1. Funding
  2. External Funding
  3. Natural Sciences and Engineering
  4. NSERC Alliance Grants Information For Queen's Applicants
  5. Procedure for the intake and review of NSERC Alliance applications

Procedure for the intake and review of NSERC Alliance applications

(effective October 27, 2021)

Objectives

  • to facilitate submission of complete Alliance applications, including the Risk Assessment Form (RAF) and, if necessary, the associated Mitigation Plan 
  • to ensure adequate time for central and PI coordination, and internal review and completion of required documents prior to grant application submission to the agency
  • to ensure Signing Authorities have adequate and relevant information available prior to approving new applications in the TRAQ portal

PI responsibilities

  • Review all relevant materials related to Safeguarding your Research prior to entering into a research partnership and/or completing the partnership risk assessment process
  • Notify discipline specific Research Project Advisor (RPA) of intent to submit an NSERC Alliance application as early as possible, and no less than 60 days prior to intended grant application submission date (see process flowchart).
  • Share draft application package documents with RPA approximately 45 days prior to intended submission date to the agency (i.e., Alliance application, first draft of RAF)
  • Consult with and remain open to feedback provided by the assigned RPA on the development of the funding application and the completion of the draft RAF (if needed, RPA can provide PI with the Getting to Know your Partner Organization Questionnaire to assist collection of information required for completing the RAF)
  • As requested, participate in additional meetings with affiliated Research Legal Services staff during the finalization of risk assessment process, and, if raised, take points of concern into consideration when finalizing the RAF, research proposal and, if necessary, Mitigation Plan
  • When required, lead the development and finalization of the Mitigation Plan 
  • Submit TRAQ DSS application a minimum of 5 days before intended submission to NSERC (15 days for hospital-based research), and attach all completed (final) documents, including Alliance application including project budget, RAF and, if relevant, mitigation plan

Note: While some applications, associated reviews and approvals will take less than 60 days to complete, the Vice-Principal Research portfolio cannot guarantee that institutional endorsement of the application package will be completed by the time requested by the PI if these milestones are not met.

Vice-Principal Research: Grants and Contract team responsibilities

  • Review all materials related to Safeguarding your Research prior to advising researchers on their particular research partnership; escalate issues to the next appropriate team member/supervisor, as necessary
  • RPAs and Research Contracts legal team (NSE Group) will maintain and share an active annotated list of known NSERC Alliance applications (updated weekly)
  • Portfolio teams will meet bi-weekly (NSE Group: Grants-RPAs, Research Contracts (RCU)-Legal Counsel and Contract Coordinator) to review and discuss pending applications, and keep portfolio Directors, ADRs and Dept Heads informed of projects that may require a mitigation plan. 
  • RPAs will review the Alliance application package including the RAF and discuss necessary changes or items for consideration with the PI prior to forwarding documents to Research Contracts for review. 
  • RPAs will describe the funding proposal and known associated risks to the Contracts legal team (using a Project Overview Intake Sheet completed through communication with the PI) to guide and assist collaborative review of potential risks, and will be available to discuss projects outside bi-weekly meetings, as necessary
  • RPAs will share feedback with Researcher, and decide when outstanding, unresolved or complicated issues would be best dealt with in a meeting involving other members of the NSE Partnership team (NSE Group), and/or escalated to Director, Grants and Research Operations and/or Director, Legal Counsel. 
  • Directors will provide guidance to NSE Group, assist in conflict resolution and risk mitigation and determine when to escalate outstanding issues to Vice-Principal Research or Delegate/Senior Portfolio Administrators.
  • RPAs will determine when draft RAF requires review and discussion with RCU, and will advise PI based on this determination, consulting with NSE Group, as needed. 
  • NSE Group will prepare and share feedback with Researcher on RAF and Mitigation Plan. 
  • Follow standard TRAQ procedures for grant applications.  Any TRAQ DSS submitted prior to completion of RAF and, if needed, the mitigation plan will be re-assigned to Signing Authorities for review and approval after the RAF and mitigation plan steps are completed. RPAs will claim the file once submitted, but will notify Signing Authorities of the situation, and will work with the TRAQ team to re-assign the TRAQ DSS for review when ready.
  • Prior to submission of the funding application to the agency, keep Signing Authorities appraised about unresolved and outstanding issues that may impact the success of the funding application
  • Develop and regularly update an online FAQ for the research community based on generalized and aggregate experiences using the Alliance security checklist.
  • Respect confidentiality of all information shared through the application development and review process
  • Establish and maintain training materials and opportunities to engage and develop further awareness and knowledge on the identification and mitigation of security risks in research.
  • Formalize a steering committee to provide direction and oversight of relevant procedures and any escalated challenges, and establish subcommittees for updating and reviewing resources and training materials.
  • NSE Group will prepare and share NSERC Alliance and National Security and Risk Assessment procedure/outcome summary with Vice-Principal Research on a regular basis (or upon request). 

Department and Faculty responsibilities

  • Review all application materials including RAF and, if necessary, the associated Mitigation Plan prior to endorsing the complete funding application in TRAQ
  • Participate in development and review of mitigation plans, as they impact and/or pertain to unit responsibilities
  • Confirm with RPA that the Researcher has addressed issues raised by the NSE Group
  • Flag any new or existing concerns needing further mitigation to the Researcher