Transcript Award process - University of Ottawa

Research Proposal Road-Map
Four stages…all subdivided
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1) Proposal Stage
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2) Pre-award
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Finalize proposal
Finding research funding
3) Award stage
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Idea/call for proposal
Getting the award
What type?
4) Post-award
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Award management
Research Project Management
Project closure
Proposal Stage grant/contract
Idea
Contact
faculty
Research
Facilitator
Call for
Proposal/
RFP from
potential sponsor
Draft
proposal
(RF + PI)
if RFP
Identify
possibilities
of funding
Sources (RF)
Obtain internal
approval and
forms (RE)
Definition
Grants vs Contract
(Link)
Grant
(RGES)
Contract
(TTBE)
Contract
(SDI)
PI= Principal Investigator
RF = Research Facilitator
http://www.rges.uottawa.ca/grants/forms/Grants_VS_contract.pdf
Pre-Award
Grants
If Draft proposal
+ funding source
= Grant
Determine application
process, criteria and
Requirements
(RF, PI, RGES)
1. Finalise proposal and identify any
compliance requirements (RF, PI, RGES)
2. Get institution approval (RF, PI)
3. Corporate award system data
capture (RGES)
Send
Proposal (RGES-PI) to
identified Funding source
Contract
If Draft proposal
+ funding source
= Contract
Determine application
process, criteria and
Requirements
(RF, PI, SDI, TTBE)
1. Finalise proposal and identify any
compliance requirements (RF, PI, SDI,TTBE)
2. Get institution approval (RF, PI, SDI,TTBE)
Send
Proposal to identified
Funding source(SDI, TTBE)
Notice /
Confirmation
Contracts go
to SDI, TTBE;
Grants go
to RGES
Award Stage
Notice: Contract process
Advise PI
TTBE/Sponsor
Negotiate
T & C’s
SDI (Ts & Cs set)
Project
Starts!
Amendments
SDI/TTBE/RGES
No
Contact
researcher
for required
documents
Yes
Verify/Negotiate
- Terms and conditions (T & C’s)
- Compliance requirements
- Completeness (RE form,
proposal budget)
- Approval/signature
Yes
NOD to inform
Researcher
Finance Faculty
Department
Finance advance budgets
-Corporate
award system
data capture
-Open account
Post-Award management
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Principal Investigator:
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Supported by faculty administration
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Managing Research and Research progress
Research team management
Budget management
Human Resources management
Projects milestones etc.
Budget processing and analysis
Human Resources processing
Project management advice
Supported by Central service (SDI/TTBE/RGES/FIN)
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Liaison with outside sponsors (RGES/TTBE/SDI)
Expert advice in project management (RGES/TTBE/SDI)
Problem solving through course of project (RGES/TTBE/SDI/FIN)
On-going management of compliance (RGES/TTBE/SDI)
Invoicing/financial report – Finance Services (FIN)
SDI = Strategic development Initiatives
TTBE = Technology Transfer and Business Enterprise
RGES = Research Grants and Ethics Services
FIN = Finance Research and Trust
In summary
From Idea to Grant/Contract
Proposal
Grant
Grant
/
Pre-Award
Award
Post-Award
Grant/Contract
Stage
Contract
Contract
Grant and Contract differences
Grants:
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Usually a simple award letter
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Research proposal is well defined but
normally there is no formal agreement
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Likely no confidentiality restrictions
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Ownership of any intellectual property
resides with the institution
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Unrestricted rights to publish research
results without pre-review or time delay
involving the sponsor
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Annual renewal – No termination provisions
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Flexible time frame; no detailed schedule of
word. Research proposal and direction of
research lies with the researcher
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Few deliverables (progress/final report?)
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Payment in advance generally lump-sum
payments (not based on deliverables not a
reimbursable basis)
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The project/budget can be changed by the
principal researcher without notice generally
no honorarium for principle investigator
BACK
Contract
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Legally binding agreement
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A defined scope of work/research plan,
obligations and responsibilities
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Requirement to sign confidentiality
agreement ie. Proprietary data or
knowledge (NDA)
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Foreground intellectual property and
ownership are clearly defined and option to
license grated to the sponsor
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Restrictions on Publication Rights such as
pre-review by sponsor
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Termination provisions
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Detailed work schedule, including
milestones and date for final deliverables.
Restrictions on scope of research
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Specific deliverables, report requirements
and timelines defined
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Payment may be made in arrears and tied
to milestones and deliverables. Little budget
flexibility – establishes firm, details budget
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Changes to scope of work/budget requires
consent of sponsor
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Investigator honorarium may be included in
budget