S.09-139
OFFICE OF THE VICE-PRESIDENT, ACADEMIC AND PROVOST
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8888 University Drive, Burnaby, BC
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TEL: 778.782.3925
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vpacad@sfu.ca
Canada
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FAX: 778.782.5876
www.sfu.ca/vpacademic
MEMORANDUM
ATTENTION Senate
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DATE November 13, 2009
FROM ?
Jon Driver, Vice-President, Academic and
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PAGES 1/1
Provost, and Chair, SCUP
RE:
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Revision of Policy R 40.01 Research Centres and Institutes (SCUP 09-52)
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At its October 21, 2009 meeting SCUP reviewed and approved the revision
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cy R 40.01 - Research
and Institutes.
Motion
That Senate approve and recommend to the Board of Governors the revision of Policy R 40.01 -
Research Centres and Institutes.
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c: N. Haunerland
SIMON FRASER UNIVERSITY
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THINKING OF THE WORLD
SCUP 09-52
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OFFICE OF THE VICE—PRESIDENT, RESEARCH
Norbert H. Haunerland.
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Associate Vice-President, Research
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ATTENTION ?
Jon Driver
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Vice-PresidInt, Academic
Professor of Biological Sciences
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IFROM
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Norbert Haunerland, Associat Vi
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residerlt, R
MAILING ADDRESS
S888 University
Drive
Burnabv BC Canada
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Re ?
Revision of Policy R 40.01
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SA IS6
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TEL
778-782-4152
FAX:
778.782.4860
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DATE
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October 9. 2009
www.sfu.ca/vpresearch
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Attached please find the draft of the revised Policy A 40.01 - Research Centres
and Institutes, for consideration by SCUP and approval by Senate. As outlined
in the enclosed rationale, the revision was initiated in response to a
recommendation by the Task Force on Academic Stnicture. The draft policy
was endorsed by the Faculty Deans, and circulated to the community for
comments on August 24, 2009. By the deadline of September 18, feedback was
received from thirteen individuals, resulting in several minor changes
(typographical error corrections and clarifications).
Three individuals questioned why we did not incorporate two key
recommendations of the task force, namely the provision of funds for the
oeration of Centres, and the establishment of mechanisms for academic
appointments into Centres or Institutes. As discussed in detail in the attached
rationale, the recommendations were considered but rejected in favor of the
research focus on Centres and Institutes. Moreover, in the current budget
situation a commitment of substantial resources for operations cannot be
justified, nor can the establishment of an additional administrative body to
promote interdisciplinary research.
I believe that the revised policy provides greater clarity of the mandate and
operation of Research Centres and Research Institutes, improves accountability,
and should result in an increase in quality and impact.
SIMON FRASER
UNIVERSITY
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THINKING OF THE WORLD
Proposed Revisions to the Centres and Institutes Policy
Norbert H. Haunerland, Associate Vice President, Research
The report of the Faculty restructuring task force "Removing the barriers: A
design for the future of SFU" (presented to Senate March 3, 2008) made a series of
recommendations regarding Centres and Institutes. At a subsequent SCUP meeting,
the Vice President, Research office was asked to consider these recommendations
and work on a revision of the existing policy.
Currently, the terms "Centre" and "Institute" are used for a wide variety of
different structures, only some of which are currently covered under the existing
policy. For example, the "Morris Wosk Centre for Dialogue" refers to a physical
structure, while the "Centre for Dialogue" offers an independent academic program,
the "Semester in Dialogue". The task force report correctly notes that over the years
the definition of Centres and Institutes, and of their primary purpose and mandate,
has become increasingly unclear, as these structures were used wherever.a formal
aggregation of faculty was desired. While most remain primarily focused on the
research mission, at times Institutes have been used as homes for graduate
programs, precursors for new Departments or Faculties, or for the administration of
undergraduate courses and certificates.
We recommend that SFU return to the original intent of Centres and
Institutes as entities that exist for the purpose of enhancing research, and de-couple
instructional activities from these structures. In recognition of the importance of
focused, research-intensive experiences in graduate studies, we recommend that
membership in Centres and Institutes be broadened to include graduate students
where appropriate.
