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Research Overhead Costs Policy

Policy Title: Research Overhead Costs Policy
Policy Number: Office of Research and Innovation Services – August 15, 2019 – ORIS Policy No. ORIS-11-005
Established: August 15, 2019 (update to May 1, 2022 version); Executive Director, Research and Innovation
Approved by: Vice-President, Research and Innovation

Policy Statement

This Policy outlines the overhead costs and charges in conducting non-Tri-Council-funded research and contract work.

Purpose

This policy is designed to outline what overhead costs are, how charging for them will proceed, and how overhead funding is to be allocated.

Definition and Scope

All research incurs indirect costs by the University, whether supported by a grant or contract. This principle has been recognized by governments in recent years and, for example, there is now an annual Federal Indirect Costs Program (FICP) that returns some of the indirect costs to universities in conducting Tri-Council as well as National Centres of Excellence (NCE) research.

To avoid confusion with what is supported by FICP, indirect costs associated with research that is not funded by the Tri-Council and NCE are typically described as overhead costs.

Overhead costs must be included in the budgets for all research proposals, contracts, contract proposals, contract letters of intent, and contract development agreements. The only exceptions are the Tri-Council and NCE portion of funding (of which the indirect costs are separately funded by FICP) and the Early Researcher Awards (which has its own associated overhead costs policy); note that overhead charges are expected from the industrial contributions even in Tri-Council and NCE funding as these are not covered by FICP. The standard overhead charging rate is 40% of the total project cost minus any contributions from the Tri-Council or NCE (in any project involving cofunding between the Tri-Council/NCE and other partners). The Vice-President, Research may lower this rate for a specific application after appeal from the applicant. Note that this appeal must be based on an existing policy, or a regular practice, of the funding source; or an exceptional instance in which the funding bears no specified deliverables to the funder. All other reasoning will typically be considered unpersuasive.

Procedures

Contract Negotiation

Prior to submission to the Office of Research Services, all applications should be reviewed and signed by the Head of the Academic Unit and the Dean of the respective Faculty. Discussions early on should inform the research recipients (company, government department, etc.) that they are expected to bear overhead costs. Appeal to the Vice-President, Research must be raised in advance. Legally, no employee other than an officer of the Board (i.e. President, Vice-President, or their designate) can sign a contract in the name of the University. In this case the signature will normally be that of the Vice- President, Research or designate.

Allocation of Overhead Funding

Overhead funding received per contract or award is to be disbursed to those who incur the costs as follows:

25% to be returned to the Principal Investigator (PI)/Applicant to support her/his existing and/or future research (the PI may not draw a salary on this item);
25% to be distributed to the PI’s Faculty Dean to partially offset costs associated with the project work and/or to support future research activities;
10% to be distributed to the PI’s Departmental Chair, or the Dean additionally for a nondepartmentalized Faculty, to partially offset costs associated with the project work and/or to support future research activities;
20% to be allocated to the Central Administration of the University to partially offset costs associated with the project work;
20% to be allocated to the Office of Research and Innovation Services to enhance and further strengthen industrial liaison and technology transfer activities.

Review Process for Policy

This policy will be reviewed and updated every five years or as required.

Process for Communicating Policy

The policy will be disseminated to the university research community.

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Canada Research Chairs (CRC) Standard Budget Policy

Policy Title: Canada Research Chairs (CRC) Standard Budget Policy
Date Established: April 8, 2013
Office with Administrative Responsibility: Ofice of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019, June 15, 2015

Policy Statement

This policy outlines the standard budget policy to be applied to Canada Research Chair (CRC) funding received for approved CRC holders, new and renewed, whose term commences on or after May 1, 2013.

Purpose

This policy sets out the standard pan-University budget policy for all CRC holders, new and renewed, whose term commences on or after May 1, 2013.

Scope

This policy applies to all Canada Research Chairs funding received by the University of Windsor for Chairholders whose term commences on or after May 1, 2013.

Exceptions to Policy

Not applicable.

Procedures

	Tier 1	Tier 2
CRC Value	$200,000	$100,000
40% to Dean for salary and course release(s) (N.B. up to two courses releases for Tier 1 and one course release for Tier 2) Course releases cannot result in fewer than two semester courses being taught in the teaching year	$80,000	$40,000
20% for institutional administration and research support	$40,000	$20,000
10% increase of the Chair’s salary as a stipend (N.B. estimate only; if the amount deducted is more or less, the balance for the Chairholder’s research program will be adjusted accordingly)	~$20,000	~$10,000
Approximate amount remaining for Chair’s research program	~$60,000	~$30,000

Review

This policy will be reviewed and updated every five years or as required.

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Closure of Internal Research Grant Accounts of Former Employees

Policy Title: Closure of Internal Research Grant Accounts of Former Employees
Date Established: May 1, 2013
Office with Administrative Responsibility: Ofice of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019

Policy Statement

This policy states the University of Windsor’s position on limiting the lifetime of internal research grants upon the end of an employee’s active employment with the University of Windsor.

Purpose

Internal research grants are often provided by the University of Windsor to its employees, including faculty and administrators, to financially assist them in performing and/or continuing their research endeavours during their employment at the University of Windsor. Many of these accounts, however, contain unspent amounts even many years after cessation of the employees’ employment with the University of Windsor, e.g., after retirement.

In a time of significant budget challenges, it is important that the University uses the resources it has available for research as effectively and productively as possible. To that end, the University cannot continue to encumber precious University financial resources long after termination of the employees’ employment.

For the above reasons, the University will close all internal research grant accounts three years after grant holders cease to be employees of the University of Windsor, i.e., upon retirement. All remaining unspent funds will be transferred to the Strategic Priority Fund for Research to support faculty and staff in their research activities.

