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October 1, 2016

A Quick Reference Guide for Expense Eligibility and Documentation Requirements

Tri-Agency Research Grants

Administration Handbook

T:\finance\Research\Tri Agency TAFAG updates\Oct 2016 update\UofR Tri-Agency Research Grants Admin Handbook - 1-Oct-16.docx

Contents

Administration of Tri-Agency Grants................................................................................ 1

Introduction .................................................................................................................. 1

Contact ........................................................................................................................ 1

UofR Policies ................................................................................................................... 2

Additional Resources ...................................................................................................... 2

Tri-Agency Fund Numbers .............................................................................................. 2

Roles and Responsibilities .............................................................................................. 3

Use of Grant Funds - General Principles ......................................................................... 3

Compensation ................................................................................................................. 4

Travel and Subsistence Expenses .................................................................................. 5

Sabbatical and Leave Periods ......................................................................................... 6

Equipment and Supplies Expenses ................................................................................. 7

Computers and Electronic Communications ................................................................... 8

Hospitality Expenses ....................................................................................................... 9

Services and Miscellaneous Expenses ......................................................................... 10

Dissemination of Research Results............................................................................... 11

1

Administration of Tri-Agency Grants

Introduction

This guide to the expense eligibility rules of the federal research funding agencies (NSERC, SSHRC and CIHR, collectively known as the Tri-Agency) has been prepared for the benefit of Researchers, Financial Services staff, Administrative Assistants, and anyone who has a role to play in the administration and spending of federal research funds.

The information contained in this guide is accurate as of October 1, 2016, and is summarized from the detailed Tri-Agency Financial Administration Guide found at: http://www.nserc-crsng.gc.ca/Professors-Professeurs/FinancialAdminGuide-GuideAdminFinancier/index_eng.asp

Researchers and Administrators are encouraged to visit the Tri-Agency website to view complete eligibility rules.

Contact

If at all in doubt about the eligibility of a research expense or the required supporting documentation, please contact:

Murray Daku, CPA, CA Financial Analyst, Research & Special Projects

[email protected] Extension 4027

Bob Gilongos, CPA, CMA Financial Analyst, Research & Special Projects

[email protected] Extension 2129

President's Office

Faculty of Arts Faculty of Engineering and Applied

Sciences

Faculty of Social Work

U of R Press

Institute for Energy, Environment and Sustainable Communities

Saskatchewan Justice Institute

Prairie Adaptation Research Collaborative

Office of Research Services

Humanities Research Institute

Centre for Aging and Health

UR International

Centre for Continuing Education

Institut Francais

Faculty of Nursing

Campion College

Luther College

First Nations University of Canada

Financial Services

Office of Resource Planning

Human Resources

Faculty of Business Admin

Faculty of Education

Faculty of Fine Arts

Faculty of Graduate Studies and Research Johnson-Shoyama Graduate School of

Public Policy

Indigenous Peoples Health Research Centre Saskatchewan Population Health and

Evaluation Research Unit

RESOLVE Saskatchewan

Faculty of Science

Faculty of Kinesiology and Health Studies

Dr. John Archer Library

Student Affairs

Facilities Management

External Relations

2

UofR Policies UofR policies and Tri-Agency guidelines apply to all research accounts. The more restrictive of the UofR and the Tri-Agency policy must be followed.

The UofR policies and procedures manual is available on-line:

http://www.uregina.ca/policy/ The following policies are of particular note: Limits on Spending from Research Funds

http://www.uregina.ca/policy/browse-policy/policy-RCH-030-010.html Travel – Allowable Expenses

http://www.uregina.ca/policy/browse-policy/policy-EMP-050-005.html BMO Mastercard Corporate Travel Care

http://www.uregina.ca/presoff/vpadmin/policymanual/fs/30051004.shtml Reimbursement Claims including Foreign Exchange

http://www.uregina.ca/fs/employees/paying-expenses/travel.html Purchasing Card Program

http://www.uregina.ca/policy/browse-policy/policy-OPS-020-010.html Policy – Tendering (Competitive Bidding Process)

http://www.uregina.ca/presoff/vpadmin/policymanual/purchasing/4005.shtml

Additional Resources Resources to assist with the administration of research grants can be found on our webpage:

http://www.uregina.ca/fs/employees/research/index.html

Tri-Agency Fund Numbers

All funds contained within the following sequences are Tri-Agency grant funds and are required to comply with Tri-Agency regulations