The ultimate purpose of both Centres and Institutes is to bring researchers
together and to benefit from the synergy of different expertise, and thus all Centres
and Institutes have an "interdisciplinary" mandate. It is apparent, however, that
some of these have a relatively narrow focus, with the involved disciplines all
contained in one Faculty, while others are spanning a range of very different
disciplines. In the past, these differences were reflected in the designation as
Schedule A and Schedule B Centres, but in the absence of clear definitions the
assignments were sometimes arbitrary. Following the task force recommendation,
we propose to distinguish between "Research Centres" that are primarily focused on
research topics that are central to a single faculty, and "Research Institutes" that
represent interdisciplinary themes that are embedded in two or more Faculties, or
involve institutions other than SFU.
The presence of research strength in interdisciplinary areas may support and
enrich interdisciplinary instruction as well, but teaching should be done within
existing SFU Faculties and programs, and governed by current policies. This is
straightforward for Centres that are embedded in a single Faculty, where the Dean
can administer programs and courses, and assign faculty to teach courses.
Independent programs have been used selectively in the past for cross-Faculty
themes, and there is no evidence to suggest (nor policy to prevent) that similar
arrangements cannot be made by mutual agreements among the Deans. Given the
relatively small number of such programs, and their diverse nature, is may be
counterproductive to develop a comprehensive policy that most likely will still
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require numerous individual accommodations. While we believe that all existing
. teaching functions of current Centres or Institutes can be-easily accommodated
through existing policies, the concept of a "College of Lifelong and Experiential
Learning" with the purpose of offering such programs remains under discussion.
Whether or not SFU decides to create a new administrative structure, formal
involvement of Research Centres and Research Institutes is neither necessary nor
desired.
Policy and Procedures
Under the revised policy, new Research Centres or Research Institutes will be
established essentially as has been practice under the current policy. Proposals
developed by faculty members and approved by their Dean will be submitted to the
Vice President, Research, who will evaluate the proposal based on the criteria set
out in the policy, and make sure that all requirements for their establishment have
been addressed. The proposal then will be submitted to the Vice President,
Academic, who in turn will seek approval by SCUP and Senate. The term for each
Research Centre or Research Institute will be 5 years.
Each Research Centre or Research Institute will be required to submit an
annual report that summarizes its activities, updates on membership and an account
for its financial transactions. The report, in a web-based format, will need to be
approved with comments by the Dean of the Faculty, and, in the case of Research
Institutes only, the Vice President, Research. The Vice President, Research will
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report annually to SCUP about the activities of all Research Centres and Institutes,
based on their annual reports.
In the final year of the term, a renewal application must be submitted instead
of the annual report if a Research Centre or Institute wishes to continue. The
renewal application, also in a web-based format, must include a rationale for the
continuation, provide a detailed report on the accomplishments of the Centre in the
past, and outline its mission for the future. A summary of financial resources
attracted and used, both from University and external sources, will be required.
In considering applications for renewal, the accomplishments of Research
Centres and Institutes will be measured against their initial goals and plans.
Specifically, the impact of a Research Centre or Institute in enhancing research over
and above what would have been accomplished by individual faculty members will
need to be demonstrated. Both, the Dean(s) of the Faculties involved and the Vice
President, Research will comment on the report and recommend renewal or
termination of the Research Centre or Institute. The proposal and its evaluation will
then be forwarded to SCUP, which will vote on the renewal application and report
its decision to Senate.
While Research Centres and Institutes established under the current policy
have served a variety of different purposes, the overwhelming majority can be
readily re-classified under the new policy. It is important to note that some entities,
although currently named as "Centres", will become Research Institutes, and some
Institutes will be re-classified as Research Centres. While it may be desirable to have
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the name reflect the organizational classification, it is recognized that units may
choose to retain their existing name and acronym, at least for the immediate future.
With the approval of the new Policy, all existing Centres and Institutes will be
extended for a time period between 1 and 5 years, before their renewal application
is due. Appended is a list of the proposed Research Centres and Institutes, with their
future classification, and the suggested date of renewal (staggered to spread the
renewal process through several years).
Two of the existing Centres and Institutes do not fit into the proposed policy,
in that their purpose includes no or only minimal research. Their operations can be
fulfilled within the context of existing university policies, either as independent
programs or as programs within individual Faculties. In our opinion, the creation of
a separate category for these entities -is unnecessary.
RESEARCH CENTRES
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Renewal date
The purposes of Research Centres encompass, but are not limited to, collaborative
research focused on topics that are central to a single Faculty.