Scope

This policy is applicable to all University of Windsor internal research grants. Grants issued by external agencies are not applicable to this policy.

For existing internal research grants of which the holders are already retirees, their grant accounts will close on April 30, 2016.

Exceptions to Policy

If the grant holders resign and no longer have status at the University of Windsor, their internal grants will be closed immediately.

Review

This policy will be reviewed and updated every five years or as required.

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Closure of Research Leadership Chair Internally Funded Accounts

Policy Title: Closure of Research Leadership Chair Internally Funded Accounts
Date Established: January 14, 2014
Office with Administrative Responsibility: Ofice of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019

Policy Statement

This policy outlines the procedure for closing Research Leadership Chair (RLC) Chairholders’ internally funded accounts specifically related to the RLC after expiration of the Chair position.

Purpose

This policy sets out the standard procedure for closing RLC internally funded accounts after expiration of the Chair position

Scope

This policy applies to all University of Windsor internally funded accounts specific to the RLC appointment.

Exceptions to Policy

The only exception is for RLC who had an arrangement that pre-dated this policy with the Provost’s Office.

Procedures

Effective January 1, 2014, the following procedure for RLC Chairholders’ internally funded accounts shall apply to RLC positions that have already ended or are due to end:

RLC Chairholders shall be allowed no more than six months (the “time period”) from the end date of their RLC to allow for the payment of outstanding commitments from their internally funded account. This time period is limited to the payment of outstanding commitments that were incurred prior to the end of the Chair. No new commitments or expenditures may be authorized from the internal account for any activity taking place after the end date of the Chair.
Chairholders that have their RLC ended prior to the effective date of this policy but have remaining funds in their internal account shall be allowed no more than six months (the “time period”) from the effective date of this policy (January 1, 2014) to pay any outstanding commitments made prior to January 1, 2014. No new commitments or expenditures may be authorized from the internal account for any activity after this date.
At the end of the time period referred to in 5.1.1 and 5.1.2 above, any remaining funds shall be returned to the University’s Strategic Priority Fund for Research to support future research activities. Each former RLC’s Faculty shall have first priority to draw upon its returned funds for research that supports the University’s Strategic Research Plan.

Review

This policy will be reviewed and updated every five years or as required.

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Establishment of Research Grant or Contract Account Policy

Policy Title: Establishment of Research Grant or Contract Account Policy
Date Established: November 21, 2013
Office with Administrative Responsibility: Ofice of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019, May 7, 2014

Policy Statement

This policy outlines the requirements for establishment of a grant or contract account in the name of a Principal Investigator or Co‐Investigator with respect to funding from either an external or internal source. A Principal Investigator or Co‐investigator refers to a full‐time University of Windsor faculty member, librarian, or ancillary academic staff who holds a tenured/continuing appointment, tenure‐track/continuing appointment, or limited term appointment, or has adjunct status with a faculty or school on campus.

Purpose

The policy is designed for the orderly processing of the required documentation in order to establish a grant or contract account on behalf of Principal Investigators or Co‐Investigators at the University of Windsor. The main purpose is to ensure integrity, efficiency, and expediency in the establishment of grant or contract accounts and to ensure compliance with UWindsor and/or sponsor regulations and guidelines.

Scope

This policy applies to all grant or contract accounts to be established on behalf of a Principal Investigator, whether from an external or internal funding source. This policy also applies in cases where a Co‐Investigator at UWindsor is a party to a grant or contract held by a Principal Investigator from another institution.

Exception to Policy

Not applicable.

Procedures

All requests for establishment of a grant or contract account submitted to the Office of Research and Innovation Services (ORIS) must be accompanied by the appropriate ORIS Funding Application Information Sheet and Checklist form (hereinafter referred to as “ORIS Funding Application Form”). The link to the form found on the Office of Research and Innovation Services website is: http://www1.uwindsor.ca/oris/ors‐internal‐forms. This form must be completed, signed by the Applicant, the Head (if applicable), and the Dean.

For grants from an external agency, the completed ORIS Funding Application Form must be accompanied by a copy of the grant application and the award letter. For contracts, the completed ORIS Funding Application Form must be accompanied by a copy the contract and a copy of the letter/email confirming the acceptance of the contract, if applicable.
For internally funded grants, the completed ORIS Funding Application Form must be accompanied by a copy of the application form and the award letter. If no formal application is required, the applicant must provide, at minimum, a description of the research project, the budget for the project with a start date and end date, and a letter/email from the funding source confirming the award.

Upon receipt of the documentation required for any of the above described circumstances, ORIS will provide to Research Finance the necessary form and documentation in order that the grant or contract account may be established in the name of the Principal Investigator or Co‐Investigator, as the case may be.

Review

This policy will be reviewed and updated every five years or as required.

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Research Integrity and Responsibility Conduct of Research Policy

Policy Title: Research Integrity and Responsibility Conduct of Research Policy
Date Established: May 15, 2013
Office with Administrative Responsibility: Ofice of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019, March 28, 2019

Policy Statement

This policy aims to provide an environment that supports the best research practices and that fosters UWindsor researchers to act honestly, accountably, openly and fairly in the search for and dissemination of knowledge. The University community has always recognized the necessity for and importance of maintaining the highest ethical standards in the conduct of research activities and all faculty, staff and students are expected to uphold these standards. All faculty, staff and students are personally and directly responsible for the intellectual and ethical quality of their work.

