Administration and Reporting

1. Description

Grants refers to any form of funding to a Host Institution or other recipient.

Grants for research will be awarded to projects deemed worthy of support, provided that the basic equipment and research facilities are available in the institution concerned and that it will provide the necessary administrative services. Such awards will be granted for the purchase and maintenance of animals, expendable supplies, minor items of equipment, payment of graduate students, postdoctoral fellows and technical and professional assistants, open access publication costs, research travel and permanent equipment.

These grants do not provide for personal salary support of the Principal Investigator (PI) and/or Co-applicants nor for institutional overhead costs.

2. Eligibility

An applicant must hold a firm academic position (as a primary appointment) which allows the individual to engage in independent research activities for the duration of the project and includes the ability to supervise trainees and publish research results.

A researcher designated as the Principal Investigator must be based in, or formally affiliated with, an eligible Canadian Host Institution such as a university, research institute or health care agency. Graduate students, postdoctoral fellows, research associates, Adjunct Professors or Status only appointments (except where they hold a firm academic position at another Canadian institution), technical support staff, or investigators based outside of Canada are not eligible to be a Principal Investigator. Both the Principal Investigator and executive authorities of the Host Institution are required to agree to the terms of the Host Institution/Arthritis Society Canada Agreement included as part of the application, thereby acknowledging and agreeing to all the responsibilities and obligations outlined in that Agreement.

The person named as the Principal Investigator remains the Principal Investigator on a grant for the duration of the grant unless given express permission by Arthritis Society Canada.

Applicants who do not yet hold an eligible position

Investigators who have a firm offer of an academic position (as defined above) at an eligible Host Institution and where the appointment is not contingent on the success of a pending application, can submit an application as Principal Investigator provided that the position commences by the start date of the grant. In such cases, a letter from an appropriate authority of the Host Institution must be included, which provides clear details as to the exact nature of the appointment (including title and major responsibilities), as well as the expected start date and duration of the appointment.

A researcher designated as Co-Principal Investigator (similar or equal responsibility as the PI in leading the project) or Co-applicant (directly responsible for some aspects of the project) is a researcher who may or may not have a formal affiliation with the Host Institution but will take responsibility for particular administrative and scientific aspects of the research project. These categories can include Adjunct Professors or Status only appointments. These categories may not include graduate students, postdoctoral fellows, research associates, technical support staff, or investigators based outside of Canada. These individuals are not eligible to receive salary support from a grant.

Additional Authors:  This category formally recognizes other individuals who will make substantial intellectual contributions to the research project or have contributed to the drafting of the application itself, but who are not eligible to be included as Co-Principal Investigators or Co-applicants. Students, postdoctoral fellows, research associates lay contributors and investigators based outside of Canada may be included in this category. Students, post-doctoral fellows and research associates may receive salary support from a grant.

Collaborator: A Collaborator is a researcher, consumer or other individual who makes a meaningful contribution to the research project or application such as: providing tissue/fluid samples or data; consultation; platform resources (e.g., equipment, specific reagents, specialized training); statistical analysis; etc. A collaborator can be based outside of Canada. However, funds can only be spent in Canada and, if research is conducted outside of Canada, the Principal Investigator must present convincing arguments on the need to conduct research at a non-Canadian institution(s).

Partner: A Partner is a participant in the research project representing industry, government, consumer or other academic groups (i.e. domestic or foreign).

Consumer: A Consumer is a person living with or affected by arthritis. Consumers are not required in all grant applications but Arthritis Society Canada strongly values the voice of consumers in research, both in their inclusion in grant applications and the peer review process. Applicants are encouraged to consider this in their submissions.

Any question of eligibility or unusual circumstances not described above will be reviewed and an assessment by Arthritis Society Canada will be made.

3. Certificates

The following may be required from all participating institutions for funded grants, depending on the proposed work:

• If this application involves the use of biological materials, a certificate must be submitted from each institutional Biohazards Committee guaranteeing that the project will be conducted under conditions which satisfy the “Laboratory Biosafety Guidelines“, published by the Canadian Institutes of Health Research and Health Canada. Please reference their website for current guidelines.
• If this application involves the use of experimental animals, a certificate must be submitted from each institutional Animal Care Committee guaranteeing that all animals will be cared for and studied under conditions meeting the standards stated in the Canadian Council on Animal Care guidelines.
• If this application involves human experimentation, a certificate must be submitted from the appropriate Committee of each institution involved, stating that the protocols and methods have been found acceptable from an ethical point of view in accordance with the “TCPS 2 (2018) – Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans” (TCPS 2 has replaced the 1st edition of the TCPS (1998)), published by the Canadian Institutes of Health Research, the Natural Sciences and Engineering Research Council of Canada and the Social Sciences and Humanities Research Council of Canada.

