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

1. Memo of UnderstandingRoles and Responsibilities in theManagement of Federal Grants and Awards

2. Federal Granting Agenciesare CIHR, NSERC, and SSHRC

3. Memo of Understanding This MOU describes the basic requirements for obtaining and maintaining institutional eligibility to administer agency funds.

4. Schedule 10: Confirmation Of 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.)

5. Schedule 10: ConfirmationOf Eligibility For more information: Contact: Lynda Moore – Manager, Research Programs 519.253.3000 ext. 3918 lmoore@uwindsor.ca

6. Schedules for research with special requirements

7. Schedule 2: Ethics Review of Research Involving Humans • 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

8. 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

9. Schedule 2: Ethics Review of Research Involving Humans For more information: Visit www.uwindsor.ca/reb or Contact: Mark Curran – Ethics & Grants Coordinator 519.253.3000 ext. 3948 (p) ETHICS@uwindsor.ca

10. 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

11. 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

12. 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

13. Research involving animals For more information: Visit www.uwindsor.ca/acc or Contact: Mark Curran – Ethics & Grants Coordinator 519.253.3000 ext. 3948 (p) ACC@uwindsor.ca

14. 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”

15. 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

16. Research involving Biohazards • If Yes, • Biological Safety Certificate required to be issued by UWinBSC • Funds held until certificate issued

17. Research involving Biohazards For more information: Visit www.uwindsor.ca/biosafety or Contact: Chris Busch – Manager, Chemical Control Centre 519.253.3000 ext. 3524 (p) cbusch@uwindsor.ca

18. 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

19. 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

20. 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

21. 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

22. Environmental Assessment

23. Environmental Assessment For more information: Contact: Chris Busch – Manager, Chemical Control Centre 519.253.3000 ext. 3524 (p) cbusch@uwindsor.ca

24. Schedule 1: Financial Management Financial Accountability

25. 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

26. 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

27. Schedule 9: Transfer of Funds • 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

28. Schedule 11: Reporting on Performance and Outcomes • 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

29. 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)

30. Financial Issues For more information: Contact: Heather Pratt – Manager, Research Accounting 519.253.3000 ext. 2127 hpratt@uwindsor.ca

31. Schedule 4: Integrity in Research and Scholarship • Policy Tri-Council Policy Statement divided into two parts: • Principles of Scientific Integrity and the responsibilities of researchers, institutions and the agencies upgrading the principles • Procedures to promote integrity and prevent misconduct.

32. Schedule 4: Integrity in Research and Scholarship • Responsibilities of the: • Institutions • Agencies • Resolution of the issue

33. Schedule 8: Investigation and Resolution of Breaches of Agency Policies Anyone can identify the above: • 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

34. Schedule 8: Investigation and Resolution of Breaches of Agency Policies • Unremediable Breach 3. Criminal Misconduct

35. 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.

36. Schedule 14: Conflicts of Interest in Research (COI) • 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.

37. Section 15: Public Communication • Policy of collaboration. 2. Responsibilities: • Institutional • Agencies

38. Memo of Understanding Thank you for attending this information session today.