Policy 48 - Grants and Contracts Administered by the University

Approved Executive Committee of the Board of Governors 67.23

GRANTS AND CONTRACTS ADMINISTERED BY THE UNIVERSITY

PURPOSE

1. The purpose of this Policy is to define the regulations regarding grants, research contracts and service contracts administered by the University of Ottawa.

DEFINITIONS

2. "Grants" shall mean any fund donated in aid of research activities of a professor, or in aid of other activities within the University, without any requirement other than to use the funds for the purpose outlined in the application submitted to the sponsor. Specifically, grants shall not impose any restriction on publications of results of the research, and shall not require any license to be granted to the sponsor for the use of the results. Grants generally refer to the funds awarded by Federal Granting Councils and other non-profit organizations of a philanthropic character.

3. "Research or Service Contracts" shall mean any agreement whereby the University undertakes to perform certain tasks for the sponsor, and where the sponsor imposes certain restrictions either on the direction of the research or service to be performed, on the use of the research results or on their publication. Any agreement that provides for the payment of salaries or fees to the principal investigator, or to any regular member of the personnel of the University, will be considered as a contract.

This policy does not apply to the following categories of service contracts:

 

  • whereby the University is buying goods or services (procurement) from outside concerns;

     

  • for services provided by ancillary enterprises of the University.

     

  • for contracts involving a faculty, department, or service as a whole which do not have a research component, for example, providing courses or co-op students to an outside client.

4. "Principal Investigator" shall refer to a member of the University staff whose participation is generally essential to the performance of the activities supported by the grant or contract, and who is identified as being responsible within the University for the administration of the grant or contract.

CONDITIONS AND RESTRICTIONS

5. There shall normally be no restriction on the publication of data that are the outcome of a contract between the University and an agency or company. Restrictions on publication of data required by the sponsor of the research must be specifically authorized by the University at the time the contract is being negotiated and specifically provided for in the contract. If students are employed by the principal investigator to conduct part of such research, a separate confidentiality agreement must be made between the sponsor of the research and the students employed.

6. No grant or contract administered by the University shall contain restrictions on publication or disclosure of research results beyond a reasonable time-frame, whether the results are favourable or unfavourable to the interest of the agency or company sponsoring the research.

7. No professor may be the principal investigator for any grant or contract between an agency or company and the University that interferes with the fulfilment of the professor's scheduled duties or with the professor's obligations to the University as set out in the relevant collective agreement unless authorized in writing by the dean.

8. Professors are prohibited from participating in or having a substantial business interest in the ownership of any enterprise which has entered, or proposes to enter, into a contractual or commercial relationship with the University or from which or through which one or more other University employees receive or may receive remuneration for consultative or other services.

9. Professors are prohibited from participating in or having a substantial business interest in the ownership of any enterprise from which professors receive or will be receiving a research grant or contract to be administered by the University.

10. Prior to accepting a grant or contract, the principal investigator shall disclose to the University all relationships through kinship, marriage, or business association, with persons whom the investigator knows or may reasonably be expected to know have a direct financial interest in the products of the investigator's research. In the case of the member of the teaching staff, disclosure is to the dean of the faculty. In all other cases, disclosure is to the appropriate Vice-President or Secretary of the University. The Dean, Vice-President or Secretary of the University, through the Assistant Vice-President (Research), shall inform Research Services that a disclosure has taken place and the situation has been approved.

11. Staffing of a sponsored research project is the sole responsibility of the University; except with regards to the principal investigator to whom the grant or contract is awarded, the sponsor shall normally not be involved in the selection of personnel required to conduct the research.

12. All research must be conducted objectively and ethically, and independently of sources of funding. Without limiting the generality of the foregoing, principal investigators are subject to the "Guidelines for the Ethical Conduct of Research" of the University Human Research Ethics Committee and the relevant provisions of the Animal Care Services code.

13. Where supported research is a criterion for space and support allocation, the quality of the supported research is considered more important than the amounts of research funding obtained by a principal investigator.

14. Tenure and promotion are awarded on the basis of academic criteria and objective assessment pursuant to the relevant collective agreements and University policies. The role played by external research grants and contracts in these processes is determined by the relevant collective agreements and University policies.

APPLICATIONS AND PROPOSALS

15. All applications relative to grants or research and service contracts, following review by the chair of the department and the dean of the faculty, must be approved by the Director, Research Services, or in the case of international contracts and grants administered by the Bureau for International Cooperation by the Vice-President, University Relations and Development, before submission to any outside agency.