If the application involves the use of human samples, please note that Arthritis Society Canada is committed to ensuring that high quality ethically sourced bio-specimens are used in research it funds, as these yield high, reproducible quality data. If human samples are included in projects submitted to Arthritis Society Canada, applicants are required to provide one of the following:

1. Document that all bio-specimens will or have been collected in accordance with recognized standards, such as the Canadian Tissue Repository Network (http://www.ctrnet.ca/resources/operating-procedures) or equivalent (e.g. CLIA). Adherence to these standards and/or certification will be included as part of the peer review. Participation in external quality assurance programs will be considered eligible grant expenses.
2. Provide a brief description of the source, quality and handling procedure of the samples.

Certification (1) or description of samples (2) would be required at the time of application deadline for evaluation by reviewers.

Please be advised that no funds will be released to successful applicants until all required certificates are received.

4. Host institution/Arthritis Society Canada agreement

Grants are made only with the consent and knowledge of the administrative head of the institution at which they are to be held and institutions must abide by the policies contained in the Host Institution/Arthritis Society Canada Agreement (see below). Approvals indicate that the officials at the Host Institution have read and understood all of the various obligations of the parties, which includes a formal policy on Integrity in Research and Scholarship. No funds will be released to successful applicants without these approvals. Applicants are reminded that the agreement also contains a disclaimer and indemnity clause. Specific terms of the agreement are available.

5. Support of research associates and professional assistants

Grant applications may contain requests for the support of professional assistants or research associates. It is recognized that research associates may often be key personnel in a research program. However, any person holding an academic rank equivalent to Assistant Professor or higher cannot be considered to be a professional assistant or research associate and therefore may not be paid from a grant.

6. Support of trainees

The support of graduate trainees and postdoctoral fellows are encouraged. Salaries requested should conform to the Host Institution rate based on the experience of the individual required for the project as of the first year of the project. If the person is unnamed, justify the need for a post-doctoral fellow with the number of years of experience required specifying the work to be undertaken.

Taxation will depend on the Host Institutions policy regarding trainees.

7. Notification of award

Successful applicants will receive an official “Notification of Award” (NOA) indicating the duration and the value of the grant. The finance office and the research office of the Host Institution will also be informed. Results of the competition will be posted on the Arthritis Society Canada website. All applicants will subsequently be provided with the scientific critique prepared by the review panel. It is the objective of Arthritis Society Canada to support the highest calibre of arthritis research.

8. Scientific reporting, publications and communications-related activities

All grant recipients must submit scientific reports throughout the grant and after the grant end date. Principal Investigators will be e-mailed instructions about completing the report in our online system (Apply). Submission of these reports is mandatory. Failure to submit the required reports will result in the future installments being withheld.

Annual progress and end of grant reports

Investigators are asked to provide a summary of progress, a list of publications and presentations associated with the grant, details on trainees, and impacts of their research. Investigators will also be asked to list any activities that have helped to promote Arthritis Society Canada.

Post grant reports

As impacts of research may occur beyond the termination date, grantees must submit a “Post Grant” report two years after the grant termination date. The report will capture publications, status of trainees, etc.

In order to highlight research findings to the public, grantees are requested to contact the Arthritis Society Canada Senior Manager, Knowledge Translation and Exchange with copies of important preprints and reprints and to involve the appropriate office in any media interactions that emanate from the funded research activities. The funder acknowledgement (item 11) must be included in any grant announcements.

9. Open access policy

Please see the Arthritis Society Canada open access policy, which states that research findings must be made publicly available within twelve months of the peer-review publication date.

10. Acknowledgement of funds

Investigators are expected to publish their results in peer-reviewed scientific journals, and to present their findings at scientific conferences. Grantees must acknowledge the funder in all scientific communications and media releases related to the grant. Proper acknowledgement would be “This research is supported by Arthritis Society Canada (grant #XXXXXX)”. Grants co-funded /funded by a partner/donor will be advised of appropriate language for the acknowledgement.

Grantees should notify Arthritis Society Canada once a manuscript is accepted for publication to provide details of the journal, title of the article, expected date of publication and a copy of the article.  If a grantee’s host institution and/or publisher is preparing a press release or other media announcement, the grantee, institution or publisher must inform Arthritis Society Canada in advance by email.  All announcements must clearly acknowledge Arthritis Society Canada as the funder.

All presentations (PowerPoint, posters, etc.) containing research results arising (in whole or in part) from an Arthritis Society Canada funded grant must contain the Arthritis Society Canada logo. Please contact Arthritis Society Canada whenever you are planning to present research results and we may provide you with appropriate graphic(s).

11. Knowledge translation

To help increase stakeholder awareness of Arthritis Society Canada-funded research and the impacts of our research investments, PI’s may be asked:

• to serve as a member on a peer review panel or committee
• to summarize your work in a brief article intended for a lay audience and/or to present to a lay audience or the media
• to increase public awareness of Arthritis Society Canada’s research program by acting as a spokesperson at local events through a regional office
• to participate in relevant events designed to facilitate knowledge translation such as webinars.

