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2008-2009 CIHR Grants and Awards Guide
Section 3: CIHR Guidelines for Grant Programs
The following guidelines apply to all grant funds. These funding opportunities, which include eligibility requirements, can be found in the Funding Opportunities section.
3-A Tri-Agency (CIHR, NSERC & SSHRC) Financial Administration Guide
3-A1 Responsibilities and Accountability
Deviation from Proposed Activities and/or Budget
Financial Monitoring of Accounts
Archiving of Research Data (CIHR and SSHRC only)
Communication of Competition Results
Extension Period for Use of Funds Beyond Grant Period
Computers and Electronic Communications
Dissemination of Research Results
Services and Miscellaneous Expenses
Ownership of Items Purchased or Collected With Grant Funds
Paid Parental Leave For Students and Postdoctoral Fellows
Transferring Grant(s) to an Eligible Canadian Institution
Moving Equipment, Material or an Unexpended Equipment Grant
Deferral of Instalment/Annual Commitment Payments
Parental, Medical, or Care and Nurturing Leave
3-B CIHR Additional Guidelines for Grant Programs
3-B1 Restrictions on Same (or Very Similar) Applications
3-B4 Requests for Funds for Equipment/Maintenance
3-B5 Requests for Supplementary Funds
3-B8 Replacing, Adding or Removing Participants on CIHR Grants
3-B8.1 Replacing a Nominated Principal Applicant on a Grant
3-B8.2 Replacing or Adding another Applicant on a Grant
3-B8.3 Removing an Applicant on a Grant
3-B9 Progress Report for Long-Term Grant Holders (5 or more years)
3-B10 Cancellation of Instalment Payments
3-A Tri-Agency (CIHR, NSERC & SSHRC) Financial Administration Guide
The Canadian Institutes of Health Research (CIHR), the Natural Sciences and Engineering Research Council (NSERC), and the Social Sciences and Humanities Research Council (SSHRC) have worked together to harmonize and simplify the policies/guidelines and requirements governing the use of grant funds awarded by the three agencies to assist researchers and institutional administrators in their interpretation of the acceptable use of funds and at the same time respect the cultural differences of the three communities. The harmonized document is entitled "Tri-Agency (CIHR, NSERC & SSHRC) Financial Administration Guide".
The list of examples included in the "Tri-Agency (CIHR, NSERC & SSHRC) Financial Administration Guide" is not exhaustive. Researchers are encouraged to communicate with their relevant institutional contacts (e.g., Business Officer or Research Grants Officer).
The Tri-Agency (CIHR, NSERC & SSHRC) Financial Administration Guide is divided into five distinct sections and provides financial administration guidelines relating to grants funded by the three agencies. These sections are as follows:
Responsibilities and Accountability
Annual Funding of Grants
Use of Grant Funds
Reporting
Administrative Matters
3-B CIHR Additional Guidelines for Grant Programs
Section 3 of the CIHR Grants and Awards Guide describes the guidelines for grant programs which aren't covered by the Tri-Agency (CIHR, NSERC & SSHRC) Financial Administration Guide.
3-B1 Restrictions on Same (or Very Similar) Applications
CIHR will not accept same (or very similar) grant proposals submitted in response to more than one Agency program (CIHR, NSERC & SSHRC) with overlapping review periods. Note that once a research proposal has been submitted to CIHR, it is immediately considered to be under review, regardless of the application stage. Applicants must wait until after they are notified of the decision for one research proposal before they can submit the same (or very similar) research proposal to another funding opportunity.
A request for funding through CIHR's Priority Announcements is not considered to be a duplicate proposal submission.
In cases where applicants submit the same (or very similar) grant proposals to more than one CIHR funding opportunity with overlapping review period, CIHR will automatically withdraw the second application.
For information on resubmissions, refer to the subsection titled "Resubmissions".
3-B2 Resubmissions
An applicant who is unsuccessful in one competition may resubmit the same or similar application in a subsequent competition. In so doing, the applicant may include a response to reviewers' comments with the resubmission to address concerns raised by reviewers, to point out changes to the proposal, and/or to counter criticisms believed to be unfounded. The response to reviewers' comments must not exceed two pages in length, and previous reviews or other materials must not be appended. Additional pages and/or materials will not be sent to reviewers.