Purpose

This purposes of this policy are: (1) to meet the requirements set out in the Tri-Agency Framework: Responsible Conduct of Research ; (2) to outline the responsibilities and standards required of UWindsor faculty, staff and students engaged in research; and (3) to provide a process for dealing with allegations of misconduct in research. [To best conform with the requirements set out in the Tri-Agency Framework: Responsible Conduct of Research document, sections of this policy are reproduced from this document to minimize potential ambiguity.]

Scope

This policy applies to all UWindsor faculty, staff and students who engage in research. “Agency” referred to in this policy shall mean NSERC, SSHRC and CIHR or any other funding organization providing funding for research.

Exception to Policy

Not applicable.

Responsibilities of Researchers

Faculty members, staff and students are responsible for:

Misconduct in Research

Misconduct in research means conduct that breaches standards and practices that are generally accepted within the relevant field of research. This may include a failure to meet any of the expectations set out in section 5 of this Policy and also includes the following:

Procedures

The University will exercise its authority and discretion under these Procedures in conformity with the principles of procedural fairness in the university context. The University respects the sensitive nature of an allegation or the information that individuals may provide under these Procedures. Such information will only be disclosed in accordance with these Procedures or as otherwise authorized by law. All records are maintained by the University in accordance with the Ontario Freedom of Information and Protection of Privacy Act and other applicable laws and orders of the Courts, and other bodies having jurisdiction over such matters.

Receiving Allegations

All matters relating to misconduct in research, including confidential enquiries, allegations of misconduct in research, and information related to allegations, are to be sent to the VicePresident, Research and Innovation (VPRI) and to the Associate Vice-President Academic (AVPA). If either of the VPRI or the AVPA is a named party to the allegation, the other party not named will assume all of the responsibilities under these procedures. If the VPRI and the AVPA determine that it would be inappropriate to address a particular allegation for whatever reason, or if both the VPRI and the AVPA are a named party to the allegation, the allegation may be referred to the President who will then assume all of the responsibilities of the VPRI under these procedures.

An allegation of misconduct in research may come from various sources inside or outside the University. For example, the allegation may come from a researcher, a granting source, a member of the general public, a media report, or an anonymous source.

The ability of the University to investigate an allegation may be affected if it is from an anonymous source, or if an allegation is not made in writing, and in some cases the University may be unable to proceed.

The VPRI will advise the President immediately if any allegations are received that are related to activities funded by a Tri-Council Agency that may involve significant financial, health and safety, or other risks. The President will then immediately notify the relevant Tri-Council Agency or the Secretariat on Responsible Conduct of Research (Secretariat) of such allegation. The notification will include the name of the researcher alleged to have committed the misconduct in research and the nature of the allegation.

At any time, the President may take such action as the President deems appropriate in order to protect the administration of University and outside funds, ensure that evidence is preserved, or prevent further possible misconduct or damage while the process outlined under the Procedure is carried out, including closing research facilities that are the subject matter of the allegation, freezing grant accounts or requiring a second authorized signature from a University representative on all expenses charged to the respondent’s grant account(s), and/or obtaining and securing relevant documentation (such as lab notes, electronically stored information or electronic storage devices, and proof of credentials).

Inquiry

Upon receipt of an allegation, the VPRI will conduct an inquiry to establish whether an allegation is responsible and whether an investigation is warranted. The VPRI will consult with the Dean of the relevant Faculty within five (5) working days in this regard. A responsible allegation is one that is made in good faith, is based on matters which have not been the subject of a previous allegation, and falls within the jurisdiction of this Policy.

At the conclusion of the inquiry, the VPRI may dismiss the allegation, or some aspect of the allegation, or may appoint an Investigative Committee to investigate the allegation, or may take such other action as the VPRI deems appropriate, including referring the matter to another appropriate University office.

At the conclusion of the inquiry, the VPRI will inform the respondent in the allegation, the President and the President of the respective Bargaining Unit in writing as to whether or not the University is proceeding with an investigation of the allegation. The VPRI will also normally inform the party who made the allegation.

If the Secretariat on Responsible Conduct of Research was advised of an allegation under section 8.4 above, the VPRI will also advise the Secretariat as to whether or not the University is proceeding with an investigation of the allegation within two (2) months of receipt of the allegation by the VPRI.

The inquiry process will normally be completed within ten (10) working days of receipt of the allegation by the VPRI.

In all cases of allegations, the respondent will be informed by the Dean within five (5) working days of the allegation being made against him/her, and will be given an opportunity to reply. The respondent will be notified that she/he has the right to be represented by the Faculty Association or other relevant bargaining unit and that she/he should contact their respective bargaining unit before responding to the allegation. For faculty members, the rights of the respondent in this Research Integrity and Responsible Conduct of Research Policy Page 5 of 7 regard are as more particularly set out in sections 60:10 (a) and (b) of the University of Windsor Faculty Association Collective Agreement.

Investigating Allegations

If the VPRI has determined that an investigation is warranted, she/he will, in consultation with the Dean of the relevant Faculty, strike an Investigative Committee consisting of the Dean (Chair) and two other individuals, at least one of whom will be external with no current affiliation with the University. The members of the Investigative Committee must be without conflict of interest, whether real or apparent, and must include members who have the necessary expertise.

The mandate of the Investigative Committee is to investigate the allegation and determine on a balance of probabilities whether the misconduct in research has occurred and if so, its extent and severity, and the degree of intent on the part of the respondent. The determination is made by majority vote.

The Investigative Committee may investigate the allegation using any means it deems appropriate in the circumstances, subject to the principles of procedural fairness in the university context. Such means may include the following:

Requesting written submissions from the respondent and any other parties with information that might be relevant to the allegations, including the party who made the allegation;
Interviewing the respondent and any other parties with information that might be relevant to the allegations, including the party who made the allegation;
Obtaining documents relevant to the allegation; o Requesting audits of any relevant sponsored research accounts; and
Consulting with other University offices or seeking impartial expert opinions and advice.