Any such requests will be made with as much notice as possible.  Our staff, volunteers and donors are keen to hear about your progress. The promotion of Arthritis Society Canada-funded work is critical to the continuing growth of our research program.

12. Financial reporting

An annual Statement of Account is required within 90 days of the grant year end. Statement of account forms may be found on the Financial Administration section of our website. The financial administration page also describes policies and practices which govern how grant and award funds are spent.

13. Other provisions

Grantees and Host Institutions should be aware of the conditions that apply to all individuals receiving research funds or training assistance.

In the event that the Principal Investigator (and all others who participate as a result) is awarded a grant (refers to any form of funding to a Host Institution or other recipient) with funds administered by Arthritis Society Canada then for value received, the undersigned Host Institution agrees that the Institution shall provide adequate physical and organizational infrastructure for the conduct of the research, research training, and other activities funded by Arthritis Society Canada, and:

1. Any grant that may be awarded shall be administered in accordance with the Regulations set forth on the Arthritis Society Canada research website. Grants awarded are made only upon the approval of Arthritis Society Canada. All grants are at all times conditional upon and subject to, availability of funds to Arthritis Society Canada. In addition, Arthritis Society Canada reserves the right to terminate, at any time and without cause, any grant.
2. Any proposed clinical investigation involving experimentation in human subjects has been or shall be examined by the appropriate Host Institution(s) committee(s) and found to be acceptable from an ethical point of view in accordance with the TCPS 2 – Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans, published by the Canadian Institutes for Health Research, the Natural Sciences and Engineering Research Council of Canada and the Social Sciences and Humanities Research Council of Canada.
3. Any proposed investigation involving the use of experimental animals has been or shall be examined by the appropriate Institutional Animal Care Committee(s) and found to be acceptable as far as the experimental procedures and the continuing care of these animals are concerned, in accordance with the Canadian Council on Animal Care guidelines.
4. Any proposed investigation involving the use of biological materials has been or shall be found acceptable by the appropriate Institutional Biohazards Committee(s) and will be conducted under conditions which satisfy the Laboratory Biosafety Guidelines published by the Canadian Institutes of Health Research and Health Canada.
5. Any proposed investigation involving human samples has been or shall be collected in accordance with recognized standards, or shall include a description of the source, quality and handling procedures.
6. The Host Institution(s) within which the research will be conducted maintains or shall develop during the term of any grant a policy on inventions and patents which applies to the Principal Investigator and which does not require Arthritis Society Canada to assume any responsibility for any costs, expenses or liabilities relating to inventions or patents.
7. The Host Institution(s) accepts responsibility for:
   • Investigating possible instances of misconduct in research or scholarship;
   • Imposing appropriate sanctions in accordance with their own policies;
   • Informing Arthritis Society Canada of conclusions reached and actions taken, including decisions involving Co-applicants from other institutions where there is more than one institution involved; and
   • Any and all actions taken or omitted to be taken by it, or the Principal Investigator as applicable.

   The Host Institution agrees that in cases in which misconduct or any other breach of the obligations owed by the Host Institution(s) to Arthritis Society Canada has occurred, Arthritis Society Canada may impose its own sanctions as set out in the policy statement on the Arthritis Society Canada website or take such other actions as Arthritis Society Canada may determine.

8. The Host Institution(s) accepts responsibility for issuing a “Statement of Account” on an annual basis, for each grant being administered under its authority. The Host Institution(s) must provide regular information to the PI regarding their account.
9. None of Arthritis Society Canada, their associates, or their respective directors, officers, agents, members, employees or representatives shall be liable for any loss, injury, damage or any other liabilities whatsoever to persons or property due to or arising out of the said research, either directly or indirectly, whether attributable to negligence or otherwise, including any loss, injury, damage or liabilities to the health or well-being of any research subject or innocent bystander or any loss, injury, damage or any other liability whatsoever to an agent, employee or representative of the Host Institution or Principal Investigator.
   The Host Institution agrees to indemnify and save harmless Arthritis Society Canada, their associates and their respective directors, officers, agents, members, employees and representatives (individually an “Indemnitee”) from and against:
   • (i) all claims, damages, losses, costs, expenses, liabilities or demands of any nature whatsoever which an Indemnitee sustains (or may sustain) including in respect of or in connection with any claim, action, proceeding or any other circumstance which is alleged, threatened, commenced or prosecuted, for or in respect of any act (or inaction or omission), deed, matter or thing whatsoever, made, done or permitted to be done by the Host Institution(s) directly or indirectly including by the Principal Investigator or any other party, whether attributable to negligence or otherwise arising out of or by virtue of its having granted funds for research to the Host Institution(s), Principal Investigator or the Host Institution(s), in respect of its having acted or omitted to act in connection with such research; and
   • (ii) all other costs, charges and expenses, including legal fees and expenses on a substantial indemnity basis, whether such costs, charges and expenses relate to the forgoing damages, claims, liabilities, demands or otherwise, which an Indemnitee sustains or incurs in or about or in relation to the research.
10. The person named as the Principal Investigator remains the Principal Investigator on a grant for the duration of the grant unless given express permission by Arthritis Society Canada. In addition, if the eligibility of the PI changes over the term of the grant, Arthritis Society Canada must be informed immediately.
11. Host Institution(s) shall ensure the Principal Investigator advises all others named and working on the grant of the regulations of Arthritis Society Canada, including the policies regarding inventions and patents and misconduct.
12. Arthritis Society Canada must be acknowledged for public announcements of a grant, publications or presentations, in the format described in the Notification of Award.
13. Grantees and their host institutions must acknowledge Arthritis Society Canada (and/or Arthritis Society Canada partner/donor, as appropriate) in all materials, communications and media releases related to the funded work.

