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Grants and Awards

Independent Investigator Awards Revised Awards

Last Revised: April 14, 2009

These general policies and conditions apply to all AHFMR independent investigators who are newly funded as a result of applications submitted in the September 2006 competition (i.e. awards implemented as of July 1, 2007 or later). They apply to awardees that are new to the AHFMR investigator award system (e.g. new Population Health Investigators, Scholars, etc.); those who have successfully applied for support at the next level of AHFMR award (e.g. a Scholar who will now be supported as a Senior Scholar); and those who will be receiving a renewal Population Health or Clinical Investigator award. These are referred to as "Revised Awards" in order to distinguish them from the group below.

It does not apply to those holding ongoing AHFMR investigator awards as of June 30, 2007 (i.e. those funded as a result of applications submitted in the September 2005 competition or earlier). These are now referred to as Transition Awards (see guidelines).

Table of Contents

  1. 1.0 Award Structure
  2. 2.0 Eligibility
  3. 3.0 Application Process
  4. 4.0 Peer Review Process
  5. 5.0 Release of Competition Results
  6. 6.0 Joint Funding with other Investigator Awards (AHFMR Incentive Award)
  7. 7.0 Commencement of Funding
  8. 8.0 Employment Status
  9. 9.0 Progress Reports
  10. 10.0 Intellectual Property Rights
  11. 11.0 Maternity and Parental Leave
  12. 12.0 Sabbatical Leave
  13. 13.0 Communications
  14. 14.0 Retirement
  15. 15.0 Support of Research Integrity
  16. 16.0 Termination of Award
  17. 17.0 General Terms and Conditions

1.0 Award Structure

1.1 Award Types

AHFMR provides investigator awards in 6 distinct categories. The awards are based on the individual's academic seniority as well as type of research conducted. A detailed description of each award can be found here. The 6 categories are:

  1. Population Health Investigator;
  2. Clinical Investigator;
  3. Scholar;
  4. Senior Scholar;
  5. Scientist;
  6. Senior Investigator.

The guidelines apply equally to the biomedical and the health awards.

The Independent Establishment Grant program is no longer offered.

1.2 Length of Awards

All new AHFMR investigator awards are for seven years. Population Health Investigator Renewal and Clinical Investigator Renewal awards are for three years. Only the Population Health Investigator Renewal and Clinical Investigator Renewal Awards are eligible to receive a terminal award.

Only the AHFMR Scientist Award is renewable for second and subsequent 7-year terms. Scientist Renewal applications will be reviewed on a competitive basis and will undergo the full peer review process.

1.3 Components of Awards

Each AHFMR investigator award consists of the following components:

1.3.1 Contribution for Direct Investigator Support

The major component of the AHFMR investigator award is the Foundation's contribution to the institution to help offset the investigator's salary and benefits costs. The funds provided by AHFMR are pooled at the institutional level and used to support all AHFMR-supported investigators collectively.

The amount of the AHFMR contribution varies according to each category of award and will remain constant over the term of the award. The amount of the AHFMR award is independent of the investigator's employment contract with the university and is not linked to the investigator's salary.

The amount provided per year for each award is as follows:

  1. Population Health Investigator - $110,000;
  2. Clinical Investigator - $110,000;
  3. Scholar - $110,000;
  4. Senior Scholar - $135,000;
  5. Scientist - $160,000;
  6. Senior Investigator - $160,000 (depending on previous AHFMR investigator award held).

1.3.2 Research Prize

The Research Prize is a direct compensation contribution provided by AHFMR to each of its investigators. It is intended to maintain and improve the overall value of AHFMR investigator awards as a potent vehicle for the recruitment and retention of highly qualified, internationally competitive investigators at Alberta institutions. It is provided for each year of the award.

The Research Prize can only be used towards salary and cannot be used for research operating costs. The amount provided in the Research Prize is to be incremental to the salary that the investigator would normally receive from their university and/or regional health authority.

The value of the AHFMR Research Prize is determined by the investigator's current AHFMR award. The amounts provided per year are as follows:

  1. Population Health Investigator - $10,000;
  2. Clinical Investigator - $10,000;
  3. Scholar (first faculty appointment or if not previously supported as an AHFMR Population Health Investigator or Clinical Investigator) - $10,000;
  4. Scholar (previous holders of an AHFMR Population Health Investigator or Clinical Investigator award) - $20,000;
  5. Senior Scholar - $20,000;
  6. Scientist - $20,000;
  7. Senior Investigator - $40,000.

