Policy Title: Research Overhead Costs Policy
Policy Number: Office of Research and Innovation Services – August 15, 2019 – ORIS Policy No. ORIS-11-005
Established: August 15, 2019 (update to March 20, 2023 version); Executive Director, Research and Innovation
Approved by: Vice-President, Research and Innovation

Policy Statement

This policy outlines the overhead costs and charges associated with conducting non-Tri-Agency- funded research and contract work under the auspices of the University of Windsor.

Purpose

This policy defines overhead costs and outlines how overhead is charged and how overhead revenue is allocated.

Definition and Scope

Overhead costs, also commonly referred to as indirect costs, are the expenses incurred by a research project that are not directly covered by an external source of funding, such as a grant or contract.

Overhead costs may include, but are not limited to, use of specialized research space, the cost of maintaining infrastructure, utilities, insurance, security, research administration, legal services, financial services, library services, computer support, research ethics, research safety, animal care, technology transfer, technical and support staff, and faculty salaries.

Whether supported by a grant or a contract, all research incurs indirect costs by the University. This principle is recognized by the federal government, which assists Canadian postsecondary institutions with some of the costs associated with conducting Tri-Agency-funded research through the federal Research Support Fund (RSF) program. Wherever overhead costs are allowed, overhead must be calculated and included in the budget for all research proposals, applications, contracts, contract proposals, contract letters of intent, and contract development agreements. Some funding agencies and programs do not allow overhead. Common exceptions include Tri- Agency funding and other federal funding programs because the federal Research Support Fund funds the indirect costs. Other programs, such as the provincial Early Research Awards, have their own associated overhead costs policy. Where the funding agency does not allow overhead or where it has established a policy on overhead, the agency regulations will take precedence.

Industry contributions, including those leveraged with Tri-Agency funding and other federal and provincial funding, are subject to overhead.

The standard overhead rate is 40% of the total direct project cost. In any project involving co- funding by the Tri-Agency and/or any other funding agency that does not allow overhead, any contributions granted by the agency should be deducted from the total project cost prior to the calculation of overhead.

Following consultation with the respective Faculty, the Vice-President, Research and Innovation (VPRI) may consider a reduction of the standard overhead rate for a specific application after appeal from the applicant. It should be noted that appeals must be based on an existing policy or a regular practice of the funding source or on exceptional circumstances. Any reduction in overhead granted by the VPRI in consultation with the respective Faculty is specific to the application and should not be considered precedent setting.

Procedures

Contract Negotiation

Prior to submission to the Office of Research and Innovation Services (ORIS), all applications should be reviewed and signed by the Head of the Academic Administrative Unit (AAU), where applicable, and the Dean of the respective Faculty. Discussions with the partner organization should occur early on and partners (company, government department, etc.) should be informed of the University’s overhead rate and that they are expected to bear the cost of overhead.

It should be noted that no employee other than an officer of the Board (i.e. President, Vice- President, or their designate) can legally sign a contract in the name of the University. In the case of research applications and contracts, this signature will normally be that of the VPRI or their designate.

Allocation of Overhead Funding

Overhead funding received will be disbursed in accordance with the institutional budget model as follows::

25% to the Principal Investigator (PI)/Applicant to support their existing and/or future research (the PI may not draw a salary on this item); and
75% distributed as follows:
- 70% to the respective Faculty Dean; and
- 30% to the VPRI.

Return of Unspent Overhead

Whenever possible, where a reduction or an exemption of overhead has been authorized by the VPRI and unspent funds remain in the project budget at its conclusion, the University will recoup funds up to and including the amount of the standard overhead rate of 40% before any unspent funds are returned to the PI.

Review Process for Policy

This policy will be reviewed and updated every five years or as required.

Process for Communicating Policy

The policy will be disseminated to the university research community.

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Canada Research Chairs (CRC) Standard Budget Policy

Policy Title: Canada Research Chairs (CRC) Standard Budget Policy
Date Established: April 8, 2013
Office with Administrative Responsibility: Office of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019, June 15, 2015

Policy Statement

This policy outlines the standard budget policy to be applied to Canada Research Chair (CRC) funding received for approved CRC holders, new and renewed, whose term commences on or after May 1, 2013.

Purpose

This policy sets out the standard pan-University budget policy for all CRC holders, new and renewed, whose term commences on or after May 1, 2013.

Scope

This policy applies to all Canada Research Chairs funding received by the University of Windsor for Chairholders whose term commences on or after May 1, 2013.

Exceptions to Policy

Not applicable.

Procedures

	Tier 1	Tier 2
CRC Value	$200,000	$100,000
40% to Dean for salary and course release(s) (N.B. up to two courses releases for Tier 1 and one course release for Tier 2) Course releases cannot result in fewer than two semester courses being taught in the teaching year	$80,000	$40,000
20% for institutional administration and research support	$40,000	$20,000
10% increase of the Chair’s salary as a stipend (N.B. estimate only; if the amount deducted is more or less, the balance for the Chairholder’s research program will be adjusted accordingly)	~$20,000	~$10,000
Approximate amount remaining for Chair’s research program	~$60,000	~$30,000

Review

This policy will be reviewed and updated every five years or as required.

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Closure of Internal Research Grant Accounts of Former Employees

Policy Title: Closure of Internal Research Grant Accounts of Former Employees
Date Established: May 1, 2013
Office with Administrative Responsibility: Office of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019

Policy Statement

This policy states the University of Windsor’s position on limiting the lifetime of internal research grants upon the end of an employee’s active employment with the University of Windsor.

Purpose

Internal research grants are often provided by the University of Windsor to its employees, including faculty and administrators, to financially assist them in performing and/or continuing their research endeavours during their employment at the University of Windsor. Many of these accounts, however, contain unspent amounts even many years after cessation of the employees’ employment with the University of Windsor, e.g., after retirement.

In a time of significant budget challenges, it is important that the University uses the resources it has available for research as effectively and productively as possible. To that end, the University cannot continue to encumber precious University financial resources long after termination of the employees’ employment.

For the above reasons, the University will close all internal research grant accounts three years after grant holders cease to be employees of the University of Windsor, i.e., upon retirement. All remaining unspent funds will be transferred to the Strategic Priority Fund for Research to support faculty and staff in their research activities.

Scope

This policy is applicable to all University of Windsor internal research grants. Grants issued by external agencies are not applicable to this policy.

For existing internal research grants of which the holders are already retirees, their grant accounts will close on April 30, 2016.

Exceptions to Policy

If the grant holders resign and no longer have status at the University of Windsor, their internal grants will be closed immediately.

Review

This policy will be reviewed and updated every five years or as required.

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Closure of Research Leadership Chair Internally Funded Accounts

Policy Title: Closure of Research Leadership Chair Internally Funded Accounts
Date Established: January 14, 2014
Office with Administrative Responsibility: Office of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019

Policy Statement

This policy outlines the procedure for closing Research Leadership Chair (RLC) Chairholders’ internally funded accounts specifically related to the RLC after expiration of the Chair position.

Purpose

This policy sets out the standard procedure for closing RLC internally funded accounts after expiration of the Chair position

Scope

This policy applies to all University of Windsor internally funded accounts specific to the RLC appointment.

Exceptions to Policy

The only exception is for RLC who had an arrangement that pre-dated this policy with the Provost’s Office.

Procedures

Effective January 1, 2014, the following procedure for RLC Chairholders’ internally funded accounts shall apply to RLC positions that have already ended or are due to end:

RLC Chairholders shall be allowed no more than six months (the “time period”) from the end date of their RLC to allow for the payment of outstanding commitments from their internally funded account. This time period is limited to the payment of outstanding commitments that were incurred prior to the end of the Chair. No new commitments or expenditures may be authorized from the internal account for any activity taking place after the end date of the Chair.
Chairholders that have their RLC ended prior to the effective date of this policy but have remaining funds in their internal account shall be allowed no more than six months (the “time period”) from the effective date of this policy (January 1, 2014) to pay any outstanding commitments made prior to January 1, 2014. No new commitments or expenditures may be authorized from the internal account for any activity after this date.
At the end of the time period referred to in 5.1.1 and 5.1.2 above, any remaining funds shall be returned to the University’s Strategic Priority Fund for Research to support future research activities. Each former RLC’s Faculty shall have first priority to draw upon its returned funds for research that supports the University’s Strategic Research Plan.

Review

This policy will be reviewed and updated every five years or as required.

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Establishment of Research Grant or Contract Account Policy

Policy Title: Establishment of Research Grant or Contract Account Policy
Date Established: November 21, 2013
Office with Administrative Responsibility: Office of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019, May 7, 2014

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.

Exception to Policy

Not applicable.