At the outset of each investigation, the Investigative Committee will inform the respondent of the process and timelines it intends to follow.

All faculty, staff and students must cooperate fully with the Investigative Committee and make available any documents requested by the Investigative Committee.

The investigation will normally be completed within fifty (50) working days of the receipt of an allegation by the respondent.

Report of the Investigative Commitee

Upon completion of its investigation, the Investigative Committee will prepare a written report which includes the following information:

The allegation;
A list of the parties who provided information and a summary of the information they provided; o A summary of the relevant documents and other material reviewed;
Findings of fact based on the information gathered during the investigation;
A determination as to whether misconduct in research occurred;
If misconduct in research is found to have occurred, a determination as to its extent and severity, and the degree of intent on the part of the respondent; and
Recommendations on any remedial action to be taken and/or changes to University procedures or practices to avoid similar situations in the future
Withdrawing any relevant articles, papers or other documents that have been submitted for publication but not yet published;
Notifying publications in which any relevant research was published or reported;
Notifying relevant external funding organizations;
Ensuring that the units involved are informed of appropriate practices for promoting integrity in research; and
Any other appropriate action to be taken, other than discipline.

The Investigative Committee will normally deliver its report to the VPRI, the President, the President of the Faculty Association or other relevant bargaining unit and to the respondent within sixty (60) working days of the receipt of an allegation.

Upon receipt of the report from the Investigative Committee, the VPRI will normally send a copy of the report to the party who made the allegation.

Recourse and Accountability

If the Investigative Committee determines that misconduct in research has not occurred, the President will make a final decision on whether any remedial action is necessary, and will communicate that decision in writing along with a copy of the report to the VPRI, the respondent, the President of the respective union, and when appropriate to the individual who made the allegation. In such instances, reasonable efforts will be made by the President to protect or restore the reputation of the respondent as appropriate.

If the Investigative Committee determines that misconduct in research has occurred, the President will forward the Investigative Committee’s report to the respondent, the respondent’s Dean and the President of the respective bargaining unit. Taking into account the severity of the breach, the President will normally consult with the VPRI and then make a final decision as to what discipline or other action is appropriate and will send a copy of the report and communicate that decision in writing to the respondent, the VPRI and the President of the respective bargaining unit.

All final decisions under section 12.2 above will normally be made and communicated within ten (10) working days of the receipt of the Investigative Committee’s report.

If the Investigative Committee determines that misconduct in research has occurred, the President may report the misconduct in research to other parties as deemed appropriate, including relevant external funding organizations, publication in which the relevant research was reported or to which it was submitted, or to those persons affected by the misconduct in research.

The VPRI will prepare a report for the Secretariat on the Responsible Conduct of Research on each investigation it conducts in response to an allegation of misconduct in research related to a funding application submitted to a Tri-Council Agency or to an activity funded by a Tri-Council Agency. The report will include the information required by the Secretariat on Responsible Conduct of Research, as set out under the reporting requirements in the Tri-Agency Framework: Responsible Conduct of Research . The report shall be forwarded to the Secretariat within seven (7) months of the receipt of the allegation.

The VPRI will publish anonymized, statistical annual reports on confirmed findings of breaches of this Policy and any actions taken.

The University and the faculty member, staff or student may not enter into confidentiality agreements or other agreements related to an inquiry or investigation that prevent the University from reporting to the Agencies through the Secretariat on Responsible Conduct of Research.

Appeal

Faculty members, staff or student(s) may appeal any discipline that is imposed under this Procedure through the grievance and arbitration procedures of their collective agreement or their terms and conditions of employment, if applicable.

Review

This policy will be reviewed and updated every five years or as required.

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Submission of Proposal Documents by Principal Investigators

Policy Title: Submission of Proposal Documents by Principal Investigators
Date Established: September 8, 2010
Office with Administrative Responsibility: Ofice of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019, July 26, 2011, October 14, 2010

Policy Statement

This policy outlines the requirements for submission of proposals, grants, agreements, and contracts (hereinafter collectively referred to as “proposal documents”) by Principal Investigators (PI) to the Office of Research and Innovation Services (ORIS).

Purpose

This policy is designed for the orderly vetting and processing of proposal documents on behalf of Principal Investigators at the University of Windsor. The main purpose is to ensure integrity, efficiency, and expediency in the processing of the proposal documents.

Scope

This policy applies to all proposal documents submitted by Principal Investigators to ORIS. This policy also applies in cases where co-Investigators at Windsor are parties to proposal documents being submitted by Principal Investigators from other institutions.

Exceptions to Policy

Not applicable.

Procedures

Proposal Documents Submission Procedures

All proposal documents (draft Research Grant/Contract Application) are submitted to ORIS for approval and must be accompanied by the ORIS Funding application Information Sheet and Checklist (hereinafter referred to as “ORIS Checklist Form”) The link to the forms found on the Office of Research Services website is: https://www.uwindsor.ca/research-innovationservices/sites/uwindsor.ca.research-innovationservices/files/oris_information_sheet_and_checklist_may_2016.pdf

At minimum, the Principal Investigator’s Department Head and Faculty Dean/Associate Dean of Research must review and acknowledge any associated University commitments by signing the ORIS Checklist Form. Any cash or in- kind contributions must be documented in writing by the contributing party and submitted to ORIS with the proposal document

Signatures are to be obtained on both the proposal documents (as required) and on the ORIS Checklist Form. The following steps are then taken:

Completed proposal documents signed by the Principal Investigator (or co- Investigator), are first submitted to the Academic Administrative Unit (AAU) Head.
Following departmental authorization, the Principal Investigator is responsible for obtaining authorization by the Dean or Associate Dean of Research for the Faculty.
One copy of the proposal document with the ORIS Checklist Form is submitted to ORIS, which will issue or obtain University authorization according to the nature and scope of the proposal document. Legal institutional signatories can only be obtained through ORIS. The Principal Investigator, his or her Dean or Department Head are not permitted to enter into grant or contract agreements without an institutional signature.
For e-submissions, the online submission by ORIS will take place after receipt and review of a hard copy of the proposal document and the completed and signed ORIS Checklist Form. Principal Investigators are responsible for producing their own copy of the proposal document for their records. Where electronic approval by ORIS is not required (i.e. when the Principal Investigator submits directly to the agency/sponsor), Principal Investigators are required to obtain the above internal approvals before clicking “submit”.