1.3.3 Research Allowance

Starting in 2007 with the revised award cohort, all AHFMR Investigators will receive the AHFMR Research Allowance. It is automatically provided as an integral part of the award to individuals who are receiving their first AHFMR investigator award as well as to those who have submitted a successful application for a subsequent AHFMR investigator award.

The research allowance is to be applied against research-related expenses including the following:

  • major and minor equipment (and extended warranties);
  • general materials and supplies;
  • research-related services such as equipment rental, computer time, data acquisition, library resources;
  • publication costs including open access publishing;
  • vivarium costs;
  • salaries of trainees, research assistants and technicians;
  • books, journals, and society memberships;
  • research-related travel.

The research allowance cannot be used for hospitality and entertainment expenses.

The Research Allowance is provided as a lump-sum grant at the commencement of the AHFMR investigator award. The grant will remain open for the full duration of the award. The spend-rate and distribution of the funds within the eligible expense categories is at the discretion of the investigator. Any funds that remain at the end of the term of the award must be returned to the Foundation. Extensions to the period of support will not be granted.

The value of the AHFMR Research Allowance is determined by the level of the AHFMR Investigator award held. The amounts are as follows:

  1. Clinical Investigator (Renewal) - $15,000;
  2. Population Health Investigator (Renewal) - $15,000;
  3. Clinical Investigator (New) - $35,000;
  4. Population Health Investigator (New) - $35,000;
  5. Scholar - $35,000;
  6. Senior Scholar - $50,000;
  7. Scientist - $50,000;
  8. Senior Investigator - $20,000.

1.3.4 Establishment Grant - General Information

AHFMR provides funds to assist researchers newly recruited to Alberta in the start-up of their laboratories and/or research activities. Candidates who are already established in Alberta (i.e. beyond 24 months) are not eligible to apply for the establishment grant.

The establishment grant may consist of two components: operating support and major equipment support.

Any funds approved are specific to each component and are not transferable between categories without prior approval from AHFMR.

1.3.5 Establishment Grant: Operating Support

Operating Funds may be used for the following purposes:

  • materials, supplies, and other expendables;
  • minor equipment defined as equipment costing less than $10,000 per unit or set-up;
  • equipment rental;
  • animals and animal facilities;
  • computer and library resources;
  • publication costs including open access publishing;
  • photocopying and art work for scientific publications;
  • technical workshop costs;
  • salaries of personnel including research assistants, technicians, coders, interviewers, programmers;
  • salaries and recruitment costs of trainees including summer students, graduate students, and postdoctoral fellows;
  • purchase of books, journals, and periodicals;
  • membership fees for scientific societies;
  • research-related travel.

All expenditures must be consistent with the policies and procedures of the host institution.

Operating Funds may not be used for the following purposes:

  • hospitality and entertainment expenses;
  • major scientific equipment (equipment costing more than $10,000 per unit or set-up);
  • tuition fees for students.

Unexpended funds must be returned to AHFMR upon expiry of the term of the grant. AHFMR will consider requests for one-year extensions of the establishment grants but these must be submitted at least two months before the grants are due to expire.

1.3.6 Establishment Grant: Major Equipment Support

"Major Equipment" is defined as equipment costing $10,000 or more per unit or set-up.

Requests for major equipment are to include a quotation(s) indicating the cost of the requested equipment, extended warranty, transportation, and any accessories. Matching or contributory funding should be identified for equipment exceeding $100,000.

All equipment purchased with AHFMR funds belongs to the host institution. The institution is responsible for:

  • the maintenance of the equipment;
  • obtaining adequate and appropriate insurance coverage;
  • ensuring that the equipment is used for the purposes outlined in the application;
  • notifying AHFMR of any changes to the usage of the equipment;
  • notifying AHFMR of the sale of the equipment;
  • ensuring that all equipment, or proceeds from its sale, will be used to support research.