Procedures

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”). The link to the form found on the Office of Research and Innovation Services website is: http://www1.uwindsor.ca/oris/ors‐internal‐forms. This form must be completed, signed by the Applicant, the Head (if applicable), and the Dean.

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.
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

This policy will be reviewed and updated every five years or as required.

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Research Integrity and Responsibility Conduct of Research Policy

Policy Title: Research Integrity and Responsibility Conduct of Research Policy
Date Established: May 15, 2013
Office with Administrative Responsibility: Office of Research and Innovation Services
Approved by: Vice-President, Research and Innovation
Revision Date(s): August 15, 2019, March 28, 2019

Policy Statement

This policy aims to provide an environment that supports the best research practices and that fosters UWindsor researchers to act honestly, accountably, openly and fairly in the search for and dissemination of knowledge. The University community has always recognized the necessity for and importance of maintaining the highest ethical standards in the conduct of research activities and all faculty, staff and students are expected to uphold these standards. All faculty, staff and students are personally and directly responsible for the intellectual and ethical quality of their work.

Purpose

This purposes of this policy are: (1) to meet the requirements set out in the Tri-Agency Framework: Responsible Conduct of Research; (2) to outline the responsibilities and standards required of UWindsor faculty, staff and students engaged in research; and (3) to provide a process for dealing with allegations of misconduct in research. [To best conform with the requirements set out in the Tri-Agency Framework: Responsible Conduct of Research document, sections of this policy are reproduced from this document to minimize potential ambiguity.]

Scope

This policy applies to all UWindsor faculty, staff and students who engage in research. “Agency” referred to in this policy shall mean NSERC, SSHRC and CIHR or any other funding organization providing funding for research.

Exception to Policy

Not applicable.

Responsibilities of Researchers

Faculty members, staff and students are responsible for:

Misconduct in Research

Misconduct in research means conduct that breaches standards and practices that are generally accepted within the relevant field of research. This may include a failure to meet any of the expectations set out in section 5 of this Policy and also includes the following:

Procedures

The University will exercise its authority and discretion under these Procedures in conformity with the principles of procedural fairness in the university context. The University respects the sensitive nature of an allegation or the information that individuals may provide under these Procedures. Such information will only be disclosed in accordance with these Procedures or as otherwise authorized by law. All records are maintained by the University in accordance with the Ontario Freedom of Information and Protection of Privacy Act and other applicable laws and orders of the Courts, and other bodies having jurisdiction over such matters.

Receiving Allegations

All matters relating to misconduct in research, including confidential enquiries, allegations of misconduct in research, and information related to allegations, are to be sent to the Vice President, Research and Innovation (VPRI) and to the Associate Vice-President Academic (AVPA). If either of the VPRI or the AVPA is a named party to the allegation, the other party not named will assume all of the responsibilities under these procedures. If the VPRI and the AVPA determine that it would be inappropriate to address a particular allegation for whatever reason, or if both the VPRI and the AVPA are a named party to the allegation, the allegation may be referred to the President who will then assume all of the responsibilities of the VPRI under these procedures.

An allegation of misconduct in research may come from various sources inside or outside the University. For example, the allegation may come from a researcher, a granting source, a member of the general public, a media report, or an anonymous source.

The ability of the University to investigate an allegation may be affected if it is from an anonymous source, or if an allegation is not made in writing, and in some cases the University may be unable to proceed.

The VPRI will advise the President immediately if any allegations are received that are related to activities funded by a Tri-Council Agency that may involve significant financial, health and safety, or other risks. The President will then immediately notify the relevant Tri-Council Agency or the Secretariat on Responsible Conduct of Research (Secretariat) of such allegation. The notification will include the name of the researcher alleged to have committed the misconduct in research and the nature of the allegation.

At any time, the President may take such action as the President deems appropriate in order to protect the administration of University and outside funds, ensure that evidence is preserved, or prevent further possible misconduct or damage while the process outlined under the Procedure is carried out, including closing research facilities that are the subject matter of the allegation, freezing grant accounts or requiring a second authorized signature from a University representative on all expenses charged to the respondent’s grant account(s), and/or obtaining and securing relevant documentation (such as lab notes, electronically stored information or electronic storage devices, and proof of credentials).

Inquiry

Upon receipt of an allegation, the VPRI will conduct an inquiry to establish whether an allegation is responsible and whether an investigation is warranted. The VPRI will consult with the Dean of the relevant Faculty within five (5) working days in this regard. A responsible allegation is one that is made in good faith, is based on matters which have not been the subject of a previous allegation, and falls within the jurisdiction of this Policy.

At the conclusion of the inquiry, the VPRI may dismiss the allegation, or some aspect of the allegation, or may appoint an Investigative Committee to investigate the allegation, or may take such other action as the VPRI deems appropriate, including referring the matter to another appropriate University office.

At the conclusion of the inquiry, the VPRI will inform the respondent in the allegation, the President and the President of the respective Bargaining Unit in writing as to whether or not the University is proceeding with an investigation of the allegation. The VPRI will also normally inform the party who made the allegation.

If the Secretariat on Responsible Conduct of Research was advised of an allegation under section 8.4 above, the VPRI will also advise the Secretariat as to whether or not the University is proceeding with an investigation of the allegation within two (2) months of receipt of the allegation by the VPRI.

The inquiry process will normally be completed within ten (10) working days of receipt of the allegation by the VPRI.

In all cases of allegations, the respondent will be informed by the Dean within five (5) working days of the allegation being made against him/her, and will be given an opportunity to reply. The respondent will be notified that she/he has the right to be represented by the Faculty Association or other relevant bargaining unit and that she/he should contact their respective bargaining unit before responding to the allegation. For faculty members, the rights of the respondent in this Research Integrity and Responsible Conduct of Research Policy Page 5 of 7 regard are as more particularly set out in sections 60:10 (a) and (b) of the University of Windsor Faculty Association Collective Agreement.

Investigating Allegations

If the VPRI has determined that an investigation is warranted, she/he will, in consultation with the Dean of the relevant Faculty, strike an Investigative Committee consisting of the Dean (Chair) and two other individuals, at least one of whom will be external with no current affiliation with the University. The members of the Investigative Committee must be without conflict of interest, whether real or apparent, and must include members who have the necessary expertise.

The mandate of the Investigative Committee is to investigate the allegation and determine on a balance of probabilities whether the misconduct in research has occurred and if so, its extent and severity, and the degree of intent on the part of the respondent. The determination is made by majority vote.

The Investigative Committee may investigate the allegation using any means it deems appropriate in the circumstances, subject to the principles of procedural fairness in the university context. Such means may include the following:

Requesting written submissions from the respondent and any other parties with information that might be relevant to the allegations, including the party who made the allegation;
Interviewing the respondent and any other parties with information that might be relevant to the allegations, including the party who made the allegation;
Obtaining documents relevant to the allegation; o Requesting audits of any relevant sponsored research accounts; and
Consulting with other University offices or seeking impartial expert opinions and advice.

At the outset of each investigation, the Investigative Committee will inform the respondent of the process and timelines it intends to follow.

All faculty, staff and students must cooperate fully with the Investigative Committee and make available any documents requested by the Investigative Committee.

The investigation will normally be completed within fifty (50) working days of the receipt of an allegation by the respondent.

Report of the Investigative Commitee

Upon completion of its investigation, the Investigative Committee will prepare a written report which includes the following information:

The allegation;
A list of the parties who provided information and a summary of the information they provided; o A summary of the relevant documents and other material reviewed;
Findings of fact based on the information gathered during the investigation;
A determination as to whether misconduct in research occurred;
If misconduct in research is found to have occurred, a determination as to its extent and severity, and the degree of intent on the part of the respondent; and
Recommendations on any remedial action to be taken and/or changes to University procedures or practices to avoid similar situations in the future
Withdrawing any relevant articles, papers or other documents that have been submitted for publication but not yet published;
Notifying publications in which any relevant research was published or reported;
Notifying relevant external funding organizations;
Ensuring that the units involved are informed of appropriate practices for promoting integrity in research; and
Any other appropriate action to be taken, other than discipline.

The Investigative Committee will normally deliver its report to the VPRI, the President, the President of the Faculty Association or other relevant bargaining unit and to the respondent within sixty (60) working days of the receipt of an allegation.

Upon receipt of the report from the Investigative Committee, the VPRI will normally send a copy of the report to the party who made the allegation.

Recourse and Accountability

If the Investigative Committee determines that misconduct in research has not occurred, the President will make a final decision on whether any remedial action is necessary, and will communicate that decision in writing along with a copy of the report to the VPRI, the respondent, the President of the respective union, and when appropriate to the individual who made the allegation. In such instances, reasonable efforts will be made by the President to protect or restore the reputation of the respondent as appropriate.

