ITEMS REFERRED BY SENATE Contents Consent Agenda ... · to guide the review of such proposals. ......

Board of Governors APPENDIX VII November 24, 2005

ITEMS REFERRED BY SENATE

Contents ConsentAgenda

Guidelines for Educational Partnerships Yes

Guidelines for International Research Partnerships Yes

Board Membership - Faculty Member Elected by Senate Yes

Planning for 2006-07: Guidelines for Faculties Yes

Report of the Academic Colleague on the 277th Meeting of COU Yes

Annual Progress Report on Strategic Research Plan Yes

Annual Report on Strategic Plan for Internationalization Yes

Academic Appointments Yes

FOR ACTION

1. Guidelines for Educational Partnerships

Recommended: That subject to Senate approval (November 18, 2005) the Guidelines forEducational Partnerships, detailed in Annex 1, be approved, and the Policy onInternational Student Exchanges [currently MAPP 1.26] be rescinded, effectiveJanuary 1, 2006.

Background:

The University is receiving an increasing number of requests from organizations seeking to form academicpartnerships with Western. The sources of these requests range from international high schools seekingpreferred status for their students who wish to be admitted to Western’s programs, to post-secondaryinstitutions that would like to enter into student and faculty exchange agreements. At present, the Universitydoes not have a single policy and procedural framework to manage such requests. The creation of theEducational Partnerships Advisory Council and the Guidelines for Educational Partnerships providesinterested parties with a process through which proposed partnerships can be initiated and provides criteriato guide the review of such proposals.

The Educational Partnerships Advisory Council (EPAC) has been established to effect recommendationsregarding guidelines for institutional affiliations discussed in Making Choices (September 2001) and theUniversity’s Strategic Internationalization Plan (January 2003). These documents refer to the need to:

• develop partnerships with universities and institutes abroad to pursue research and teachingcollaboration and to expand the University’s capacity for assistance to institutions and communitiesin developing areas

• improve the University’s efforts to recruit international students by focusing on areas of strategicimportance to Western and develop partnership agreements with both universities and selected highschools of high academic quality in such areas

• promote and expand opportunities for student participation in study-abroad and exchange programsand encourage enhanced two-way student exchange flows between partnered institutions

• facilitate grade transfers between institutions, at both the undergraduate and graduate levels


• establish programs at the undergraduate and graduate levels which require overseas residency for adetermined period to enhance “hands-on” international experience

• develop more informal opportunities for graduate students from abroad to spend limited periods oftime at Western as part of their course of study at their home university.

The Council shall provide advice to the Office of the Provost & Vice-President (Academic) on all mattersrelated to international educational partnership projects at Western.

EPAC will be the main contact point for institutions that approach Western with a view to creating anEducational Partnership. It will work in parallel with the International Research Advisory Council, chairedby the Vice-President (Research & International Relations), which has a mandate to develop strategicdirections for international research and development activities by liaising with units both on and off campus.Student exchanges, previously governed by MAPP 1.26, “International Student Exchanges,” will fall underthis new Policy and therefore the recommendation states that MAPP 1.26 will be rescinded. However, thelevel of detail that EPAC will require will be the same as that outlined in procedures and criteria currentlyset out for PACOSE.

2. Guidelines for International Research Partnerships

Recommended: That subject to Senate approval (November 18, 2005) the Board of Governorsapprove the Guidelines for International Research Partnerships, detailed in Annex2, effective January 1, 2006.

Background:

The University is receiving an increasing number of requests from organizations seeking to form partnershipswith Western. At present, the University does not have a single policy and procedural framework to managesuch requests. The creation of the Guidelines for International Research Partnerships will provide interestedparties with a process through which proposed partnerships can be initiated and approved. The currenttemplate for agreements used by the Office of the Vice-President (Research and International Relations) willcontinue to be used under this policy. A copy of the template is attached for information in Annex 3.

FOR INFORMATION

3. Board Membership - Faculty Member Elected by Senate

The name of the Faculty member to be elected by Senate on November 28 will be reported at the meeting.

4. Planning for 2006-07: Guidelines for the Faculties

The Planning Guidelines for the Faculties for the final year of the four-year planning process are attached asAnnex 4.

5. Report of the Academic Colleague on the 277th Meeting of the Council of Ontario Universities

See Annex 5.

6. Annual Progress Report on Strategic Research Plan

See Annex 6.


7. Annual Report on Strategic Plan for Internationalization

See Annex 7.

8. Academic Appointments

Faculty of Arts and HumanitiesT. Carmichael, Associate Dean (Research), July 1, 2005 - June 30, 2008

Faculty of Health SciencesL. Miller, Associate Dean (Scholarship), July 1, 2005 - June 30, 2010K. Walmsley, Associate Dean (Academic Programs), July 1, 2005 - June 30, 2008

Richard Ivey School of BusinessN. Dawar, R.A. Barford Professor in Marketing Communications, to September 2008V. Radcliffe, MBA’82 Faculty Fellowship, until November 2006C. Wiedman, F.W.P. Jones Faculty Fellowship, until December 2008

Schulich School of Medicine & DentistryR.A. Hegele, Jacob J. Wolfe Distinguished Medical Research Chair in Human Gene Function, April 1, 2005 -March 31, 2010

Board o f Governors November 24,2005

APPENDIX VII Annex 1

T/te UNIVERSITY of WESTERN ONTARIO POLICIES and PROCEDURES

1.26 GUIDELINES FOR EDUCATIONAL PARTNERSHIPS

Classification: General Effective Date: 01 JAN06 Supersedes: (NEW)

GENERAL

1 .OO The University is committed to excellence in its research and academic programs and it recognizes that its strengths can be enhanced by collaborative relationships with domestic or international partners, including governments, academic institutions and other organizations, both public and private. Such collaborative relationships should strengthen and complement the University's priorities and mission.

The purpose of this Policy is to set out the process by which proposed educational partnerships with external institutions will be assessed and approved by the University. In considering a partnership with other academic institutions, the University's responsibility and a paramount consideration is to protect the quality of its programs and reputation, and also to assess and address any academic, legal, safety, and financial risks to the University, its faculty, and its students.

2.00 Types of educational partnership proposals:

2.01 Academic Partnerships This general category includes joint teaching initiatives, collaborative academic program offerings at the graduate and/or undergraduate level, opportunities for study and/or work experiences for faculty including faculty exchanges, library and documentation exchange, and exchanges of pedagogical material and scientific and laboratory equipment.

2.02 Student Learning Abroad Partnerships This general category includes student exchange programs, study abroad programs, international internships, research assistantships, and training programs. Also included is the facilitation of admission for a limited number of highly performing international students in a particular discipline at the University or its Affiliated University Colleges for a specified period of time through the support of international educational or government programs. These partnerships may involve participation of students from all partnering institutions or from one partnering institution only.

2.03 Transfers of Academic Credit Transfer of academic credit to another educational institution for courses taken at the University, and/or transfer of academic credit to the University for courses taken at another educational institution.

3.00 Partnership proposals whose primary purpose is the pursuit of research are reviewed pursuant to the Guidelines for International Research Partnerships [MAPP 7.131

4.00 Educational Partnerships Advisory Council

The Educational Partnerships Advisory Council (EPAC) has been established to review and assess educational partnership proposals and recommend to the Provost & Vice-President (Academic) those proposals that will be of benefit to the University. Educational Partnerships Advisory Council (EPAC)



Page 2 Terms of Reference:

To establish a framework, procedures, and criteria for the assessment of Educational Partnership proposals, and for the monitoring and periodic review of approved Educational Partnerships.

To assess Educational Partnership proposals and to recommend to the Provost & Vice- President (Academic) for approval only those proposals which satisfy the criteria developed by the Council.

To review Educational Partnerships periodically and make recommendations thereon to the Provost & Vice-President (Academic).

To review Educational Partnerships prior to their expiry date and provide recommendations to the Provost & Vice-President (Academic) regarding continuance of the relationship.

Composition:

An Associate Dean or designate from each Faculty on Main Campus

Ex officio:

Vice-Provost (Academic Programs & Students) [Registrar], who shall be Chair Vice-President (Research & International Relations) Director, Centre for New Students Director, Undergraduate Recruitment & Admissions

Resource:

Legal Counsel University Secretary (or designate) Exchange Student Advisor

A Secretary shall be provided by the Office of the Vice-Provost (Academic Programs & Students) [Registrar]. Meetings will be held at least twice annually. As appropriate, some meetings may be conducted electronically.

PROCEDURE

Review and Approval Process

5.00 Applicants seeking to establish an educational partnership must submit an Educational Partnership Request to the Office of the Vice-Provost (Academic Programs & Students) [Registrar].

5.01 Internal Applicants For internal applicants, the Request will include a brief description of the proposal, expected benefits for students andlor faculty, and a letter of support from the relevant Department Chair, School Director, and Dean.

5.02 External Applicants For external applicants, the Request will include a brief description of the proposal, the expected benefits for students andlor faculty, existing or potential linkages between the applicant's home institution and the University, and evidenceof support from the applicant's home institution.

6.00 Proposals that clearly do not meet EPAC's established criteria may be rejected by the Vice-Provost.

7.00 Subject to 6.00, the Vice-Provost will submit Educational Partnership Requests to EPAC which will forward its recommendation together with relevant documentation to the Provost & Vice-President (Academic). Proposals relating to transfer of academic credit (articulation agreements) that are



Page 3

approved by the Provost & Vice-President (Academic) will be forwarded to the Senate Committee on Academic Policy and Awards for approval and recommendation to Senate. The Provost & Vice- President academic)'^ decision with respect to all other proposals is final.

8.00 Final decisions will be conveyed to the applicant by the Vice-Provost or designate.

Execution of Agreements

9.00 Upon approval of a partnership the appropriate office will ensure that an agreement setting out the terms of the partnership is executed by the University. The University will not commence a partnership until both parties have signed the agreement. Agreements will ordinarily follow a standard format approved by the University's Legal Counsel. Any proposed variations from a standard format, or any non-standard agreements, or agreements to be executed in languages other than English, must be approved by the University's Legal Counsel. Agreements must be signed by the President or a Vice- President, and the Secretary of the University.

Agreements relating solely to transfer of academic credit (articulation agreements) must be signed by the Vice-Provost (Academic Programs & Students) [Registrar] and the Dean of a Faculty, in accordance with Senate approved procedures for the establishment of articulation agreements.

Record Keeping and Reviews of Partnerships

10.00 After execution of the agreement by the University and the partnering institution, one original signed copy must be forwarded to the University Secretariat for retention. A record of current educational partnership agreements will be maintained by the University Secretariat.

11 .OO The Office of the Vice-Provost (Academic Programs & Students) [Registrar] will maintain a current list of approved proposals and will notify the appropriate units upon establishment or termination of an educational partnership.

12.00 At the request of any of its members, including the Chair, EPAC will review a partnership at any time if there are concerns about its implementation, and may make recommendations thereon to the Provost & Vice-President (Academic).

13.00 Prior to the expiry date of an approved partnership, the Vice-Provost will notify the affected units within the University. EPAC will review the partnership unless the other institution has advised the University that it does not wish it to continue. Proposed renewals will follow the same review and approval process set out above. Any new agreement must comply with the requirements set out in section 9.00 above.


APPENDIX VI I Annex 2

The UNIVERSFTY of WESTERN ONTARIO POLICIES and PROCEDURES

7.13 GUIDELINES FOR IN'TERNATIONAL RESEARCH PARTNERSHIPS Classification: Research Effective Date: 01 JAN06 Supersedes: (NEW)

GENERAL

1 .OO The University is committed to excellence in its research and academic programs and it recognizes that its strengths can be enhanced by collaborative relationships with international partners, including governments, academic institutions, and other organizations. Such collaborative relationships should strengthen and complement the University's priorities and mission.

The purpose of this policy is to set out the process by which proposed research partnerships with external institutions will be assessed and approved by the University. In considering a research partnership with other academic institutions, the University's responsibility and a paramount consideration is to protect the quality of its research, academic programs and reputation, and also to assess and address any academic, legal, safety, and financial risks to the University, its faculty, and its students.