The purchase and delivery of the equipment must be completed in the first year of the AHFMR investigator award. Beyond this time, unless AHFMR receives and approves a special request for an extension, the offer will be withdrawn and the institution will be required to return the funds to AHFMR.

2.0 Eligibility

2.1

Candidates for AHFMR investigator awards must hold academic appointments at an Alberta university not later than July 1 following the September in which the application was submitted.

2.2

The application for support must be submitted within 24 months of the candidate's first academic appointments in Alberta. The application may also be submitted before the candidates have assumed their academic positions in Alberta.

2.3

Unsuccessful applicants may submit one additional application (usually in the next competition). A maximum of two applications for the same level of AHFMR award will be accepted. The second application must be submitted not later than 36 months after the candidate's first academic appointment in Alberta.

2.4

Candidates who have applied twice unsuccessfully at one award level (e.g. Scholar) may be eligible to apply at the next level (e.g. Senior Scholar) if they have been successful in obtaining another major peer reviewed investigator award (e.g. CIHR New Investigator award) during the interim period. Prior approval from AHFMR must be received before such applications are submitted. Such individuals will not be eligible to apply for AHFMR Establishment Grants.

2.5

Awards recipients must have attained the following minimum academic positions before an approved award will be implemented:

  1. Clinical Investigator: Assistant Professor;
  2. Population Health Investigator: Assistant Professor;
  3. Scholar: Assistant Professor (Associate Professor if the recipient was supported as an AHFMR Clinical Investigator or Population Health Investigator, or has equivalent academic experience);
  4. Senior Scholar: Associate Professor (Professor if the recipient was supported as an AHFMR Clinical Investigator or Population Health Investigator and then as an AHFMR Scholar, or has equivalent academic experience);
  5. Scientist: Professor;
  6. Senior Investigator: Professor.

If the candidate has not attained the required faculty-level position by the award's implementation date (i.e. July 1st following the September in which the application was submitted), AHFMR will withdraw the award offer. The Foundation will not postpone award implementation while the candidate attempts to attain the required faculty appointment.

Independent investigators based at regional or provincial health authorities in Alberta are eligible to hold AHFMR investigator awards. Joint faculty appointments at the University of Alberta, the University of Calgary, or the University of Lethbridge are required for such individuals.

2.6

The following time protection for research must be provided, and confirmed in the institutional letter of support, in order for the candidate to be eligible to hold the award:

  1. Clinical Investigator: Minimum of 75%;
  2. Population Health Investigator: Minimum of 75%;
  3. Scholar: Minimum of 75%;
  4. Senior Scholar: Minimum of 75%;
  5. Scientist: These individuals are expected to devote the majority of their time to research activities;
  6. Senior Investigator: These individuals are expected to devote the majority of their time to research activities.

2.7

AHFMR Scientists are eligible to hold major administrative appointments such as directors of research institutes, department heads/chairs, associate/assistant deans, deans, etc. However, written assurance of the time protection for research must be provided to and approved by AHFMR.

Other AHFMR investigators will not be allowed to hold major administrative appointments.

AHFMR reserves the right to cancel an award if it is felt that the administrative responsibilities assumed by an AHFMR awardee will not allow for sufficient time for high-quality research activities.

2.8

Individuals who are not commencing their first academic appointment must demonstrate that they have adequate external peer-reviewed funding in place to conduct the research outlined in their applications. This funding will generally consist of peer-reviewed operating grants from national organizations such as CIHR, NSERC, SSHRC, NCIC, etc. Examples of such individuals would be AHFMR Scholars previously supported as AHFMR Clinical Investigators or Population Health Investigators; AHFMR Senior Scholars; and AHFMR Scientists. Their role on the grant should be as either the principal investigator or co-principal investigator.

The AHFMR award offer may be withdrawn if this funding is not in place at the normal implementation date for the award (i.e. July 1 following the September in which the application was submitted).

2.9

Further information regarding the Independent Investigator award categories may be located on our website at: http://www.ahfmr.ab.ca/grants/establish.php.

3.0 Application Process

3.1

All applications are submitted by the sponsoring institution (typically a university) on behalf of the candidate. The candidate and the sponsoring institution should indicate the program of choice (i.e. Clinical Investigator, Scholar, etc.) on page 1 of the application form. However, AHFMR reserves the right to make the final program selection based on the academic background of the applicant, their relevant research and/or work experience as well as their proposed area of research.