If the Investigative Committee determines that misconduct in research has occurred, the President will forward the Investigative Committee’s report to the respondent, the respondent’s Dean and the President of the respective bargaining unit. Taking into account the severity of the breach, the President will normally consult with the VPRI and then make a final decision as to what discipline or other action is appropriate and will send a copy of the report and communicate that decision in writing to the respondent, the VPRI and the President of the respective bargaining unit.

All final decisions under section 12.2 above will normally be made and communicated within ten (10) working days of the receipt of the Investigative Committee’s report.

If the Investigative Committee determines that misconduct in research has occurred, the President may report the misconduct in research to other parties as deemed appropriate, including relevant external funding organizations, publication in which the relevant research was reported or to which it was submitted, or to those persons affected by the misconduct in research.

The VPRI will prepare a report for the Secretariat on the Responsible Conduct of Research on each investigation it conducts in response to an allegation of misconduct in research related to a funding application submitted to a Tri-Council Agency or to an activity funded by a Tri-Council Agency. The report will include the information required by the Secretariat on Responsible Conduct of Research, as set out under the reporting requirements in the Tri-Agency Framework: Responsible Conduct of Research. The report shall be forwarded to the Secretariat within seven (7) months of the receipt of the allegation.

The VPRI will publish anonymized, statistical annual reports on confirmed findings of breaches of this Policy and any actions taken.

The University and the faculty member, staff or student may not enter into confidentiality agreements or other agreements related to an inquiry or investigation that prevent the University from reporting to the Agencies through the Secretariat on Responsible Conduct of Research.

Appeal

Faculty members, staff or student(s) may appeal any discipline that is imposed under this Procedure through the grievance and arbitration procedures of their collective agreement or their terms and conditions of employment, if applicable.

Review

This policy will be reviewed and updated every five years or as required.

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Submission of Proposal Documents by Principal Investigators

Policy Title: Submission of Proposal Documents by Principal Investigators
Policy Number: Office of Research Services – September 8, 2010 - Policy Number ORIS-10-003
Established: September 8, 2010 by the Office of Research Services
Approved by: Vice-President, Research and Innovation
Last Approval Date: October 14, 2010
Revision Date: January 25, 2023
Position Responsible for Maintaining and Administering the Policy: Executive Director, Research and Innovation
Contact: Office of Research and Innovation Services, oris@uwindsor.ca

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Policy Statement:

This policy outlines the requirements for submission of research proposals, grants, agreements, contracts (hereinafter collectively referred to as “proposal documents”) by Principal Investigators (PI) to the Office of Research and Innovation Services (ORIS).

Purpose:

The policy is designed for the orderly vetting and processing of proposal documents on behalf of Principal Investigators at the University of Windsor. The main purpose is to ensure integrity, efficiency, and expediency in the processing of the proposal documents.

Scope:

This policy applies to all proposal documents submitted by PIs to the Office of Research and Innovation Services (ORIS). This policy also applies in cases where co-investigators at UWindsor are parties to proposal documents being submitted by PIs from other institutions.

Exceptions to Policy:

None.

Procedure for obtaining internal approval of proposals

Late submissions

Proposals submitted after the stated internal deadline (5 days unless otherwise indicated, see above) may from time to time not meet the standard of quality required by the University of Windsor and there may not be sufficient time for review and revision. In cases such as these, the Executive Director, Research and Innovation may recommend that the Dean and/or the Associate Dean of Research for the PI’s Faculty decline to authorize the proposal for submission. In instances of last minutes submissions where the Faculty Dean and/or Associate Dean of Research is not available, the Executive Director Research and Innovation may not approve the proposal to be submitted to the agency.Ensuring proposals are submitted by the internal deadlines will enable a thorough and substantive review to be undertaken by the respective Research Coordinator.Late submissions may not be forwarded to the funding agency.

Meaning of signatures

Late submissions

Proposal documents for grants/proposals or contract research that are related to a faculty member’s commitment to research and which utilize University facilities/services, must be authorized by the University. An institutional signature indicates the University’s willingness to administer the research funds on the Principal Investigator’s behalf, consistent with the University’s policies. In particular, the institutional signature of the Vice-President, Research, Executive Director Research and Innovation or Director Research Partnerships indicates that:
The Principal Investigator (or co-Investigator) is a member at the University (consistent with agency requirements with respect to rank and eligibility) who is undertaking independent research and who has time, space, and basic facilities available.
The research is consistent with University and agency/sponsor policies including those associated with animal care, radioisotopes, controlled goods, biosafety, and research ethics approval with respect to human subjects.
Administration of, and accounting for, funds received by the University on behalf of the Principal Investigator will meet all of the sponsor’s terms and conditions.

Submission of Proposal Documents to Agency/Sponsor

The responsibility for submission of hard copies of proposal documents to the agency/sponsor rests with the Principal Investigator, except for institutional proposal documents (e.g., CFI, CRC, ERAs), which will be submitted by ORIS, or those programs which specify submission by the institution.

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.

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Research Chair Policy

Policy Title: University of Windsor Research Chair Policy

Date Established: April 1, 2021

Office with Administrative Responsibility: Office of the Vice-President, Research and Innovation

Approver: Vice-President, Research and Innovation

Revision Date(s): N/A

Purpose

University of Windsor Research Chairs are created to enable the University to explore new and build on existing scholarship, creativity, and research strengths by attracting and retaining bright minds in key disciplines that help us meet our Grand Challenges. These chairs are independent from research chairs of federal and provincial agencies; this University of Windsor Research Chair program is unrelated to former research chair programs of the University that have now been discontinued. As experts in their fields, University of Windsor Research Chairs bring prestige to our institution, deepen our knowledge of the world around us, and maximize our benefit to society. Not only do University of Windsor Research Chairs expand on our areas of strategic research importance, but they also serve as role models and mentors to the next generation of scholars, artists, scientists, and engineers by contributing directly to their development through supervision, teaching, and coordination of research endeavors.

This policy guides the establishment, recruitment, appointment, review, and renewal of University of Windsor Research Chairs.

Scope

This policy applies to University of Windsor Research Chairs, including endowed research chairs, partially endowed research chairs, and externally funded research chairs. Chair agreements that came into effect prior to the established date of this policy are exempt from its conditions and requirements.

Policy Statement

University of Windsor Research Chairs are established by the President on the recommendation of the Vice-President, Research and Innovation in consultation with the Provost and the Dean of the Faculty in research fields of priority as specified in the University’s Strategic Research Plan. Guided by the Dimensions Charter signed by the University, principles of equity, diversity and inclusion will be applied in all aspects of the establishment, recruitment, appointment, review, and renewal of the University of Windsor Research Chairs.

Except where indicated otherwise, recruitment and appointment of University of Windsor Research Chairs follow the process outlined in Article 12 Appointment of Members, Section III Research Chairs, Subsection 12:10a of the Windsor University Faculty Association Collective Agreement.

University of Windsor Research Chairs will normally hold or be eligible to hold a full-time tenured or tenure-track position as an Assistant Professor, Associate Professor, or Professor.

Prior to the end of their term, University of Windsor Research Chairs will report on the outcomes of their Chair program and undergo review in accordance with the University of Windsor Faculty Association Collective Agreement and at the direction of and following the process established by the Vice-President, Research and Innovation.

Accepted principles of equity, diversity, and inclusion must be applied in all aspects of the establishment, recruitment, appointment, review, and renewal of UWindsor Research Chairs.

There are three categories of University of Windsor Research Chairs:

Endowed Research Chair

University of Windsor Research Chairs can be established through endowment funds comprising philanthropic gifts. To meet the fully endowed category, the annual interest derived from such a gift must exceed the annual Chair salary and benefits. Given the current period of low interest rate, and depending on the investment vehicle available, it is anticipated that such gifts will need to be $7 million or larger.

The research area of an Endowed University of Windsor Research Chair is determined by the President at the recommendation of the Vice-President, Research and Innovation in consultation with the Provost and the Dean of the Faculty. Endowed University of Windsor Research Chairs are not in principle permanently allocated within a specific research area, Faculty, or Department unless stipulated specifically by the donor of the funds. Donors are not involved in the recruitment or appointment of University of Windsor Research Chairs.

Endowed University of Windsor Research Chairs are open to internal candidates, external candidates, or both. University of Windsor Research Chairs, though prestigious, are considered regular faculty appointments.

A University of Windsor Research Chair established through endowment funds will normally be appointed for a five-year term. The Chair is eligible for renewal of an additional five-year term following satisfactory review using a process comparable to that of Canada Research Chairs and based on continued adequacy of the interests generated from such endowment to support the Chair’s salary and benefits.