2.00 Types of Research Partnership Proposals:

2.01 The types of research partnerships covered under this policy include collaborative research initiatives involving faculty and or graduate students, faculty exchanges, or other types ofjoint activities whose primary purpose is the pursuit of research.

2.02 Other types of partnerships, including student learning abroad partnerships, transfers of academic credit, collaborative academic programs, study andlor work experience programs, and library and documentation exchanges, should be processed under the terms laid out in the Guidelines for Educational Partnerships [MAPP 1.261.

PROCEDURE

International Research Partnership Request and Review Process

3.00 Applicants seeking to establish a research partnership as defined in Section 2.01 must submit a brief statement of intent to the Office of the Vice-President (Research & International Relations). All such requests will be subject to the approval of the Vice-President (Research & International Relations), who may, as appropriate, seek advice from the International Research Advisory Council, appropriate Deans, or other members of the University community.

Execution of Agreements

4.00 Upon approval, the Office of the Vice-President (Research & International Relations) will ensure that an agreement setting out the terms of the partnership is executed by the University. The University will not commence a partnership until both parties have signed the agreement. Agreements normally will follow a standard format approved by the University's Legal Counsel. Any proposed variations from a standard format, or any non-standard agreements, or agreements to be executed in languages other than English must be approved by the University's Legal Counsel. Agreements must be signed by the President or a Vice-President, and the Secretary of the University.

Record Keeping and Reviews of Partnerships

5.00 After execution of the agreement by the University and the partnering institution, one original signed copy must be forwarded to the University Secretariat for retention. A record of current research partnership agreements will be maintained by the University Secretariat.



Page 2

6.00 The Office of the Vice-President (Research & International Relations) will maintain a current list of approved proposals and will notify the appropriate units upon establishment or termination of a research partnership agreement.

7.00 The Office of the Vice-President (Research & International Relations) will file a report with the Educational Partnership Advisory Council at least semi-annually listing all research partnership agreements that were approved or rejected by the Office.

Board of Governors November 24,2005


AGREEMENT FOR INTERNATIONAL RESEARCH COLLABORATION

between

University A

and

The University of Western Ontario London, Ontario, Canada

THIS AGREEMENT is effective as of the day of and is entered into between the University A and The University of Western Ontario, c/o Research Development & Services, Stevenson-Lawson Building, London, Ontario N6A 5B8, Canada.

IN CONSIDERAl'ION OF the mutual covenants of the parties set forth below, the parties agree as follows:

1. PURPOSE

University A and The University of Western Ontario believe that the quality of research and teaching is strengthened by th establishment of international cooperation links and wish to enter into research collaboration with a view to their mutual enrichment in scientific, academic, and cultural areas.

2. OBJECTIVE

The general objective of this agreement is to establish long-term research collaboration in fields which are compatible with the orientation of each university, and which are relevant to the industrial, scientific, social and cultural interests and needs of the countries in which the parties are respectively located.

The initial focus will be in the area of B. Other areas of cooperation may develop at a later time.

3. MANNER OF IMPLEMENTATION

The collaboration contemplated by the Agreement will be implemented by:

a. the exchange of researchers,

b. the exchange of scholarly and pedagogical materials,

c. the coordinatior~ of collaborative research programs.

For purposes of this Agreement, "researchers" means the following:

*faculty members *postdoctoral fellows *graduate students participating in the exchange for the purpose of research

(rather than receiving credit for courses taken)

4. EXCHANGE OF RESEARCHERS

a. The participation of any researcher from either university in the exchange will be subject to the prior approval of such researcher by the other university.

b. Each university undertakes to maintain the salary and supplementary benefits of its own faculty members who participate in the exchange, consistent with its faculty leave policies and other policies in effect from time to time.

c. Each university will endeavour to raise funds for travel to the host university for its own researchers wishing to participate in the exchange.

d. Participants from each of the universities, while in attendance at the other i~niversity's facilities, shall abide by the rules and regulations of that host university regarding the use of facilities and conduct, and shall be subject to the laws of the host country.

5. RESEARCH PROGRAM MANAGEMENT

Each university will appoint one (or, if appropriate, more than one) research program director to ensure that the research collaboration proceeds according to a reasonable plan and to ensure that the purposes, objectives and terms of this Agreement are carried out. Each university may at any time name a successor to, or replacement of, its research program director(s).

For the initial period of the agreement the research directors will be: Prof. C Prof. D

6. ASSISTANCE TO EXCHANGE PERSONNEL

Each university agrees to accept visiting researchers within the parameters of this Agreement, and will assist visiting researchers to find living accommodation and to become integrated into their new social environment, but such assistance shall not include financial assistance.

7. INTELLECTUAL PROPERTY

In the context of their respective policies and procedures, both universities agree to share any intellectual property that is that is developed as a result of collaboration as between the universities pursuant to this agreement. Intellectual property that has been independently developed by a university shall be retained by the originating university. 'This provision is the over-arching agreement in

principle, and shall be administered in accordance with the attached intellectual Property Statement.

The parties to this Agreement acknowledge that they do not provide visiting researchers with medical or hospital or personal property insurance nor are they responsible for any medical or hospital expenses or any other loss suffered by any visiting researcher. It is required that visiting researchers, or their home university, ensure that adequate provision for their needs is made in these areas.

At The University of Western Ontario, visiting researchers are required to purchase coverage under the University Health Insurance Program (UH IP) from the Department of Pensions and Benefits, unless they can demonstrate that they already possess equivalent or greater coverage from another insurance program or plan.

Upon request, the host university will make reasonable efforts to assist visiting researchers to obtain such insurance, as appropriate, but such assistance shall not include financial assistance.

9. DURATION AND AMENDMENT OF AGREEMENT

This Agreement shall have effect and be binding upon the parties hereto for a period of five (5) years from the date of this Agreement. Each university represents that it has the authority to enter into this Agreement and to support the intended collaborative research initiatives. This Agreement may only be amended by the mutual consent of all parties in writing.

10. EARLY TERMINATION

This Agreement may be terminated at any time upon the written mutual consent of the parties, or I-lpon either party giving twelve months written notice of termination.

11. FREEDOM FROM DISCRIMINATION

Each party acknowledges to the other that it subscribes to a policy of non- discrimination, which requires its employees not to discriminate on the basis of race, sex, sexual orientation, age, ethnicity, religion, or national origin. Each university shall abide by these principles in the administration of this Agreement and neither university shall impose criteria for the exchange of researchers that would violate these principles of non-discrimination.

12. LANGUAGE

Although a translation of this Agreement may be prepared in another language, it is understood and agreed that this English-language version is the official and binding document between the parties.

IN WITNESS WHEREOF the parties have executed this Agreement with effect as of the date first written.

THE LlNlVERSlTY OF WESTERN ONTARIO

The Board of Governors

Per: Fred Longstaffe, Vice-President (Academic) and Provost

Per: Ted Hewitt, Vice-President (Research & International Relations)

Per: Irene Birrell, Secretary of the Board

UNIVERSITY A Per:

Per :

AGREEMENT FOR IN'TERNATIONAL RESEARCH COLLABORATION

lntellectual Property Statement (Clause 7)

a) For purposes of this section:

i) "lntellectual Property" means, without limitation, any and all know-how, processes, technologies, software, specifications, drawings, flow charts, sketches, models, samples, technical or business information or data, inventions, discoveries, techniques, technical information and all related intellectual property rights worldwide arising under any law, and whether or not statutorily protected, including all i) patents, patent applications and patent rights; ii) copyright registrations, copyright applications and copyright rights; iii) industrial designs and industrial design applications; iv) trademarks, trademark applications, trademark registrations, and trademark rights; v) rights relating to the protection of confidential information; vi) any other proprietary rights relating to intangible property; and vii) divisions, continuations, renewals, reissues and extensions of any of the above (as and to the extent applicable) now existing or hereafter filed, issued or acquired;

ii) "Project" means any form of collaboration including, but not limited to, a training, research or service delivery program, project or subject area in which the parties collaborate or assist each other as contemplated by this Agreement; and

iii) Where a provision is to the effect that The University of Western Ontario owns any lntellectual Property, such provision shall be read to mean that The University of Western Ontario, or its faculty members, other employees or students that are participants in the Project, own such lntellectual Property in accordance with its policies and any applicable collective agreement.

(b) Unless the parties have otherwise agreed in writing with respect to a specific research program or Project prior to commencement of work on such Project:

(i) All lntellectual Property of a university (and its third party licensors) that existed on the date of commencement of the Project or that is subsequently created or acquired solely by any such ur~iversity in performing the work under the Project shall be owned by that university. The other universities shall have a personal, non-exclusive right to use such lntellectual Property provided by the first named university for purposes of the Project and for internal teaching and research purposes.

(ii) Ownership of jointly developed lntellectual Property shall be determined by the participating universities on a Project basis, having regard to the nature, quality and extent of the contributions by the respective universities.

(iii) Any commercialization of jointly-developed Intellectual Property, including publication or other disclosure, shall be as determined in advance by all the respective program directors of the contributing universities.

(iv) Any dispute in connection with the ownership, commercialization, publication, or other rights in connection with jointly-developed Intellectual Property shall be determined by arbitration in accordance with the rules of the International Chamber of Commerce.


The University of Western Ontario

APPENDIX VIl Annex 4

Planning for 2006-07: Final Year of Four-Year Planning Process Guidelines for the Faculties

September 30,2005

A. Introduction

These guidelines launch the planning process for the final year of Western's first multi-year plan which spans the period 2003-04 to 2006-07. At the start of this 4-year planning period, Faculties developed Academic Plans that summarized their priorities, identified strengths in teaching and research, and established links between their plans and the commitments identified in the University's Strategic Plan. In each of the following years, Faculties updated their Academic Plans in the context of changes in the University's overall budget situation and reported on progress made towards implementing their plans. Increased revenue stemming from updates of major funding sources, including the Provincial Government's investment in support of increased undergraduate enrolments and Federal Funding of Indirect Costs of Research, allowed for substantial enhancement of unit budgetary allocations relative to those agreed to at the outset of the 4-year plan.

The outcomes of the planning processes of the past three years (i.e. the first three years of the 4-year plan) resulted in multi-year budget and facultylstaff complement recommendations. The budget recommendations included substantial multi-year LPIF commitments, Enrolment Contingent Funding (ECF), Increased Cohort Funding (ICF), Canada Research Chairs (CRCs), targetted program expansion base funding, Provost's Academic Support Funding (PASF), Graduate Expansion Funding (GEF), and other one-time and capital funding commitments - all of which spanned the four years of the multi-year plan.

These guidelines begin the fourth and final year of our 4-year planning process in the context of unprecedented investments in Ontario's universities by the Provincial Government. In response . . to the Rae Review of the Province's post-secondary system, the Ontario Government has made multi-year operating and capital funding commitments over a 5-year period - 2005-06 to 2009-10. At the end of this 5-year period, operating grants to Ontario universities are expected to have increased by over $500 million in support of graduate enrolment expansion, unfunded BIUs (i.e. funding for enrolment growth in past years that was not adequately funded), expansion of medical/clinical programs, and overall improvement in the quality of education we offer our students.

This year's planning process also marks the transition to Western's next multi-year plan, which will begin in 2007-08. As part of this transition, Faculties are being asked to submit drafts of their renewed Academic Plans in this cycle, with the objective of finalizing these plans in the late spring or early summer of 2006. These draft Academic Plans will be made available to the University's Strategic Planning Task Force, whose work is currently underway. In turn, it is hoped that the draft

Page 1 of 16

The University of Western Ontario -- Planning for 2006-07: Guidelines for the Faculties September 30,2005

report of the Strategic Planning Task Force, expected to be available in June 2006, can be used to inform the final versions of the Faculty Academic Plans. In developing the new Academic Plans, Deans are asked to allow for broad input, by involving individuals, research groups, centres and institutes, teaching programs, and others that can provide advice on planning priorities to Department Chairs, School Directors, and Faculty Deans.