Contravention of Arthritis Society Canada policies, as applicable, by the Host Institution(s), Principal Investigator or any others may result in consequences including the immediate termination of a grant, return of any funds already disbursed and the requirement of the Host Institution(s) to compensate Arthritis Society Canada for any and all costs, expenses and other amounts.

The following conditions and regulations apply to all individuals receiving research funds or training assistance administrated by the Arthritis Society.

1. Terms of grants and awards and “condition of approval”

Grants and Awards are made only upon the approval of the Arthritis Society. All grantees and the Host Institution must formally accept a grant and all grants are at all times conditional upon and subject to availability of funds to the Arthritis Society. In addition, the Arthritis Society reserves the right to terminate or change, at any time, any grant or award.

2. Award maximum

In accepting an award, whether for research or training, the recipient acknowledges and agrees that the award constitutes the maximum payable.

3. Commitments on Arthritis Society Canada’s behalf

Grantees and named investigators funded by Arthritis Society Canada are not eligible to sign contracts or undertake commitments on behalf of Arthritis Society Canada.

4. Title of equipment

Title to all equipment purchased is vested in the Host Institution and it is the responsibility of that institution and the applicant to ensure there is adequate and appropriate insurance coverage. However, while ownership is vested in the Host Institution, Arthritis Society Canada reserves the right to enter into discussions concerning the ultimate disposition of such equipment in the event of programmatic changes.

5. Change of Host Institution (Transfer of Grant)

Grants and Awards are made for research or training at the universities or institutions specified in an application. If a grantee/awardee leaves this institution, the grant or award normally terminates. The transfer of the full responsibility of the grant to another eligible Principal Investigator may be considered. However, if the grantee/awardee is transferring to another eligible Host Institution, application may be made to have the unspent portion allocated for use at that institution. In the case of a grant, such application requires that a new signed Host Institution/Arthritis Society Canada Agreement form must be obtained. If approval is given, it will be necessary to provide new certificates from the Animal Care Committee, the Ethics Review Committee and/or the Biohazards Committee of the new institution, if applicable. In the case of an award, please contact Arthritis Society Canada for instructions. Arthritis Society Canada retains the right to approve or deny the transfer of a grant to a new PI or host institution.

6. Change in status of Grantees/Awardees and projects

Should a grantee/awardee be unable to continue the research program or course of study for which he/she has received support, the grantee or awardee and/or the Host Institution shall immediately notify Arthritis Society Canada so that appropriate action can be taken. In the case of research grants, all grants are conditional upon the continual involvement of named Co-Principal Investigators and/or Co-applicants. The grantee is required to notify Arthritis Society Canada if any role changes significantly or the PI’s status changes which may affect eligibility.

If components of a project change significantly from the approved application, the project may be subject to review. PI’s must report changes to Arthritis Society Canada as such changes occur as well as in their annual progress report.

7. Funding outside of Canada

Arthritis Society Canada funds may only be used to support research conducted in Canada. In unique circumstances and only where scientific methodologies demand, funds may be considered for use outside of Canada when it is necessary to complete the proposed work (e.g., limited/rare populations where sufficient accrual is not possible in Canada). All such requests will be reviewed on an individual basis. Collaborators and partners may be from outside of Canada.

8. Special competitions

In the future, it is expected that Arthritis Society Canada may from time to time make special awards, issue Requests for Applications (RFAs) or offer contracts in order to implement priorities and the achievement of its published objectives. In such cases, the decisions will be announced to as wide a community as possible and opportunities provided for competition within the approved terms of reference.

9. Non-employee status

Individuals who derive income for training or for research support from the resources of Arthritis Society Canada, whether grantee, research personnel, trainee, or assistant in any unit, are not considered as employees of Arthritis Society Canada.