Partially Endowed Research Chair

University of Windsor Research Chairs can also be established through endowment funds comprising philanthropically generated funds of $1 million or more paid over a maximum of five years. Such a Chair can only be in the partially endowed category as the annual interest derived from such a gift will not meet the annual Chair salary and benefits, leading to drawing down of the principle.

The research area of a Partially Endowed University of Windsor Research Chair is determined by the President at the recommendation of the Vice-President, Research and Innovation in consultation with the Provost and the Dean of the Faculty. These Chairs are not in principle permanently allocated within a specific research area, Faculty, or Department unless stipulated specifically by the donor of the funds. Donors are not involved in the recruitment or appointment of University of Windsor Research Chairs.

Partially Endowed University of Windsor Research Chairs are open to internal candidates, external candidates, or both. Where an endowed University of Windsor Research Chair is open to external candidates, the Dean of the Faculty must identify a base-funded position for the Chair. University of Windsor Research Chairs, though prestigious, are considered regular faculty appointments.

A Partially Endowed Research Chair will normally be appointed for a five-year term. The Chair is eligible for renewal following satisfactory review using a process comparable to that of Canada Research Chairs and based on availability of an additional donation of $1 million or more to accommodate a further five-year term.

Externally Funded Research Chair

University of Windsor Research Chairs can be established through funds provided by an external sponsor of normally $1 million or more paid over a maximum of five years. A lower sponsorship amount may be negotiated with the Vice-President, Research and Innovation, and approved by the President, if the Chair’s appointment is considered to provide an exceptional research opportunity.

Externally funded University of Windsor Research Chairs may be supported via funding provided by granting agencies, industry, government, or community partners, or through a combination of these sources. Externally funded University of Windsor Research Chairs are subject to the terms and conditions associated with funding for the Chair as agreed upon with the external sponsor.

The research area of an externally funded University of Windsor Research Chair is determined by the President at the recommendation of the Vice-President, Research and Innovation in consultation with the Provost and the Dean of the Faculty unless stipulated specifically by the external sponsor of the Chair.

Externally funded University of Windsor Research Chairs are open to internal candidates, external candidates, or both. Where an externally funded University of Windsor Research Chair is open to external candidates, the Dean of the Faculty must identify a base-funded position for the Chair. University of Windsor Research Chairs, though prestigious, are considered regular faculty appointments.

An externally funded University of Windsor Research Chair is normally appointed for a five-year term. External sponsors are not involved in the recruitment or appointment of University of Windsor Research Chairs.

Externally funded University of Windsor Research Chairs are eligible for renewal following satisfactory review using a process comparable to that of Canada Research Chairs, subject to policies of the external sponsors, and based on availability of funding for an additional five-year term.

Review

This policy will be reviewed and updated every five years or as required.

Version: 2021-03-25

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Policy on Establishing a Lab Fees Account

Policy title: Opening Lab-based Research Accounts (fee-for-service)

Policy number: ORIS-2021-001

Estbalished: January 12, 2021; Executive Director, Research and Innovation

Approved by: Vice President, Research and Innovation

Last approval date: May 19, 2021

Revision date: N/A

Position responsible for maintaining and administering policy: Executive Director, Research and Innovation

Contact: ORIS Administrative Coordinator, oris@uwindsor.ca (519) 253-3000 ext. 3372

Policy Statement

This policy outlines the conditions for lab-based research grant accounts to be opened.

This policy defines what a lab-based research grant account is, the process for opening such an account, invoicing protocols, and the guidelines that must be adhered to for the account to maintain an active status.

Definition and Scope

A lab-based research grant account (lab account) has the purpose of supporting internal and external use of a researcher’s managed equipment or services, paid for by a fee-for-service basis. This type of account may be preferred for research groups that conduct multiple, small-scale fee-for-service activities that require quick turn-around time.

Example 1: A lab has purchased equipment (e.g. Quantitative Imaging Infrastructure) for which they will charge others to use
Example 2: A researcher has performed a service for another party (e.g. a lab has analyzed waste particles on behalf of an external company)

The researchers name in which the lab account has been opened (PI) will be responsible for ensuring all financial administrative requirements and policies will be met. This includes that the use of funds are in accordance to University of Windsor policies for research expenditures and that any external revenue collected adheres to the University of Windsor’s policy on overhead and indirect costs, no overhead reductions will be granted for lab accounts. The PI will also be responsible for coordinating with Research Finance to ensure internal and external users have been invoiced appropriately, and that the appropriate overhead for external users has been charged. User fees and costs for services, as well as quotation generation, are also the responsibility of the PI and should be determined based on all relevant expenses (e.g. personnel time, consumables, hours of equipment use, 40% overhead, and so on).

On all external transactions 40% overhead must be charged on the direct costs of the research and/or service being provided. It is the responsibility of the PI to outline this requirement to the external party being invoiced. It is the responsibility of Research Finance to ensure that this additional charge is included in all funding received, prior to it being invoiced and/or deposited.

The PI ensures that use of funds from this account comply with University policies and procedures, are necessary for the operation of equipment or provision of services relevant to this account, and that there are sufficient funds to cover any transactions being charged to the lab account.

Process for requesting a lab-account be opened

The PI will submit to their Dean and ORIS, a one-page outline of the request for a lab account to be opened. This will detail the nature of the items that are being anticipated to be charged to the account, and a short summary of the administrative process that will be followed for the quotation of research and/or service being provided as well as the process for the generation of invoicing. A summary of the anticipated use of the funds is also required. In addition, an ORIS form (or through the ERSO Research Portal) to request this account be opened, signed by the Department Head and Dean is also required. This is necessary to confirm that there is a need for this account to be opened and that a standard fee structure has been developed.

Upon review and approval of the Executive Director Research and Innovation, ORIS will submit a request to open an account to Research Finance following standard operating procedures.

The initial amount requested will have a value of $1 with no maximum ceiling. This is to be noted in the request to open an account.

Lab accounts will have an end date of 5 years from the date of opening, upon which time they may be extended for another 5 years. Requests for extensions to lab accounts would need to be made through the Executive Director Research and Innovation. This is to ensure that inactive lab accounts are closed, when a PI retires or moves to another institution, for example. If there is a residual balance in the Lab account to be closed, these funds will be directed to an Internal General Research Fund that is under the authority of the Vice-President Research and Innovation. At any point in time if the lab account becomes overdrawn or overspent, the PI will be responsible for funding any deficit.

Invoices are issued to the users of the equipment or to recipients of the service. There is a maximum amount for an external invoice of $10,000. Any amount in excess of $10,000 should be discussed with the appropriate Research Coordinator in ORIS in order to determine the appropriate course of action.

External invoices: PIs must email resfinance@uwindsor.ca with the following information for an invoice to be issued:

Contact information for invoicing
Amount for direct costs (equipment use/service)
Amount for overhead (at 40%) on top of direct costs
External Invoice Request Form

Internal charges: PIs must email resfinance@uwindsor.ca with the following information for a journal transfer:

Amount for direct costs (equipment use/service)
Account number for funds to be transferred from
No overhead would be charged

Policy dissemination

The policy will be disseminated to the university research community and will be available on the ORIS website, http://www.uwindsor.ca/researchservices/.

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Policy on Responsibilities of Principal Investigators

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Policy Statement

This Policy outlines the duties and responsibilities of Principal Investigators in the normal course of holding grants at the University of Windsor.

Purpose

The University as a steward of the research funds provided through an award has established a series of policies and procedures aimed at ensuring:

The ability to comply with the regulations of the research sponsor;
The proper management of the grant funds;
Accountability to the sponsor and other university stakeholders; and
The effective conduct of the research activities in accordance with the highest standards of professionalism, safety, animal care and ethics.

The University delegates the overall responsibility for the pursuit and management of the research proposal to the Principal Investigator as an employee of the University and as the person who is most knowledgeable about the research proposal. The University supports the Principal Investigator in meeting their responsibilities by providing organizational infrastructure to support compliance with the requirements of the University and the sponsor.

Principal Investigators are responsible for conducting their research as indicated in the proposal, and for the overall sound administration of all research funds allocated to them, including:

The proper allocation of research funds and sound financial management;
Human resource management and supervision of employees and students;
Ensuring a safe working environment that aligns with the principles of the Equity, Diversity, and Inclusion in Research policy;
Ensuring compliance with the terms and conditions governing the grant or contract;
Ensuring all regulatory requirements and compliance for research involving humans, animals and/or research safety;
Ensuring all expenditures comply with institutional policies, the funding agency guidelines and meet eligibility criteria; and
Ensuring that expenditures do not exceed the value of the award.