The response to reviewers' comments should contain complete argumentation that can be fully understood on a stand-alone basis without reference to any other documentation except the proposal itself. It is CIHR's intent that each application be considered de novo relative to other applications in the competition. It is the applicant's responsibility to present the resubmission in such a way that a first-time reviewer has all the information needed to evaluate the proposal without recourse to previous iterations or reviews. This accomplishes two objectives:
- it ensures that the relative merits of each proposal are reflected in the results of each competition; and
- it avoids the prejudging of an application on the basis of earlier reviews.
Resubmitted applications will not necessarily be reviewed by the same peer review committee members who previously reviewed it, for any of the following reasons:
- revised peer review committee membership;
- committee officers deciding that there are more appropriate reviewers as a result of revised peer review committee membership; and
- committee members who have an application before a committee must absent themselves from that meeting of the committee.
Since resubmitted applications may be assigned to different committee members, additional issues (i.e., strength(s), weakness(es) of the application) could be identified and the new rating may either increase or decrease as a result.
3-B3 Renewal Applications
An applicant may apply for a renewal of funding to continue the same line of investigation when his or her current grant expires. To do so, the applicant indicates "renewal" where appropriate when applying.
New and renewal applications are evaluated together, on a "level playing field", using the same rating scale, and it is CIHR's intention to apply the same cut-off rating for funding for both types of applications. However, different emphases may be placed on the training experience and track record of the applicant as appropriate to new and renewal applications respectively.
An application for renewal must be submitted prior to the expiry of the current funding period, so that, if successful, the applicant will experience no interruption in funding. The deadline date to apply for a renewal grant appears on the Authorization for Funding. The renewal date may be postponed under exceptional circumstances, but the request for postponement must be made prior to the renewal date. Grant holders are required to submit the request for postponement by mail or by e-mail to the Deputy Director for assessment.
If a renewal application is unsuccessful, the applicant may resubmit the same or a similar application to a subsequent competition, however, it will be considered as a new application. If a renewal application is submitted after the renewal deadline date, it will also be considered as a new application.
If, for any reason (e.g., need for additional funds for the project) a grant holder submits a renewal application prior to the scheduled renewal date, and is successful, the funding for the currently-held grant will be cancelled as of the effective date of funding for the new competition. Funds approved for the early renewal application will begin on the effective date of funding for that competition.
An applicant who submits an early application for renewal and is unsuccessful will have the currently-held grant terminated on the day prior to the effective date of funding of the early renewal grant. The applicant may resubmit the same or a similar application to a subsequent competition, however, it will be considered a new application.
3-B4 Requests for Funds for Equipment/Maintenance
Applicants may request funds for equipment and/or maintenance as part of their application to the Operating Grants Program if this equipment and/or maintenance would support the research proposed in their application.
If, during the course of a CIHR-funded grant or a grant jointly-funded by CIHR and one or more organization(s), an applicant requires funds for equipment and/or maintenance to further support the CIHR-funded research, he or she may submit an application to the Research Resource Grant Program. Note that applicants cannot request funds for equipment and/or maintenance from more than one funding opportunity with overlapping review periods. For more information, consult the subsection titled "Restrictions on Same (or Very Similar) Applications".
3-B5 Requests for Supplementary Funds
Applications for supplementary funds during the course of a CIHR grant will not be considered, except for "Paid Parental Leave".
3-B6 Pending Grants
Pending grants are projects that have been approved for funding however before funds can be released, the Nominated Principal Applicant has to resolve issues with their application.
Pending grants have a status of "Pending" on the funding decision announcement and the Notice of Decision. The Nominated Principal Applicant will also receive a letter from CIHR outlining the issues to be resolved.