In addition to provision of the draft Academic Plans, Faculties are invited to advise the Task Force directly by providing an up to three page commentary (attached separately to yourplanning document), which considers some or all of the following points:

i. What are the most significant issues andlor opportunities for the future that should be considered by the Task Force, and how would you address these matters?

ii. Are there specific directions being considered in your Faculty with significant potential for impact on the University that should be considered in the next Strategic Plan?

iii. Where should the emphasis be placed over the next strategic planning cycle given the foundation achieved in the current plan and the expectations arising fiom the government's recent investment in post-secondary education?

iv. What are/should be the distinguishing elements that comprise the "best student experience" at Western for both undergraduate and graduate students? In your Faculty, how do you describe to potential students the outcomes expected fiom their Western experience, how are these outcomes measured, and to what extent are these outcomes achieved?

v. As Western strives to establish a secure place amongst the most research intensive universities in Canada, what opportunities and obstacles are most significant for your Faculty? What are the most significant measures of research progress in your Faculty?

vi. Looking forward, what are the most important factors that will affect (i) undergraduate and graduate student demand in your program areas, (ii) research success, (iii) faculty recruitment and retention, and (iv) internationalization?

B. University Operatin? Revenues and Expenditures

1. Revenues

The major sources of University operating revenues are: provincial government base operating grants, accessibility funding fiom the Province to support the undergraduate enrolment growth resulting fiom the Increased Cohort, tuition fees, federal funding for indirect costs of research, and the substantial new provincial funding described above - i.e funding for graduate enrolment expansion, unfunded BIUs, medicaVclinica1 program expansion, and quality improvements. Our projections of revenues fiom these sources (excluding the funding for

Page 2 of 16


medical/clinical program expansion) show incremental funding of approximately $20 million in 2006-07 over that projected in the May 2005 University budget.

Tuition fees have been fiozen in 2004-05 and 2005-06 and the provincial government provided compensatory grant funding. The Province is currently in the process of reviewing its tuition fee policy, and the recommendations are expected to be released in the coming months.

Provisions have been made for increases to employee salaries and benefits, taking into account the Province's expectation that incremental funds flowing fiom the spring 2005 provincial budget will not be used to increase salaries.

Our enrolment/teaching-based funding programs - the Enrolment Contingent Fund (ECF) and the Graduate Expansion Fund (GEF) - will continue into the future. ECF and GEF provisions have been modelled on the basis of our current enrolment projections.

Funding for our student aid programs - undergraduate scholarships & bursaries and graduate student support - continues to be a high priority.

We must set aside funds for a number of other University-wide expenditures, including the following:

Library Acquisitions r Research Support t Student Recruitment t Deferred Maintenance and Facilities Enhancements t Physical Plant Utilities t Operating Costs of New Facilities

In response to the additional provincial government funding, which was announced after the University's 2005-06 Budget was approved by the Board of Governors, the Board approved in-year incremental expenditures in support of facultylstaff appointments, instructional laboratory equipment upgrades, graduate student space enhancements, library enhancements, information technology infrastructure upgrades, and additional custodial services. These expenditures have also been incorporated into our budget projections.

Page 3 of 16


C. Resources Available to Each Unit and the Budpet Plannin~ Exercise for 2006-07

A set of revenue projections for the Faculty for the final year of the 4-year planning period has been provided in Appendix A. The revenues are based on the recommendations made last year, and include:

Base Budgets - the net result of the starting base budgets (i.e. the multi-year recommendations made in the 1st year of our 4-year plan), the funds available through faculty retirements after the application of the University's Faculty Turnover Recovery Policy, program expansion funding, and self-funded programs.

The recommended CRC Allocations for the Faculty. The appointment of allocated CRCs (included in Appendix A) is subject to approval by the University and the CRC program.

University Priority Investment Fund (UPIF) commitments for the 4-year planning period.

Differential funding allocations based on each Faculty's projected increases in undergraduate and graduate teaching responsibilities from the ECF and the GEF.

One-Time and PASF commitments made in the first three years of the 4-year planning process.

The 2005-06 In-Year Base and One-Time Commitments (described above) in support of faculty/staffpositions, instructional laboratory equipment upgrades, and graduate student space enhancements.

Appendix A shows historical operating revenue information for the Faculty and the 2006-07 revenues to be used for modelling purposes. Note that the historical revenue figures include centrally-funded salary and benefit increases but these central allocations are not yet included in the revenue projections for 2006-07.

As has been the case in recent planning cycles, this budget planning process is a modelling exercise only. The actual final revenues -- to be recommended in the spring of 2006 - will be a function of: (1) the base budget recommendation after consideration of the actual values of anumber of university-level revenue and expenditure variables, (2) differential budget decisions, (3) updates to enrolmentlteaching projections which will result in new ECFIGEF estimates, and (4) refinement to other revenue lines. In addition, funding associated with negotiated salary and benefit increases will be added to Faculty budgets at the appropriate times during the coming year.

Page 4 of 16


D. Elements of the Plannin~ Submission

1. The Facultv Drafi Renewed Academic Plan

Each Dean is asked to provide, as a separate document, a two-page summary of the Faculty's Renewed Academic Plan as well as a copy of the latest draft of the renewed Academic Plan itself - which should clearly be linked to the commitments and priorities outlined in the University's current Strategic Plan. The Academic Plans should be written in a form that readily allows their priorities to be used to justify resource allocations to the Faculty, and should include:

a. a description of the Faculty's priorities for the next five years (i.e. for the academic years 2006-07 to 2010-01 1) expressed in terms of its strengths and emerging strengths in the areas of teaching and research;

b. a description of the approach the Faculty will take to ensure collaboration across academic units and Faculties in interdisciplinary areas of teaching and research;

c. a general description (and where known, a detailed description) of areas where incremental graduate or undergraduate enrolment, new graduate or undergraduate programs and incremental faculty hiring will be occurring;

d. a description of the process of consultation of faculty, staff, and students that was used to renew the Faculty Academic Plan;

e. a description of how the Faculty's renewed Academic Plan addresses issues raised in the reports of external consultants used in support of OCGS reviews of graduate programs and in the reports of external consultants used in support of the activities of committees struck to appoint or renew Chairs, Directors, or the Dean;

f. a description of how the Faculty's Academic Plan achieves a balance between, and an integration of, the teaching and research missions, and a description of any attempts to modify this balance;

g. a description of the Faculty's activities and aspirations in international teaching and research, in the context of the University's Strategic Plan for internationalization.

As has already been indicated to Deans, the draft Faculty Academic Plans and their summaries that will be submitted with the planning guidelines will be shared with the University's Strategic Planning Task Force. In addition, all the Faculty Academic Plans and their summaries will be made available to all Deans in order to provide an opportunity for identification of areas of potential cross-Faculty involvement. The Plans and their summaries will also be made available to the Vice-President (External) to aid in the identification of

Page 5 of 16

f ie University of Western Ontario -- Planning for 2006-07: Guidelines for the Faculties September 30,2005

Faculty fundraising priorities, to the University Librarian as an aid to priority setting in development of access to collections, and to leaders of other support units to assist them in developing their unit operational plans, which will be in direct support of the Faculties.

2. Current Academic Issues within the Faculties

In addition to the matters described in sections 3 through 14 below, the planning submission should contain the following:

a. The specifics of enrolment plans, including the expansion of graduate enrolments and the undergraduate teaching plans in the context of a stable overall University undergraduate enrolment.

b. Details of current CRCs and those expected to be appointed in the hture, and the relationship between these appointments and the Faculty's renewed Academic Plan. In those cases where no appointment has been made to a CRC 12 months or more following the allocation to the Faculty, Deans must present a case requesting the continuation of the allocation.

c. A listing and descriptions of CFI/ORF proposals and any other major external research fiastructure proposals that are planned for the coming years. Here again, proposals should be related to the Faculty's renewed Academic Plan, the University's Strategic Research Plan, and the Faculty's hiring plan.

Deans are also asked to report on the impact of previous successhl CFI/OIT/ORDCF/PREA awards on meeting the Faculty's resource requirements and implementation of the Faculty Academic hiring plans.

d. A report on the impact of changes to the undergraduate curriculum on the Faculty - in particular, the impact on course and program enrolments.

Also comment on activities or plans within your Faculty for additional undergraduate program innovations based on the New Academic Choices model, e.g. cross-Department and cross-Faculty modules.

e. A description of the Faculty's internal resource decisions made in support of the Faculty's current Academic Plan. Most Faculties have accumulated substantial carryforward funds, which should be incorporated into the internal resource allocation decisions - including the funding of additional faculty and staff appointments.

Page 6 of 16


3. Re~or t on Recruitment and Retention o f Faculh,

As was the case last year, Deans are asked to provide a general report on the Faculty's approach to recruitment and retention - including efforts that focus particularly on the appointment and support of women in those disciplines where they are under-represented, as well as efforts to increase representation of designated groups other than women. It is likely that each Faculty's approach will be distinctive but it is expected that these plans might include:

mentoring programs, especially in undergraduate teaching and graduate student supervision; support and encouragement for the preparation of research grant applications; special approaches to the recruitment and retention of women. This might include approaches to the creation of a more accommodating culture and environment for teaching and research, and approaches to removing unconscious bias in the appointments process; special approaches to the recruitment and retention of other designated groups; course relief in the first year(s) of a probationary appointment; the offering ofprograms of support and education regarding equity issues for members of selection and promotion and tenure committees; a description of how h d s have been used to promote recruitment and retention of women, particularly monies from the provision to Faculties of 50% of the fist year's salary and benefits of new women appointees to probationaryltenured positions; a commentary on starting salaries, market and anomaly adjustments, and salary policy as they relate to recruitment and retention of faculty.

In this report Deans are also asked to comment on the following: the impact of CRC allocations on faculty recruitment and retention and, in light of the CRC Secretariat's requirement that targets be established for the number ofwomen in CRC positions, the appointment of women into CRC positions; steps taken, or to be taken, to recognize achievements of faculty in teaching and research; steps taken or planned to provide orientation and training to academic leaders, and steps taken or planned to encourage succession planning for academic leadership; steps taken or planned to encourage communication and consultation up, down, and across the Faculty.

The finding program which provides 50% of the first year's salary and benefits of new women appointees to probationaryltenured positions continues into the future. We have seen increases in the percentage of women appointments in the past two years, but our continued success will require that all Deans and Chairs continue to promote recruitment and appointment practices aimed at increasing our success at appointing women in those disciplines where they are under-represented.

Page 7 of 16


Deans are also asked to discuss issues relating to the employment of spouses/partners of outstanding new or continuing tenuredlprobationary faculty appointments. In particular, Deans are asked to consider mechanisms for the funding of full-time academic appointments of spouses that result in a fair and equitable sharing of the costs across the hiring units (for example, the model whereby a spousal appointment is h d e d 113 by the unit hiring the spouse, 113 by the unit hiring the "lead" appointment, and 113 from central funds).

Finally, Deans are asked to comment on whether, in their experience, Joint Appointments are achieving the objective of increasing teaching and research collaboration between units and programs, and to suggest alternative models that might achieve the same objectives.

4. Hir in~ Plans for Part-Time Facultv, Limited-Term Facultv, and Graduate Teaching Assistantshim

Deans are asked to provide a description of the role of part-time faculty, limited-term faculty, and graduate teaching assistants in their Faculty, a description of how the number hired in each of these groups has been determined historically, as well as their future plans for hiring in these areas.

5. Graduate Enrolment Planning

A major outcome of last year's planning process was the finalization of plans for the expansion of graduate enrolments at Western. Deans, in collaboration with the Dean of Graduate Studies, submitted graduate enrolment plans as part of their final budget plans this past April. These plans, along with the projected reduction in direct-entry undergraduate enrolment, were used in the projections of ECF and the newly-introduced GEF programs for each Faculty. In addition, the Dean of Graduate Studies introduced a new approach to graduate student funding at Western.

As part of their planning submissions, Deans are asked to provide updated graduate enrolment plans, graduate student funding commitments, and the impact of graduate enrolment expansion on the Faculty's finances, humanresources, and spacelfacilities. In preparing the new graduate enrolment plans, Deans should clearly link these plans to the new incremental faculty appointments that have been committed during the in-year accelerated planning process this past August and any further faculty appointments that may be available to the Faculty - i.e. through the UPIF program described in section 8 below. It should be noted that further expansion (i.e. beyond the plan approved at the end of the last planning cycle) will result in increased GEF and Deans should take this into consideration in their budget plan.