10. Sabbatical leave/Leave of Absence/Maternity or Parental Leave

Prior permission is required if a grantee/awardee wishes to retain a grant during a period of sabbatical leave. The grantee must make a written request specifying the dates and location of the leave, a short summary of the research to be conducted and the arrangements made for maintaining and supervising the research operation overall and the project specifically. Written verification must also be provided that approval has been given from his/her Host Institution and from the venue where the sabbatical study will be carried out. Permission must be requested prior to the beginning of the fiscal year during which the sabbatical leave will commence or for which it has been requested.

Arthrits Society Canada must be notified of any leave of absence or maternity/parental leave of the grantee or awardee that exceeds 90 days. Continuation of the grant/award will be at the discretion of Arthritis Society Canada.

11. Maternity/parental leave extensions

Funding is not provided to extend a grant due to maternity/parental leave, however extension of the end date (No Cost Extension) is possible. See the Financial Administration policies item 10.)

12. Acknowledgement of funding

All recipients of support should understand that they can play an integral role in the efforts to provide more funds for research in the future. Recipients of funding are expected to acknowledge the support of the funder in all scientific communications and media releases related to the award.

To acknowledge funding, researchers should state “This research is funded by Arthritis Society Canada (and partners as applicable) (grant #XXXXXX)”.

13. Open Access Policy

Effective immediately, any researcher currently supported in whole or in part through Arthritis Society Canada is required to make their published results of supported work publicly available as soon as possible, but must do so within twelve months of the final publication date.

Archives such as PubMed Central, researcher’s Host Institution websites and/or open access journals are all acceptable ways to make research findings publicly available. The Arthritis Society Canada’s Open Access Policy will operate in a manner that does not violate copyright law.

Unrestricted public access to research findings is a crucial part of upholding the values and responsibilities of Arthritis Society Canada. Open access allows for broader dissemination of knowledge and ultimately promotes research advancement, of crucial to Arthritis Society Canada’s mission of investing in cutting-edge research that will deliver better health outcomes for people affected by arthritis.

Read more about the Arthritis Society Canada’s Open Access Policy, or contact us at [email protected].

14. Financial audit

Arthritis Society Canada reserves the right to audit the Grants/Awards statement of account.

15. Scientific audit

It is a condition of all grants and awards that the work of the grantee or awardee may be reviewed at any time. Such review may be carried out by means of visits by one or more members of a review team to the research site at appropriate times and intervals.

16. Integrity in Research and Scholarships

Arthritis Society Canada has a formal policy on Integrity in Research and Scholarship for the guidance and information of both applicants and Host Institutions. It is a requirement that the appropriate senior representatives of the Host Institution and all investigators understand and adhere to the statements in this policy.

17. Inventions and patents

It is a condition of payment of any award for research that the University or Institution in which the research will be conducted maintains a policy on inventions and patents to which the recipient is subject. As well, such policy must not require Arthritis Society Canada to assume any responsibility for any costs, expenses, or liabilities relating to inventions or patents. It is intended that provisions be made for proper recognition of the individual’s genius and industry which have contributed to the research effort, as well as to add to the funds available to the University or Institution to foster further research, particularly in support of research on arthritis.

18. Industry-Related Research

Arthritis Society Canada has a formal policy on Industry-Related Research for the guidance and information of both applicants and Host Institutions. It is a requirement that the appropriate senior representatives of the Host Institutions and all investigators understand and adhere to the statements in this policy.

19. Disclosure of commercial interests

It is a condition of application that Principal Investigators, Co-Principal Investigators and Co-applicants disclose fully any financial interest they have in any Company, Corporation or other commercial venture whose business activities are related to the subject matter of an Arthritis Society Canada grant application. Such financial interests include, but are not limited to: owning a substantial number of shares of the Company (e.g., 5% or greater), sitting on the Board or other Committees of the Company, having an appointment (full- or part-time) as an Officer or Staff member of the Company, acting as a Consultant or Advisor for the Company, having any contract for services with the Company, receiving remuneration of any kind from the Company, etc.

Further, Arthritis Society Canada will not approve applications that involve any element of financial profit from the grant to an application or any others named in a grant submission including collaborators, partners and/or key personnel.

Annual progress and end-of-grant reports ​

In order to highlight research findings to the public, grantees are requested to contact the Arthritis Society Canada Senior Manager, Knowledge Translation and Exchange with copies of important preprints and reprints and to involve the appropriate office in any media interactions that emanate from the funded research activities. The funder acknowledgement (item 8) must be included in any grant announcements.​

All grant/award recipients must submit scientific reports throughout the grant/award and after the end date. The report must be submitted fifteen (15) days after the anniversary date of the grant/award for subsequent payments to be released. Principal Investigators will be emailed instructions about completing the report in our online system (Apply). If you encounter problems or have not received an email please contact [email protected].

***Submission of these reports is mandatory. Failure to submit the required reports will result in the future instalments being withheld.***

Grants and Career Awards

An “Annual Progress Report” must be submitted by the Principal Investigator of any ongoing research grant. This progress report provides details of progress, and research impacts, media contacts, leveraged funding, trainees and any publications/honours during the grant year.