The Nominated Principal Applicant has a maximum of one year, from the date of notification, to resolve pending issues, otherwise the pending grant will be cancelled. These pending issues may include:
- The Principal Applicant(s) is not eligible to receive CIHR funding;
- The organization selected by the Nominated Principal Applicant under "Institution Paid" is not eligible to administer funds from CIHR;
- Possible budgetary overlap with funds currently requested and/or currently held by the Principal Applicant(s) and/or Co-Applicant(s);
- Other issue(s) raised during the peer review committee meeting.
For more information, refer to the subsection titled "Deferral of Instalment/Annual Commitment Payments".
3-B7 Payment of Grants
3-B7.1 Common Grant Account
The institution's business officer makes the payments for authorized expenditures from the Common Grant Account in accordance with the institution's accounting and administrative procedures.
The grant holder is responsible for authorizing expenditures from his or her CIHR grant account in accordance with CIHR's requirements and conditions of grants and with the institution's policies. No other party may initiate or authorize expenditures from a CIHR grant account without the grant holder's written delegated authority. All claims must have the grant holder's or delegate's signature. The signatures certify that:
- all expenditures on the claim are for the purpose for which the grant was awarded;
- the charges included on the claim have not been claimed for reimbursement from other sources; and
- reimbursements for expenditures received from other sources or institutions will be disclosed to the administrating institution.
Grant holders must be able to provide supporting documentation to their institution and to CIHR for all expenditures charged to their grant accounts. Such documentation includes the following:
- for expenses related to salaries or stipends paid to research personnel, signed records regarding personnel paid from grant funds, including names, categories, salary levels, and length of time supported in each case, plus details of employee benefits charged and relevant calculations;
- for equipment and supplies, supplier invoices indicating details of purchases and prices paid; and
- for internal expense allocations or shared expenditures, documentation indicating the exact charge being made, the method of calculation or attribution, and the grant holder's authorization for those being assigned to the CIHR account.
Individuals claiming travel-related expenses from a grant must prepare a separate claim for each trip. Travel claims must also conform to the standard travel policies and procedures of the grant holder's institution. For claimants other than the grant holder, the affiliation with the grant holder's research group must be specified. If the traveler is a student, the travel claim must be signed by the grant holder. In the event that the traveler is the grant holder or a visiting researcher, the travel claim must be countersigned by the department head or Dean confirming the relevance of the travel to the research being funded.
The travel claim must include the following information:
- purpose of trip;
- dates and destinations (including the names of the person(s) or institution(s) visited);
- official supporting documentation (e.g., prospectus or program, indicating the dates of conferences and workshops);
- detailed daily claims for expenditures relating to those visits;
- details of vehicle use;
- original receipts, such as hotel bills, and car rental agreements (credit card slips are not valid receipts); and
- original air, train or bus travel ticket receipts. Airline boarding passes will not be accepted in lieu of ticket receipts, except in the case of electronic tickets.
All supporting documentation must be kept for seven years after the expenditure has occurred. In the event that other restrictions are imposed, these will be clearly stated in the Authorization for Funding for the guidance of the grant holder and the business officer.
3-B7.2 Direct Payment
Awards tenable outside Canada will be paid directly to the award holder. Stipends will be paid on a quarterly basis, in equal instalments. The first instalment will be made within 30 days of the beginning of the award or when all the required documents have been received.
Some grants are not paid through a Common Grant Account. In some cases, payments are made directly to recipient organizations. Examples of such grants are those that are provided to organizations in the voluntary sector.
Due to the unique nature of these grants, the terms and conditions of the administration of the funds are determined on an individual basis. The terms and conditions could include:
- a memorandum of understanding;
- reporting requirements as specified by CIHR; and
- method of payment as specified by CIHR.