16. Every application or proposal should be accompanied by the form "RE/C - Request for Funds to Any Outside Agency" (see sample at Annex A) at the time of submission to Research Services. This form should be filled out by the applicant. Approval of the application by the chair of the department and the dean of the faculty is indicated by their signatures on this form.

17. The signing authority for grant applications and proposals is the Director, Research Services, or for international grants administered by the Bureau for International Cooperation, the Vice-President, University Relations and Development.

The Director, Research Services, may delegate his or her signing authority to the Administrator of the Office of Research Services, and to the Associate Dean (Graduate Studies and Research) of the Faculty of Medicine.

18. The signing authority on behalf of the University for contract proposals, research and service contracts, and all amendments thereof is the Director, Research Services, or for international contracts administered by the Bureau for International Cooperation , the Vice-President, University Relations and Development. The Director may delegate his or her signing authority for contracts under specific mandates to the Assistant Director, Contracts and Technology. The Director shall seek approval of the Administrative Committee whenever proposed activities under contract may have a significant impact on the mandate of the academic or administrative unit concerned, or on the internal allocation of resources between units within the University.

19. Where the Director cannot exercise his or her authority, the Assistant Director, Contracts and Technology, shall sign applications and proposals on behalf of the University.

20. All delegations of signing authority must be transmitted to all concerned, in writing.

FINANCIAL ACCOUNTING

21. Once a grant or contract is approved, Research Services authorize the opening of a trust fund account by Financial Services. The account is normally under the responsibility of the principal investigator.

OVEREXPENDITURES

22. In exceptional cases, Research Services may authorize certain overexpenditures, where a renewal, or a new grant or contract is assured (see Policy 85).

OVERHEADS

23. A contribution to overhead costs will normally be included in all contract proposals and in grant applications where such a contribution is allowed by the granting agency. Acceptable overheads shall be determined by Research Services, in consultation with the applicant, on the basis of guidelines approved from time to time by the Administrative Committee.

24. Overheads collected on contracts shall be distributed in the following manner:

 

  • 50% to the University General Revenues;

     

  • 50% to the development fund of the Faculty responsible for the grant or contract.

PROFESSIONAL FEES

25. Salaries or fees recovered for the principal investigator or for other regular employees of the University shall be deposited in trust into a special account under the responsibility of Research Services. The dean of the faculty or the director of the service concerned, in consultation with the principal investigator or regular employee of the University, shall determine the allocation of these funds according to the following categories:

 

  • a) a credit to the University as salary recovery;

     

  • b) payment of supplementary income to the principal investigator or regular member of the University personnel, any work so remunerated being considered as additional to that person's regular workload duties;

     

  • c) transfer to a special fund from which the principal investigator or regular member of the University personnel may request a research grant to be used by the principal investigator or regular employee of the University for research purposes in accordance with University policies.

26. Financial returns from intellectual property are governed by Policy 29 on Patents and the relevant articles of collective agreements.

OFFICIAL RECORDS

27. International contracts administered by the Bureau for International Cooperation shall identify the Vice-President, University Relations and Development, as the addressee to whom all official correspondence should be addressed; for all other contracts, the University addressee shall be the Director of Research Services.

Copies of proposals, original copies of contracts and all amendments thereof, and all official correspondence shall be kept on file by Research Services.

OTHER UNIVERSITY POLICIES

28. All research funds are subject to the relevant University regulations and policies, which make no distinctions as to the source of the funds, whether public or private.

29. Once approved, Grant and Contract funds are administered according to University Policy 85 - Administration of Trust Funds, and in compliance with all other applicable University policies.

30. Consultation of policies related to the following is particularly recommended:

 

  • Research Assistants, see Policy No. 5

     

  • Support Staff, see Policies Nos. 2, 3, 8, 9 and 12

     

  • Professional Fees, see Policy No. 3

     

  • Purchase of Equipment, see Policy Nos. 36 and 37

     

  • Travel, see Policy No. 21

     

  • Computer, see Policy No. 80

     

  • Furnishing Standards, see Policy No. 38

     

  • Conflict of Interest - Members of Staff, see Policy No. 70

     

  • Transport and Messenger Services, see Policy No. 113

EXCEPTION

31. No exception may be made to this Policy without the written consent of the Administrative Committee.

Revised December 15, 1995

(Office of the Vice-President, Academic and Provost)

 
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