Definition and Scope

Principal Investigator
Research personnel
Highly Qualified Personnel (HQP)
Research Finance
Research Grant Account

Financial Management

Effective financial management is expected and required of all Principal Investigators conducting research at the University of Windsor. Accountability of these research funds is demonstrated by ensuring the following:

a. Grant Account Terms

All grant accounts will be assigned start and end dates, regardless of funding source. Principal Investigators are responsible for being aware of their grant account end dates, and for understanding the funding source’s policy on unspent funds. Normally, grant account dates will be tied to the start and end dates associated with the application to external funding agencies. Extensions will be subject to the policies of the funding agency. For internally funded accounts such as startup funds (i.e. those not tied to a limited-term internal grant program) will generally be limited to five years, with unspent funds being returned to the department or Faculty which funded them. Extensions of these accounts may be requested and are at the discretion of the Executive Director, Research and Innovation.

b. Financial Planning

It is required that all Principal Investigators plan, allocate and distribute their expenditures in a manner which will provide for reasonable completion of their project within the financial limits of the award. Principal Investigators must ensure eligibility of all expenses in accordance with the policies, rules and regulations of the University, and the sponsor and plan for contingencies.

c. Financial Transactions

The Principal Investigator initiates and approves all requests for commitments and transactions for supplies, services, and remuneration. The Principal Investigator ensures that activities comply with University policies and procedures and the requirements of the sponsor and that the activities are eligible costs under the guidelines for the award or contract and have been approved in the budget submitted to the sponsor. The Principal Investigator sees that the expenses or commitments are charged to the appropriate Grant Account, are necessary to support the research endeavor being undertaken, and that there are sufficient funds to cover the transaction. The Principal Investigator shall ensure the financial transactions follow the principles governing the appropriate use of grant funds as set out in the Tri-Agency Guide on Financial Administration and University policies. The principles governing the appropriate use of funds conclude the transaction must:

Be a direct cost of research for which the funds were awarded, with benefits directly attributable to the grant;
Be effective and economical; and
Not result in personal gain for the members of the grant team, including the Principal Investigator

d. Financial Monitoring

The Principal Investigator ensures constant supervision and monitoring of the funds by reviewing the monthly accounting statements provided by Research Finance and identifying and reporting any discrepancies, errors and inconsistencies to Research Finance. The Principal Investigator exercises financial control over grant funds through the review of claims, employment documentation, submission of original vouchers, stubs, receipts, and other documentation, the authorization of all expenditures, and the review of all applicable financial reports.

e. Overexpenditures

Principal Investigators are accountable and responsible for all deficits resulting from over-expenditures, expenses deemed ineligible by the sponsor or for failure of the Principal Investigator to comply with the rules and regulations of the sponsor. Principal Investigators must ensure that their available funds are not over-spent, and shall work with Research Finance to make the necessary arrangements should this occur. Principal Investigators should take all possible steps to communicate with Research Finance before an over-expenditure occurs, if possible.

f. Collection of Revenues

The Principal Investigator shall work with Research Finance and the Accounts Receivable department during the collection process of revenue in relation to their awarded grants. If collection is uncertain, the research activities and related work may be ordered to stop or to proceed with caution. If the decision is made to continue incurring expenditures while collection is uncertain, the Principal Investigator and their Faculty/Department will become wholly responsible for all additional deficits that occur after the date they were advised to stop.

g. Financial Reporting

The Principal Investigator ensures that all financial reports prepared by Research Finance, as required by the sponsor, are carefully reviewed and approved for submission in a timely manner. All financial statements, reports, and invoices must be submitted to the research sponsors by Research Finance after review and approval.

h. End-of-grant and unspent funds

Principal Investigators are responsible for being aware of a) when their grant ends and b) what the funding sponsor’s policy on unspent funds requires. Where a request for an extension may be needed, the Principal Investigator is advised to contact their Research Coordinator in ORIS to facilitate the formal request to the agency.

Adherence to other policies and procedures

Principal Investigators must know, understand and apply all applicable policies and procedures of the University and of the sponsor. Where there is a difference between the policies of the University and the sponsor, the more stringent requirement will be followed.

Conduct of Research

Principal Investigators are responsible for the conduct of their research projects, including:

Matters with Sponsors

The Principal Investigator is responsible for all interactions with the sponsor related to the technical aspects of the research project. The Principal Investigator must inform and provide any correspondence/documentation to ORIS, for all matters related to changes to the research project, including changes in dates, budget allocations, increases or decreases to the amount awarded, and any changes to the project which may require written amendment or written approval.

Principal Investigators are not authorized to sign applications, proposals, contracts, or contract amendments on behalf of the University. All documents of this nature must be signed by the Executive Director, Research and Innovation or the Vice-President Research and Innovation. All financial statements reports and invoices must be submitted to the sponsors by Research Finance after review and approval.

Process for Communicating Policies

The policy will be disseminated to the university research community and is available on the University’s Central Policies Index.

View on Central Policies Index

Equity, Diversity and Inclusion in Research

Policy Title: Equity, Diversity and Inclusion in Research Policy

Policy Number: ORIS-2020-001

Established: March 31, 2020

Approved by: Vice-President, Research and Innovation

Last Approval Date: March 31, 2020

Revision Date: N/A

Position Responsible for Maintaining and Administering the Policy: Executive Director, Research and Innovation

Contact: ORIS Office, oris@uwindsor.ca

1. Introduction

Principles of Equity, Diversity and Inclusion (EDI) are a vital component in achieving research excellence. EDI considerations and practices are integral to research design, participation, education, employment, and training. When elements and practices of EDI are included in research design, researchers have greater access to participants, research is made more applicable, and results better meet the needs of the community.

During Summer 2019, the University signaled its commitment to the principles of EDI when it became a signatory to the Dimensions Charter. The University will continue to foster a research environment where all individuals are treated with dignity and respect and can fully contribute and have access to equitable opportunities in relation to research.

2. Scope of Policy

This policy will support all research activities conducted at the University of Windsor and will work within the existing equity frameworks to ensure that the adoption of EDI principles is supported within the University’s research community.

3. Exceptions to Policy

This policy affirms the University’s commitment to achieve equity, diversity and inclusion within the University’s research environment and community and all members of the research community are expected to include EDI considerations in their research practices.

4. Definitions

Equity is defined as the removal of barriers and biases enabling all individuals to have equal opportunity to access and benefit from research. To achieve equity, all individuals who participate in the research ecosystem must develop a strong understanding of the systemic barriers faced by individuals from underrepresented groups (i.e. persons with disabilities, gender/sexual minorities, Indigenous people, visible minorities, and women) and put in place impactful measures to address these barriers.

Diversity refers to the variety of unique dimensions, qualities and characteristics we all possess including differences in race, colour, place of origin, religion, immigrant and newcomer status, ethnic origin, ability, sex, sexual orientation, gender identity, gender expression and age. A diversity of perspectives and lived experiences is fundamental to achieving research and training excellence.

Inclusion is defined as the practice of ensuring that all individuals are valued and respected for their contributions and equally supported. Ensuring that all team members are integrated and supported is fundamental to achieving research and training excellence.

Diversity and inclusion is about capturing the uniqueness of the individual; creating an environment that values and respects individuals for their talent, skills and abilities to the benefit of the collective. Diversity and Inclusion must be implemented together to see success.

Designated groups are historically or currently marginalised, equity seeking groups. As a member of the Federal Contractors Program, the University recognises persons with disability, Indigenous people, visible minorities, and women as designated groups. In addition, the University has recognised gender/sexual minorities (members of the 2SLGBTQ+ community) as a fifth equity seeking group.

Systemic barriers are defined as systems, policies or practices that result in some individuals from underrepresented groups receiving unequal access to or being excluded from participation within employment, services or programs. These barriers are systemic in nature, meaning that they result from institutional level practices, policies, traditions and/or values that may be “unintended” or “unseen” but that have serious and long-lasting impacts on the lives of those affected (e.g. on their career trajectories).

5. Roles and Responsibilities

Every member of the campus and research community is responsible for the successful adoption of EDI principles and practices in research.

6. Policy Statement

While creating an environment which fosters EDI principles and practices is the responsibility of every member of our campus and research community, the University is committed to working with partners to aid our research community in the adoption of EDI practices. To accomplish this, the University will utilize the EDI principles established within the Dimensions Charter and all relevant Employment Equity Policies at the University which provide a framework for the further promotion of EDI.

Recognizing that challenges remain in achieving the full participation of equity-seeking groups (including women, visible minorities, Indigenous Peoples (which includes but is not limited to the communities of First Nations, Inuit, and Metis peoples), people with diverse gender and sexual identities and people with disabilities) within the research community at the University, the identification of potential barriers and mitigation of such barriers will strengthen our research community.