Training Awards

At the completion of each award year, a report summarizing the progress to date must be submitted. This report should be prepared in close consultation with the research supervisor.

Post-grant reports ​

Grants and Career Awards

As impacts of research may occur beyond the termination date, grantees must submit a “Post Grant” report two (2) years after the grant termination date. The report will capture publications, status of trainees, etc. Stars Career Development Awardees are required to submit additional post award reports one-year and three-years after the Arthritis Society Canada funding term to confirm Host Institution support.

Principal Investigators will be emailed instructions about completing the report in our online system (Apply). If you encounter problems or have not received an email, please contact [email protected].

An annual Statement of Account is required within 90 days of the grant year end. The Statement of Account form is available in PDF or Excel format. The completed form should be sent to [email protected].

Our Research Policies page also describes policies and practices which govern how grant and award funds are spent.

Financial Reporting

1. Host Institution/Arthritis Society Canada Agreement

Grants are made only with the consent and knowledge of the administrative head of the institution at which they are to be held and institutions must abide by the policies contained in the Host Institution/Arthritis Society Agreement. Funds will not be released to successful applicants without these approvals.

2. Notification of award (NOA)

Successful applicants will receive an official “Notification of Award” (NOA) which will set forth the duration of the grant period and the amount approved. The financial and research office of the university or institution concerned will be informed of the details of the grant.  A revised Notification of Award will only be sent if there is a change in the amount or terms of the grant.

3. Start date

The start dates for grants and awards are varied. The start date will be noted clearly on the Notification of Award (NOA).

4. Authorization of expenditures

An individual account must be maintained for each grant and all expenditures must be authorized by the grantee or by his or her authorized designate.

5. Administration and payment of funds

Funds for all grants are administered by the financial officer of the university or institution concerned. Payments will normally be made in quarterly installments. See Administration and Reporting for details on the submission of reports.

6. Disbursement of funds by the Host Institution

Payment of accounts for the purposes specified in the grant is made by the financial officer of the Host Institution, upon authorization from the grantee. The total disbursements must not exceed the award and any expenditures in excess of the award will not be assumed by Arthritis Society Canada nor reimbursed by it to the university or institution concerned. Expenditures are to be made only for the purposes set forth in the terms of the grant and any alternative use of funds requires prior approval of Arthritis Society Canada.

7. Separate accounting

Separate accounting must be kept when more than one grant is received by an investigator. Interchange of an expenditure from one project to another requires prior approval of Arthritis Society Canada.

8. End of grant/early termination of a grant

Termination of Research Grant Award:   A research grant award may be terminated before the end of the project if:

1. the Principal Investigator (PI) requests, in writing, that the award be terminated;
2. the PI is unable to carry out the research at the original institution;
3. the sponsoring institution requests in writing that the award be terminated because of the PI’s termination of his/her academic appointment;
4. the PI fails to notify Arthritis Society Canada of any change in his/her affiliation with the department or institution on record at the time the award was made;
5. the PI changes any aspect of the award from that which was originally approved by Arthritis Society Canada, including significant changes in the specific aims of the research studies, without prior notification and approval by Arthritis Society Canada;
6. annual progress and financial reports are not received from the PI within 30 days of the final notice;
7. the PI is found by an institutional investigation to have committed scientific misconduct or fraud; and/or
8. Arthritis Society Canada’s Board of Directors deems termination necessary for any reason.

Expenditures incurred after the termination date will not be accepted. The Host Institution is expected to return any unexpended balances as of the termination date and no later than six-months past the end date. In the case of grants that are discontinued for any reason (e.g., early termination), Arthritis Society Canada must be notified immediately.

9. Carryover of grant funds

Within  a grant term:  Any unexpended funds within the term of a grant can be carried forward into the next year however where the total amount expended in the year differs by 30% of the budgeted amount found on the NOA, a brief explanation/justification is required with the submission of the Statement of Account, as detailed in section 13 d) below.  If the amount in the year differs by 50% or more, a request to retain funds along with a justification and revised project plan must be submitted to [email protected].

At the end of a grant term:  Grantees are permitted to carry forward, into any renewal grant, an unspent balance (surplus only) of up to $50,000 for up to one (1) year beyond the normal termination date of a grant, without in any way affecting concurrently held grants, any subsequent grants, or any pending grant applications. It is not necessary for investigators to apply for formal approval for amounts under $50,000. All monies carried forward beyond the termination date of a grant, regardless of amount, will be subject to Arthritis Society Canada usual accounting policies and will be subject to the usual end-of-grant financial accounting policies in force at the time. Surpluses in excess of those limits must be refunded to Arthritis Society Canada and deficits larger than $5,000 must not be carried forward into any renewal grant.

Please see Item 10 for retaining funds beyond the normal termination date.