Facult y
of AnDlied Sciences
Institute
of Micromachine and Microfabrication Research
2011
Logic and Functional Programming Group
2010
Facult y
of Arts and Social Sciences
Bill Reid Centre for Northwest Coast Art Studies
2013
Centre d'etudes francophones Quebec-Pacifique
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20.12
Centre for Comparative Study of Muslim Societies and Cultures
2013
Centre for Forensic Research
2013
Centre for Global Political Economy
2012
Centre for Labour Studies
2011
Centre for Public Policy Research
2010
Centre for Research on Adaptive Behaviour in Economics (CRABE)
2013
Centre for Research on Sexual Violence
2014
Centre for the Reduction of Violence Among Children and Youth
2013
Centre for Restorative Justice
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2012
Centre for Scottish Studies
2010
Criminology Research Centre
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2012
David See-Chai Lam Centre for International Communication
2012
Feminist Institute for Studies on Law and Society
2010
Gerontology Research Centre
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2010
Institute of Governance Studies
2011
Institute for the Humanities
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2011
Institute for Studies in Criminal Justice Policy
2010
Mental Health, Law and Policy Institute
2011
Facult y
of Business Administration
CIBC Centre for Corporate Governance and Risk Management
2012
Centre for Global Workforce Strategy
2014
Centre for Studies in Global Asset and Wealth Management
2013
CMA Centre for Strategic Change and Performance Measurement
2012
W.J. VanDusen B.C. Business Studies Institute
2010
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Facult y
of Communication. Art and Design
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Centre for Policy Research on Science and Technology
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2010
Centre for Policy Studies on Culture and Communities
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2012
Facult
y
of Education
Centre for Education, Law and Society
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2011
David Wheeler Institute for Research in Mathematics Education
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2013
Institute for Research on Early Education and Child Health
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2012
Institute for Studies in Teacher Education
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2010
Centre for the Study of Educational Leadership and Policy
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2013
Faculty
of Environment
Centre for Tourism Policy and Research
2011
Cooperative Resource Management Institute
2011
Centre for Coastal Studies
2012
Centre for Sustainable Community Development
2010
Facult y
of Health Sciences
Centre for Applied Research in Mental Health' and Addiction
2013
Children's Health Policy Centre
2013
Facult y
of Science
Centre for Experimental and Constructive Mathematics
2011
Centre for Natural Hazards Research
2012
Centre for Wildlife Ecology
2012
Chemical Ecology Research Group
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2010
Evolutionary and Behavioural Ecology Research Group
2010
RESEARCH INSTITUTES
The purposes of Research Institutes encompass, but are not limited to
the following: collaborative multi-disciplinary research between
different faculties; multi-university initiatives; and research -related
types of services to the community.
4D LABS
2012
Behavioural and Cognitive Neuroscience Institute
2012
Canadian Centre for Studies in Publishing
2010
Centre for Disability Independence Research and Education
2013
Centre for Education Research and Policy (CERP)
2013
Centre for Imaginative Education
2013
Centre for Operations Research and Decision Sciences (CORDS)
2012
Centre for Scientific Computing
2011
Centre for the Study in Print and Media Cultures
2012
International Centre of Art for Social Change
2013
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International Centre for Criminal Law Reform & Criminal Justice Policy
2010
2012
International Cybercrime Research Centre (ICRC)
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Sciences
2012
2013
2011
2011
2011
2010
2012
a
Interdisciplinary Research in the Mathematical and Computational
(IRMACS)
Nanomed Canada Research Network
Pacific Institute for the Mathematical Sciences (PIMS)
TRIUMF
Western Canadian Universities Marine Sciences Society (Bamfield)
Institute for Canadian Urban Research Studies
Institute for Critical Studies in Gender and Health
No longer administered under this policy will be:
Institute for the Study of Teaching and Learning in the Disciplines
Centre for Dialogue
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SIMON FRASER UNIVERSITY
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Date
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Number
Policies and Procedures
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April 3, 2002
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R40.01
Revision Date
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Revision No.
October 2009
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A
Subject: Research Centres and Institutes
1.0 Purpose:
The purpose of this policy is to define Research Centres and Research Institutes, the intended scope of
their activities, and their required governance and reporting structures.
2.0 Definitions
Research Centres
are non-departmental academic or administrative units established for the purposes of
facilitating collaborative research mainly within a Faculty.
Research Institutes
are created to facilitate collaborative multi-disciplinary research between different
Faculties and/or multi-university initiatives and to provide research-related services to the community.