3.2

The applicant and the sponsoring institution bear full responsibility to ensure that the required application forms are used and that all requested information is submitted. AHFMR reserves the right to reject applications or declare them ineligible.

4.0 Peer Review Process

4.1

All applications undergo a rigorous peer review process consisting of assessment by committees of researchers drawn from Canada (outside Alberta) and abroad. External reviews (typically three to five per application) are secured for each application. The committee assignment as of September 2008 competition is as follows:

  1. Clinician Investigator Advisory Committee
    • Clinical Investigator applications (basic biomedical and applied clinical research)
    • Scholars (basic biomedical and applied clinical)
    • Senior Scholar (basic biomedical and applied clinical)
  2. Health Investigator Advisory Committee
    • Population Health Investigator applications
    • Scholars (health only)
    • Senior Scholars (health only)
  3. Scholar Advisory Committee
    • Scholar applications (basic biomedical)
  4. Senior Scholar Advisory Committee
    • Senior Scholar applications (basic biomedical)
  5. Scientific Advisory Council
    • All Scientist applications (basic biomedical, applied clinical and health)

4.2

All applications receive numerical ratings which are used by AHFMR as recommendations towards the final funding decisions.

5.0 Release of Competition Results

5.1

Awards are approved by the AHFMR Board of Trustees at their annual March meeting. The results are posted on the AHFMR website before the end of March (see AHFMR website for exact date).

5.2

Official letters containing the competition results as well as the internal and external reviews are sent to the deans, department heads/chairs and the applicants such they will arrive before the end of March.

6.0 Joint Funding with other Investigator Awards (AHFMR Incentive Award)

6.1

AHFMR Investigators are permitted to apply for and hold other personnel support awards such as the CIHR New Investigator Award, Canada Research Chair (Tier I or II), Heart and Stroke Foundation of Canada New Investigator Award, etc. Investigators who hold such an award may be eligible to receive the AHFMR Incentive Award.

6.2

Investigators may apply for or obtain these other awards at any point during the AHFMR period of support. AHFMR investigators are responsible for ensuring that the other organizations will permit them to hold their awards at the same time as the AHFMR award.

6.3

The AHFMR Incentive Award is generally limited to those individuals whose other personnel support award is provided on a competitive basis from a provincial, national, or international research-related agency from the non-profit or government sector. AHFMR reserves the right to determine whether a given external award is eligible for consideration to provide an AHFMR Incentive Award.

6.4

When an AHFMR investigator receives another personnel support award, AHFMR will contribute to the host institution the amount of its Investigator award minus the value of the external award (up to the maximum value of the AHFMR amount or of the outside award, whichever is less). The amount thus recovered by AHFMR will then be returned in its entirety to the individual's sponsoring institution according to the following distribution and for the following specified uses:

25%: University level - Office of the Vice-President Academic and Provost. These funds are to be added to the AHFMR funding pool managed by this office for AHFMR investigator support. In accordance with the defined uses of these pooled resources, the funds can be used mainly for the purpose of offsetting salary and benefits costs and renovation/relocation costs for currently supported AHFMR investigators.

35%: Faculty level - Office of the Dean. These funds are to be used by the investigator's dean to enhance the research activities of the faculty. Eligible expenses include the direct support of research as per the following:

For the faculty as a whole:

  • operating costs for research;
  • support of trainees;
  • purchase of scientific equipment;
  • support of administrative support staff;
  • support for core facilities and the staff required to run them;
  • recruitment costs to bring potential AHFMR investigator award candidates to Alberta for visits.

For currently supported AHFMR investigators only:

  • renovations to the investigator's laboratory, research, and/or office space;
  • costs for the investigator to relocate to Alberta;
  • sabbatical-related costs (e.g. travel, research costs).

As of July 1, 2007 the Foundation will no longer provide separate or additional funding for the recruitment, moving/relocation or renovation costs associated with newly recruited AHFMR investigators.

40%: Investigator level. These funds will be added to the investigator's AHFMR Research Allowance account to be used according to the guidelines for the AHFMR Research Allowance (see section 1.3.3).

