the ability to: maintain infrastructure, equipment and research spaces; retain a critical mass of tenured and non-tenured researchers, highly qualified personnel and other highly skilled professionals; and plan for long-term support of the direct costs of research related to the CFREF research projects. To minimize end-of-grant impacts, initiatives are encouraged to continually and critically revise and update their sustainability plans.
6.4 Support for early career researchers (ECRs)
Supporting early career researchers (ECRs) is a priority of the agencies as it enhances Canada’s position as a world leader in building talent and strengthening the research ecosystem. CFREF initiatives are expected to implement measures to specifically support ECRs and mitigate the challenges they face in establishing their research credentials or recognition, securing resources, and competing for a limited number of research positions. The institutions are encouraged to take appropriate actions in hiring processes and leadership activities. Support for ECRs will be reviewed during the midterm evaluation.
6.5 Indigenous research
The research program should include Indigenous research components and Indigenous ways of knowing to extend research knowledge in the field, which is significant for First Nations, Inuit and Métis Peoples and communities, as appropriate. This research should be co-created and co-led with Indigenous people—as leaders, investigators, trainees, partners and collaborators—using a distinction-based approach.
6.6 Dedicated research time
In hiring research personnel or faculty whose appointment is attributable to a CFREF grant and who have tenure or tenure-track equivalent positions, lead institutions are expected to provide such personnel and faculty with suitable support to facilitate the success of their work, as well as levels of support that are equitable among similarly positioned faculty members, including dedicated time for research (i.e., by reducing the teaching load or releasing the researcher from certain administrative duties). Measures should be taken to ensure this time is allocated equitably.
Note: The cost of teaching replacements for new faculty members attributable to the CFREF initiative is an eligible expense, as outlined in Compensation-related expenses.
6.7 CFREF researchers in senior administrative positions
The lead institution (in collaboration with individual researchers) is responsible for ensuring that researchers participating in a CFREF initiative who hold senior administrative positions have sufficient time for research to carry out their role in the funded research program at a level expected of an equivalent tenured position.
6.8 Intellectual property and patents
As each of the agencies has its own policy on intellectual property and patents, refer to the appropriate agency policy (SSHRC, NSERC or CIHR) outlined in the TAGFA section on Intellectual Property that is most aligned to the particular research project within the CFREF initiative.
6.9 Research security
The federal government has been active in supporting researchers and institutions to protect Canada’s research, providing advice and tools through the Safeguarding Your Research portal, and including national security considerations in the development, evaluation and funding of research partnerships through the National Security Guidelines for Research Partnerships.
The federal research funding agencies are committed to providing the research community with the most up-to-date information and best practices to safeguard their research and to mitigate research security risks. In support of this commitment, the agencies have published new Tri-Agency Guidance on Research Security.
We encourage institutions to use the resources provided above to assess research partnerships and undertake due diligence with any partnerships and collaborations.
Part 7: Administrative changes
7.1 Institutional contact information
TIPS keeps institutions informed of program information and updates by emailing the institutional representatives provided by the institution. Key and confidential information will be shared periodically with these designated representatives. Lead institutions should inform the program of any updates to their institutional contacts by emailing TIPS.
Institutions should also ensure that the institutional contact details they provide each year in the annual report are up to date.
7.2 Deviation from proposed activities and/or budget
A CFREF grant must be used for the specific purposes stated in the application. Initiatives should make every effort to adhere to planned activities of the institutional and scientific strategies approved during the application phase. Major deviations must be approved by the program before the changes are implemented (i.e., the elimination or addition of an objective or work package described in the application). In such cases, the lead institution will present a proposal to TIPS, describing any significant deviation and justifying the deviation.
Some latitude is allowed in adherence to planned expenditures. However, if the reallocation of resources in a budget category amounts to more than 20% of its initial value, the institution needs to contact TIPS as soon as possible to inform the program of when the planned expenditures will foreseeably be changed. Institutions are also asked to briefly justify deviations above 20% per annual budget category in their annual financial reporting.
CFREF initiatives must respect the 25% limit on the portion of grant funds allocated to indirect costs of research (see Indirect costs).