Page 8 of 16


6. Student Services

Western is committed to Providingthe Best Student Experience among Canada 's Research Intensive Universities. A major component of this commitment is to ensure that we provide the best possible services to our students in areas such as career development, academic counselling, psychological counselling, registrarial services, financial aid services, support/mentoring for new students, and international student services. One aspect of improving our approach to these services would be to physically and operationally consolidate the currently-provided central student service activities in a single location. Deans are invited to provide advice on such a consolidation of student services, including physical location and types of services. Comments on the best model for the future operational relationship between the central consolidated student services and Faculty-based student services are also welcomed.

Faculties are also asked to summarize their current activities in the provision of career counseling and placement services to undergraduate and graduate students, and the outcomes of those activities.

7. Planning Indicators

A selective approach to annual budget planning requires that both University- and Faculty- level allocation decisions be effectively related to our academic aspirations, current activities and performance, and to the relative contributions of the Faculty to the University's overall mission in research and education. The consideration in the planning process of a variety of activity indicators, both common and unit-specific, is an important step towards linking resource allocations and academic priorities.

Each Faculty is provided (in Appendix C) a set of centrally-generated indicators in graphical format. Deans are asked to comment on these indicators and on future plansldirections. Each Faculty is also invited to identifj and provide data reflecting up to five additional indicators which the units themselves view as appropriate for their disciplines. Deans should provide a description of other activities and initiatives within their units (not captured through empirical indicators) that contribute in a significant manner to the University's overall mission.

Each Dean is also asked to rank available indicators (e.g., those supplied in Appendix C, and/or those supplied by the Faculty) in their order of importance as measures of the Faculty's progress in meeting the objectives of the Faculty's Academic Plan and the University Mission and Strategic Plan.

Further to discussions at the Deans' Retreat and recent Deans' meetings, Faculties are invited to comment on the style and level of benchmarking that would be most helpful in their units, the external andlor internal comparisons that would be of most value, and the Faculty-specific challenges associated with implementation of such a process.

Page 9 of 16

The Universiw of Western Ontario -- Planning for 2006-07: Guidelines for the Faculties September 30,2005

8. Universitv Priorities Investment Fund (UPIF) Reauests to S u ~ ~ o r t the Academic Plan

As indicated earlier, the Provincial Government has made substantial funding commitments to Ontario's universities - and Western will benefit directly fkom this investment. We anticipate, based on our current revenue projections, that we will be able to support the appointment of an additional 45 faculty positions in 2006-07 -- over and above the positions that have already been approved to-date. Funding will also be available to appoint a modest number of additional staff in the Faculties.

Deans are invited to make UPIF proposals for additional faculty and staff positions, instructional or other equipment, interdisciplinary initiatives, and instructional technology initiatives, using the following guidelines.

Proposals should directly support educational quality enhancement initiatives and research strengths/developing strengths that are linked to the Faculty's draft renewed Academic Plan.

Given that decreasing the student/faculty and studentlstaff ratios are central to the enhancement of the educational environment and is an expectation of the provincial government, proposals should clearly demonstrate how the ratios would be reduced. Reduction in the size of larger undergraduate classes (where that makes sense), for example, should be a priority. Deans might also consider how such appointments might be used to increase undergraduate student access to high-demand programs or to develop new modules or enhance existing modules and programs.

Graduate enrolment expansion is a high priority for the University. Proposals for new faculty appointments should demonstrate how these incremental positions allow for M e r expansion of the Faculty's current graduate enrolment plan beyond that already approved in the last planning cycle. Emphasis should be given to expansion at the doctoral level. In addition, UPIF requests that would enable expanded graduate enrolment should also account for how any GEF accruing would be utilized.

Proposals that focus on interdisciplinary collaboration in teaching and research are encouraged - such proposals should describe specifically how this will be accomplished and supported.

All proposals should give clear timelines.

All proposals should include suggestions for measurable indicators ofprogress towards the goals associated with each proposal.

UPIF proposals should be concise. Proposals which are reinforced by other Faculty- specific resources (including fundraising) will be viewed favourably. Finally, the proposals

Page 10 of 16


should clearly specify the timing of their implementation. In order to ensure consistency in the presentation of UPIF proposals, Deans are asked to complete the template shown in Appendix G for each UPIF proposal.

9. Space, Facilities, and Capital Planning

Deans are invited to discuss the space requirements associated with their Faculty's draft Academic Plans, especially for the anticipated expansion in graduate enrolments, and associated increases in faculty and staff. Deans should propose options to address these needs. This feedback from Deans will be central to the University's long-range space plan being developed as part of this planning cycle. In discussing their space needs, Deans should describe the following:

the efficiency in the use of the Faculty's current space inventory; the number of additional graduate students planned for the Faculty and the space requirements associated with this expansion, including type of space; the anticipated number of additional faculty and their associated space requirements; the impact of any additional space on the overall undergraduate student experience; and the number of incremental staff appointments and their associated space requirements.

Please note that in developing their space requirements, Deans should follow the COU/MTCU space standards described in Appendix D.

Deans are also asked for advice on the most effective way to anticipate and provide the space needed to support successfbl applications to research programs such as the Canada Foundation for Innovation.

The outcomes of the past three planning cycles included multi-year space and capital recommendations for Faculties. Additional funding for renovation projects is available in 2006-07. Deans may submit capital requests for the final year of the 4-year planning period. All requests for funding of minor capital projects must be included in the planning document (see Appendix E, Capital Project/Space Request Form).

Proposals should support priorities in teaching and scholarship as articulated in the Faculty's draft renewed Academic Plan.

Prior to consideration of capital projects by the Provost during the planning process, units must consult with Physical Plant to obtain a cost estimate and to ensure that all building, safety, and structure-bearing codes receive proper attention.

In-year requests for space arising as a result of unexpected events must be submitted by Deans in writing to the Provost as these events emerge.

Page 11 of 16

The University of Western Ontario -- Planning for 2006-07: Guidelines for the Faculties September 30.2005

To assist Deans in the preparation of requests, a summary of current Faculty-specific space inventory and of "derived space", based on COUNTCU space standards, is provided in Appendix D. All requests for additional space and/or capital fimding should be based on an evaluation of current space allocations relative to the academic activities within the Faculty. Deans are asked to comment on this information and to suggest options for space reconfigurationlreallocation.

Requests must include a timeline of implementation and funding flow.

As has been the case for the past two years, all requests for exemptions to the University's policy on rental charges for general university facilities must be submitted in the planning documents. Note that only requests that directly relate to the academic activities of the Faculty will be considered for exemption.

10. Provost's Academic Suv~ort Fund (PASF)

The outcomes of the past three planning cycles included 4-year recommendations from the Provost's Academic Support Fund (PASF). Some fimding remains unallocated for the final year of the 4-year planning period. Deans are invited to request one-time allocations from the Provost's Academic Support Fund. As in past years, PASF will be used to support a range of innovative initiatives in teaching and scholarship but will not include base allocations. PASF proposals could include initiatives in information technology, academic equipment renewal, faculty recruitment, new courselprogram development, and staff development - and must include a timeline of implementation. In order to ensure consistency in the presentation of PASF proposals, Deans are being asked to complete the template shown in Appendix F for each PASF proposal.

11. Research Infrastructure S u ~ ~ o r t Fund (XISF)

The RISF, introduced in 2004-05, supports research infl-astructure costs in the Faculties. The RISF amounts to $750,000 and will be allocated as annual one-time fimding based on two principles: demonstrated need for support of research infrastructure and demonstrated excellence of the unit(s) seeking support. Details of the RISF were provided last year by the Vice-President (Research). As part of their planning documents, Deans are asked to include (very brief) RISF proposals for 2006-07.

12. Com~rehensive RevenueLExpenditure Model

Appendix A provides the budget planning template for the final year of the 4-year planning period for the Faculty. ECFIGEF revenue lines have been completed by IPB using the most recent enrolment projections and historical patterns in teaching activity. Deans are asked to review these figures in consultation with IPB and make adjustments to the revenue lines (excluding the base budget line) as necessary. Particular attention should be paid to the ECF

Page 12 of 16


and GEF estimates, which should be updated to reflect the new graduate enrolment plans for the Faculty.

The expenditure plan should include the line-by-line details shown in Appendix A, and should address budgetary requirements in the areas of: tenured/probationary faculty complement, part-time and limited-term teaching, support staff, GTAs, information technology and academic equipment renewal, faculty travel, new faculty start-up funds, facilities maintenance (including Occupational Health and Safety requirements concerning storage of equipment and materials and the use and disposal of hazardous materials), and any other allocations deemed necessary for the long-term academic health of the Faculty.

Faculties are reminded that they are responsible for including teaching equipment and information technologyrenewal funds in their budget plans. Annual allocations should be based on a systematic replacement plan and can be funded fiom operating revenue or through a planned targetted use of carryforward funds. As discussed earlier, many Faculties have built up a large carryforward reserve (shown in the revenue section of Appendix A, page I), which should be treated as any other revenue source in the budget plan.

The line-by-line budget model for the final year of the 4-year planning period should be provided by completing columns <e> and <f> on Page 1 of Appendix A.

13. Facultv/Staff Comolement Plan

As an outcome of last year's planning process, agreement was reached on updated full-time faculty and staff complement levels for the 4-year planning period. Deans should update the faculty and staff complement plan for the final year of the 4-year period by completing the tables in Appendix B.

The facultylstaff complement plan should reflect selective support of the priorities articulated in the Faculty's Academic Plan.

In addition to completing the tables, Deans should provide a text commentary describing the process and rationale for any changes to the complement plan approved last year. The rationale should be linked to the priorities in the Faculty's draft renewed Academic Plan, the University's Strategic Plan and Strategic Research Plan, and any enrolment shifts arising fiom graduate expansion and fiom variation of undergraduate student demand in response to the New Academic Choices.

Deans are also asked to provide a summary of progress in hiring into positions approved through the planning process in the first three years of the 4-year plan, as well as progress in hiring into any positions approved during this summer's accelerated planning process and any positions approved in-year as a consequence of funds released fiom unanticipated retirements and resignations.

Page 13 of 16


It is a priority for the provincial government to be able to demonstrate that the incremental funds provided to universities through the spring 2005 provincial budget have been effective in increasing the number of faculty at Western. Deans are asked to provide details of how they are attempting to expedite their hiring plans, and to provide suggestions for how the University can aid them in doing so.

Deans should include, in their complement and budgetary plans, provision for on-going funding of any positions now based on term h d i n g that expires during the planning period.

Sources of funding for new appointments should be described.

Deans should note that when positions are vacated as a consequence of unanticipated retirements or resignations, the positions themselves are closed, and a case must be made for the creation of new positions using funds released to the Faculty budget. This is because the areas of teaching and research of departing faculty were determined by Faculty priorities at the time they were hired, whereas new positions are expected to fit with the current priorities of the Faculty, as articulated in the Faculty's Academic Plan.

Deans should also note that advertisements to hire into planned full-time faculty positions must still be approved by the Vice-Provost (Policy, Planning & Faculty) through the Office of Faculty Relations, and requests to advertise should be accompanied by a statement describing how the position fits into the complement plan approved during the planning process.

14. Updates on Initiatives from Last Year's Planning Process and the Accelerated In-Year 2005-06 Planning Process

In reporting the information requested in section 13, Deans are asked to ensure they report on (a) the status ofUPIF facultylstaff appointments recommended as outcomes of the fist three cycles of the 4-year planning process, (b) the use of the 50% of new female tenuredlprobationary faculty salaries and benefits allocated as one-time funds in 2005-06, (c) the use of funds released fiom internal CRC appointments with reference to the original CRC proposal -- with particular attention to the hiring of new faculty and the gender distribution in these new appointments, and (d) the status of resources (for faculty and staff positions, instructional lab equipment, and graduate student space enhancements) committed through the accelerated planning process during AugustJSeptember 2005.

Page 14 of 16

l3e University of Western Ontario -- Planning for 2006-07: Guidelines for the Faculties September 30,2005

E. Universitv-Wide Planninp Policies and Issues

In preparing for the final year of the 4-year plan, Deans should take into account the following University-wide planning policies/issues.