3-B8 Replacing or Adding or Removing Participants on CIHR Grants
3-B8.1 Replacing a Nominated Principal Applicant on a Grant
Should a need arise whereby a Nominated Principal Applicant needs to be replaced on a grant (e.g., a change in eligibility, resigning or retiring from the academic position, illness or death), grant holders are required to submit the following documentation by mail to CIHR for assessment:
- a letter signed by the current Nominated Principal Applicant requesting the change, and describing the circumstances that have initiated the request and the impact the change will have on the research objectives. The letter should also provide the name of the proposed new Nominated Principal Applicant, the proposed number of hours per week he or she will spend on the project, and his or her anticipated start date. In the event that the Nominated Principal Applicant has passed away, another Principal Applicant (if applicable) or a Co-Applicant (if applicable) may prepare this letter. If there are no other Principal Applicant(s) or Co-Applicant(s) on the grant, an institutional authority may suggest a new Nominated Principal Applicant;
- a letter signed by the new Nominated Principal Applicant, stating that he or she accepts the responsibility of being the new Nominated Principal Applicant on the grant;
- a completed form titled "Application to Replace, Add or Remove Participants on CIHR Grants", duly countersigned by the appropriate authorities at the new Institution, the principal applicant(s) on the grant, the new applicant and all other applicants on the project. The signatures confirm that all applicants on the grant and the institutional authorities are aware of, and agree with, the replacement of the applicant; and,
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a complete Common CV (validated for CIHR) of the new Nominated Principal Applicant.
There will be no increase in funding due to the replacement of a Nominated Principal Applicant.
3-B8.2 Replacing or Adding an Other Applicant on a Grant
A Nominated Principal Applicant may seek to replace or add an applicant to an existing grant. This individual must meet the eligibility requirements in the subsection titled "Participant Categories for CIHR Grants". In order for CIHR to consider this request, the Nominated Principal Applicant is required to submit the following documentation by mail to CIHR for assessment:
- a letter signed by both the Nominated Principal Applicant and the new applicant requesting the change, and describing the circumstances that have initiated the request and the impact the change will have on the research objectives. The letter should also indicate the proposed number of hours per week the new applicant will spend on the project and his or her anticipated start date;
- a letter of resignation signed by the departing applicant (if applicable);
- a completed form titled "Application to Replace, Add or Remove Participants on CIHR Grants", duly countersigned by the appropriate authorities at the new Institution, the principal applicant(s) on the grant, the new applicant and all other applicants on the project. The signatures confirm that all applicants on the grant and the institutional authorities are aware of, and agree with, the replacement or addition of the applicant; and,
- a complete Common CV (validated for CIHR) for the new applicant.
There will be no increase in funding due to the replacement or addition of an applicant on a grant.
3-B8.3 Removing an Applicant on a Grant
Should a need arise whereby a Nominated Principal Applicant needs to remove an applicant on a grant (e.g., a change in eligibility, resigning or retiring from the academic position, illness or death), grant holders are required to submit the following documentation by mail to CIHR for assessment:
- a letter signed by the Nominated Principal Applicant requesting the change, and describing the circumstances that have initiated the request and the impact the change will have on the research objectives;
- a letter of resignation signed by the departing applicant (if applicable); and,
- a completed form titled "Application to Replace, Add or Remove Participants on CIHR Grants", duly countersigned by the appropriate authorities at the new Institution, the principal applicant(s) on the grant and all other applicants on the project. The signatures confirm that all applicants on the grant and the institutional authorities are aware of, and agree with, the removal of the applicant.
3-B9 Progress Report for Long-Term Grant Holders (5 or more years)
Long-term grant holders (5 or more years) are subject to a mid-term review. For example, for a five-year grant, a progress report must be submitted during the third year of support. Applicants should refer to their Authorization for Funding (AFF) for the applicable deadline date.
Grant holders are required to submit one original "Progress Report for Long-Term Grant Holders (5 or more years)" by mail to the Program Delivery Coordinator for assessment.
The progress report must describe the progress made and the publications issued since the start of the operating grant.
If the progress is unacceptable, the grant holder will be requested to submit a complete renewal application at the next competition and CIHR will cancel all subsequent commitments. For example, for a five-year grant, CIHR will cancel the last 12 months of the grant.
If the grant holder does not submit a progress report, CIHR will cancel the final years of the grant. For example, for a five-year grant, CIHR will cancel the final two years of the grant.
3-B10 Cancellation of Instalment Payments
(Return to the General Index)
CIHR may cancel a Nominated Principal Applicant's next instalment if, in its sole discretion, it is judged that the grantee's build-up of funds has not been properly justified and that the need for funds has not been demonstrated.