TIPS and the agencies bear no responsibility for expenditures beyond the amount in the grant account.
7.3 Continuing eligibility
To comply with government policy, the continued eligibility of the lead institution must be confirmed before releasing future funding instalments.
The annual report will require institutions to confirm that they are eligible to administer the grant.
To be deemed eligible to administer CFREF funds, the lead institution must meet the following criteria:
- be authorized by a provincial or territorial government to grant university degrees, applied degrees or postsecondary diplomas;
- offer its own degrees or diplomas, and not simply certify that a student is qualified to receive a degree or diploma from another institution;
- have awarded degrees or diplomas over the past two years, or have students registered in the current calendar year or the three subsequent years;
- in the case of a public institution, receive operating funds directly from a provincial or federal government, and not through another institution;
- in the case of a private institution, hold formal not-for-profit status, and not receive its funding through another institution; and
- be a Canadian postsecondary institution that meets the eligibility requirements—whether for university or college programs—of one of the three federal research funding agencies.
If this eligibility changes at any time during the term of a CFREF grant, the lead institution must notify the program immediately by contacting TIPS.
7.4 Termination of CFREF grant
A lead institution may choose to terminate its CFREF grant early. The institution must notify the program in advance of any situation that might jeopardize the continuation of the initiative by contacting TIPS.
A CFREF grant can also be terminated early by the program in cases of non-compliance, or if a CFREF initiative does not satisfactorily meet the objectives or requirements of the program, including the continuing eligibility requirements.
A termination closeout period may be authorized by the program. The program will assess each situation on a case-by-case basis to determine the duration of the closeout. Additional limitations on the eligibility of commitments and expenses made or paid during the closeout period may be applicable.
Glossary
The definitions below are to be used to support understanding of this document and supplement the definition of terms provided in the TAGFA’s Appendix 1.
CFREF academic participant
A CFREF academic participant refers to an individual who is either involved in conducting research related to the CFREF initiative or in the administration and management of the CFREF initiative. Academic participants may include faculty and other individuals who conduct research independently (including ECRs), research trainees (undergraduate, graduate, doctoral and postdoctoral), other highly qualified personnel (research technicians, research associates, and other technical or research personnel) and/or administrative staff (clerks, administrative assistants, research administrators, research officers, etc.) at both the lead and partner institutions, and at any eligible postsecondary institutions administering transferred CFREF funds.
Collaborator
A collaborator refers to an individual (from academia or from other sectors) who plays an active role in the research and research-related activities of the CFREF initiative but is not involved in leading research related to the CFREF initiative as a PI or in its administration and management (i.e., not from the lead or partner institutions).
Designated institutional representative
Signifies the designated institutional representative and any delegates.
Federal research funding agency policies
Federal research funding agency policies refers to:
Lead institution
The lead institution is the primary recipient of CFREF grant funds. For conditions of eligibility to administer CFREF funds, see Continuing eligibility.
Grant holder
A grant holder is also referred to as a “nominated principal investigator” or an “applicant” by the agencies. Grant holders must be considered independent researchers at the primary organization where they are employed, appointed or conduct research.
Operating grant
In the context of the CFREF program, an operating grant refers to a federal research funding agency or tri-agency grant whose primary purpose is to support research operations and activities, not to cover the salaries of the grant recipient(s).
Partner
A partner refers to an institution or organization, based in Canada or internationally, that has contributed or committed cash and/or in-kind contributions to support the CFREF initiative. Partners include academic institutions (including universities, colleges, polytechnics and institutes); research organizations (including research hospitals); private or public sector organizations; and not-for-profit organizations.
Partner institution
Partner institutions refer only to a limited number of Canadian institutions that respect the same eligibility requirements as a lead institution administering a CFREF grant and have a strategic, significant and meaningful role to play in implementing the CFREF initiative. Partner institutions are expected to strengthen the CFREF initiative by making significant investments and contributing to the overall leadership of the initiative.
Salary clause
The salary clause refers to the limitation on the compensation-related expenses of researchers holding operating grants (see section 2.4.1).