What do the Deans, Chairs and PI signatures signify? Each signature represents differing levels of responsibility and commitment
for the conduct of the research and the support of resources.
How
much time is required by Research Development & Services (RD&S)
for institutional signature on proposals/applications? 3-day turnaround time requested; applications are processed as quickly as possible RD&S
has only one dedicated person for signature process (approximately
1,800 grant applications are signed per year; with 65% processed
through the Pre-Award Grants Facilitator. The Tri-Council applications
represent less than 50% of all applications processed) Certain
programs may require additional time for review. For example: matching
programs or programs that require an inter-institutional commitment Who is the first contact in RD&S for institutional signature or questions? External grants - Katy Pocock, Pre-Award Grants Facilitator (katy.pocock@uwo.ca or x80242) Internal grants – Florence Lourdes, Internal Grants Coordinator (flourdes@uwo.ca or x84500) Early contact with Katy or Florence is encouraged, especially if guidelines are unclear What does the institutional signature mean on the sponsor application and ROLA Proposal? Western’s
institutional signature commits Western to the terms and conditions as
set out by the Sponsor at the time of application
Prior
to signature, a full internal review of the application, sponsor
guidelines, and any agreements are completed by RD&S All risks and deliverables attributable to grant applications are assessed prior to Western’s signature There
are only four authorized Board approved institutional signatories for
research grant applications, agreements, and contracts at Western, all
of whom have extremely busy schedules and are often not available for
last minute signature. Is the institutional signature required on all applications for research funding? Yes.
Western's institutional signature is required on all research
proposals, applications, grants, contracts, letters of intent, etc.,
even if not directed by the sponsor (see MAAP 7.5 & MAAP 7.8) What is the requirement for signature if I am a Co-PI on an application? A ROLA Proposal with PI, Chair and Associate Dean
Research signatures needs to be processed through to RD&S for approval. This
allows RD&S to review the commitments being made in the application.
What is the requirement for signature if I have a co-applicant from another institution on my proposal/application? A ROLA Proposal with PI, Chair and Associate Dean
Research signatures needs to be processed through to RD&S for approval. This
allows RD&S to review the commitments being made in the application.
Signatures on Sponsor Application for all required parties (Co-PI & Co-PI Institution) if mandated by Sponsor. A full copy of the sponsor application is required What if there is no space on the application for institutional signature? Regardless
of whether there is a designated location on the form, an authorized
institutional signature, and ROLA Proposal is required for all applications for research funding leaving the university (see MAAP 7.5 & MAAP 7.8) What does RD&S do upon receipt of an application? Actual
review time can take anywhere from 15 minutes, or up to several full
working days, depending on complexities and the number of internal
individuals required to review certain aspects of the application and sponsor guidelines. A review includes: Guidelines
are obtained to ensure complete review of application. Guidelines are
often readily available online, but in some cases, guidelines are
provided directly to researcher (PI) by sponsor, and RD&S
must request these from the Principal Investigator (PI).
Guidelines
are reviewed for eligibility, Intellectual Property issues, liabilities
and warranties, indirect costs, terms and conditions or reference to an
Agreement (any Agreement, if available, is also reviewed, as
application signatures may commit Western to terms stipulated in an
unseen Agreement) Eligibility of researcher to hold a research account at Western is confirmed. If
appointment is not yet on HR system, or PI is not eligible, Department
and/or Faculty or Faculty Relations must be contacted to complete HR documentation and inclusion in the HR system. Grant
application is reviewed to ensure accuracy with respect to guidelines,
contact information, budgets, administrative detail Ensure all signatures have been obtained, as required by agency/sponsor. i.e. co-investigators, partner institutions Confirm ROLA Proposal is submitted, with Chair and ADR
signatures. These signatures commit the Department and Faculty to the
resources outlined in the research proposal, and provide awareness to
the Chair and ADR of the applications being processed for their areas PI is contacted if any comments or concerns Sponsor may be contacted for clarification of guidelines, if necessary, or to assist PI with any questions Route application to the Contracts team for review if industry involvement or contract requirement Aren’t all application guidelines the same? The
variety of applications received in any one day may involve from six to
ten different sponsors and/or programs; all of which are
governed by separate guidelines. To ensure proper risk management for
Western, each application and its governing guidelines must be reviewed.
Some guidelines are complex and subject to interpretation.
In-house consultation within RD&S may be required before signatures can be finalized. With the advent of electronic applications shouldn’t the review be quicker? With
the current high competition for research dollars, grant applications
are submitted to many different sponsors and programs,
including the Tri-Council (SSHRC, CIHR and NSERC) and sponsors
around the world. Sponsors using electronic submission
processes often require RD&S to be registered and functional as the
institution within these electronic systems. These application and
approval systems are becoming more complex to learn, navigate, and
effectively administer. In addition, some of the Sponsors are
requiring on-line submission of activity reports which require
institutional release and approval through RD&S. Isn’t RD&S duplicating the review that is conducted in the Department/Faculty? As
Chair and ADR review processes vary across campus, RD&S does not
presume the level of review provided by any Department or Faculty
Chairs
and ADR’s are concerned about the commitment of resources and the
science of the project; RD&S does work very closely with the
Research/Grant Facilitators within the faculties and consultation
ensures that work flow is smooth and not duplicated. Is there an advantage to provide RD&S with advanced notice of my potential application? Yes,
the RD&S contact who reviews applications is also responsible to
respond to a high volume of queries from Western’s research community
on application and signature processes
RD&S
encourages early contact which assists in ensuring there are no
“surprises” at signature time; Program guidelines can be reviewed,
providing the opportunity for discussion on any specific issues or
requirements Last minute signature requests are
problematic as proper review requires time and required signatures may
be missing. Since the types of sponsors and applications can
vary across campus, there may be major deadlines in certain disciplines
of which others are not aware. A last minute application presented may
not receive the attention or quick turnaround expected. What are the common errors found on applications? Common application errors include: Budget errors – adding errors, totals from one page do not match totals on summary pages Inadequate budget justifications, or numbers do not match the budget Missing
or incorrect indirect cost recovery (overhead); indirect costs MUST be
included at the maximum allowable rate provided within sponsor
guidelines Page limitations are exceeded and will be removed by Agency before review Incorrect page numbering Missing or incorrect signatures (Institution signature for Western is ONLY through RD&S) Spelling or grammar errors Incomplete paragraphs or sentences Missing pages or sections of applications Last
minute requests for signatures increase the risk to Western that a
critical element may be missed in the review and researchers run the
risk that a signatory may not be available, or that the application
requires revision prior to signature.Procedures: Institutional Signature FAQ's
Institutional Signature Process for Research Proposals/Applications
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See http://www.uwo.ca/research/docs/Meaning_Signatures.pdf
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519-661-3136
rolahelp@uwo.ca
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