1. First-vear Intake and Enrolment Plan

Western's current Senate-approved enrolment plan calls for first-year undergraduate intake at the Constituent University to be 4,350 for 2006-07 and beyond. Entrance requirements will be set at a common (minimum) level for all first-entry undergraduate programs; requirements may be higher for some limited-enrolment programs.

2. Firstyear Course Guarantee

The policy of guaranteeing courses to first-year students has made a tremendous contribution to Western's recruitment efforts and to the early academic experience of our students. The commitment and cooperation of the Faculties to this policy have been outstanding. This guarantee will continue as an established feature of Western's first-year programs.

3. Tuition Revenue-Sharing

The policy introduced in 200 1-02 for the sharing of tuition revenues will apply for 2006-07 - if government removes the tuition freeze after 2005-06. That is, the Provost will consider recommending that, for high tuition programs, 65% of incremental tuition revenue - net of the set-aside for student aid -will be directed at the students' Faculty of registration, reflecting a recognition of provincial and national competitive factors and of the students' expectation to see concrete evidence of the educational benefits of their increased investments.

4. Turnover Recover?, Polig

The Faculty Turnover Recovery Policy, introduced in 2001-02, will continue into the future. The policy allows for faculty renewallreplacement by returning the greater of 60% of the retiree's salary plus benefits or $63,000 plus benefits for turnover in 2005-06 to the Faculty budget.

5. Canada Foundation for Innovation (CFI) and the Ontario Research Fund (ORF)

The University has made a central fiscal commitment of a total of $10 Million to provide the necessary matching funds for the support of proposals from Western's researchers that are successful in CFI and O W competitions. Deans are asked to ensure that participation in the CFI and the O W is given high priority within the Faculties and departments.

Page 15 of 16


It should be noted that the Vice-President (Research) should be consulted at the very early stages of preparing CFVORF proposals - in particular, regarding matching h d s and spacelfacilities requirements.

The University's Information Technology i&astructure (e.g. networks, email, web support, wireless technology, instructional technology applications, general university computer labs, central storage, desktop support, and administrative database systems) is supported by ITS and WISG. In order to better plan for and support the IT infrastructure of the University community, Deans are asked to identify specific IT-related infrastructure needs that will enhance the teaching and research environments within the Faculties and Departments. Comment and advice regarding IT policy and practice is also invited. The collection of Deans' responses will be used to guide central IT planning and priority setting within ITS and WISG.

7. Health andsafety

The University Health and Safety Committee has recommended that workplace safety be addressed through the University's planning process. In addition to specific safety issues that units need to address, all units are asked to continue to deal with the issue of corridor use for storage. The Ontario Fire Code states that corridors must be kept free of obstructions at all times. Units are therefore asked to address all unit-specific health and safety issues and work towards eliminating the use of corridors as extensions of offices, laboratories, or storage rooms.

F. Conclusion

The multi-year planning approach - both at the University-level and the Faculty-level - has served Western well. This planning model has allowed for systematic investment in areas of strength and priority during a challenging and critical period in the University's history. As we look forward to the next 5 years, we must recognize that the Provincial Government's recently-announced commitment of substantial resources to Ontario's universities carries with it a special obligation to continue our planning in a selective, transparent, and accountable fashion.

As we begin this planning cycle, with the Faculties developing renewed Academic Plans and the University updating its Strategic Plan, the resources available to us represent an unprecedented opportunity to pursue our academic aspirations and the associated operational priorities.

Please submit 10 Copies of your Planning Document to Ruban Chelladurai - one week prior to your Planning Meeting Date

Page 16 of 16



Report of the Academic Colleague

277" Meeting of the Council of Ontario Universities

October 21,2005

Of the various issues discussed at the October meeting of the Council, four were highlighted: operating grants; tuition fees; graduate enrolment growth; and accountability. At the time of the meeting, the government had still not made its final operating grant disbursements for 2005-06, and some university presidents expressed concern about the potential for differential allocations amongst universities. The envelope of funding that remained unallocated, called the Quality Insurance Fund, was to address unfunded BIU's as well as other priorities defined by universities. It appears the Ministry of Training, Colleges and Universities is looking to the Quality Insurance Fund to provide communication opportunities, ministerial announcements and the like, because it is asking universities to provide "stories" in support of their submissions to the fund. The government has made an investment in post- secondary education, and clearly it wants to be able to demonstrate the value of that commitment.

Earlier this fall, Premier McGuinty confirmed publicly that tuition fees will increase in 2006-07, and the COU has joined student groups and other stakeholders in discussions with the Ministry. Tuition fee increases will almost certainly be regulated. Minister Bentley had noted in these discussions that accountability, transparency, and access for social assistance recipients are key issues. The COU is embarking on an advertising campaign to raise awareness of expected tuition fee increases and to underscore the value of a university education. A few Academic Colleagues balked at a quotation headlining one of the draft ads: "Looking back, I'd have to say that my university education was priceless." Mastercard has indeed had an impact. The ads are scheduled to run in newspapers in November.

Council also discussed Graduate Enrolment Growth planning, a topic that will no doubt gain significance as the year progresses. As it stands, the proposals of Ontario universities for graduate expansion outstrip the funding available, and so the Ministry is considering various options for the selective allocation of funds. Regarding accountability, it is worth mentioning that the Ministry is working to set up the Higher Education Quality Council, the role of which will be to establish enrolment and quality improvement targets. All Ontario universities have agreed to participate in the 2006 National Survey on Student Engagement, which the government appears to accept as an important accountability initiative. Members of Council discussed the importance of change in the context of accountability, and one university president offered the following pithy observation: shift happens.

Council received a report from the Ontario Council of University Libraries that demonstrated the efficacy of Scholars Portal. Use of Scholars Portal has grown considerably and OCUL is supplying the service with ever greater functionality. Scholars Portal is available through Western Libraries: htt~://scholars~ortal.info/. Council also discussed a paper prepared by Academic Colleagues Patrick Oosthuizen (Queens), Linda McKay (Windsor), and Bob Sharpe (Wilfrid Laurier) entitled "The Problems Faced by Academics at Various Stages of Their Careers - The Need for Active Institutional Involvement." In short, professors beginning their careers are generally reasonably well supported, whereas the distinctive needs of mid- or late-career professors are generally less well understood.


Implementing Western's Strategic Research Plan

(2004-2005 Report to Senate)

APPENDlX Vll Annex 6

Prepared by: Ted Hewitt, Vice-President (Research & International Relations)

Introduction Western's Strategic Research Plan was approved by Senate in the fall of 2003. The broad objectives of the Plan are summarized as follows:

To identify areas of existing and potential research strength at Western; To provide direction to facilitate the development of infrastructure required to promote excellence within our principal areas of research strength-including institutional mechanisms, programs and practices to assist the recruitment, training and retention of highly qualified personnel at Western-and the promotion of opportunities for faculty members to transfer the benefits of research to Canadians through commercialization of invention; To identify the specific strategies for determining how resources will be selectively applied to support development of the University's existing and future areas of research strength through encouragement of collaborative research models and cultivation of broader research partnerships in London and southwestern Ontario, the province, the nation and internationally.

During 2004-2005, the Office of the Vice-President (Research & International Relations), through Research Western, has undertaken to pursue these goals through implementation of a range of specific recommendations contained in the plan. In this report, we provide highlights of our progress in each of main areas outlined in the plan: 1) supporting excellence in research; 2) attracting and retaining highly qualified personnel; 3) supporting interdisciplinarity; 4) ensuring effective use of the Canada Research Chair program; 5) enhancing opportunities for graduate-level and post-doctoral graduate training; 6 ) encouraging excellence by expanding opportunities for interactions with industry and commercialization; 7) developing strategies to support Western's areas of research strength; 8) building the collaborative model; 9) establishing key partnerships for research; and 10) measuring and promoting our success. As an Appendix, we also provide a summary chart indicating progress in implementing each of the 58 recommendations contained in the Strategic Research Plan between September 2004 and 2005. (Please note: progress in implementing recommendations in the Plan related to International Research are presented separately in "Implementing Western's Strategic Plan for Internationalization, 2004-2005 Report to Senate.)

Supporting Excellence in Research Staff within Research Western continue to work closely on an ongoing basis with research administrators in the Faculties and associated administrative units in support of recommendations promoting research excellence at the University. For example, we work to promote awareness on campus of key recruitment tools and funding opportunities (such as the Canada Foundation for Innovation Leaders Opportunity Fund), assist with management and development of core research platforms and facilities (such as Sharcnet and the Innovarium), and with Research Accounting, provide effective management and oversight of research accounts. Internally, we have continued to review and modify our organizational structure to provide researchers with support in the development of winning research proposals to key competitions. While continuing to provide strong support to the major federal and provincial infkastructure funding competitions such as

the Canada Foundation for Innovation and Ontario Research Fund-where we have achieved considerable success (see Charts 1 and 2)-over the past year, we have moved strategically to leverage this accumulated experience and direct it towards improving grant application outcomes in the Tri-Council area. This past year we targeted our efforts on two fronts: i) enhancing rates of application across the University to previously underutilized Tri-Council programs (e.g. strategic funding opportunities); and ii) enhancing rates of application to Tri-Council programs within selected Faculties across campus. Staffing additions have been crucial to this process. To achieve these ends, we have added two Project Consultants to the Research Western team, one responsible for the SSHRC area, and the other for NSERC.

Chart 1: Canada Foundation for Innovation Awards, 199&2004*

rn CFI Aw ards CRCCn Allocation

TORONTO British Colurbia

Montreal McGill

Alberta Lava1

VESTERN Calgary

MCMASTER OTTAWA

WATERLOO CA RLETON

Saskatchewan G U a W

QUEENS Total amount awarded to all Victoria institutions: $2,210 nillion

Manitoba Inst. Nat. Res. Sci.

Dalhousie Sherbrooke

$0 $50 $1 00 $1 50 $200 $250 $300

Millions of Dollars

* Source: University of Toronto 'Overview of Research', April, 2005

No action has been taken as yet on the recommendation to review the University's existing ~acult~/De~artmental structure. Rather, this item will be referred to the University's Strategic Planning Task Force this fall.

Attracting and Retaining Highly Qualified Personnel Through review of the Faculties' academic plans and direct participation in the annual budget process, the Vice-President (Research & International Relations) takes an active role in promoting high standards for recruitment in line with the priorities laid out in the Strategic Research Plan. Research Western has also actively engaged with leadership in Faculties, Departments and Schools to ensure that federal and provincial funding programs are used effectively as recruitment tools in an increasingly competitive hiring environment. This function is also undertaken through coordinated reviews of

applications to major programs undertaken by the University's Core Planning Group, which consists of Deans and Associate Deans from Western's research infrastructure- intensive Faculties. To help recognize and celebrate the scholarly achievements of faculty at Western both internally and beyond the University, two new awards were established this past year: the Distinguished University Professorships, and the Faculty Scholars program. The first competitions for both these awards were held in June of 2005.

Chart 2: Ontario Government Research Infrastructure Programs, 1997-2004*

orr a ORDCF rn PREA

40.5%

Total amount awarded to all institutions: $1,373 million

Rest of Ontario

* Source: University of Toronto 'Overview of Research', April, 2005

We have begun work with the Faculties to promote greater use of the Research Mentor website and to develop local mentorship capacity through the establishment of Faculty review panels. Some limited support has also been provided to promote development opportunities for faculty, particularly in emerging areas of strength, through sponsorship of workshops and seminars leading to the development of project proposals.

Supporting Interdisciplinarity Given its importance to the development of effective research programs and the stated priorities of federal and provincial h d i n g agencies, identification of, and support for interdisciplinary research networks at Western has remained a priority within Research Western. Opportunities for interdisciplinarity are promoted at two levels; first through the proposal development process, as consultants interact with prospective applicants to major h d i n g programs, and second in the ongoing review of applications to such programs undertaken through the University's Core Planning Group. Frequently, as a result of this review, applicants are asked to review and revise proposals in collaboration with researchers located in other parts of campus and or at other institutions. In addition,

the Core Planning G-roup helps to ensure that equipment or space to be acquired with external funds can be utilized by the largest possible number of investigators.