Unless otherwise stated, the proposal document and ORIS Checklist Form are to be submitted to ORIS five (5) business days prior to the agency/sponsor deadline. Internal deadlines for large competitions will be provided well in advance of the competition deadline. When internal deadlines are respected, ORIS will conduct an administrative review of the proposal document before obtaining institutional approval and signature. ORIS will review the proposal document to ensure that it complies with the funding sponsor’s posted guidelines, and that the Department and Faculty signatures have been obtained. However, please note that ultimate responsibility for meeting the funding agency proposal document regulations and guidelines rests with the Principal Investigator.

Unless specifically requested by the funding agency/sponsor, Principal Investigators are not required to obtain necessary certifications (e.g. Animal Care, Biohazard, Radiation, Research Ethics, Controlled Goods) for a proposal document until the proposal document is awarded. Any research activity involving the use of vertebrate animals, biohazards, radioisotopes, humans, or controlled goods must be approved by the appropriate certification committee prior to commencing such work as research funds will not be released to the Principal Investigator (i.e. funds will be placed “on hold”) by Research Accounting until such certifications are obtained.

Meaning of Signatures

Principal Investigator : indicates acceptance of academic, professional, scientific, technical responsibility and financial administration of the project. In addition, it represents an undertaking to observe agency/sponsor and University policies and regulations, as well as any special award conditions.

Academic administrative Unit (AAU) Head : indicates that the department is willing to accommodate the project; that required facilities and services are available; that the Principal Investigator meets known University and agency/sponsor eligibility requirements; and that the budget is appropriate and realistic. It also represents general acceptance of expressed or implied time commitments, including willingness to recommend leave or other special arrangements as specified in the application.

Dean or Director : indicates their knowledge of this research and acknowledge overall responsibility for the provision of all resources other than those covered by the award that are necessary for the project’s execution. They further certify that space and any alteration costs Submission of Proposal Documents by Principal Investigators Page 3 of 3 thereto are available from Faculty resources and that if this is not the case, they will obtain prior approval from the Provost and Vice-President, Academic (such approval to be attached).

Vice-President, Research and Innovation and Innovation and/or Executive Director, Research and Innovation : confirms that the institution will accept and administer funds in accordance with the agreed terms and conditions or will negotiate acceptable terms if these are not established at the time of application; and that, when applicable, the project has been, or will be, reviewed for human ethics, animal experimentation, radiation, biosafety hazards, or controlled goods. In cases where the PI is the Head of the Department, the “Head” signature shall be left blank as the Dean’s signature represents signing authority covering the Head and the Dean, and in cases where the PI is the Dean, the “Dean” signature section shall be completed by the Associate VicePresident, Academic who has signing authority over the Dean.

Authorization

Proposal documents for grants/proposals or contract research that are related to a faculty member’s commitment to research and which utilize University facilities/services, must be authorized by the University. An institutional signature indicates the University’s willingness to administer the research funds on the Principal Investigator’s behalf, consistent with the University’s policies. In particular, the institutional signature of the Vice-President, Research and Innovation or Executive Director, Research and Innovation indicates that:

The Principal Investigator (or co-Investigator) is a member at the University (consistent with agency requirements with respect to rank) who is undertaking independent research and who has time space, and basic facilities available.
The research is consistent with University and agency/sponsor policies including those associated with animal care, radioisotopes, controlled goods, biosafety, and research ethics approval with respect to human subjects.
Administration of, and accounting for, funds received by the University on behalf of the Principal Investigator will meet the sponsor’s terms and conditions.

Submission of Proposal Documents to Agency/Sponsor

The responsibility for submission of hard copies of proposal documents to the agency/sponsor rests with the Principal Investigator, with the exception of institutional proposal documents (e.g. CFI, CRC, ERAs), which will be submitted by ORIS.

Review

This policy will be reviewed and updated every five years or as required.

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Research Chair Policy

Policy Title: University of Windsor Research Chair Policy

Date Established: April 1, 2021

Office with Administrative Responsibility: Office of the Vice-President, Research and Innovation

Approver: Vice-President, Research and Innovation

Revision Date(s): N/A

Purpose

University of Windsor Research Chairs are created to enable the University to explore new and build on existing scholarship, creativity, and research strengths by attracting and retaining bright minds in key disciplines that help us meet our Grand Challenges. These chairs are independent from research chairs of federal and provincial agencies; this University of Windsor Research Chair program is unrelated to former research chair programs of the University that have now been discontinued. As experts in their fields, University of Windsor Research Chairs bring prestige to our institution, deepen our knowledge of the world around us, and maximize our benefit to society. Not only do University of Windsor Research Chairs expand on our areas of strategic research importance, but they also serve as role models and mentors to the next generation of scholars, artists, scientists, and engineers by contributing directly to their development through supervision, teaching, and coordination of research endeavors.

