| Policy #: | 5210 |
| Subject: | Policy Statement on Research Contract Administration |
| Group: | Institutional |
| Approved by: | Provost and Vice-President, Academic & Research |
| Approval date: | 1 September 2010 |
| Effective date: | |
| Revised: | |
| Administered by: | Provost and Vice-President, Academic & Research |
This policy document provides direction for the administration of all research agreements, for the purpose of properly managing research funds other than those received from the Tri-Council granting agencies.
The administration of research agreements begins with the pre-award phase of review of proposals and contracts to determine the University’s ability to support them and sign for them.
If you expect to be compensated in addition to your usual salary for any research you may undertake, you should consult other appropriate documents, especially the Collective Agreement (article 12.03 and others) between Mount Allison University and the Mount Allison Faculty Association.
It is the responsibility of all researchers to consult with the
Office of Research Services regarding this policy prior to submitting
proposals to Sponsors.
|
Research
Grant |
Contribution
Agreement (Grant in Aid) |
Research
Contract |
Research
Service Contracts |
| Work conceived and planned by investigator | Subject area suggested by external organization, project idea initiated by investigator and jointly planned with external organization | Work conceived by contractor or jointly with investigator. Both parties participate in planning | Contractor defines work |
| Generic description of deliverables | General description of deliverables with some flexibility in content and timing | Specific deliverables with time lines | Specific deliverables with time lines |
| Payment fully committed in advance | Payment may be fully committed in advance | Payment by installments on completion of deliverables | Payment on completion of deliverables |
| No payment for Principal Investigator's time | No payment for Principal Investigator's time | May include payment for Principal Investigator’s time | May include payment for Principal Investigator’s time |
| Very limited or no restrictions on publication | Very limited restrictions on publication | Results may be confidential with restrictions and delays on publication | Results are confidential with restrictions and delays on publication |
| Projects may be suitable for senior undergraduate or graduate students | Projects may be suitable for senior undergraduate or graduate students | Publication restrictions may make projects unsuitable for student research | Publication restrictions make projects unsuitable for student research |
| Intellectual Property owned by the Investigator and/or University | Intellectual Property owned by the Investigator and/or University | Intellectual Property owned by the contractor and/or the Investigator/ University | Little or no expectation of Intellectual P roperty |
| Investigator and/or University can sell commercial rights to third parties | Investigator and/or University can sell commercial rights to third parties | University may have research, teaching and non-commercial use rights only | Results have no commercial resale value to University |
| No guarantee of a specific result | No guarantee of a specific result | No guarantee of a specific result | Generally routine work without a risk factor |
The University recognizes that most, if not all, funded research from sources other than the Tri-Council granting agencies are administered by a contract, even if they are not “research contracts” as defined in Section 2 of this policy.
The Principal Investigator (faculty or staff member) must retain the right to publish his/her work. A deferral of publication at the request of the contracting agency for a reasonable period of time may be agreed to by the Principal Investigator f it is clearly warranted by the nature of the work. Any exception to these provisions must be subject to a formal review procedure between the University and the Sponsor concerned.
The University’s duly authorized signing officers are the only ones who may sign a contract binding the university to the terms contained therein. In some cases individual faculty members or employees may also co-sign the contract, especially in cases where there are clauses concerning intellectual property, use of data, publishing rights, and so on, that the faculty member or employee, or the University, may be waiving the usual rights associated with publishing.
All researchers, whether faculty members, research assistants,
research associates, post-doctoral fellows, graduate students, or others,
should be informed by the Principal Investigator of the conditions attached
to any research contract in which it is proposed that they be involved.
It is the policy of the University that all research agreements involving the use of University facilities must be made between the Sponsor and the University through its duly authorized signing officers.
In no circumstances shall a faculty member or staff member solely sign a contract or accept a letter of offer which may bind the University in any way to the terms and conditions contained therein.
It is the policy of the University that the Office of Research Services will serve as the point of first contact for the development of research proposals and for the screening of contracts and letters of offer, before they are signed or accepted.
Principal Investigators preparing proposals are required to notify the Office of Research Services that such a proposal is being prepared and deliver a copy of the terms of reference, call for proposals, draft proposed contract from the sponsor, acknowledgement forms, signature forms, or other relevant information, to the Director, such that the Office of Research Services can provide advice and guidance on the preparation of the proposal, budget, intellectual property issues, commercialization issues, etc.
Proposals initiated by the Principal Investigator and related supporting materials (as noted above) should be submitted to the Office of Research Services at least 7 days prior to delivery date.
Once the proposal has been developed to the satisfaction of the Principal Investigator, and the Office of Research Services, the Office of Research Services will arrange for appropriate signatures (if required at the proposal submission stage) and submit the proposal to the sponsor.
The Office of Research Services shall retain a copy of the proposal and the related materials.
If and when the proposal is accepted and approved by the Sponsor, the Office of Research Services will be responsible for reviewing any contracts or letters of offer (or other correspondence) to ensure that the University and the Principal Investigator (and any other faculty or staff member(s) involved) are willing and able to accept the terms and conditions, and for arranging for appropriate signatures as required by the contract or letter of offer.
Once the contract is signed or the letter of offer accepted, the Office of Research Services will ask Financial Services to open a research account in the name of the Principal Investigator to administer the funds of the project. The Office of Research Services shall also ensure that the Principal Investigator adheres to any relevant or necessary policies concerning research ethics and animal care.
A complete copy of the original terms of reference / call for proposals, the proposal itself, and the duly signed contract or letter of offer, shall be retained on file by Financial Services.
Research Overhead
Intellectual Property
Integrity in Research, Scholarly, and Creative Activity
This policy document is adapted from the policies of Dalhousie University, Memorial University of Newfoundland and Labrador, St. Francis Xavier University, and University of Prince Edward Island.
September 7, 2010