University of Saskatchewan Policies
Administration of Research Grants and Contracts
|Authorization:||Board of Governors|
|Date:||June 27, 2002|
To ensure that grants and contracts are administered in accordance with the mission, procedures and principles of the University and in a fiscally responsible manner.
All grants and contracts are held by the University. All funds associated with grants and contracts, and any assets purchased with those funds, belong to the University unless otherwise stated in the terms and conditions of the grant or contract. Funds received will be managed in accordance with Policy #8.22 Administration of Research Funds.
All applications for grant awards must be authorized by the delegated signing officer(s) of the University. The Vice-President (Research) is given the responsibility and authority to ensure that the terms and conditions of the grant award are met.
The University of Saskatchewan must be named as the contract holder in research contracts that involve the University and any persons holding an academic appointment therein. For a contract to be binding on the University, contracts must be signed by the Chair and the Secretary of the Board of Governors, or by those specifically authorized by the Board of Governors to sign on their behalf.
Research Services is authorized and bears responsibility to coordinate and participate on behalf of the University in all negotiations for contract-supported research.
Personal contracts for research and other services between an individual and an external agency will not be accepted for administration by the University, nor may University facilities be used for work carried out under such contracts, without the establishment of a contract for such services or facilities use between the individual and the University.
Only individuals with an academic appointment (faculty, professional research personnel, emeriti, adjuncts, part-time faculty) can be a principal investigator on a research grant or contract held by the University. Exceptions may be granted by the Vice-President (Research), subject to appropriate conditions.
All research grants and contracts held by the University, unless otherwise exempted, must provide an allowance for overhead. Exemptions from overhead or variations in standard rates require prior approval of the Vice-President (Research) in consultation with the Dean or Associate Dean of the Colleges in which the research is being conducted. Research overheads shall be administered in accordance with Policy #TBD "Administration of Research Overheads".
Grant and contract research involving graduate students must adhere to the policies and procedures of the College of Graduate Studies and Research.
All research conducted using funds from grants and contracts must adhere to University policies and procedures.
1. Identifying grants and contracts
In the following section, Sponsor is taken to mean the agency, organization or entity that funds the grant or contract. The Grant or Contract holder is the University. The Investigator or the Principal Investigator is the individual who is primarily responsible for carrying out the research of the grant and/or terms of the contract. The Investigator will also be considered the "Financial Manager" associated with the grant or contract.
Grants are those awards that typically have the following provisions:
- Payment is made by the Sponsor to the University in advance
- The Investigator has control of the research project or program.
- Publication rights of the Investigator are not restricted.
- Ownership of all intellectual property rights is relinquished by the Sponsor.
- All assets purchased for conducting the research are owned by the University.
Contracts are those agreements (awards) that differ from grants in some or all of the following:
- The scope of the work is defined in the agreement.
- The timeframe for completion is specified in the agreement.
- The agreement specifies performance obligations on the part of the University and Investigator (e.g. specific deliverables or reports)
- Payments are made in arrears (based on actual expenditures). Some portion of each payment may be withheld until a milestone is reached, or a deliverable is completed and a report is submitted and accepted.
- The University requires that contributions be made to the indirect costs of carrying out the research (overhead allocation).
- There is an allowance for either party to terminate the agreement.
- The agreement specifies terms for confidentiality of information.
- The agreement makes provision for the payment of a stipend, fee or honorarium to principal or co- investigator(s).
- The agreement specifies restrictions or limited time delays on the publication of research results.
- The assignment of intellectual property rights or copyright are made to the sponsor. The sponsor may be given the rights to use results for non-commercial purposes or they may be given the option to acquire a license to use a newly developed technology.
- The agreement requires indemnification and insurance provisions for the protection of one or more parties.
- The ownership of equipment remains with the sponsor.
- The agreement specifies warranty terms - i.e. that professional standards are to be followed but the results are not guaranteed.
- All grant applications must be approved, by signature, by the Principal Investigator, Department Head, and/or Dean (or designate).
- All grant applications must be approved, by signature, by the Vice-President (Research) or designate.
- All contracts must be approved and signed by the Chair and Secretary of the Board of Governors, or by those specifically authorized by the Board of Governors to sign on their behalf. All contracts must also be approved, by signature, by the Principal Investigator, Department Head, and/or Dean (or designate).
3. Pre- and Post-Award Administration
- Research Services shall be responsible to establish guidelines and procedures for pre- and post-award administration of grants and contracts. These guidelines and procedures should first and foremost be designed to facilitate and support University researchers' attempts to secure research grants and contracts in a manner consistent with the mandate and mission of the University.
- The Principal Investigator holds primary responsibility to ensure that the research is conducted in accordance with the terms and conditions of the grant or contract and in accordance with the policies and procedures of the University.
- Research Services is responsible to ensure that University policies and procedures are followed and that any obligations of the University to external funding agencies are met.
5. Administration of Research Funds
- Research funds shall be administered in accordance with Policy #8.22 Administration of Research Funds.
Contact: Director, Research Services (966-8575)
Copyright 2007, University of Saskatchewan
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