Memo of Understanding Roles and Responsibilities in the Management of Federal Grants and Awards

Memo of UnderstandingRoles and Responsibilities in

theManagement of Federal

Grants and Awards

Federal Granting Agenciesare CIHR, NSERC, and SSHRC

This MOU describes the basic requirements for

obtaining and maintaining institutional eligibility to

administer agency funds.

Memo of Understanding

Schedule 10: ConfirmationOf Eligibility

• Grant holders are responsible for informing ORS of any change in eligibility status

• ORS confirms eligibility status at time of grant application, on an annual basis, and any other changes that may affect the terms  of the original award (e.g. sabbaticals, leaves, etc.)

Schedule 10: ConfirmationOf Eligibility

For more information:

Contact:Lynda Moore – Manager, Research Programs

519.253.3000 ext. 3918lmoore@uwindsor.ca

Schedules for research with special requirements

Schedule Research Involving

9 Humans

3 Animals

13 Biohazards

5 Environmental Assessment

• UW guidelines & procedures meet requirements of the TriCouncil Policy Statement (TCPS) on “Ethical Conduct for Research Involving Humans”

• Notification is made to the ORS at the time of grant application via the UW (“internal”) grant application form

• Upon award, release of funds is contingent upon ORS receipt of REB certification

Schedule 2: Ethics Review of Research Involving Humans

• REB certification must be received within 6 months of award, or agency informed

• REB certification must be maintained for the duration of Tri-Council funded projects, including periods before/after human subjects are involved

• Progress and final reports required

Schedule 2: Ethics Review of Research Involving Humans

Schedule 2: Ethics Review of Research Involving Humans

For more information:

Visitwww.uwindsor.ca/reb

or

Contact:Mark Curran – Ethics & Grants Coordinator

519.253.3000 ext. 3948 (p)ETHICS@uwindsor.ca

Schedule 3: Research involving animals

• Requires certification from Institutional Animal Care Committee (ACC)– Defined as “any vertebrates and

cephalopods (octopi & quid)”

• Ensures research is conducted in accordance with the highest ethical and humane standards

Research involving animals

• Institution adheres to the Canadian Council on Animal Care (CCAC) policies and guidelines

• Use of animals is only acceptable if it promises to contribute to understanding of fundamental biological principles or development of knowledge

Research involving animals

If Yes,

• Animal Utilization Project Proposal must be submitted and approved by UWinACC

• Funds held until certificate issued

• Progress and final reports required

Research involving animals

For more information:

Visitwww.uwindsor.ca/acc

or

Contact:Mark Curran – Ethics & Grants Coordinator

519.253.3000 ext. 3948 (p)ACC@uwindsor.ca

Schedule 13:Research involving

Biohazards• Research involving biologically

hazardous materials requires certification from UWinBSC

• Defined as “any biological agent that is unlikely to cause disease in health workers or animals”

Research involving Biohazards

• Required to follow:– Public Health Agency of Canada’s

“Laboratory Biosafety Guidelines” (3rd edition/2004)

– Institutional policies, including:• Handling• Lab design• Decontamination• Certification of Biological Safety Cabinets

Research involving Biohazards

If Yes,

• Biological Safety Certificate required to be issued by UWinBSC

• Funds held until certificate issued

Research involving Biohazards

For more information:

Visitwww.uwindsor.ca/biosafety

or

Contact:Chris Busch – Manager, Chemical Control Centre

519.253.3000 ext. 3524 (p)cbusch@uwindsor.ca

Schedule 5: Environmental Assessment

• Canadian Environmental Assessment Act requires review of applications for potential impacts on the environment.

• Tool used by the Federal Gov. to ensure that adverse environmental effects of a project are identified and mitigated

Environmental Assessment

• An environmental assessment:– identifies possible environmental effects, – proposes measures to mitigate adverse

effects,– predicts whether there will be significant

adverse environmental effects, even after the mitigation is implemented

Environmental Assessment

• Physical Works– it is constructed or assembled; – it is fixed in place;– it is permanent; and – it is to be maintained on an ongoing basis.

• Other actions which are subject to CEAA

Environmental Assessment

If Yes, screening might required:

• Appendix A & B must be completed

• NSERC will determine if EA required

• EA costs borne by applicant or Institution

Environmental Assessment

Environmental Assessment

For more information:

Contact:Chris Busch – Manager, Chemical Control Centre

519.253.3000 ext. 3524 (p)cbusch@uwindsor.ca

Schedule 1: Financial Management

Researchers

Institutions

Agencies

Parliament

Tax payers

FinancialAccountability

Schedule 1: Financial Management

Roles and responsibilities -Institution

• Support grant holders (infrastructure and administrative support)

• Implement policies, systems and controls

• Know the rules

• Get answers from the agencies

• Keep agencies up-to-date about eligibility status

• Submit financial reports- Form 300’s

Schedule 1: Financial Management

Roles and responsibilities - Researchers

• Good economic management

• Know the rules

• Keep agencies up-to-date about eligibility status

• Submit reports

• Acknowledge agency support

• Transfer of Funds from a Primary Institution to a Secondary Institution◦ Part A – Transfer of Funds Between a Primary

Institution and an Eligible Secondary Institution◦ Part B – Transfer of Funds Between a Primary

Institution and an Non-eligible Secondary Institution, in the Case of CIHR and SSHRC

Schedule 9: Transfer of Funds

• Aimed to assist in public accountability• UW to ensure performance reporting

requirements are submitted in a timely manner

• UW will participate in mid-term reviews, and other forms of evaluations such as audits and monitoring visits

Schedule 11: Reporting on Performance and Outcomes

Schedule 12: Ownership in Equipment and Facilities

• Identifies institutional requirements when grants are awarded for equipment (RTI)

• To ensure that equipment being purchased relates to the approved award

• Insure and house equipment• Ensure others’ access to equipment• Acknowledge funding sources (Agency

stickers)

Financial Issues

For more information:

Contact:Heather Pratt – Manager, Research Accounting

519.253.3000 ext. 2127hpratt@uwindsor.ca

1. Policy

Tri-Council Policy Statement divided into two parts:

(a) Principles of Scientific Integrity and the responsibilities of researchers, institutions and the agencies upgrading the principles

(b) Procedures to promote integrity and prevent misconduct.

Schedule 4: Integrity inResearch and Scholarship

2. Responsibilities of the:

• Institutions

• Agencies

• Resolution of the issue

Schedule 4: Integrity inResearch and Scholarship

Schedule 8: Investigation and Resolution of Breaches of

Agency Policies

Anyone can identify the above:

1. Process to resolve the concern

Level 1 – Minor in nature

Level 2 – Serious in nature

Level 3 – Matter is not resolved and is sensitive and serious

2. Unremediable Breach

3. Criminal Misconduct

Schedule 8: Investigation and Resolution of Breaches of

Agency Policies

Schedule 14: Conflicts of Interest in Research (COI)

Conduct of research not compromised due to COI

• It is important to have an effective institutional COI policy.

• COI policy applies to faculty, students, PDF and any personnel involved directly or indirectly in research.

• Responsibilities of the institutions and the agencies.

• Resolution of non-compliance.

Schedule 14: Conflicts of Interest in Research (COI)

Section 15:Public Communication

1. Policy of collaboration.

2. Responsibilities:

– Institutional

– Agencies

Thank you for attending this information session today.

Memo of Understanding