NSERC SSHRC CIHR 20000-22299 22400-22799

224000-227999 22800-22899

228000-228999

3

Roles and Responsibilities

Tri-Agency grants are awarded to eligible researchers and are administered through the University’s administration systems.

Researchers must operate in compliance with the relevant Agency guidelines and all University policies.

The researcher authorizes expenditures in accordance with Agency policies.

No one may initiate or authorize expenditures from a grant account without the researcher's delegated authority.

The University establishes appropriate systems and controls to ensure that Agency policies are followed.

Administrative, personnel and accounting procedures must conform to the standards, practices and policies of the University.

For more details please see the Memorandum of Understanding on the Roles and Responsibilities in the Management of Federal Grants and Awards:

http://www.nserc-crsng.gc.ca/Professors-Professeurs/FinancialAdminGuide-GuideAdminFinancier/Responsibilities-Responsabilites_eng.asp

Use of Grant Funds - General Principles

The expense must be for direct costs of the research for which the funds were awarded.

The researcher must show effective and economical use of grant funds.

Equipment purchased belongs to the Institution.

If there is no written Agency policy covering a specific purchase, the

Institution’s policy applies. Agencies defer to Institutions’ conflict of interest policies to ensure

accountable & responsible use of grant funds. Institutions can withhold payment of expenses approved by grant holders

that contravene Agencies’ requirements or Institutions’ policies.

4

Compensation

Eligible Ineligible

Salaries, stipends and benefits for research personnel.

o Term limits and annual maximums may apply and vary by agency

Each agency’s rules are slightly different

Consulting fees

Fees paid to research subjects

Subcontract costs

Clerical salaries directly related to dissemination

Must follow CRA rules

Grant holders or persons eligible

to apply for funding from Agencies

Administrative charges and fees

Discretionary severance and separation packages

Supporting Documentation Required Hiring Letter containing the following information: Name of the person

Position or category of employment

Salary or stipend

Duration of compensation

Details of supplementary benefits

Authorization of grant holder or delegate

5

Travel and Subsistence Expenses

Eligible Ineligible

Transportation (at the lowest rate available)

Meals & accommodation

Travel health insurance (if not provided by employer or other sources) UofR EMP 050-010

Child care expenses as specified by the Agencies (For traveling nursing mothers or single parents)

Relocation costs for research personnel & immediate family

Entry visa fees

Safety-related expenses for field work travel.

Collaborator’s eligible expenses

Commuting (home to/from work

and between two workplaces)

Passport & immigration fees

Thesis defense or thesis examination related travel

Reimbursement of airfare acquired with frequent flyer points.

Trip Cancellation Insurance (Disallowed by UofR for employees as coverage is already provided see UofR Policy EMP 050-010)

Supporting Documentation Required

Purpose of trip, including a description of how the trip is related to the Grant Holder's research

Dates & destinations Prospectus or program for conference related travel Details of daily expenses Details of vehicle usage Original receipts (detailed receipts, not credit card slips) Original air travel ticket & boarding passes (if available) or any other

evidence that supports travel expenses claimed (ie written attestation from grant holder)

Separate claim for each claimant for each trip Traveler’s affiliation to the research project Signature of claimant and grant holder or delegate Signature of department head or dean for grant holder’s travel claim

6

Sabbatical and Leave Periods

Eligible Ineligible

Direct costs for research work

Travel to conferences

Vehicle required for field work

Equipment & materials transportation (to and from sabbatical location)

