Institutional Signature FAQ

Institutional Signature Process for Research Proposals/Applications

What do Dean, Chair and PI signatures signify?

  • Each signature represents differing levels of responsibility and commitment for the conduct of the research and the support of resources; and
  • See Meaning of Signatures.

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How much time is required for institutional signatures by RD&S on proposals/applications?

  • A three-day turnaround time is requested; applications are processed as quickly as possible;
  • RD&S has only one dedicated person for signature processes (approximately 1,800 grant applications are signed annually, with 65 per cent processed through the Pre-Award Grants Facilitator. Tri-Council applications represent less than 50 per cent of all applications processed); and
  • Certain programs may require additional time for review; as an example: matching programs or programs requiring an inter-institutional commitment.

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Who is the first contact in RD&S for institutional signature or questions?

  • External grants – Louise Kilianski, Grants Officer,  (Louise Kilianski or ext. 86098);
  • Internal grants – Elizabeth Russell-Minda, Senior Consultant, (elizabeth.minda@uwo.ca or ext. 88701); and
  • Early contact with Louise or Elizabeth is encouraged, especially if guidelines are unclear

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What does the institutional signature mean on proposals/applications and ROLA forms?

  • Western’s institutional signature commits Western to the terms and conditions as set out by the Sponsor at the time of application:
    • Prior to signature, a full internal review of the application, sponsor guidelines, and any agreements are completed by RD&S;
    • All risks and deliverables attributable to grant applications are assessed prior to Western’s signature; and
    • There are only four authorized Board-approved institutional signatories for research grant applications, agreements, and contracts at Western, all of whom have extremely busy schedules and are often not available for last-minute signatures.

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Is an institutional signature required on all applications for research funding?

  • Yes. Western's institutional signature is required on all research proposals, applications, grants, contracts, letters of intent, etc., even if not directed by the sponsor (see MAAP 7.5 & MAAP 7.8).

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What is the requirement for signatures if I am a co-PI on an application?

  • A ROLA Proposal with PI, Chair and Associate Dean (Research) signatures needs to be processed through RD&S for approval. This allows RD&S to review commitments being made in the application.
    • A full copy of the sponsor application (minimally, front signature pages, proposal summary, budget pages and budget justification) is required.

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What is the requirement for signatures if I have a co-applicant from another institution on my proposal/application?

  • A ROLA Proposal with PI, Chair and Associate Dean Research signatures needs to be processed through RD&S for approval. This allows RD&S to review commitments being made in the application;
  • Signatures on Sponsor Application for all required parties (Co-PI & Co-PI Institution), if mandated by Sponsor; and
  • A full copy of the sponsor application is required

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What if there is no space on the application for an institutional signature?

  • Regardless of whether there is a designated location on the form, an authorized institutional signature and ROLA Proposal are required for all applications for research funding leaving the University (see MAAP 7.5 & MAAP 7.8).

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What does RD&S do upon receipt of an application?

  • Actual review time can take anywhere from 15 minutes up to several full working days, depending on the complexities and number of internal individuals required to review specific aspects of the application and sponsor guidelines.
  • A review includes:
    • Guidelines are obtained to ensure complete review of application. Guidelines are often readily available online, but in some cases, guidelines are provided directly to researchers (PI) by sponsors, and RD&S must request these from the PI;
    • Guidelines are reviewed for eligibility, Intellectual Property issues, liabilities and warranties, indirect costs, terms and conditions or reference to an Agreement (any Agreement, if available, is also reviewed, as application signatures may commit Western to terms stipulated in an unseen Agreement);
    • Confirmation of a researcher's eligibility to hold a research account at Western.
    • If an appointment is not yet on the HR system, or a PI is ineligible, the Department and/or Faculty or Faculty Relations must be contacted to complete HR documentation and inclusion in the HR system;
    • The grant application is reviewed to ensure accuracy with respect to guidelines, contact information, budgets and administrative details;
    • Ensure all signatures have been obtained, as required by agency/sponsor, e.g.,. co-investigators and partner institutions;
    • Confirm ROLA Proposal is submitted with Chair and ADR signatures. These signatures commit the Department and Faculty to resources outlined in the research proposal and provide awareness to the Chair and ADR of  applications being processed for their areas;
    • The PI is contacted if there are any comments or concerns;
    • The Sponsor may be contacted for clarification of guidelines, if necessary, or to assist PI with any questions; and
    • The application is routed to the Contracts team for review if industry involvement or contract requirements.

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Aren’t all application guidelines the same?

  • The variety of applications received in any one day may involve from six to 10 different sponsors and/or programs, all of which are governed by separate guidelines. To ensure proper risk management for Western, each application and its governing guidelines must be reviewed. Some guidelines are complex and subject to interpretation.
    • In-house consultation within RD&S may be required before signatures can be finalized.

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With the advent of electronic applications shouldn’t the review be quicker?

  • With high competition for research dollars, grant applications are submitted to many different sponsors and programs, including the Tri-Council (SSHRC, CIHR and NSERC) and other sponsors around the world. Sponsors using electronic submission processes often require RD&S to be registered and functional as an institution within these electronic systems. These application and approval systems are becoming more complex to learn, navigate and effectively administer. In addition, some Sponsors are requiring on-line submission of activity reports that require institutional release and approval through RD&S.

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Isn’t RD&S duplicating the review that is conducted in the Department/Faculty?

  • As Chair and ADR review processes vary across campus, RD&S does not presume the level of review provided by any Department or Faculty.
    • Chairs and ADRs are concerned about the commitment of resources and the science of the project; RD&S does work very closely with Research/Grant Facilitators within the faculties, and consultation ensures work flow is smooth and not duplicated.

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Is there an advantage to providing RD&S with advanced notice of my potential application?

  • Yes. The RD&S contact who reviews applications is also responsible for responding to a high volume of queries from Western’s research community on application and signature processes.
    • RD&S encourages early contact, which helps ensure there are no “surprises” at signature time. Program guidelines can be reviewed, providing the opportunity for discussion on any specific issues or requirements; and
    • Last-minute signature requests are problematic, as proper review requires time and required signatures may be missing. Since the types of sponsors and applications can vary across campus, there may be major deadlines in certain disciplines for which others are not aware. A last-minute application may not receive the attention or quick turnaround expected.

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What are common errors found in applications?

Common application errors include:
  • Budget errors: adding errors, totals from one page do not match totals on summary pages;
  • Inadequate budget justifications, or numbers do not match the budget;
  • Missing or incorrect indirect cost-recovery (overhead). Indirect costs MUST be included at the maximum allowable rate provided within sponsor guidelines;
  • Page limits are exceeded and will be removed by the Agency before review;
  • Incorrect page numbering;
  • Missing or incorrect signatures (Institutional signatures for Western are ONLY through RD&S);
  • Spelling or grammatical errors;
  • Incomplete paragraphs or sentences; and
  • Missing pages or sections of applications.

Last-minute requests for signatures increases risks to Western that critical elements have been missed in the review, and researchers run the risk that a signatory may not be available, or that the application requires additional revisions prior to receiving a signature.

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