The University will work collaboratively with stakeholders and community partners to build on a research environment which fosters, and benefits from, strong EDI practices.

7. Researcher Responsibilities

Researchers at the University of Windsor are encouraged to implement EDI principles and practices in the following aspects of their research:

Research Methodologies: Stronger research outputs require EDI to be considered in the design of your research. For example, a researcher may wish to consider how their research could include Indigenous or gender considerations and ensure that this aspect is not overlooked in the design of their research. When elements and practices of EDI are included in research design, researchers have greater access to participants, research is made more applicable, and results better meet the needs of the community.
Research Team Design: Including EDI in research team design has positive effects for the research team including opportunities for learning from researchers with different experiences and having multiple perspectives in research yields stronger research outputs. For example, a researcher might consider developing a diverse research team and developing procedures to ensure that every member of the research team is given the opportunity to provide input and have their contributions valued.
Training Opportunities: As supervisors, faculty members have the privilege and responsibility to train the next generation of researchers. When EDI elements are incorporated into the recruitment and retention of Highly Qualified Personnel (HQP), researchers benefit from having access to more candidates with diverse perspectives which in turn benefits their research.

For more information on EDI and how to incorporate EDI into research, researchers are encouraged to contact the ORIS or Office of Human Rights, Equity and Accessibility (OHREA) for more information and free resources.

8. Review

This policy will be reviewed periodically and updated as required. The Executive Director, Research & Innovation shall have the ability to address minor operational and administrative revisions to this policy to ensure compliance with all applicable policies, rules, guidelines of the University of Windsor, including adherence to Canadian law, however, any other significant change will require the approval of the VPRI.

9. Cross Reference

Dimensions Charter found at: http://www.uwindsor.ca/research-innovation-services/476/dimensions-charter

Employment & Educational Equity Policy found at: http://www.uwindsor.ca/ohrea/11/employment-educational-equity-policy

Ontario Human Rights Code found at: http://www.ohrc.on.ca/en/ontario-human-rights-code

University of Windsor Employee Group Collective Agreements found at: https://www.uwindsor.ca/humanresources/526/collective-agreements

This definition has been supplied by the Tri-Agency Institutional Secretariat and can be found at: https://www.sshrc-crsh.gc.ca/funding-financement/nfrf-fnfr/edi-eng.aspx#1c

This definition has been supplied by the Canadian Centre for Diversity and Inclusion and can be found at: https://ccdi.ca/glossary-of-terms/

This definition has been supplied by the Tri-Agency Institutional Secretariat and can be found at: https://www.sshrc-crsh.gc.ca/funding-financement/nfrf-fnfr/edi-eng.aspx#1c

This definition has been supplied by the Canadian Centre for Diversity and Inclusion and can be found at: https://ccdi.ca/glossary-of-terms/

This definition has been supplied by the Office of Human Rights, Equity and Accessibility and can be found at: http://www.uwindsor.ca/ohrea/11/employment-educational-equity-policy

This definition has been supplied by the Tri-Agency Institutional Secretariat and can be found at: https://www.sshrc-crsh.gc.ca/funding-financement/nfrf-fnfr/edi-eng.aspx#1c

View on the Central Policies Index

Commercialization Policy

Policy Title: Commercialization Policy

Policy Number: VPRI-2022-002

Established: December 15, 2022

Approved by: Vice President, Research and Innovation

Last Approval Date: December 15, 2022

Revision Date: N/A

Position Responsible for Maintaining and Administering the Policy: Director, Research Partnerships

Contact: Tom Schnekenburger, tschnek@uwindsor.ca, Director, Research Partnerships, 519-253-3000 ext. 3961

1.0 General

1.1 Purpose

The purpose of this policy is to strengthen the opportunities for knowledge mobilization and commercialization efforts that result from the generation of intellectual property (IP) that arises from research activities taking place at the University of Windsor. The University of Windsor (UWindsor) actively supports research and collaboration across a range of disciplines and engages with a broad spectrum of stakeholders to support research. UWindsor is committed to training highly qualified personnel (HQP) who will become our next-generation scholars, leaders, creators, scientists, engineers, inventors, and entrepreneurs. In fulfillment of the Ontario Commercialization Mandate Policy Framework, this policy outlines UWindsor’s commitment to the innovation ecosystem and to the management, protection, knowledge mobilization and commercialization of intellectual property (IP) created by UWindsor faculty and students.

1.2 Intention of Policy

It is the intention of this policy is to effectively support the knowledge mobilization and commercialization of research activities in a manner that is beneficial to all; researchers, industry, society and the broader community. The commercialization of IP generated through research should be managed diligently. This commercialization framework policy aims to:

Encourage the development of innovative ideas and research that ultimately contributes towards the betterment of society;
Foster relationships between industry and academia such that knowledge transfer between researchers, industry, and customers is effectively transferred and provides pioneering solutions to real-life challenges;
Facilitate initiatives and disseminate opportunities that strengthen the economic benefits for the Province of Ontario and for Canada;
Provide assurances to the management and protection of intellectual property in a manner that fully exploits commercialization prospects, safeguards Ontario and Canadian interests and supports the Ontario and Canadian economy;
Deliver recognition of the necessity to contribute to build institutional capability to commercialize innovation within Ontario to further support capacity;
Develop a climate that enables and supports entrepreneurship and IP education through the training of HQP, faculty and staff;
Nurture a climate that enables the commercialization of research and innovation within the Province of Ontario and Canada; and
Ensure that the University’s core values and beliefs are maintained and mitigate any potential issues (ownership, authorship, revenue sharing) so that research and commercialization may take place without impeding rights or efforts.

UWindsor is actively engaged in research collaboration locally, provincially, nationally, and globally. Through these activities, UWindsor is advancing our understanding of the world around us, maximizing benefits to society, and enhancing quality of life today and tomorrow. These collaborations allow the private sector and UWindsor to invest their resources and expertise towards the support and conception of projects focused on the advancement and prosperity in Ontario and Canada through the training and education of HQP knowledgeable in intellectual property, commercialization and knowledge mobilization.

2.0 Scope of Policy

2.1 This policy applies to any and all of the following persons who create any type of Intellectual Property that may be created and/or developed in the course of that person’s duties or activities at UWindsor or through any use of UWindsor facilities.

All UWindsor employees, (including staff and faculty members)

All students and contract research personnel of UWindsor

2.2 In the event that this policy conflicts with any agreement (including and without limitation, the Windsor University Faculty Association (WUFA) collective agreement) between UWindsor and any UWindsor person, the terms of the agreement shall prevail to the extent of the conflict.

2.3 Indigenous Traditional Knowledge

UWindsor respects that Indigenous Traditional Knowledge (ITK) should remain the property of those who hold it and that the knowledge holders themselves should advise how their knowledge is captured and utilized. As UWindsor continues to engage with our Indigenous communities to support decolonization efforts outlined in the Truth and Reconciliation Commission’s Call to Action, we recognize the critical need to ensure intellectual property and Traditional Knowledge remains with the Indigenous communities. UWindsor will use its best efforts to ensure Indigenous Traditional Knowledge is captured accurately and in accordance with the knowledge holder’s understanding and expectations. If required, the University of Windsor will enter into agreements with the holder(s) of the ITK wherein any intellectual property associated with the capture of their ITK will be vested in the knowledge holder(s) themselves.

2.4 Guidance on Types of Intellectual Property

UWindsor highly values research and innovation and has a creator-owned Intellectual Property (IP) policy, however in some cases research agreements may assign Intellectual Property to the organization sponsoring the research activities. Inventors and creators can determine if they wish to seek the assistance of UWindsor to obtain IP protection and/or further commercialization of their research. Generally, all IP developed at the UWindsor can be used for non-commercial research and educational purposes, as per the Windsor University Faculty Association (WUFA) Collective Agreement.

2.4.1 Copyright - Copyright queries are supported Leddy Library, who’s primary focus is educational and to support navigating copyright from a user prospective. This encompasses the UWindsor guidelines and policies around copying, fair dealing guidelines and policies. There is specific support for instructors, researchers and students that provides guidance on best practices for using copyrighted materials. .

Article 35 of the Windsor University Faculty Association (WUFA) Collective Agreement outlines faculty copyright terms. UWindsor makes no claim to the copyright of a faculty member under the WUFA Collective Agreement, unless when such work was made, prepared, produced, authorized or otherwise developed by a member involving the use of direct UWindsor funding, or under a contractual agreement with UWindsor, or with use of UWindsor production facilities as further defined in Article 35.

2.4.2 – Patents, Copyright and Patents and Copyright - Articles 34 (Patents), 35 (Copyright) and 36 (Patent and Copyright) outline that all faculty researchers are required to disclose any new technology and/or patent application(s) to ORIS via the Technology Disclosure form.