SCUP is the Senate Committee on University Priorities, the academic body responsible for overseeing
Research Centres and Institutes on behalf of Senate.
3.0 Policy:
3.1 The purposes of Research Centres and Research Institutes encompass, but are not limited to
facilitating collaborative research, especially multi-disciplinary research, and facilitating multi-
university initiatives.
3.2 Each Research Centre and Research Institute is subject to all applicable University policies.
3.3 A Research Centre or a Research Institute is entitled to identify itself as a part of Simon Fraser
University and to use the University's name and address in the conduct of its activities.
3.4 These rights are granted at the discretion of Senate for fixed, renewable terms.
3.5
Governance and Reporting
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3.5.1 The Director of a Research Centre reports to a Faculty Dean, who is responsible for overseeing
its governance and budgetary accounts. A list of all Research Centres under the authority of a
Dean appears in Appendix I.
3.5.2
The responsible Dean, acting in consultation as appropriate with other university administrators,
shall review each Research Centre's activities annually including its financial management and
compliance with university policies, and shall report the results of that review to the Research
Centre's Director and to the Vice President, Research by August 31 of each year.
3.5.3 The Director of a Research Institute reports to the Vice President, Research. The Vice President,
Research shall be responsible for overseeing all Research Institutes in which Simon Fraser
University participates as a part of a multi-university consortium. The activities of Research
Institutes shall be reviewed directly by the Vice President, Research. A list of all Research
Institutes with a University-wide mandate appears in Appendix II.
3.5.4
The Vice President, Research shall deliver to the Senate Committee on University Priorities
(SCUP) by October 31 of each year a summary report dealing with the activities of all Research
Centres and Research Institutes during the preceding year. SCUP shall forward this report for
information to the Senate and to the Board of Governors.
3.6
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Establishing, Reviewing and Discontinuing Research Centres and Research Institutes
3.6.1 With the application for the establishment of a Research Centre or Institute, a Constitution must
be submitted that specifies the following:
a.
a statement of its special purpose;
b.
a provision for the appointment of a Director;
C. ?
a statement recognizing the obligation to conduct its activities in accordance with
University policies; and
d.
a statement of its internal governing procedure.
e.
For Research Centres, the application, must be approved by the appropriate Faculty Dean.
3.6.2 Applications shall be submitted to the Vice President, Research, who will forward supported
applications to Senate (through SCUP) for approval.
3.6.3 Research Centres and Research Institutes will normally be established for a term of
5
years.
3.6.4 Renewal will be upon application
via
the Dean and the Vice President, Research, to SCUP, and
will be contingent on past performance, financial sustainability, and its continuing purpose.
3.6.5
In considering applications for renewal, the accomplishments of Research Centres and
Research Institutes will be measured against their stated initial goals and plans. Specifically, the
impact must be demonstrated of a Research Centre or Institute in enhancing research over and
above what would have been accomplished by individual faculty members.
3.6.6 The Dean(s) of the Faculties involved and the Vice President, Research will comment on the
report and recommend renewal or termination. The proposal will then be forwarded to SCUP,
which will vote on the renewal application and report its decision to Senate.
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Policy R 40.01 Centres and Institutes, draft 1.5, page 2
3.6 7 The Vice President, Research may recommend to the President termination prior to the end of
the term of a Research Centre or Institute. In such cases, the Director shall have an opportunity
to appeal the recommendation before the President makes a final decision.
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3.7 ?
Rights and Obligations of Research Centres and Research Institutes
3.7.1 Acting under the authority of its Director, and subject to section 3.4.1c, Research Centres and
Research Institutes have the right to:
a.
use the University's name, address, and symbols in connection with its activities;
b.
solicit external grants and contracts in the University's name;
c.
request the maintenance of university budgetary accounts and reports;
d.
use the assistance of Human Resources in hiring employees;
e.
direct the duties of its employees; and
f.
apply for university support.
3.7.2 The Director of a Research Centre and Research Institute has the obligation to:
a.
approve all contracts to be undertaken by or on behalf of the Research Centre and Research
Institute, and further obtain the approval of the responsible Dean and the Vice President,
Research for any contract;
b.
submit a written report to the responsible Dean or Vice President, Research on the units'
activities, including all contractual obligations entered into by or on behalf of the unit, once
annually for the twelve months ending March 31 of each year, by no later than June 30 of
each year;
c.
submit an annual financial statement showing revenues and expenditures for the twelve
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months ending March 31 of each year, by no later than June 30 of each year.
d.
