Step 1 – Proposal Development

The researcher, or research team, develops the research plans, determining the short-term and long-term goals of the research, the expertise needed to undertake the activities, as well as the budget required (link to budget page) to achieve the objectives.

As the team works to refine the research plans, it begins looking for funding opportunities. The Research Office can assist researchers in identifying funding opportunities and your Faculty Research Facilitator (FRF) can help you determine if it is the right fit.

Step 2  – Internal Review and Approvals

The team has identified a funding opportunity and is preparing an application for research funding. Your FRF can provide a substantive review of your proposal.

For major and institutional class funding opportunities an Institutional Research Facilitator will support the team and the FRF.

Step 3 – Institutional Endorsement and Submission

Research checklist, submitted via cuResearch, received in advance of the deadline. The Research Office’s Research Administrator conducts an administrative review of the proposal and submits the proposal for the approval of an authorized delegate.

Step 4 – Agency Peer-review Process

Proposal is reviewed within the agency in accordance with their established peer-review processes. While the proposal is under review with the agency, the Research Office completes its data entry for the proposal. Once logged, researchers can consult their file in cuResearch under Post-Review.

To learn more about the peer-review process, we suggest consulting the videos below which provide additional information on the some of the peer-review processes used with sponsors:

Demystifying the review process for NSERC Discovery Grants

NIH Peer Review Revealed

Step 5 – Award Acceptance and Management

The notice of decision is communicated to the applicant and the Research Office (if the Research Office is not included, please forward the notice to coris@carleton.ca). The Research Office works with the sponsor to confirm the governing terms and conditions, and sign any grant agreement/letter of acceptance on behalf of the institution.

If the research will require a clearance from the Research Compliance Office, a copy of the applicable approval(s) must be received in order for the Research Office to complete the award approval, authorizing access to funds. The Research Office informs the researcher via email that the award has been processed. Researchers can expect to receive their Banner Fund number in 5-10 business days (if the start date is in the future, the Fund number will be communicated .5-10 business days after the start date).

Step 6 – Fund Creation

Once award finalization is complete, the Research Office Research Administrator processes the award approval sending the authorization to Research Financial Services for Fund opening. Research Financial Services completes its Opening Control Sheet, delineating the award parameters, and submits the request for new Fund for approval. Following approval, the Banner Fund is created and spending power is advanced to the Fund holder. The Fund number is communicated to the researcher by their Financial Administrator.

Step 7 – Award Administration

The researcher spends the funds in accordance with agency and institutional guidelines in support of the research objectives described in the proposal, using FAST to monitor the account status. Research Financial Services manages the day-to-day financial administration of the Fund, in partnership with the Research Office and the researcher.

If any subaward agreements need to be issued for the research funding to flow to other research team members, the principal investigator initiates the subaward agreements through cuResearch.

Step 8 – Financial Reporting and Monitoring

Research Financial Services prepares financial reports in accordance with the agency guidelines and schedules. Research Financial Services sends the report to the researcher, who must review and sign the report, prior to submission to the agency.

Step 9 – Award Closure

Project is complete.  All required reports have been submitted and all funding has been received from the sponsor. Account balance is at $0. Unspent funds are returned to the sponsor, if required, or moved to the researcher’s general research fund.

If a no-cost extension is required, contact the Research Administrator. For some NSERC and SSHRC grants that have closed with unspent funds in the account, the researcher may be eligible to request access to the residual balance.