6.5

The Foundation will only consider incentive awards based on formal request made by either: the sponsoring Dean, or VP Academic. For investigators with (ongoing) AHFMR Investigator support awards:

  • incentive will start from the original start date of the outside award or;
  • the start of the AHFMR award or;
  • from a period not greater than 60 days prior to the first request for the incentive award,

Investigators not supported via the Independent Investigator program are not eligible to apply/ receive incentive funding.

6.6

Individuals who received Canada Research Chair (CRC) awards upon their recruitment to Alberta must still apply for AHFMR investigator awards within the usual 24-month limit from appointment in Alberta. If no application is submitted by the 24-month limit, they will not be eligible to apply for an AHFMR investigator award at the conclusion of their CRC awards.

Individuals already appointed in Alberta for more than 24 months and who are offered CRC awards are not eligible to apply for an AHFMR investigator award.

7.0 Commencement of Funding

7.1

All AHFMR investigator awards are to start on July 1 following the September in which the application was submitted. AHFMR reserves the right to withdraw the award offer if the candidate is not able to start the award by this date.

7.2

Under special and limited circumstances the Foundation may approve a start date later than July 1. The funding provided for such awards will be reduced on a pro-rated basis for awards that commence after July 1. Awards will not be extended beyond the defined term to compensate for commencement dates that occur after July 1.

7.3

AHFMR funds will not be released until the following conditions are met:

  1. The Foundation has received the "Confirmation of Commencement" and "Statement of Compliance" forms with the required institutional signatures. This form includes confirmation that the candidate has obtained the required ethics and other research approvals.
  2. The candidate has a full-time academic appointment at the required level at the host institution/organization in Alberta (i.e. as specified in section 2.5).
  3. Any other conditions as specified in the offer of award letter.

8.0 Employment Status

8.1

All awards are made through the host institution/organization; individuals do not become employees of AHFMR upon receiving awards.

8.2

The institution agrees to notify the Foundation of any change in the investigator's employment status as this may affect eligibility to retain the AHFMR award. These changes could include loss of academic appointment, transfer to a new faculty, acceptance of a significant administrative appointment, additional external personnel support award(s), leave of absence, parental leave, etc.

9.0 Progress Reports

9.1

Awardees are required to submit annual reports throughout the term of the award. Failure to submit a report will result in suspension of the funding and may lead to cancellation of the award.

9.2

In addition to the annual reports, detailed progress reports will be required in the fourth year of the awards. AHFMR expert advisory committees will review these reports and provide feedback to the investigators and their institutions. Continuation of AHFMR funding will be contingent on a positive assessment of appropriate progress.

9.3

AHFMR will provide awardees the required report forms and submission deadlines.

10.0 Intellectual Property Rights

10.1

AHFMR investigators are subject to the intellectual property policies of their host institutions.

10.2

When commercialization of intellectual property is being considered, investigators are required to report any inventions to the technology transfer offices of their institution.

10.3

AHFMR makes no claim on intellectual property rights.

11.0 Maternity and Parental Leave

11.1

AHFMR investigators must inform the Foundation before commencing a maternity leave.

11.2

All institutional policies will apply for maternity leaves.

11.3

The Foundation will extend the term of an AHFMR investigator award for one full year for any female investigator who takes maternity leave during her current term of support. This one-year extension will be independent of the actual length of maternity leave taken by the investigator. There is no parallel policy for males who take parental leave.

11.4

There is no limit to the number of maternity leaves that can be taken during the tenure of a given award. Each maternity leave will result in one additional year added to the term of the AHFMR investigator award.

11.5

The Research Prize will be provided during this additional year(s).

11.6

All requests for the extension must originate from the sponsoring institution and all general terms and conditions regarding AHFMR independent investigator awards will continue to apply during the extension period.

11.7

The AHFMR contribution for the award will not be reduced during the maternity leave.

12.0 Sabbatical Leave

12.1

AHFMR investigators must inform the Foundation before commencing a sabbatical leave. This notification is to consist of a copy of the institutional approval of the leave as well as the expected duration, destination, and anticipated activities.

12.2

AHFMR will not reduce its contribution to the institution for the award during the sabbatical leave. The Research Prize will continue to be provided.