This policy guides the establishment, recruitment, appointment, review, and renewal of University of Windsor Research Chairs.

Scope

This policy applies to University of Windsor Research Chairs, including endowed research chairs, partially endowed research chairs, and externally funded research chairs. Chair agreements that came into effect prior to the established date of this policy are exempt from its conditions and requirements.

Policy Statement

University of Windsor Research Chairs are established by the President on the recommendation of the Vice-President, Research and Innovation in consultation with the Provost and the Dean of the Faculty in research fields of priority as specified in the University’s Strategic Research Plan. Guided by the Dimensions Charter signed by the University, principles of equity, diversity and inclusion will be applied in all aspects of the establishment, recruitment, appointment, review, and renewal of the University of Windsor Research Chairs.

Except where indicated otherwise, recruitment and appointment of University of Windsor Research Chairs follow the process outlined in Article 12 Appointment of Members, Section III Research Chairs, Subsection 12:10a of the Windsor University Faculty Association Collective Agreement .

University of Windsor Research Chairs will normally hold or be eligible to hold a full-time tenured or tenure-track position as an Assistant Professor, Associate Professor, or Professor.

Prior to the end of their term, University of Windsor Research Chairs will report on the outcomes of their Chair program and undergo review in accordance with the University of Windsor Faculty Association Collective Agreement and at the direction of and following the process established by the Vice-President, Research and Innovation.

Accepted principles of equity, diversity, and inclusion must be applied in all aspects of the establishment, recruitment, appointment, review, and renewal of UWindsor Research Chairs.

There are three categories of University of Windsor Research Chairs:

Endowed Research Chair

University of Windsor Research Chairs can be established through endowment funds comprising philanthropic gifts. To meet the fully endowed category, the annual interest derived from such a gift must exceed the annual Chair salary and benefits. Given the current period of low interest rate, and depending on the investment vehicle available, it is anticipated that such gifts will need to be $7 million or larger.

The research area of an Endowed University of Windsor Research Chair is determined by the President at the recommendation of the Vice-President, Research and Innovation in consultation with the Provost and the Dean of the Faculty. Endowed University of Windsor Research Chairs are not in principle permanently allocated within a specific research area, Faculty, or Department unless stipulated specifically by the donor of the funds. Donors are not involved in the recruitment or appointment of University of Windsor Research Chairs.

Endowed University of Windsor Research Chairs are open to internal candidates, external candidates, or both. University of Windsor Research Chairs, though prestigious, are considered regular faculty appointments.

A University of Windsor Research Chair established through endowment funds will normally be appointed for a five-year term. The Chair is eligible for renewal of an additional five-year term following satisfactory review using a process comparable to that of Canada Research Chairs and based on continued adequacy of the interests generated from such endowment to support the Chair’s salary and benefits.

Partially Endowed Research Chair

University of Windsor Research Chairs can also be established through endowment funds comprising philanthropically generated funds of $1 million or more paid over a maximum of five years. Such a Chair can only be in the partially endowed category as the annual interest derived from such a gift will not meet the annual Chair salary and benefits, leading to drawing down of the principle.

The research area of a Partially Endowed University of Windsor Research Chair is determined by the President at the recommendation of the Vice-President, Research and Innovation in consultation with the Provost and the Dean of the Faculty. These Chairs are not in principle permanently allocated within a specific research area, Faculty, or Department unless stipulated specifically by the donor of the funds. Donors are not involved in the recruitment or appointment of University of Windsor Research Chairs.

Partially Endowed University of Windsor Research Chairs are open to internal candidates, external candidates, or both. Where an endowed University of Windsor Research Chair is open to external candidates, the Dean of the Faculty must identify a base-funded position for the Chair. University of Windsor Research Chairs, though prestigious, are considered regular faculty appointments.

A Partially Endowed Research Chair will normally be appointed for a five-year term. The Chair is eligible for renewal following satisfactory review using a process comparable to that of Canada Research Chairs and based on availability of an additional donation of $1 million or more to accommodate a further five-year term.

Externally Funded Research Chair

University of Windsor Research Chairs can be established through funds provided by an external sponsor of normally $1 million or more paid over a maximum of five years. A lower sponsorship amount may be negotiated with the Vice-President, Research and Innovation, and approved by the President, if the Chair’s appointment is considered to provide an exceptional research opportunity.

Externally funded University of Windsor Research Chairs may be supported via funding provided by granting agencies, industry, government, or community partners, or through a combination of these sources. Externally funded University of Windsor Research Chairs are subject to the terms and conditions associated with funding for the Chair as agreed upon with the external sponsor.

The research area of an externally funded University of Windsor Research Chair is determined by the President at the recommendation of the Vice-President, Research and Innovation in consultation with the Provost and the Dean of the Faculty unless stipulated specifically by the external sponsor of the Chair.

Externally funded University of Windsor Research Chairs are open to internal candidates, external candidates, or both. Where an externally funded University of Windsor Research Chair is open to external candidates, the Dean of the Faculty must identify a base-funded position for the Chair. University of Windsor Research Chairs, though prestigious, are considered regular faculty appointments.

An externally funded University of Windsor Research Chair is normally appointed for a five-year term. External sponsors are not involved in the recruitment or appointment of University of Windsor Research Chairs.

Externally funded University of Windsor Research Chairs are eligible for renewal following satisfactory review using a process comparable to that of Canada Research Chairs, subject to policies of the external sponsors, and based on availability of funding for an additional five-year term.

Review

This policy will be reviewed and updated every five years or as required.