2.4.3 – Student focused IP - A student-focused IP policy is currently under development, with a target completion in 2023. This UWindsor student IP Policy will also be creator-owned and will be focused in a manner that protects student’s best interests as they develop and commercialize IP.

3.0 Definitions

In this policy, the following terms have the following meanings:

Author: Legal Concept--"A person who generates the actual form (words, pictures, etc.) of a work

eligible for copyright"; and

Academic Concept--The authors of a scholarly work, for example, a paper to be submitted for publication in a scholarly journal, comprise all those individuals who have made a significant scholarly contribution to the work. [Source: Legal Definition - Oxford English Dictionary, WWW Version 1.1]

Create: "To make, form, constitute, or bring into legal existence (an institution, condition, action, mental produce, or form, not existing before)" [Source: Oxford English Dictionary, WWW Version 1.1].

Creators: Persons who bring into being works which are eligible for intellectual property protection (copyright, patent, industrial design, trademarks, etc.) under Canadian and/or international law. By way of illustration, creators would include authors, inventors, breeders, designers, composers, artists, architects, and the like.

Copyright: In general, copyright means the sole right to produce or reproduce a work or a substantial part of it in any form. It includes the right to perform the work or any substantial part of it or, in the case of a lecture, to deliver it. If the work is unpublished, copyright includes the right to publish the work or any substantial part of it.

Idea: General or ideal form as distinguished from its realization in individuals... Figure, form, image... Mental image, conception, notion... A conception or notion of something to be done or carried out; an intention, plan of action... Any product of mental apprehension or activity, existing in the mind as an object of knowledge or thought..." [Source: Oxford English Dictionary, WWW Version 1.1].

Informed consent: Consent given by an individual who has received the information necessary to allow a considered judgement, who has adequately understood the information, and who has arrived at a decision of consent without having been subjected to coercion, undue influence, inducement, or intimidation. [Adapted from the Council for International Organizations of Medical Sciences (CIOMS) guidelines]

Informed consent—free, prior and informed consent (FPIC): is found in the above stated Truth and Reconciliation Commission’s Call to Action, it emphasizes the importance of recognizing and upholding the rights of Indigenous peoples and ensuring that there is effective and meaningful participation of Indigenous peoples in decisions that affect them, their communities and territories. More specifically, FPIC. More specifically, FPIC describes processes that are free from manipulation or coercion, informed by adequate and timely information, and occur sufficiently prior to a decision so that Indigenous rights and interests can be incorporated or addressed effectively as part of the decision-making process - all as part of meaningfully aiming to secure the consent of affected Indigenous peoples.

Intellectual property: A form of creative effort that can be protected through a trademark, patent, copyright, industrial design or integrated circuit topography.

Inventor: One who invents or has invented. One who finds out or contrives some new thing; one who devises some new art, manufacture, mechanical appliance, or process; one who invents a patentable contrivance. [Source: Blacks Law Dictionary, 6th ed.]

License: This is a legal agreement giving someone permission to use a work for certain purposes or under certain conditions. A license does not create a new owner for the work.

Licensing an invention: Allowing a business or individual to use, manufacture and sell an invention in accordance with the terms and conditions of the license, usually in exchange for royalties. [Source: A Guide to Patents, Industry Canada]

Non-Disclosure Agreement (NDA): This is a legal agreement where one or more of the parties agree not to disclose confidential information, material, or knowledge that they are sharing with each other as required as part of the parties agreeing to discuss certain items or working or collaborating together.

Patent: A patent is a government grant that gives the owner the right to keep others from making, using, or selling an invention. A Canadian patent applies within Canada for twenty (20) years from the date of filing of a patent application.

Prosecution of a patent: All the steps involved in following through on a patent application to the final award of a patent. [Source: A Guide to Patents, Industry Canada]

Scholarly Work: A work that may be eligible for intellectual property protection under Canadian and/or international law which is created in the course of teaching, learning or research at the University. A list of scholarly works would include, but not necessarily be limited to: student works submitted for academic evaluation, research reports, papers prepared for publication, books, computer programs, detailed assignments, works of art, experimental data, and other academic data bases.

Work of joint authorship: A work produced by the collaboration of two or more authors in which the contribution of one author is not distinct from the contribution of the other author or authors. [Source: Canadian Copyright Act, Revised 1988]

For greater clarity, please refer to the UWindsor Inventory Handbook that provides further definitions and explanations.

In addition to the definitions listed below please refer to Appendix A for links to the Canadian Intellectual Property Office (CIPO) Glossary and the UWindsor Inventor Handbook which provide further definitions and explanations.

4.0 Roles and Responsibilities

The Office of Research and Innovation Services (ORIS) Technology Transfer Office (TTO) mission is to support faculty members through providing IP education and awareness, supporting all technology disclosures and assessments, protection of IP that arises from research activities and commercialization of IP that has been assigned to UWindsor. The commercialization process described in this document applies only to IP generated through funded research activities where a faculty member is involved, and the IP has been assigned to UWindsor.

If an invention disclosure has been identified as having commercial potential and is suitable for formal IP protection, a Technology Ownership and Commercialization will be entered into with the faculty inventor that will assign the ownership of the IP to UWindsor. Through this process, UWindsor’s commitment is to formally protect the IP, and to market the technology with the goal of identifying appropriate receptors that have the necessary resources, expertise and business networks with the goal of potentially licensing the IP in order to monetize the IP. Consideration of creating a new venture to commercialize and monetize IP is also supported by UWindsor’s on-campus business incubator, EPICentre.

5.0 Intellectual Property Education and Awareness

5.1 - UWindsor and the Office of Research and Innovation are committed to increasing the levels of education of awareness of IP through programming and outreach activities. Providing IP education to the campus community aids in increasing IP capacity and supports the identification of technologies and/or innovations that may have commercial opportunities that can be explored. UWindsor is committed to offering and/or leverage the following:

Foster a campus environment that encourages the advancement of research and knowledge mobilization;
Provide workshops and educational content for faculty, staff, and students regarding IP and commercialization;
Engage the regional innovation ecosystem to broadly advance IP education initiatives and resources while leveraging the resources available throughout the innovation ecosystem:
UWindsor’s on-campus business incubator EPICentre offers a range of programming including the Next Generation Chief Technology Officer (CTO) course, which is an introductory IP education program that leverages the Centre for International Governance and Innovation (CIGI) Massive Open On-line Course (MOOC) Foundations of IP Strategy course;
Windsor’s Regional Innovation Centre (RIC) WEtech Alliance;
Windsor’s economic development organization, Invest Windsor-Essex and the Small Business Centre;
Federal and Provincial funding agencies;
Resources are shared from the Canadian Intellectual Property Office, and other start up resources provided by EPICentre;
Resources are provided to support the education and awareness of the necessity of safeguarding your research. Resources include the Government of Canada’s Safeguarding your Research and with additional resources provided through the Office of Research and Innovation;
Industry consortiums and associations; and
Community partners

5.2 - Equity, Diversity and Inclusion (EDI) in Research is a core principle at UWindsor and throughout the research and innovation enterprise. UWindsor has demonstrated an exemplary commitment over the past 30 years in advancing and maintaining diverse and inclusive representation amongst all of its employees. UWindsor is equally committed to ensuring that researchers at UWindsor are provided with an equitable, diverse and inclusive environment and that the University’s policies and procedures continue to support ongoing research excellence in a fully equitable and inclusive manner. Evidence clearly demonstrates that increasing equity, diversity and inclusion throughout research environments enhances excellence, innovation and creativity. EDI policies and practices strengthen the research community at UWindsor, as well as the quality, social relevance, outcomes and impacts of research and all related commercialization and knowledge mobilization activities

6. Policy Statement

UWindsor faculty members have an obligation under the terms of the WUFA collective agreement to report new IP developed with University support to the Office of Research and Innovation Technology Transfer unit.

6.1 The Commercialization Process - The UWindsor commercialization process is composed of a disclosure phase, a technology evaluation phase, and a commercialization phase. Support services for the commercialization process may include funding, are in place from the TTO to assist inventor(s) and creator(s) with this process. More detailed information can be found in our UWindsor Inventor’s handbook which outlines these topics and more. UWindsor inventor(s) and creator(s) can reach out to the TTO staff at any point in time if they wish to obtain more detailed information or to discuss their unique research initiatives.

WUFA members who elect to file formal patent applications on their own are also obligated through the terms of the WUFA collective agreement to advise the TTO of their IP.