Ensuring Effective Use of the Canada Research Chairs Program As a member of the University's Canada Research Chair Steering Committee, the Vice- President (Research & International Relations) ensures that all CRC appointments at Western are made in areas of priority research strength as stated in the Plan. The outcome of this process is presented in periodic reports to the Canada Research Chairs Secretariat available on both the CRC and Research Western websites. This past year, policy and procedures for the renewal of CRCs at Western were developed by the Steering Committee and circulated to the Faculties.

Enhancing Opportunities for Graduate-Level and Post-Doctoral Graduate Training New initiatives and funding models developed at Western this year have helped Western's Faculties and Departments to both recruit and effectively support graduate students and graduate research at Western. These include:

Enhanced funding provided by the University this year to Faculties undertaking expansion of their graduate programs Development of a new funding model in Graduate Studies to provide greater flexibility in how graduate student funding is applied Development of a pilot Graduate Student Thesis Research Fund to provide support for costs related to laboratory, field, archival or other types of research undertaken as part of the student's thesis requirements

With assistance from staff in Human Resources, much has been accomplished this year as well to enhance recognition and support for postdoctoral fellows at Western. Initiatives developed and implemented in cooperation with the newly-formed Postdoctoral Association at Western (PAW) over the past year include:

establishment of a single point of contact for enquiries regarding postdoctoral fellows in the Office of the Vice-President (Research and International Relations) review and revision of materials sent to prospective postdoctoral fellows at Western issuing of new identity cards clearly identifying postdoctoral status along with negotiation with service units (Western Libraries, Physical Plant, Staff Health Services, etc.) to ensure that postdoctoral fellows are recognized properly and accorded access status similar to faculty and staff at Western development of a University-wide mechanism to ensure that postdoctoral fellows are properly accounted for and tracked within the Hurnan Resources system

Encouraging Excellence by Expanding Opportunities for Interactions with Industry and Commercialization In support of recommendations related to commercialization at Western, a range of structural changes were undertaken in the Industry Liaison unit over the past twelve months. The first was transfer of the unit's contract research management function to

Research Development Services, in accordance with recommendations received in the 2003 operational review commissioned by Nils Petersen. This has allowed the IL unit to focus exclusively on its core business-licensing of Western-based technologies and formation of startup companies. The second development was the hiring of Dr. Alex Navarre as our new Director of Technology Transfer. Dr. Navane came to us following a very successful term at McGill University. Thirdly, in order to enhance community visibility and accessibility and accommodate future growth, the Industry Liaison offices were moved this past summer to the Mogenson Building in the Research Park. The effects of both the restructuring and Dr. Navane's leadership are already evident in a number of respects (see also Chart 3):

The number of invention disclosures for 2004-2005 increased to 43 fiom 30 the year previous The $500,000 licensing income target for 2004-2005 was exceeded In order to build critical mass in terms of support personnel, share resources, and more effectively market new technologies, the Industry Liaison unit at Western has aligned with its counterparts at Waterloo, Guelph, and McMaster to form a new consortium (known as the "C4" group). To date, the consortium has attracted over $2M in new funding to expand activities in technology transfer across the region The $250,000 Western Innovation Fund, established by the University in 2004 to support development of promising technologies and services is now operational and a total of eight awards have been made; the program is gaining broad appeal-two of the nine applications to the most recent round were fiom the social sciences and humanities (one was funded)

Chart 3: Selected Technolow Transfer Indicators

2000-2001 2001-2002 2002-2003 2003-2004 2004-2005

iBZ4 Reports of Invention Active Patents Licensing Income

New policies on Intellectual Property for Administrative Staff and for Students, respectively, have been drafted; these are currently under review by Legal Counsel and will be forwarded for approval this fall

As mentioned above, Contract Research is now supported through Research Development Services. With a total of three individuals now assigned to this area, Research Western is now in a position to act proactively able to act proactively in

assisting faculty to develop collaborative research projects with both private and public sector partners. We have moved as well to improve mechanisms of communication with prospective industrial partners locally through development of a new Industry Access webpage to be launched this fall.

Developing Strategies to Support Western's Areas of Research Strength This past year, we have been able to greatly expand the sources of internal funding available to researchers at Western, thus helping to provide: 1) enhanced start-up h d i n g for new faculty; 2) support for faculty in disciplines with more restricted access to external sources of funding; 3) a platform for research development to help ensure future success in external funding programs. Initiatives on this fiont this year include:

Expansion of the Academic Development Fund fiom $lM to $ISM the establishment of the $250,000 Western Innovation Fund, as described above Continued effective use of the $250,000 Social Sciences, Humanities, and Arts fund, including expansion of the SSHRC 4a fund (for Standard Grant applications deemed "fundable" but not funded by the agency) fiom $50,000 to $1 00,000 to accommodate the growing number of projects falling into this category, and increased investments in special projects such as new research groups and centres Discretionary allocations of nearly $100,000 fiom the Office of the Vice- President (Research & International Relations) to support over two dozen international conferences, held either at Western, or outside the University where Western plays a key organizing role

Building the Collaborative Model Through organizational changes and staffing additions (described above), Research Western is now in a position to support collaborative proposal development in a range of federally and provincially funded research programs. This work is further supported by the proposal development/review process itself, including the role of the Core Planning Group, and by the CRC selection and renewal process, all of which encourage the development of collaborative research and team formation wherever possible. These efforts complement those undertaken within the Faculties to identify and support research groups in key areas of strength, which in turn has led to significant success in programs such as the Canada Foundation for Innovation. Examples of successfil team efforts include the Biotron, the Innovarium, the Three Little Pigs Project, and the Statscan Research Data Facility. During the past year, development and support for more formal research groupslunit, centres and institutes has been facilitated by:

Ongoing and stringent review of all collaborative research entities on campus in accordance with MAPP 7.9 Selective finding provided to assist start-up of new centres and institutes, especially in the arts, humanities and social sciences; examples are the Health Policy Initiative, and the Bioethics Research Group Matching funding for seminars, workshops and conferences

Establishing Key Partnerships for Research A number of steps were taken this year to further cement the University's relationships with key partners in the London region and beyond. These can be summarized as follows:

The Affiliation Agreement with the London Hospitals (which includes a Research Addendum) was signed last year Work has begun on an affiliation agreement with the NRC's Integrated Manufacturing Technologies Institute We have worked to build bridges with the local and regional communities on economic development through our Research Parks located in both London and Sarnia Key events involving community partners were held this past year including a reception held in collaboration with the London Public Library to announce Nils Petersen's departure and Alex Navarre's arrival, and an event to announce o w $lM partnership with General Dynamics to explore the development of new materials for light armowed vehicles. The Vice-President (Research and International Relations) participates actively on a number of community organizations including: The "Bright Sky" committee organized by the City of London; The Community Development Corporation in Sarnia; London Tech Alliance; The Business Relations Committee of the London Chamber of Commerce; The London Life Sciences Advisory Board; The London Economic Development Corporation; The Robarts Scientific Advisory Committee; The Lawson Health Research Institute Board The Vice-President (Research and International Relations) interacts on a regular basis with the Presidents and senior officials within the Tri-Council, CFI, and other federal agencies, and with senior administrators within the relevant Ontario ministries funding research

Measuring and Promoting our Success During this year, we have worked closely with the Director of Intergovernmental Relations to establish a core set of indicators around research. This consultation resulted in the identification of five core variables, now included in the set of benchmark indicators which was forwarded to the Senate and the Board of Governors this past fall. We will continue to assist in ensuring that data required for updating are available and accurate.

In addition, we have developed a fbller set of comparative indicators for University use (see Charts 4 to 6). Some of this material is now posted on the Research Western website; the balance will be posted this coming year as it is refined.

These data, which position Western favowably both provincially and nationally in recent years, play a critical role in helping Research Western focus on efforts in the research development area.

Chart 4: SSHRC Funding G-10 Rank and National Share (%I, 2001-2004

Chart 5: NSERC fund in^: G-10 Rank and National Share (%I, 2001-2004

Toronto

UBC

Alberta

McGlll

Waledoo

Laval

McMaster

Montreal

Queen's

Western

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Production of a series of template powerpoint presentations (in English, French, and Spanish) outlining research strengths at Western

To assist branding, we now require all recipients of discretionary funding to clearly acknowledge Research Western in any communications related to the event, activity, or project in question

Conclusion The University's Strategic Research Plan has provided a very useful guidepost for enhancing service to faculty at Western and in fiuther developing our collective research capacity. In this brief report, we have attempted to present a cross-section of initiatives which have produced a demonstrable impact within areas across the University and within the community more broadly.

As the report suggests, progress has been made in some areas more than others. Clearly, much remains to be done. However, with our strategic focus h l y in place and much of our internal restructuring behind us, Research Western is better positioned than ever to do its part in helping to fulfill Western's aspiriations as a research-intensive University.

Appendix: Status of SRP Recommendations, September 15,2005

I Recommendations:

Supporting Excellence in Research Ensuring that excellence in research is maintained by actively monitoring and promoting the success and effectiveness of Faculty and Departmental research programs and support structures:

Encouraging collaboration within and across Faculties and Departments and with the Offices of the Vice-President (Research) to create the best environment for research and support for existing and emerging areas of research strength:

Establishing a review committee with broad representation across campus to re- examine the structure and benefits of the existing Faculty/Departmental structure at Western, and to make concrete recommendations for adapting this structure to meet the current and future needs of researchers within the context of this Strategic Plan:

Working to support functionality, access, and expansion of our current network of core research facilities and platform technologies such as the Library system, the London Regional Innovarium, SHARCNET, Surface Science Western, the Ontario- Wide Protein Identification Facility, and the Centre for Brian and Mind, to promote and enhance our research capacity in key areas of strength:

Adapting the organizational structure of Research Western to ensure optimal performance in support of researchers and research programs:

Establishing effective links between Research Western and other critical units, such as Research Accounting, and Purchasing, in order to streamline and improve services to researchers

d

d

d

d

d

d

( Recommendations:

Attracting and Retaining Highly Qualified Personnel Encourage appointment committees to recruit the very best researchers and to align their recruitment with University research priorities as detailed in this Plan, while at the same time promoting opportunities for women and designated groups

Maintain high standards for recruitment, promotion, and granting of tenure for faculty members I I I Make optimal use of federal and provincial programs such as CFI, CRC, OIT, ORDCF and PREA to attract and retain the very best researchers in areas of research focus and strength Expand the mentoring of new faculty members by experienced faculty -

Recognize outstanding faculty members through the establishment of specialized awards and enhancing public recognition and celebration of their achievements

Communicate and support development opportunities for faculty members, especially where these support emerging areas of research strength

I Ident iwg new opportunities for interdisciplinary research networks 4

Supporting Interdisciplinarity ' , '

Supporting interdisciplinary and inter-Faculty research in new faculty recruitment and retention decisions, and link such decisions to infrastructure planning strategies

Supporting and promoting the SFRI appointees as a means of enhancing interdisciplinary research in key areas n.a.

I Recommendations:

Enhancing Opportunities for Graduate-Level and Post-Doctoral Graduate Training:

Ensuring Effective Use of the Canada Research Chair program

Increase enrolment in existing graduate programs with identifiable capacity, quality and demand

Continue to ensure that new CRC appointments are made in areas of priority research strength

Work with Deans of the relevant Faculties to ensure that the number of women appointed to Canada Research Chair positions within each of the CIHR, SSHRC, and NSERC areas is proportionate to their representation on faculty

Ensure that CRC positions are renewed as appropriate upon retirement or relocation of incumbents

Develop new graduate programs in areas of research strength, with special emphasis on PhD degrees and programs in interdisciplinary

Expand the number of post-doctoral fellows at Western in all disciplines, but especially in the Social Sciences and Humanities

Maintain competitive financial support for post-doctoral and graduate students, including guaranteed minimum support for Doctoral Students

d

d

d

Clearly recognize and acknowledge the contribution of graduate students and postdoctoral fellows to research at Western d

Recommendations:

Encouraging Excellence by Expanding Opportunities for Interaction with Industry Be proactive in seeking industryluniversity research collaboration opportunities Promote the application of research at Western to economiclsocial needs in the local community and well beyond while protecting academic fieedom and the integrity of the research process

Increase the number of invention disclosures to reach levels comparable to other research-intensive universities in Canada.