Version: 2021-03-25

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Policy on Establishing a Lab Fees Account

Policy title: Opening Lab-based Research Accounts (fee-for-service)

Policy number: ORIS-2021-001

Estbalished: January 12, 2021; Executive Director, Research and Innovation

Approved by: Vice President, Research and Innovation

Last approval date: May 19, 2021

Revision date: N/A

Position responsible for maintaining and administering policy: Executive Director, Research and Innovation

Contact: ORIS Administrative Coordinator, oris@uwindsor.ca (519) 253-3000 ext. 3372

Policy Statement

This policy outlines the conditions for lab-based research grant accounts to be opened.

This policy defines what a lab-based research grant account is, the process for opening such an account, invoicing protocols, and the guidelines that must be adhered to for the account to maintain an active status.

Definition and Scope

A lab-based research grant account (lab account) has the purpose of supporting internal and external use of a researcher’s managed equipment or services, paid for by a fee-for-service basis. This type of account may be preferred for research groups that conduct multiple, small-scale fee-for-service activities that require quick turn-around time.

Example 1: A lab has purchased equipment (e.g. Quantitative Imaging Infrastructure) for which they will charge others to use
Example 2: A researcher has performed a service for another party (e.g. a lab has analyzed waste particles on behalf of an external company)

The researchers name in which the lab account has been opened (PI) will be responsible for ensuring all financial administrative requirements and policies will be met. This includes that the use of funds are in accordance to University of Windsor policies for research expenditures and that any external revenue collected adheres to the University of Windsor’s policy on overhead and indirect costs, no overhead reductions will be granted for lab accounts. The PI will also be responsible for coordinating with Research Finance to ensure internal and external users have been invoiced appropriately, and that the appropriate overhead for external users has been charged. User fees and costs for services, as well as quotation generation, are also the responsibility of the PI and should be determined based on all relevant expenses (e.g. personnel time, consumables, hours of equipment use, 40% overhead, and so on).

On all external transactions 40% overhead must be charged on the direct costs of the research and/or service being provided . It is the responsibility of the PI to outline this requirement to the external party being invoiced. It is the responsibility of Research Finance to ensure that this additional charge is included in all funding received, prior to it being invoiced and/or deposited.

The PI ensures that use of funds from this account comply with University policies and procedures, are necessary for the operation of equipment or provision of services relevant to this account, and that there are sufficient funds to cover any transactions being charged to the lab account.

Process for requesting a lab-account be opened

The PI will submit to their Dean and ORIS, a one-page outline of the request for a lab account to be opened. This will detail the nature of the items that are being anticipated to be charged to the account, and a short summary of the administrative process that will be followed for the quotation of research and/or service being provided as well as the process for the generation of invoicing. A summary of the anticipated use of the funds is also required. In addition, an ORIS form (or through the eRSO Research Portal) to request this account be opened, signed by the Department Head and Dean is also required. This is necessary to confirm that there is a need for this account to be opened and that a standard fee structure has been developed.

Upon review and approval of the Executive Director Research and Innovation, ORIS will submit a request to open an account to Research Finance following standard operating procedures.

The initial amount requested will have a value of $1 with no maximum ceiling. This is to be noted in the request to open an account.

Lab accounts will have an end date of 5 years from the date of opening, upon which time they may be extended for another 5 years. Requests for extensions to lab accounts would need to be made through the Executive Director Research and Innovation. This is to ensure that inactive lab accounts are closed, when a PI retires or moves to another institution, for example. If there is a residual balance in the Lab account to be closed, these funds will be directed to an Internal General Research Fund that is under the authority of the Vice-President Research and Innovation. At any point in time if the lab account becomes overdrawn or overspent, the PI will be responsible for funding any deficit.

Invoices are issued to the users of the equipment or to recipients of the service. There is a maximum amount for an external invoice of $10,000. Any amount in excess of $10,000 should be discussed with the appropriate Research Coordinator in ORIS in order to determine the appropriate course of action.

External invoices: PIs must email resfinance@uwindsor.ca with the following information for an invoice to be issued:

Contact information for invoicing
Amount for direct costs (equipment use/service)
Amount for overhead (at 40%) on top of direct costs
External Invoice Request Form

Internal charges: PIs must email resfinance@uwindsor.ca with the following information for a journal transfer:

Amount for direct costs (equipment use/service)
Account number for funds to be transferred from
No overhead would be charged

Policy dissemination

The policy will be disseminated to the university research community and will be available on the ORIS website, http://www.uwindsor.ca/researchservices/ .

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Policy on Responsibilities of Principal Investigators

Policy Statement

This Policy outlines the duties and responsibilities of Principal Investigators in the normal course of holding grants at the University of Windsor

The University as a steward of the research funds provided through an award has established a series of policies and procedures aimed at ensuring:

The ability to comply with the regulations of the research sponsor;
The proper management of the grant funds;
Accountability to the sponsor and other university stakeholders; and
The effective conduct of the research activities in accordance with the highest standards of professionalism, safety, animal care and ethics.

The University delegates the overall responsibility for the pursuit and management of the research proposal to the Principal Investigator as an employee of the University and as the person who is most knowledgeable about the research proposal. The University supports the Principal Investigator in meeting his/her responsibilities by providing organizational infrastructure to support compliance with the requirements of the University and the sponsor.

Principal Investigators are responsible for conducting their research as indicated in the proposal, and for the overall sound administration of all research funds allocated to them, including:

The proper allocation of research funds and sound financial management;
Human resource management and supervision of employees and students;
Ensuring a safe working environment that aligns with the principles of the Equity, Diversity, and Inclusion in Research policy ;
Ensuring compliance with the terms and conditions governing the grant or contract;
Ensuring all regulatory requirements and compliance for research involving humans and/or animals;
Ensuring all expenditures comply with the funding agency guidelines and meet eligibility criteria; and
Ensuring that expenditures do not exceed the value of the award.