12.3

AHFMR will not provide any direct support for sabbatical costs (e.g. in the form of research or travel allowances).

12.4

AHFMR Clinical Investigators, Population Health Investigators and Scholars should generally not take a sabbatical leave during the tenure of their award.

13.0 Communications

13.1

All AHFMR investigators are required to acknowledge the Alberta Heritage Foundation for Medical Research in all public or scientific publications, media interviews, websites, signage, lectures, conferences, as well as institutional listings, events, and publications.

13.1

Materials for the media concerning the investigator's research and generated by the investigator's institution must include acknowledgement of AHFMR funding, the AHFMR logo, and if appropriate, a quote from the AHFMR President and CEO and a standard description of AHFMR, which can be obtained from AHFMR's Communications Department.

13.2

The AHFMR logo should be included in printed or electronic materials relating to AHFMR-funded research, including presentations, publications, news releases, signage, websites, advertising, promotional materials, etc.

13.3

Investigators must inform the AHFMR communications staff in advance if their research will be published in a major journal such that it might result in a press release from the university and/or the journal.

13.4

Investigators will, from time to time, be asked to participate in AHFMR-generated media work, interviews, student mentorship, or public events.

13.5

AHFMR reserves the right to publish and/or disseminate information regarding its grants and awards.

14.0 Retirement

14.1

AHFMR awardees are employees of their sponsoring institution and therefore institutional policies regarding retirement will apply.

14.2

Two options are available for AHFMR awardees approaching retirement who wish to continue their AHFMR funding: 1) application for a more senior investigator award or for the renewal of their current AHFMR Scientist award; or 2) request for support as an AHFMR Senior Investigator. These two mutually exclusive options are described below.

14.3

Application for Further Support Through Regular AHFMR Independent Investigator Awards

Investigators who apply for, and receive, AHFMR Investigator support are subject to their institutional policies with regard to retirement and the application of Canada Revenue Agency rules and regulations. In all other respects, the process for the submission and review of applications for, and implementation of, AHFMR Investigator Awards is as described in the guidelines for Programs for Independent Investigator support.

14.4

Request for an AHFMR Senior Investigator Award

For those investigators who hold an AHFMR Investigator Award and have been supported by Foundation Independent Investigator Awards for a minimum of 10 years, AHFMR may waive the normal requirement for the submission of a further application and full review, and accept a request from the institution for an AHFMR Senior Investigator Award.

To qualify for this support, the sponsoring institution must provide evidence, acceptable to AHFMR, that the candidate remains active in research and holds peer-reviewed competitive research funds.

If this option is exercised, the candidate will no longer be eligible to apply for further AHFMR Independent Investigator support. Requests for Senior Investigator will not be accepted for investigators who pursued the option outlined in section 14.3 but whose application was not successful.

The Senior Investigator Award will consist of a fixed contribution to the institution for a two-year period at the level of the investigator's existing award at the time of the request. It will include a Research Prize valued at $40,000 per annum, and a Research Allowance of $20,000 expendable over the two years.

15.0 Support of Research Integrity

15.1

AHFMR supports Alberta research institutions in their efforts to promote and ensure the highest standards of research and scholarship practice and behavior.

15.2

It is incumbent upon each applicant to adhere to all research policies and procedures in place at his/her institution, including those regarding integrity in research and scholarship.

15.3

AHFMR reserves the right to confirm, through independent means, representations of authorship, credentials or research support.

15.4

In the event of material deviations in the submitted information, including citation sources (in the case of authorship), issuing organization(s) (in the case of credentials), or granting agencies (in the case of research support), AHFMR reserves the right to disqualify any applicant from the competition in question. Further AHFMR actions may include disqualifying the applicant from future AHFMR competitions for a time period to be set at AHFMR's sole discretion, withdrawal of any remaining installments of support for any existing AHFMR grant or award for which misrepresentation appears in the submission, and seeking partial or full repayment of any past financial support under any AHFMR grant or award for which misrepresentation appears in the submission.

16.0 Termination of Award

16.1

AHFMR reserves the right to terminate any award if the terms and conditions of the award are not met, or if there is evidence of unsatisfactory progress.

17.0 General Terms and Conditions

17.1

All general terms and conditions governing AHFMR research funding will apply to these awards.