10. Use of unspent funds at the termination date and extending the termination date (no-cost extension)

Surpluses of up to $25,000 may be retained for up to 12 months beyond a grant termination date for expenditures on that grant. A statement of account must be provided for any funds expended beyond the normal termination date.

However, when the expected surplus exceeds $25,000, or more than 12 months are required to complete the work or substantive work remains, grantees must apply for a no-cost extension. This will allow the remaining funds to be expended after the end date but will not provide any additional funds. Consideration for a no-cost extension will be given where work remains to be completed combined with persuasive justification or where a grantee has taken an extended leave of absence during the term of the award. The request should be submitted to the Vice President (VP), Research Operations. Include the following information:

• an explanation for the delay
• a brief description of the work remaining with an estimate of the time required to complete the work
• a projected figure for the unexpended balance at the termination date to be carried into the extension period

11. Overlap

Should the awardee receive another award(s) for the same project during the term of the Arthritis Society Canada’s award, the awardee must notify Arthritis Society Canada within 30 days of receiving notice of the award and is expected that the recipient will decline one of the awards.

12. Top up Funding

Arthritis Society Canada may consider on a case-by-case basis, providing “top-up” funds under the following circumstances:

1. Term of the new award is shorter than the term of Arthritis Society Canada’s award;
2. Value of the award is less than the value of Arthritis Society Canada’s award;
3. Value of the award is less than the amount requested in the proposal submitted to the funding agency; or
4. Value of the training award is less than the minimum stipend as required by the department where the trainee is registered;

All such requests must be sent in writing to Arthritis Society Canada on formal letterhead via email.

Should Arthritis Society Canada grant the recipient’s request, the recipient will be required to uphold all requirements of a full award.

13. Statement of Account for grant funds

a)  Submission of statement  
A Statement of Account (PDF, Excel) must be submitted annually by the Host Institution, in the format required by Arthritis Society Canada, for each project for which funds have been awarded. The Statement must be received within 90 days of the end of each grant year to ensure that subsequent payments are not delayed. For example, a grantee with a September 1 start date must submit a Statement of Account by November 30 to ensure that their March 1 payment is released. Subsequent quarterly payments will not be released until an acceptable Statement for the previous year is received and approved. Delayed payments will be released with the next scheduled installment.

b) Signatures
The annual Statement of Account must be signed by both the grantee and the Financial Officer responsible for overseeing the administration of the grant. In circumstances where the grantee is unavailable to sign the statement, such as the absence due to a sabbatical leave, the grantee’s designate can sign the statement if Arthritis Society Canada has been informed of the designate in advance. In addition, the name of the individual who prepared the Statement is required.

c) Committed funds 
The reporting of committed funds is not required as grant surpluses or deficits within the term of a grant are allowed. Institutions can make accruals in the final year if the goods were used during the grant period but not billed as of the scheduled end date.

d) Details of expenditures
Where the total amount expended in the year differs by 30% of the budgeted amount found on the NOA, a brief explanation/justification is required with the submission of the Statement of Account. Arthritis Society Canada may request further information from the grantee or Host Institution at any time (e.g., when expenditures are vastly different from the requested budget or when there is a large under-or over-expenditure in any year). Also, the grantee may be required to provide an itemized account of expenditures supported by backup documentation.

e) Audit  
Arthritis Society Canada reserves the right to audit the Statement of Account.

f) Expenditure categories 
Note: All charges to a grant account must directly relate to the project for which funds were awarded. Please contact Arthritis Society Canada if you have any questions regarding eligible expenditures.

Salaries and benefits: Report the total of all salaries and benefits relating to the grant. Proportional expenses should be applied for partial effort of any project team member. It is not necessary to record the name and salary amount for each individual paid on the grant. However, institutions must have payroll details available for review to support the total salaries and benefits reported on the statement.

Expendables/supplies: Report all expenditures directly relating to the grant. Costs may include expendable lab supplies (i.e., tips, tubes, reagents, etc.), animals and housing costs, per patient costs, printing survey instruments and small equipment (<$1,000).

Equipment: In addition to any equipment budget requested within an application that is approved, all grantees may use 5% or $10,000 for the purchase of equipment. This allowance is an annual calculation but can be expended at any time over the term of the grant. The cost of installation of equipment can only be charged if requested as part of the budget request.

Animals and upkeep: Report all expenditures directly related to the grant.

Books and journal subscriptions: When the total for books and journals purchased exceeds $1,000 annually, the grantee must attach a list with full justification when submitting the Statement of Account. Do not include the cost of preprints and reprints as such expenditures would be reported under “Miscellaneous”.

Conference travel: Report all expenditures associated with cost of presenting results and/or attendance at scientific conferences.  Travel expenses must be in accordance with Arthritis Society Canada’s policies.  Expenditures may also include the cost of travel associated with an approved sabbatical leave for the grantee, travel support for a postdoctoral fellow who is about to take up an initial appointment in the laboratory of a grantee, or travel costs associated with a visiting scientist who will be contributing to the funded project.