Definition and Scope

Principal Investigator
Research personnel
Highly Qualified Personnel (HQP)
Research Finance
Research Grant Account

Financial Management

Effective financial management is expected and required of all Principal Investigators conducting research at the University of Windsor. Accountability of these research funds is demonstrated by ensuring the following:

Grant Account Terms

All grant accounts will be assigned start and end dates, regardless of funding source. Principal Investigators are responsible for being aware of their grant account end dates, and for understanding the funding source’s policy on unspent funds. Normally, grant account dates will be tied to the start and end dates associated with the application to external funding agencies. Extensions will be subject to the policies of the funding agency. For internally funded accounts such as startup funds (i.e. those not tied to a limited-term internal grant program) will generally be limited to five years, with unspent funds being returned to the department or faculty which funded them. Extensions of these accounts may be requested and are at the discretion of the Executive Director, Research and Innovation.

Financial Planning

It is required that all Principal Investigators plan, allocate and distribute their expenditures in a manner which will provide for reasonable completion of their project within the financial limits of the award. Principal Investigators must ensure eligibility of all expenses in accordance with rules and regulations of the University, and the sponsor and plan for contingencies.

Financial Transactions

The Principal Investigator initiates and approves all requests for commitments and transactions for supplies, services, and remuneration. The Principal Investigator ensures that activities comply with University policies and procedures and the requirements of the sponsor and that the activities are eligible costs under the guidelines for the award or contract and have been approved in the budget submitted to the sponsor. The Principal Investigator sees that the expenses or commitments are charged to the appropriate Grant Account, are necessary to the research endeavor being undertaken, and that there are sufficient funds to cover the transaction.

Financial Monitoring

The Principal Investigator ensures constant supervision and monitoring of the funds by reviewing the monthly accounting statements provided by Research Finance and identifying and reporting any discrepancies, errors and inconsistencies to Research Finance. The Principal Investigator exercises financial control over grant funds through the review of claims, submission of original vouchers, stubs, receipts, and other documentation, the authorization of all expenditures, and the review of all applicable financial reports.

Principal Investigators are accountable and responsible for all deficits resulting from over-expenditures, expenses deemed ineligible by the sponsor or for failure of the Principal Investigator to comply with the rules and regulations of the sponsor. Principal Investigators must ensure that their available funds are not over-spent, and shall work with Research Finance to make the necessary arrangements should this occur. Principal Investigators should take all possible steps to communicate with Research Finance before an over-expenditure occurs, if possible.

Financial Reporting

The Principal Investigator ensures that all financial reports prepared by Research Finance, as required by the sponsor, are carefully reviewed and approved for submission in a timely manner. All financial statements, reports, and invoices must be submitted to the research sponsors by Research Finance after review and approval.

End-of-grant and unspent funds

Principal Investigators are responsible for being aware of a) when their grant ends and b) what the funding sponsor’s policy on unspent funds requires. Where a request for an extension may be needed, the Principal Investigator is advised to contact their Research Coordinator in ORIS to facilitate the formal request to the agency. Adherence to other policies and procedures

Principal Investigators must know, understand and apply all applicable policies and procedures of the University and of the sponsor. Where there is a difference between the policies of the University and the sponsor, the more stringent requirement will be followed.

Conduct of Research

Principal Investigators are responsible for the conduct of their research projects, including:

Doing the work, monitoring, and controlling the progress of the project in a professional manner;
Ensuring compliance with University policies and procedures including the Research Integrity and Responsible Conduct of Research Policy (VPRI-13-002);
Ensuring compliance with the sponsor’s rules and regulations and contractual terms and conditions;
Ensuring compliance with the Tri-Agency Framework: Responsible Conduct of Research ;
Ensuring that all research being conducted with human participants is adhering to the Tri-Council Policy Statement and meets all University Research Ethics Board requirements and guidelines;
Ensuring that all research being conducted with animals in adhering to the Canada Council on Animal Care (CCAC) guidelines and meets all University Animal Care Committee requirements and guidelines;
All scientific and technical discussions with the sponsor and reporting to the sponsor. In particular, the Principal Investigator must ensure that all non-financial reports (progress and final reports, deliverables, etc.) required by the sponsors are submitted in a timely manner, as required to ensure that the University receives the committed funds; and
Supervising their support staff and students, in accordance with the University’s policies and procedures. The Principal Investigator is responsible to oversee all research conducted by his or her students and research staff and must ensure that all research personnel are aware of and abide by the terms and conditions of the award and the policies and procedures of the University.
Ensuring their research team has an equitable working environment that nurtures learning and respects intersectional identities of all team members in accordance with the Equity, Diversity, and Inclusion in Research policy

Matters with Sponsors

The Principal Investigator is responsible for all interactions with the sponsor related to the technical aspects of the research project. The Principal Investigator must inform and provide any correspondence/documentation to ORIS, for all matters related to changes to the research project, including changes in dates, budget allocations, increases or decreases to the amount awarded, and any changes to the project which may require written amendment or written approval.

Principal Investigators are not authorized to sign applications, proposals, contracts, or contract amendments on behalf of the University. All documents of this nature must be signed by the Executive Director, Research and Innovation or the Vice-President Research and Innovation. All financial statements reports and invoices must be submitted to the sponsors by Research Finance after review and approval.

Process for Communicating Policies

The policy will be disseminated to the university research community and will be available on the ORIS website, http://www.uwindsor.ca/researchservices/ .

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Other Policies

The University of Windsor has a number of policies and guidelines concerning faculty members/researchers, some of which are applicable to the conduct of research. Please review the following:

For more policies please visit the Provost website .