Establishment of Research Grant or Contract Account Policy

Policy Number: Office of Research and Innovation Services – November 21, 2013 ‐ Policy Number ORS‐13‐014
Established: November 21, 2013 by the Office of Research and Innovation Services
Approved by: Executive Director, Research and Innovation
Last Approval Date:  May 7, 2014
Position Responsible for Maintaining and Administering the Policy: Executive Director, Research and Innovation
Contact: Diane Awram
dawram@uwindsor.ca
(519) 253‐3000; ext: 3919


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.


Exceptions to Policy

None


Documents required from Principal Investigators or Co‐Investigators for Establishment of a Grant or Contract Account

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”). This form must be completed, signed by the Applicant, the Head (if applicable), and the Dean.

  1. 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.
  2. 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 Process for Policies

The policy will be reviewed periodically and updated as required.


Process for Communicating Policies

The policy will be distributed to members of ORIS and the research community and will be available on the ORIS website.