Actively seek external fimding to support technology transfer and commercialization activities undertaken by faculty members at Western

Establish clear and transparent policies and procedures for faculty and institutional interactions with industry, including clear descriptions of intellectual property ownership, overhead and royalty expectations and partnership agreements

Work to develop a clear policy on conflict of interest for faculty, students, and staff who are working with existing companies or moving to develop their own start-up companies Seek closer working relationships between the University and technology transfer offices at the affiliated biomedical institutions at which many of our faculty members are located Celebrate the contributions of Western researchers to technology transfer Support and nurture the growth of faculty-based start-up companies based at Western Harmonize intellectual property policies for faculty, students, and staff at Western

Not started

and

In Progress

Completed/ Ongoing

Commercialization

4

4

4

4

4

.(

4

4

4 4

Recommendations:

Building the Collaborative Model Encouraging the continued selective allocation of resources to Faculties and Departments so as to encourage and promote the development of key collaborative research strengths Ensuring adequate funding and staf'fing to assist faculty members and teams with collaborative proposal development and management in both the established inhtructure programs, and in the new collaborative funding programs offered through the federal granting agencies

Developing Strategies to Support Western's Areas of Research Strength

Ensuring that funding and administrative and technical support are in place to support research groups and ensuring that interdisciplinary research groups, centres and institutes are actively contributing to the mission of the University

Not started

Provide research start-up funding for faculty members in a manner compatible with existing faculty-University agreements

Provide research support for faculty members in areas of importance to Western especially in areas less likely to attract targeted funding from external sources

Assist faculty members in identifying funding opportunities through existing and potential new sources

Create opportunities for public recognition and celebration of the research achievements of faculty members both internally and beyond the University

Working towards the renewal of the CFI Central Fund, to provide continued leverage for large scale projects

4

4

4

4

In Progress

Completed/ Ongoing

Building the Collaborative Model (cont.) Engaging the Faculties more l l l y in the project development enterprise t Recommendations: Not

started

Encouraging all Faculties to participate actively in the project development and application process to CFI, OIT, ORDCF, PREA, NSERC, the NCEs and OCEs, and the new collaborative research grant initiatives within SSHRC

4

Expanding the service/support model in place within Research Western, for example through the establishment of specialized project consultants with expertise in CIDA, CIHR, IDRC, NSERC, and SSHRC and other funding programs

Monitoring developments at the Federal and Provincial levels, and with other non- governmental and private sources, ensuring that the University is able to take full and early advantage of new and emerging opportunities for funding

In Progress

4

4

Establishing Key Partnerships for Research

Completed1 Ongoing

Review and strengthen agreements between the University and its affiliated research institutions and continue to encourage collaborations across institutions and with the community generally

Strengthen the communication between the University and local government, non- governmental organizations, and the private sector

Encourage activities that bring leaders in government, the private sector, and members of the local community onto the campus for research-related events and announcements Establish closer working relationships with local, provincial, and national economic development bodies

4

4

4

4

Provide support for and promote use of regional facilities involving Western's and its affiliated research institutions

Recommendations:

Work closely with Alumni Relations and Development to consolidate community and private sector links and to secure funding as necessary to support the acquisition of critical hhstructure and operating funding

Extending our Reach by Building International Linkages [See 2004 Report to Senate on the Strategic plan for Internat2onalizat2on]

Not started

Measuring and Promoting Our Success Provide better and more up-to-date reporting and analysis of our research awards and I I 7

In Progress

receipts and make these available to the entire University community I I I

Completed/ Ongoing

efforts, and of benefits generated by the patenting and licensing of invention I I 1 ' ' I I I

Seek ways to better understand and quantifl the contribution of research to the economic, social, and cultural development of the local region, the province, and the country Work with Communications and Public Relations to develop a quantitative and

Provide more complete accounting of disclosures of invention resulting from research I

qualitative database of our research accomplishments through or other activities Publish the RW newsletter Leading. Thinking. at least twice yearly, and update promotional materials at least once yearly

I

L

Develop presentations emphasizing the contribution of our research to the benefit of society (through commercialization or other means) in specific areas



Implementing Western's Strategic Plan for Internationalization

2004-2005 Report to Senate (September 2005)

Prepared by: Ted Hewitt, Vice President (Research & International Relations)

Roma Harris, Vice-Provost (Academic Programs and Students)

Implementing Western's Strategic Plaa for Internationalization 2004-2005 Report to Senate

(September 2005)

Introduction Western's Strategic Plan for Internationalization (SPI), approved by Senate in January 2003, contains a number of recommendations directed toward expanding and promoting intemational activities in teaching and research at the University. In accordance with the Plan, responsibility for executing these recommendations rests jointly with the Office of the Vice-President (Research & International Relations) and the Office of the Vice-Provost (Academic Programs and Students). These same offices are also mandated to report annually on progress in implementing the plan.

In fulfillment of this requirement, we present a brief overview highlighting some of the main accomplishments and challenges associated with implementing key areas of the Plan this past year. As an Appendix, we also provide a summary chart indicating general progress in implementing each of the 45 recommendations contained in the SPI during the 2004-2005 academic year. As the chart reveals, virtually all recommendations have been acted upon, with a large number now incorporated into the day-to-day activity of the units responsible for implementation.

Highlights of SPI Implementation for 2003-2004 1) Research Western's newly hired International Research Consultant has provided enhanced support for the development and funding of international research projects at Western this past year in a number of respects. These include:

Identification of faculty at Western working on international projects in specific geographic areas and the establishment of a searchable database available to the community through the Research Western website; the database has allowed researchers to directly contact others working in their areas to prospectively establish research teams, has allowed Research Western to identify and take advantage of available joint international development and research opportunities in a pro-active manner, and has enhanced our ability overall to respond appropriately and promptly to requests for information by various agencies Hands-on assistance with proposal development for a number of targeted external fimding opportunities, including the France-Canada Research Awards, CIDA, DFAIT, AUCC, EU, IDRC and international h d i n g opportunities offered through NSERC and CIHR Assistance with proposal development for applications to the University's International Research Fund

In these efforts, the International Project Consultant is strongly supported by the Manager, Resbarch Development, and the other members of Research Development &-Services team, who collectively possess a great deal of expertise in an array of h d i n g programs, many of which support international research. Such collaboration will be especially important in the coming year, as the Federal government is expected to roll out new h d i n g programs worth $20M over five years supporting collaborative research in science and technology with "emerging

1

economies" including India, China, Brazil, and Russia. Given its current focus on India, and the Consultant's efforts this year to firmly establish the quality of research strength in key geographic areas (most recently, China), Western is arguably well placed to compete for funding fiom these programs. The team will also play a critical role in assisting faculty in accessing the increasing array of international research funding programs offered through the Tri-Council, such as the CMR International Opportunity Program, NSERC's Strategic Research Opportunity b d , and the new SSHRC International Research envelope.

The importance of international research on campus has been further underscored this past year as well with the establishment of the new Vice-President (Research & International Relations) portfolio. This move is in line with similar changes at other research-intensive universities in Canada, and provides a strong signal of Western's intentions with respect to its international role. On a more pragmatic note, it has facilitated allocation of targeted discretionary funding to support international research, through for example, support for international conferences, and international travel to establish new research partnerships. It has also directly facilitated recent efforts to better coordinate international activities across campus within the research, educational, and development areas.

Several recommendations related to research call for the establishment and support of a limited number of key partnerships and project areas. A good deal of progress has been made this year on this fiont. While Research Western continues to support research undertaken by faculty in a number of areas around the world (whether on an individual basis or in team format), we are beginning to focus effectively in a handful of areas.

Following up upon an initiative led by the G-10 Universities in 2004, Western-led by the Faculty of Engineering-has established very solid links with institutions in India, notably the Indian Institute of Technology Kanpur, and the Indian Institute of Technology Roorkee; while the primary focus has been on science and engineering (especially in areas such as electrical engineering, chemical reactor engineering, and disaster management), interaction has also occurred in the humanities and social sciences (gender studies, literature, social movement activity, and economic development). During 2004-2005, Western welcomed at least four visitors fiom IIT Kanpur and Roorkee, including both graduate students and faculty. One faculty member fiom Western has so far visited IIT Roorkee. Additional visits are planned for 2005-2006. Another emerging area of focus involves links with universities in Grenoble France, particularly UniversitB Joseph Fourier; to date, interactions have focused on disaster management and cognitive neuroscience, respectively; in the spring of 2005, a delegation from the Faculty of Social Science and the Schulich School of Medicine & Dentistry met with colleagues at the Institut de la Communication ParlCe and other academic units in Grenoble, with a return visit to Western planned for the fall of 2005; this venture is strongly supported (including financially) by the Embassy of France in Ottawa. Led by the Faculty of Engineering, Western has established strong links with the University of Zacatecas in central Mexico; in recent years, the two universities have regularly exchanged both graduate students and faculty, and in the spring of 2005 established the Canada-Mexico Institute for Advanced Studies, which will focus on research in the environmental and alternative energy fields; the Institute will be the first of its kind for the two countries and, with the aid of the Faculty of Graduate Studies, is expected to attract b d i n g fiom CONACYT, NSERC, the International Development

Research Centre and the State Government of Zacatecas; this year, these links will be expanded as well to include the University of Guanajuato in neighbouring Guanajuato state, where a project in ecological health is under development within the Schulich School of Medicine & Dentistry and the Faculty of Science.

Efforts this past year to communicate our successes in these areas and to promote international research generally at Western have been stepped up this year with the assistance of our Research Communications Coordinator. Several stories focusing on international research at Western have been placed both internally (Western News) and externally. This past year, Research Western published one of its two annual newsletters with international research as the primary focus. This publication is circulated widely in Canada to politicians, senior bureaucrats, fbnding agency administrators and other opinion leaders. Once again this year, events profiling international research at Western were held on campus, often involving visitors from abroad. These included:

Ukraine Orange Revolution Day, attended by Ukraine's Consul-General in Toronto Iraq Day, involving presentations by visiting faculty members from Salahadin University in Northern Iraq Afiica Day, where faculty at Western presented six projects that are located in several countries of Sub Sahara Africa; collaborators from Makerere University in Uganda attended this half day event. Baden-Wiirtemburg Day, a half day exchange at which researchers from both Western and several universities in Germany presented information on current research projects

Some limited progress has been made in enhancing recognition of and appreciation for international research on campus generally. Last year, a subcommittee of the International Research Advisory Committee undertook to review existing documentation and practices associated with performance appraisal and promotion and tenure at Western. A high degree of variability was discovered in terms of the value of the contribution to international work in these areas accorded by colleagues. The subcommittee met jointly with representatives from both UWOFA and the senior administration of the University to see what might be done to enhance recognition of international work through the inclusion of more supportive language with in the collective agreement or other means. This dialogue remains ongoing. Faculty have also expressed concern about the amount of time and effort required to establish and maintain international collaborations and cite this as a contributing factor to a relatively low and sometimes even passive response to international oppo&ities. The ~nternational Project Consultant has been providing logistical and coordination support to faculty members in order to address this issue.

2) Internationalizing Teaching and Learning Graduate Studies The University has committed itself to significantly increasing the number of graduate students on campus by 2010, and to double the number of Ph.D students. There is no doubt, however, that many of these new students will be drawn from universities outside Canada, thus increasing our overall international enrolment. Active recruitment of graduate students, led by the Faculty of Engineering, already has been undertaken in a number of countries, including India, Kuwait, Mexico and the United Arab Emirates.

Two developments announced this past year will assist greatly in the recruitment of international graduate students. One is the increase in base funding provided to Faculties this year tied to concomitant increases in graduate enrolment. The second is the revised funding graduate student h d i n g formula introduced by the Faculty of Graduate Studies. Both measures will provide the flexibility and resources required to grow the cohort of international graduate students on campus.