Research travel: Expenditures reported should relate to the cost of conducting the research (e.g., periodic team meetings for multi-centred studies, mileage charges to conduct interviews with study subjects, etc.)

Services: Expenditures reported can include the cost-of-service contracts, consultants, etc. An itemized list on, or attached to, the Statement of Account must be provided.

Miscellaneous: When the total expense exceeds $5,000, details must be included with the Statement of Account. These expenditures may include:

• advertising costs for recruiting personnel
• office supplies and services (e.g., stationary, telephone, photocopying, courier)
• cost of reprints and preprints

Note: All charges to a grant account must directly relate to the project for which funds were awarded.  Please contact Arthritis Society Canada if you have any questions regarding eligible expenditures.

g) Ineligible expenditures  
Expenditures which cannot be charged to grants include, but are not limited to, the following:

• salaries and/or benefits of the PIs, co-applicants and faculty members
• deductions for CPP/QPP, WCB/WSIB Employment Insurance, provincial health taxes, fringe benefits such as medical, dental or private pension plans for students
• deductions for CPP/QPP, WCB/WSIS, Employment Insurance, provincial health taxes, fringe benefits such as medical, dental or private pension plans for postdoctoral fellows unless mandated by the Host Institution as a result of a formal agreement (e.g., unionization of PDF’s)
• academic fees for students or postdoctoral fellows
• top-up charges for maternity leave benefits
• secretarial salaries
• overhead or infrastructure charges/levies (e.g., building maintenance, computer network charges, etc.). Only shared services (e.g., glass washing, etc. on a pro-rated basis) are acceptable. Percentage charges/levies/tithes are not permitted (only actual charges are allowed)
• indirect costs (as described in Arthritis Society Canada’s Indirect costs policy
• laboratory or office furniture
• entertainment or hospitality costs
• membership fees
• administrative support supplied by the host institution (i.e., purchasing, accounting, finance, etc.)
• activities by researchers not on the grant, or activities related to other grants
• cell phone charges unless required for project/study funded
• construction or renovation costs
• any salaries/charges unrelated to the grant (e.g., union secondments, employee-related benefits such as severance/placement/counselling fees as individuals working on an ASC funded grant are employees of their institution)

14. Statement of account for STARS Career Development Awards

a) Submission of statement  
A Statement of Account (PDF, Excel) must be submitted by the Host Institution, in the format of STARS Career Development Awards. The Statement must be received within 90 days of the end of each grant year to ensure that subsequent payments are not delayed. The statement of account form is available on the website.

b) Signatures  
The annual Statement of Account must be signed by both the grantee and the Financial Officer responsible for overseeing the administration of the award. In addition, the name of the individual who prepared the statement is required.

c) Expenditure categories  

Salaries and benefits: Report the total of all salaries and provide details of those being paid (e.g., title of position and amount).
Expendables/supplies:  Report all expenditures directly relating to this grant as described under Statement of Account for grant funds, Item 13 f).
Major equipment:  Report as outlined and approved in budget.

All other items should be reported as described in Statement of Account for grant funds Item 13 f).

d) Ineligible  expenses 
Refer to Statement of Account for grant funds Item 13 g) for a list of ineligible expenditures.

15. Statement of account for Trainee awards (graduate and post-doctoral fellows)

a) Submission of statement  
A Statement of Account (PDF, Excel) must be submitted by the Host Institution, in the format required by the Institute, for trainee salary awards. The Statement must be received within 90 days of the end of each grant year to ensure that subsequent payments are not delayed. The statement of account form is available on the website.

b) Signatures 
The annual Statement of Account must be signed by both the supervisor (for trainees) and the Financial Officer responsible for overseeing the administration of the award. In addition, the name of the individual who prepared the statement is required.

c) Expenditure categories  
Salaries and benefits: Report the total of all salaries and provide details of those being paid (e.g., title of position and amount). This is the only category of expenditure permitted for training awards.

16. Statement of account for Arthritis Centre grants

a) Submission of statement
A Statement of Account (PDF, Excel) must be submitted by the Host Institution, in the format required by the Institute, for arthritis centre grants. The Statement must be received within 90 days of the end date. Outstanding statements will result in delays in any future successful grants. The statement of account form is available on the website.

b) Signatures  
The annual Statement of Account must be signed by both the grantee and the Financial Officer responsible for overseeing the administration of the award. In addition, the name of the individual who prepared the statement is required.

c) Expenditure categories 

Salaries and benefits: Report the total of all salaries and provide details of those being paid (e.g. title of position and amount).
Expendables/supplies: Report all expenditures directly relating to this grant as described under Statement of Account for grant funds, Item 13 f).
Major equipment: Report as outlined and approved in budget.  All other items should be reported as described in Statement of Account for grant funds Item 13 f).

d) Ineligible  expenses  
Refer to Statement of Account for grant funds Item 13 g) for a list of ineligible expenditures.