Considerations for invention disclosures and potential commercialization of new technology and/or innovations:

6.2 – The Invention Disclosure Process - Public disclosure of Intellectual Property before any formal IP protection is in place can impede inventor(s) from obtaining IP protection and may negatively impact future commercialization efforts if it occurs without a non-disclosure agreement in place. Disclosure refers to the act of making known all or some parts of the technology verbally and/or written. This includes publications at conferences, masters, and doctoral theses, or disclosing IP on any other publicly accessible platforms. Whether protection is pursued independently or through ORIS and the TTO, it is required that technologies created by faculty inventor(s) be disclosed to ORIS. The Invention Disclosure can be completed by completing and submitting a Technology Disclosure Form. Inventors must formally advise UWindsor if they do or do not wish the assistance of the TTO to support their commercialization efforts. If the inventor(s) elect to pursue commercialization of IP independent of UWindsor, the Inventor(s) will be responsible for all expenses incurred in commercialising the technology.

6.2.1 - Invention Disclosure Evaluations - If the inventor(s) opt to pursue IP protection with the assistance of the University, the TTO will proceed with the assessment of the technology disclosure to determine if the technology is novel, non-obvious, and if there is a potential commercial opportunity. Technology Readiness Levels (TRL) are assessed which describe the stage of development the technology is at and are standardized levels used by many different parties who support the advancement of technologies from research labs to the marketplace. Prior art is searched to determine whether this invention can be distinguished from technologies that have already been patented or from those that exist in the public domain. Market feasibility is also assessed during the invention evaluation process. Considering the expenses associated with patenting, it is essential to identify a potential market before a patent is filed. After the initial technology assessment is completed, the TTO will determine whether the invention is at the optimal stage for IP protection and commercialization. If a technology is favourably evaluated for pursuing IP protection, the inventor(s) and UWindsor may enter into a Technology Ownership and Commercialization Agreement in which the inventor(s) assign ownership of their intellectual property to UWindsor and UWindsor solely assumes the financial responsibilities associated with IP protection. The Technology Ownership and Commercialization Agreement will outline terms and conditions for the potential sharing of revenue generated from commercialized IP ensuring that all parties are committed to the commercialization of the technology.

6.3 Commercialization Process - Once the Technology Ownership and Commercialization Agreement has been executed, provisional patent applications, and in some cases full patent applications, are filed through the University’s external legal experts. Commercialization pathways are then determined and pursued to support the advancement of the TRL with the goal of commercializing and monetizing the technology. The TTO and ORIS will work with the inventor in formulating strategies to develop the technology from the current TRL to higher, more commercially attractive stages with the goal of the technology becoming market ready for commercialization. This may involve applying for funding through the NSERC (Natural Sciences and Engineering Research Council of Canada) Idea to Innovation (I2I) program. The TTO may work with the inventor(s) to further develop a business plan and identify the appropriate on-going IP protection and commercialization strategies for the invention as each technology and its IP are unique.

6.3.1 Commercialization Pathways - It is important to consider different pathways for commercialization of IP. These pathways can either be entrepreneurial (i.e. new venture creation) in nature or may involve licensing the technology to a third party who has the ability to commercialize the technology. If new venture creation is the commercialization pathway, inventors are encouraged to consult with EPICentre, the on-campus UWindsor business incubator.

6.3.2 Marketing efforts are pursued in support of the technology’s commercialization plan. ORIS and the TTO have numerous sources and approaches that are utilized to broadly market the technologies available for commercialization, which include:

IP Explore
In Part
Non-Confidential Summaries posted on the TTO Website
Business Development through the Technology Transfer Office

6.4 Licensing Opportunities - ORIS and the TTO will actively market the IP that has been assigned to UWindsor and will work to identify potential receptors with the goal of monetizing the IP for the betterment of society and the Province Ontario. A licensing agreement must be negotiated between the two entities. The licensing agreement is a contract that specifies the rights or permissions granted to the licensee to use and exploit the intellectual property developed at the University of Windsor. It also stipulates revenue payments which will be distributed between the inventor(s) and the University in accordance with their signed licensing agreement. The TTO and inventor(s) keep in regular contact about the progress on their files through the above processes. The technology transfer process is executed most effectively and successfully when the inventor(s) and ORIS/TTO work together as a team to market and license the technology.

7.0 Net Benefits to Ontario

UWindsor is committed to make best efforts to increase the benefits to Ontario from UWindsor owned intellectual property. To support this commitment, UWindsor will:

Offer guidance to stakeholders regarding commercialization of UWindsor owned IP leveraging UWindsor supports with the goal of providing a net benefit to Ontario.A net benefit denotes a net social and/or economic value for Ontario and its people, the Ontario economy and the innovation ecosystem of Ontario;
Actively pursue UWindsor engagement with Ontario and Canadian headquartered companies to provide support for advancing technology readiness levels of University owned IP to enable economic growth, investment and job creation within Ontario;
Augment the net benefit to Ontario through the training and advancement of Highly Qualified Personnel;
Supporting social innovation, entrepreneurship and start-ups in the Windsor-Essex region and southwestern Ontario;
Thoroughly assess the potential of the intellectual property for commercialization pathways within Ontario by:
- Collaborating with IPON—the Intellectual Property Office of Ontario,a provincial agency that provides intellectual property services, advice and support to Ontario companies, researchers and innovators;
- Collaborating with Invest Windsor-Essex and their Small Business Centre to prioritize benefit to the Windsor-Essex region of Ontario by providing various supports and services to existing and prospective businesses and entities;
- Working with the local regional innovation centre, WETech Alliance to provide support for start-ups or scale-ups to local and Ontario companies;
- Leveraging the resources available through EPICentre to support new venture creation as a commercialization pathway for new IP;
- Prioritizing Ontario industry partnerships where possible.Where this is not possible, UWindsor will then expand to Canada-wide reviews to exploit the intellectual property within Canada.

8.0 Review Requirements

Within one year of the Commercialization Policy being approved or within three years from the date this policy was established, which ever is earlier.

9.0 Appendices

Appendix A: Cross References

Windsor University Faculty Association (WUFA) Collective Agreement, specifically Articles 34, 35 and 36. Technology Disclosure form, Invention Handbook—https://www.uwindsor.ca/humanresources/sites/uwindsor.ca.humanresources/files/faculty_collective_agreement_july_1_2021_-_june_30_2025.pdf

University of Windsor Technology Disclosure Process and Forms - https://www.uwindsor.ca/research-partnerships/307/disclosures

University of Windsor Inventors Handbook - https://www.uwindsor.ca/research-partnerships/sites/uwindsor.ca.research-partnerships/files/inventors_handbook_2021.pdf

Definitions from Canadian Intellectual Property Office (CIPO): https://ised-isde.canada.ca/site/canadian-intellectual-property-office/en/glossary-intellectual-property-terms

Truth and Reconciliation Commission of Canada : calls to action.: IR4-8/2015E-PDF - Government of Canada Publications - Canada.ca

Explore IP – University of Windsor - https://ised-isde.canada.ca/ipm-mcpi/licensing-licence?lang=en Explore IP

University of Windsor available technologies | Powered by IN-PART Technologies Available for Licensing | Research Partnerships (uwindsor.ca)

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Other Policies

The University of Windsor has a number of policies and guidelines concerning faculty members/researchers, some of which are applicable to the conduct of research. Please review the following:

For more policies please visit the Provost website.

Research Policies

Policy Statement

Purpose

Definition and Scope

Procedures

Contract Negotiation

Allocation of Overhead Funding

Return of Unspent Overhead

Review Process for Policy

Process for Communicating Policy

Policy Statement

Purpose

Scope

Exceptions to Policy

Procedures

Review

Policy Statement

Purpose

Scope

Exceptions to Policy

Review

Policy Statement

Purpose

Scope

Exceptions to Policy

Procedures

Review

Policy Statement

Purpose

Scope

Exception to Policy

Procedures

Review

Policy Statement

Purpose

Scope

Exception to Policy

Responsibilities of Researchers

Misconduct in Research

Procedures

Receiving Allegations

Inquiry

Investigating Allegations

Report of the Investigative Commitee

Recourse and Accountability

Appeal

Review

Policy Statement:

Purpose:

Scope:

Exceptions to Policy:

Procedure for obtaining internal approval of proposals

Late submissions

Meaning of signatures

Late submissions

Submission of Proposal Documents to Agency/Sponsor

Review process for Policies

Process for Communicating Policies

Purpose

Scope

Policy Statement

Endowed Research Chair

Partially Endowed Research Chair

Externally Funded Research Chair

Review

Policy Statement

Definition and Scope

Process for requesting a lab-account be opened

Policy dissemination

Policy Statement

Purpose

Definition and Scope

Financial Management

a. Grant Account Terms

b. Financial Planning

c. Financial Transactions

d. Financial Monitoring

e. Overexpenditures

f. Collection of Revenues

g. Financial Reporting