To support international graduate students on campus, FGS and the Teaching Support Centre have jointly sponsored successful International TA days, in which prospective international TAs are provided orientation information and guidance on relevant campus resources and best practices. As well, the Faculty of Graduate Studies has added the position of Coordinator, Graduate Student Recruitment and Retention (CGSRR). With this position, FGS now has the human resources to undertake a number of projects relating to the recruitment and retention of international graduate students. Over the past year, the CGSRR has worked closely with ISS, the SDC, and the Teaching Support Centre to ensure that the specific needs of international graduate students are being addressed. Further, the CGSRR has been working with the undergraduate international recruitment office to coordinate and maximize international recruitment efforts and to run international student focus groups that help to inform both offices of the needs, expectations, and experiences of international students.

Academic Year

Full-time Constituent International Students : 1998-1999 to 2004-05

The CGSRR has also coordinated the first ever graduate student orientation event that has a specific session geared to helping international graduate students adjust to Canadian culture and the Canadian academic system.

With specific emphasis on recruitment, FGS has established a pilot project/partnership between the Engineering and Computer Science graduate programs and the Culture Works English Language training program. This partnership will allow academically eligible students interested in pursuing a graduate degree in engineering or computer science at Western the opportunity to receive a conditional offer of admission to graduate studies without completion of TOEFL. The

4

condition is that the student must, in lieu of TOEFL, successfully complete the CultureWorks English language training program.

CultureWorks, in consultation with the Faculty of Engineering and the Faculty of Graduate Studies, has designed a specialized curriculum that will meet the particular needs of graduate students, ensuring that they are prepared with adequate language skills for their graduate education. Based on the prospective student's current level of ability the program will take 3,6, 9, or 12 months to complete. Upon graduation from CultureWorks, the condition will have been fulfilled, and the student will be permitted to begin hisiher regular graduate program at Western.

This partnership has been established in response to a request fiom the Saudi Cultural Bureau specifically relating to their Distinguished Saudi Scholars program, and has resulted in a strong relationship between FGS and the SCB. This project will bring in numerous fully-fimded Saudi scholars. However, the program will also be available to other interested international students.

Undergraduate Studies Student exchanges are an important element in the University's internationalization strategy. Over the past five years, the Student Exchange Ofice in the Office of the Registrar has seen steady growth in the number of "outgoing" and "incoming" students who are participating in exchanges (currently at approximately 350 per year). To continue to expand the exchange program, establishing and maintaining strong relationships with partner institutions is essential. A significant hurdle presently is the lack of sufficient spaces available for Western students who wish to study abroad. In 200415 we were able to place only 53 percent of the students who applied to participate in exchanges. Our Exchange Office is continuing its efforts to develop new exchanges and to position Western as an attractive destination for incoming students fiom other universities around the world. In addition, through an allocation of $50,000 in the 2005-2006 budget, we are now able to provide limited bursary support to students who have been unable in the past to take part in an exchange because of financial hardship.

This past year, efforts to enhance international course content at Western received a boost with the introduction of the Course Internationalization Fund. With support fiom Research Western, the first competition was held in winter of 2005, with six proposals totaling $30,000 funded. Unique in Canada, the fund offers support to instructors, on a competitive basis, to collect and incorporate international material into their existing courses. It is expected that the fimd will be expanded in 2005-2006 with another competition planned for winter 2006.

An important feature of incorporating international content into the curriculum is to encourage students to study abroad for part of their program of study. To achieve a meaningful level of participation in such programs it will be important for the academic units to support the value of such experiences and to show greater flexibility in accepting credit for courses taken in other institutions. In addition, because of the extra expenses students may have if they study elsewhere, it will be important to find additional sources of financial support to assist those who may not otherwise be able to participate.

International Student Recruitment To attract undergraduate students of high quality, the Recruitment and Liaison service in the Office of the Registrar is directing more resources to present Western as an attractive destination for students with a broad range of programs and high academic standards. We have undertaken a

major revision of our web- and print-based recruitment materials and are working to build closer relationships with a few carefully chosen high schools in countries in which Western has or wishes to build academic relationships. In the past year, a newly appointed International Recruitment Officer attended several student recruitment fairs and conferences in the United States and Hong Kong. In the coming year, we will continue our efforts in Hong Kong and the United States and initiate new recruitment efforts in China, India and the Middle East.

It is important to recognize that with the successful recruitment of international students comes an obligation to provide appropriate supports (personal, academic and financial) to ensure the success of these students. Presently, resources such as the Student Development Centre's Effective Writing Program are very heavily subscribed by international students. As more international students are recruited, proportionately more resources will need to be added to ensure their successful transition to Western that take account: cultural adjustment, orientation to life in Canada, academic success at a Canadian university, immigration and tax regulations, language and communication challenges, as well as support for accompanying family members, especially for graduate students. One step in this direction was the recent addition of a new Communications Coordinator position shared by the Centre for New Students and International Student Services in the Student Development Centre.

3) International Development The University has historically engaged in international development efforts, and with considerable impact. A good example is the leadership role it has undertaken on the CIDA- funded Violence Project in Costa Rica in collaboration with the University of Costa Rica. As in the area of research, however, we are beginning to focus increasingly on the support we provide to development projects, largely in concert with faculty interests, population needs and-as called for by the SPI-in alignment with international development agency priorities. This past year, the International Project Consultant assembled a portfolio of applications to CIDA for projects focusing on needs in Asia and Africa. One $ISM proposal, led by a team from the Schulich School of Medicine & Dentistry and the Faculty of Health Sciences, was successful. The project, focusing on the education and training of health care professionals in Rwanda, is now underway and is expected to assist local health educators in developing programs of direct support to the victims of the recent genocide. Another successful project was Western's application to the newly launched CIDA funded and AUCC managed Canada Corps Internship Program, where two Western student interns are spending up to 5 months with the Western Heads East Project in Mwanza, Tanzania, under supervision by Western faculty.

Since January 2005, a steering group with faculty representatives from Engineering, the Schulich School of Medicine & Dentistry, and the Faculty of Health Sciences was formed to work with representatives from the London community to help devise a long-term development assistance project for Sri Lanka. In order to assess local needs, a representative of the University was sent to Sri Lanka in April to meet with colleagues from the University of Colombo. Based upon the delegate's report, we have now agreed to collaborate with the School of Medicine at this institution to establish a Disaster Management Centre to provide disaster response training to medical and other personnel. Parallel linkages have been formed between the Western's Institute for Catastrophic Loss Reduction and the University of Moratuwa, and between community groups in London and the municipality of Ambalagoda, Sri Lanka. Prospective partners include in these ventures include CIDA, the City of London, the Federation of Canadian Municipalities, and the Canadian Auto Workers.

During 2004-2005, students were also actively involved in a number of development initiatives on campus. These include Rotaract, designed to support student rekgees, and aid projects in Thailand and Tanzania. Another example is the Western Heads East project, undertaken in association with the Lawson Health Research Institute, the National Institute for Medical Research in Tanzania, the Kivulini Women's Empowerment Organization in Tanzania and the Kenya Medical Research Institute in Kenya. A number of Western students, staff and faculty have become involved in this initiative established to assist development of community based AIDS management strategies in East Africa. Founded in the summer of 2004, Western's Engineers Without Borders engages students from across campus in projects with a direct impact on the lives of local communities. To date, the group has raised $12,000 in development assistance funding, delivered workshops to local high school students, and provided support for a master's student engaged in a water treatment project in Ghana.

Conclusion As suggested by the Strategic Plan, internationalization is a process whose successful implementation relies on the ongoing collaborative effort of faculty, staff, and students. Since the Strategic Plan for Internationalization was first introduced in 2003, a good deal of progress has been achieved in the implementation of its main recommendations. Yet, much work remains to be done if we are to assume a position alongside Canada's top internationally recognized institutions. While we must continue our work in each of the areas highlighted within the plan, it is equally important that we begin to act more strategically in pursuit of our goals in this area. First of all, it is important that as a University, we redouble our efforts to catalogue, coordinate, and sufficiently resource the various activities within the international realm which are currently pursued by a range of administrative and academic units across campus, including Research Western, the Registrar's Office, the Centre for New Students, Student Development Centre, Housing and Food Services and individual Faculties. In addition, we need to better measure our success in internationalization, through the development of meaningkl comparators against which we can benchmark our progress both over time and in comparison to peer institutions. Both of these efforts will constitute a central task for the Vice-President (Research & International Relations) and the Vice-Provost (Academic Programs and Students) this coming year.

Appendix: Status of SPI Recommendations, 15 September 2005

Recommendations Research

Help our researchers to develop innovative international projects which .build on their achievements in Canada by facilitating linkages with researchers at other institutions worldwide Help ensure that their work is well funded by making faculty aware of funding opportunities and by exploring new opportunities for fimding in conjunction with other administrative units Within the context of the Collective Agreement, to encourage Departments and Schools to create opportunities for international travel and research through the alternative workload mechanism or other means Within the context of the Collective Agreement, ensure that their international research is fully recognized, appreciated, and rewarded within the departmental performance evaluation process Actively promote the research accomplishments of faculty at home and abroad Conduct a thorough and comprehensive review of the Faculty Academic Plans to establish a database and base-line level of activity/success in current areas of international research strength at Western Establish a faculty advisory group to assist in priority setting and operations related to support for international research at Western Identify key constellations of research (Project Areas), and review these annually Related to Project Areas defined above, identify key partner institutions possessing complementary strengths and-in consultation with Faculties and individual researchers-establish or reinforce broad cooperation agreements with these institutions Identify faculty exchange activities with international partner institutions in each Project Area, and actively facilitate these through administrative planning and centralized funding

Not started I Initiated I OngoingIIn Progress

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d

1 Recommendations I Not started I Initiated I Ongoingnn Progress I Research (cont.)

Encourage and provide financial support for disciplinary and multidisciplinary research groups and centres related to Project Areas at Western Develop new internal funding mechanisms to provide seed money for international research, especially in Project Areas Provide financial support for international travel for collaboration with colleagues Encourage and financially support international conferences hosted at West em Provide minimum levels of financial support for academic journals of international scope Identify and disseminate widely information regarding international research funding opportunities and provide central support and assistance with the generation and refinement of funding proposals for international research Develop more focused means for dissemination of information regarding Western's international research activities on campus, within the London community, and beyond

Teaching and Learning The application of additional resources, including additional staffing, to allow for the maintenance and expansion of both undergraduate and graduate student exchange and related activities Establishment of a more selective focus on the range and type of exchanges offered, coinciding, for example, with existing or planned research target areas, or with discipline or program Encouragement of enhanced two-way student exchange flows between partnered institutions Facilitation of grade transfers between institutions, at both the undergraduate and graduate levels

I Recommendations I Not started I Initiated ( Onpingno Progress I Teaching and Learning (cont.)

Development of multi-disciplinary undergraduate and graduate programs which focus on international issues Encouragement of the incorporation of international content in all undergraduate and graduate courses offered on campus The establishment of faculty exchanges for the primary purpose of teaching and learning at both the undergraduate and graduate level Establishment of programs at the undergraduate and graduate level which require overseas residency for a determined period to enhance "hands-on" international experience Establish minimum targets for both undergraduate and graduate international student enrolment at Western Selectively target undergraduate and graduate students fiom particular areas of strategic importance to Western and develop partnership agreements with both universities and selected high schools of high academic quality in such areas Develop means for fully integrating undergraduate and graduate international students in research, learning, and community service Provide targeted support for graduate students fiom abroad at Western who may be limited in their ability to secure funding while in Canada Develop more informal opportunities for graduate students fiom abroad to spend limited periods of time at Western as part of their course of study at their home university Actively recruit post-doctoral fellows fiom selected countries in support of specific programs of intemational significance

International Development Review of the Faculty Academic Plans to identify existing areas of activity and strength, and to identify new areas where expertise may be applied to the development context

General ÿ con^)

Review university policies to ensure coherence and to enhance provisions related to international involvement, e.g. safety and liabilitylrisk management, academic credit for international work, hiring of faculty and staff, faculty tenure and promotion Encourage an interdisciplinary transfer of lessons learned through international activities and projects to teaching and curriculum, research and publication, and community service Establish as a priority the communication of Western's accomplishments in the international area through existing publications/dissemination vehicles, as well as new ones designed specifically for this purpose.

Not started I Initiated I Ongoing/ln Progress

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