One round trip ticket between

home institution and sabbatical location. (NSERC/CIHR grants only)

Transport of research personnel

for supervisory or academic purposes

Travel to home institution for

supervisory purposes Living expenses (subsistence

and accommodation costs)

Supporting Documentation Required Original invoices, contracts, receipts

Travel claim and supporting documents for travel


Signature of Department Head or Dean for grant holder’s travel claims

7

Equipment and Supplies Expenses

Eligible Ineligible

Research equipment and supplies (including lab notebooks and paper used in research)

Travel to manufacturer (for major

equipment purchase)

Shipping

Brokerage & customs charges

Extended warranty for equipment

Staff training on use of equipment or specialized facility

Maintenance and operating costs

for equipment/vehicles used for research

Insurance for equipment &

research vehicles

Space or facilities rental

Construction/renovation of facilities

Office furnishings, filing cabinets

and hanging files

Office accessories for laboratory employees, researchers and students (paper clips, pens, file folders, writing pads, ring binders, day planners, wastebaskets)

Additional clarifying information on the eligibility of stationary and office supplies is available at the following website:

http://www.nserc-crsng.gc.ca/Professors-Professeurs/FinancialAdminGuide-GuideAdminFinancier/FundsUse-UtilisationSubventions_eng.asp

Supporting Documentation Required

Original invoices, contracts, receipts Justification for supplies expenses in terms of their need for the funded

research project Authorization of grant holder or delegate

8

Computers and Electronic Communications

Eligible Ineligible

Computers, hardware and

specialized software for research not provided by the institution

Internet service for research at

Institution (if not normally provided by the Institution)

Cellular phone & Personal Digital

Assistants (PDAs) with adequate justification for:

o research data collection use

o personnel safety

Monthly connection or rental

costs of telephones Connection or installation of

communication lines

Home internet costs Voice mail

Library acquisitions, computer

and other information services provided to all members of the Institution


Written justification for PDA acquisitions/use


9

Hospitality Expenses

Eligible Context Networking A formal courtesy between the grant holder and guest researchers Research related activities Assemblies that facilitate and contribute to the achievement of the research

objectives such as meeting with partners and stakeholders

Eligible Ineligible

Non-alcoholic beverages

Meals

Alcoholic beverages

Entertainment or gifts

Meetings with staff and non-

collaborating colleagues Costs for family, spouse or

significant other

Supporting Documentation Required Purpose of the event

Date(s) of the event

Number of participants (Tri-Agency requirement)

Names of participants (University of Regina requirement)

Original detailed receipts (itemized receipts, not credit card slips – to

confirm absence of alcohol in purchases)


10

Services and Miscellaneous Expenses

Eligible Ineligible

Recruiting costs for research personnel

Safe disposal of waste

Books, periodicals, specialized

office supplies - not provided by the Institution

Training/development in novel

techniques necessary for the research

Professional association or

scientific society memberships necessary for the research

Monthly parking fee for a vehicle

specifically required for field work, when used for that purpose

Education related costs such as

thesis preparation, tuition fees Cost for preparation of teaching

materials Regulatory compliance costs

including ethical review, biohazards, environmental assessments

Professional training or development

Staff recognition and awards Monthly parking unless

specifically required for field work

Regular clothing Patenting Basic services & supplies for

research labs (ie heat, distilled water etc)

Costs to move a lab Insurance costs for buildings or

equipment Sales tax to which an exemption

or rebate applies


For internal acquisitions/services costs:

o documentation describing the acquisition/service

o if a shared acquisition/service, the method of calculating the allocation

of the costs Authorization of grant holder or delegate.

11

Dissemination of Research Results

Eligible

Development & maintenance of Web-based information

Dissemination of findings –via traditional & contemporary means

Page charges for published articles including open access costs

Manuscript preparation including paper and ink cartridges for printing of different manuscript versions

Translation

Workshops or seminars directly related to the research

Research-related paper documents, posters and pamphlets distributed to

conference, workshop and focus group participants



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