Normally, the Director is not entitled to teaching relief or financial compensation.
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3.8 ?
Membership
3.8.1 The Director of a Research Centre or an SFU-based Research Institute normally must be a
continuing faculty member of the University..
3.8.2 Faculty, graduate students, and research associates are eligible for membership in Research
Centres and Research Institutes.
4.0 Scope:
4.1 This policy encompasses all Research Centres, Research Institutes, and similar organizations at Simon
Fraser University that are not parts of established administrative units.
5.0
Authority:
This Policy is administered under the authority of the Vice President, Research.
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Policy R 40.01 Centres and Institutes, draft 1.5, page 3
Appendix I: Research Centres
The purposes of Research Centres encompass, but are not limited to, collaborative research focused on
topics that are central to a single Faculty.
Facult y
of Applied Sciences
• Institute of Micromachine and Microfabrication Research
• Logic and Functional Programming Group
Faculty of Arts and Social Sciences
• Bill Reid Centre for Northwest Coast Art Studies
• Centre d'etudes francophones Quebec-Pacifique
• Centre for Comparative Study of Muslim Societies and Cultures
• Centre for Forensic Research
. Centre for Global Political Economy
• Centre for Labour Studies
• Centre for Public Policy Research
• Centre for Research on Adaptive Behaviour in Economics (CRABE)
• Centre for Research on Sexual Violence
• Centre for the Reduction of Violence Among Children and Youth
• Centre for Restorative Justice
• Centre for Scottish Studies
• Criminology Research Centre
• David See-Chai Lam Centre for International Communication
• Feminist Institute for Studies on Law and Society
• Gerontology Research Centre
• Institute of Governance Studies
• Institute for the Humanities
• Institute for Studies in Criminal Justice Policy
• Mental Health, Law and Policy Institute
Facult
y
of Business Administration
• CIBC Centre for Corporate Governance and Risk Management
• Centre for Global Workforce Strategy
• Centre for Studies in Global Asset and Wealth Management
• CMA Centre for Strategic Change and Performance Measurement
• W.J. VanDusen B.C. Business Studies Institute
Facult y
of Communication, Art and Technology
• Centre for Policy Research on Science and Technology
• Centre for Policy Studies on Culture and Communities
Facult
y
of Education
Policy R 40.01 Centres and Institutes, draft 1.5, page 4
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S
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Centre for Education, Law and Society
• David Wheeler Institute for Research in Mathematics Education
• Institute for Research on Early Education and Child Health
• Institute for Studies in Teacher Education
• Centre for the Study of Educational Leadership and Policy
Faculty of Environment
• Centre for Tourism Policy and Research
• Cooperative Resource Management Institute
• Centre for Coastal Studies
• Centre for Sustainable Community Development
Facult y
of Health Sciences
• Centre for Applied Research in Mental Health and Addiction
• Children's Health Policy Centre'
Facult
y
of Science
• Centre for Experimental and Constructive Mathematics
• Centre for Natural Hazards Research
• Centre for Wildlife Ecology
S
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Chemical Ecology Research Group
Evolutionary and Behavioural Ecology Research Group
Appendix II: Research Institutes
The purposes of Research Institutes encompass, but are not limited to the following: collaborative multi-
disciplinary research; multi-university initiatives; and research-related types of services to the community.
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4D LABS
•
Behavioural and Cognitive Neuroscience Institute
•
Canadian Centre for Studies in Publishing
•
Centre for Disability Independence Research and Education
•
Centre for Education Research and Policy (CERP)
•
Centre for Imaginative Education
•
Centre for Operations Research and Decision Sciences (CORDS)
•
Centre for Scientific Computing
•
Centre for the Study in Print and Media Cultures
•
International Centre of Art for Social Change
•
International Centre for Criminal Law Reform & Criminal Justice Policy
•
International Cybercrime Research Centre (ICRC)
•
Interdisciplinary Research in the Mathematical and Computational Sciences (IRMACS)
•
Nanomed Canada Research Network
•
•
Pacific Institute for the Mathematical Sciences (PIMS)
TRIIJMF
•
Western Canadian Universities Marine Sciences Society (Bamuield)
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Policy R 40.01 Centres and Institutes, draft 1.5, page
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