Memo of Understanding Roles and Responsibilities in the Management of Federal Grants and Awards
description
Transcript of Memo of Understanding Roles and Responsibilities in the Management of Federal Grants and Awards
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Memo of UnderstandingRoles and Responsibilities in
theManagement of Federal
Grants and Awards
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Federal Granting Agenciesare CIHR, NSERC, and SSHRC
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This MOU describes the basic requirements for
obtaining and maintaining institutional eligibility to
administer agency funds.
Memo of Understanding
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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.)
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Schedule 10: ConfirmationOf Eligibility
For more information:
Contact:Lynda Moore – Manager, Research Programs
519.253.3000 ext. [email protected]
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Schedules for research with special requirements
Schedule Research Involving
9 Humans
3 Animals
13 Biohazards
5 Environmental Assessment
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• 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
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• 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
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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)[email protected]
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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
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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
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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
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Research involving animals
For more information:
Visitwww.uwindsor.ca/acc
or
Contact:Mark Curran – Ethics & Grants Coordinator
519.253.3000 ext. 3948 (p)[email protected]
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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”
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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
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Research involving Biohazards
If Yes,
• Biological Safety Certificate required to be issued by UWinBSC
• Funds held until certificate issued
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Research involving Biohazards
For more information:
Visitwww.uwindsor.ca/biosafety
or
Contact:Chris Busch – Manager, Chemical Control Centre
519.253.3000 ext. 3524 (p)[email protected]
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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
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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
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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
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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
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Environmental Assessment
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Environmental Assessment
For more information:
Contact:Chris Busch – Manager, Chemical Control Centre
519.253.3000 ext. 3524 (p)[email protected]
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Schedule 1: Financial Management
Researchers
Institutions
Agencies
Parliament
Tax payers
FinancialAccountability
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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
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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
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• 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
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• 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
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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)
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Financial Issues
For more information:
Contact:Heather Pratt – Manager, Research Accounting
519.253.3000 ext. [email protected]
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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
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2. Responsibilities of the:
• Institutions
• Agencies
• Resolution of the issue
Schedule 4: Integrity inResearch and Scholarship
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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
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2. Unremediable Breach
3. Criminal Misconduct
Schedule 8: Investigation and Resolution of Breaches of
Agency Policies
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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.
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• 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)
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Section 15:Public Communication
1. Policy of collaboration.
2. Responsibilities:
– Institutional
– Agencies
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Thank you for attending this information session today.
Memo of Understanding