Additional obligations if your research is funded

Apply for funding

Mandatory/key compliance obligations	Develop an application/proposal
Waterloo policy, procedure or guideline	Adherence to Internal Procedures as determined by PI’s academic department/school and faculty, and the Office of Research
External policy/requirement	Review sponsor requirements
Who can help?	Contact the academic unit and Faculty (Dean/Associate Dean Research), Office of Research, and Sponsor. https://uwaterloo.ca/research/find-and-manage-funding/find-funding Relevant pre-award group https://uwaterloo.ca/research/about-research/what-we-do-who-can-help
Mandatory/key compliance obligations	Build a budget
Who can help?	Relevant Pre-Award group https://uwaterloo.ca/research/find-and-manage-funding/apply-funding/building-budget
Mandatory/key compliance obligations	Ensure all applications and proposals are signed by an individual with the appropriate authority
Waterloo policy, procedure or guideline	Procedure 10 “Applications and Proposals – Research”
Mandatory/key compliance obligations	Assess certifications and risks
Who can help?	Relevant pre-award group https://uwaterloo.ca/research/find-and-manage-funding/apply-funding/certifications-risks
Mandatory/key compliance obligations	There may be limits on the number of applications allowed. Consider any limit that may apply.
Waterloo policy, procedure or guideline	Adherence to internal procedures or internal reviews as determined by the Office of Research for particular programs (e.g., CFI, CERC, some industry programs, special awards or internal programs) is required
External policy/requirements	Review sponsor’s guidelines/procedures
Who can help?	Contact the Office of Research prior to initiating an application https://uwaterloo.ca/research/about/people
Mandatory/key compliance obligations	Obtain institutional approvals
Waterloo policy, procedure or guideline	Office of Research cover sheet should be used for all funded research https://uwaterloo.ca/research/forms/cover-sheet-sponsored-research
External policy/requirements	In many instances an agency/sponsor/company will erroneously accept an agreement or contract signed by a faculty member. All contracts/agreements must be signed by an individual with the appropriate authority.
Who can help?	Relevant pre-award group https://uwaterloo.ca/research/about-research/what-we-do-who-can-help/application-review-and-support
Mandatory/key compliance obligations	Contact Office of Research staff who will negotiate any agreement with other institutions or sponsors if a research agreement is required
Waterloo policy, procedure or guideline	Policy 41 - Contract Research at Waterloo
External policy/requirements	Since these vary by sponsor, you will need to determine the specific sponsor requirements
Who can help?	Relevant pre-award group https://uwaterloo.ca/research/find-and-manage-funding/apply-funding/negotiating-research-agreement
Mandatory/key compliance obligations	Complete Canadian Common CV, if required by the funding agency (leave lots of time for this task)
External policy/requirements	Tri-Agency guidelines
Who can help?	Relevant pre-award group https://uwaterloo.ca/research/canadian-common-cv
Mandatory/key compliance obligations	Contact the Office of Research to arrange agreements if a fund transfer between institutions or sub-projects is required/desired
External policy/requirements	Sponsor requirements that may restrict fund transfers to other institutions
Who can help?	Relevant pre-award group https://uwaterloo.ca/research/find-and-manage-funding/when-awarded/transferring-funds
Best practices	Start early
Waterloo policy, procedure or guideline	Engage Office of Research pre-award staff early
Who can help?	Office of Research/Faculty/Department
Best practices	Know the program requirements
Who can help?	Office of Research
Best practices	Know university policies and procedures
Who can help?	https://uwaterloo.ca/secretariat-general-counsel/policies-procedures-guidelines
Best practices	Secure grant writing and editorial review
Who can help?	Relevant pre-award group https://uwaterloo.ca/research/find-and-manage-funding/apply-funding/grant-writing-editorial-review
Best practices	Consider developing a data management plan. Some funders will require this as a condition of funding, but it may also be helpful in the event that a graduate student leaves. In that situation, all members of the team will know where the data is located and what they mean.

Responsibilities

Mandatory/key compliance obligations	Understand the roles and responsibilities of the PI and other stakeholders in research funds
Waterloo policy, procedure or guideline	Roles and responsibilities for research account holders
External policy/requirements	“The administration of funds granted by an Agency is carried out by the grantee, the institution and the Agency. Refer to the Tri-Agency Framework: Responsible Conduct of Research for researchers’ responsibilities when applying for, or in receipt of, Agency funds, and with the Agreement on the Administration of Agency Grants and Awards by Research Institutions for more details on administration of funds granted.” Tri-Agency financial administration guide 2016
Who can help?	Research Finance
Mandatory/key compliance obligations	Inform OR Pre-Awards if there is a change in your employment status, if you are intending to take a leave of absence, or if you are transferring to another institution
External policy/requirements	“The institution must notify the Agency's Finance (NSERC and SSHRC) or Program Delivery (CIHR only) Division as soon as a grantee's eligibility changes at any time during tenure of the grant. These changes could include a change in position at the institution, a change from full-time to part-time status, a change to a term position during the course of the grant, or taking a position outside of Canada (academic or other).” Tri-Agency financial administration guide 2016
Who can help?	OR Pre-Awards
Mandatory/key compliance obligations	Inform OR Pre-Awards of any emerging certification needs or risks specific to the research grant/award/contract (e.g. human participants/biohazards/animal tissue) over the duration of the funding
Waterloo policy, procedure or guideline	Office of Research Cover Sheet
External policy/requirements	Refer to the Tri-Agency Framework: Responsible Conduct of Research for researchers’ responsibilities when applying for, or in receipt of, agency funds, and with the Agreement on the Administration of Agency Grants and Awards by Research Institutions for more details
Who can help?	OR Pre-Awards

Authorizations

Mandatory/key compliance obligations	Ensure all contracts and agreements are signed by the appropriate authority
Waterloo policy, procedure or guideline	Procedure 1A “Contracts and Agreements – Research”
External policy/requirements	In many instances, an agency/sponsor/company will erroneously accept an agreement or contract signed by a faculty member. All contracts/agreements must be signed by an individual with the appropriate authority.
Who can help?	OR Pre-Awards
Mandatory/key compliance obligations	Signing of Non-Disclosure Agreements or Material Transfer Agreements may be required
Waterloo policy, procedure or guideline	In many instances an agency/sponsor/company will accept/require researchers to sign NDAs before being allowed on site. Whenever possible, NDAs should be vetted by the Office of Research. All contracts/agreements should be signed by an individual with the appropriate authority.
External policy/requirements	Varies by sponsor
Who can help?	OR Pre-Awards
Mandatory/key compliance obligations	If required, set up appropriate signing delegates on your account
Waterloo policy, procedure or guideline	Guideline on signing authority on research accounts
Who can help?	Research Finance Training and Compliance
Mandatory/key compliance obligations	Ensure all expenses are authorized by either the PI or via a written delegation
External policy/requirements	“The grantee is responsible for authorizing expenditures from his/her grant account … No other party may initiate or authorize expenditures from an Agency's grant account without the grantee's written delegated authority.” Tri-Agency financial administration guide 2016
Who can help?	Research Finance Training and Compliance
Mandatory/key compliance obligations	Ensure all personal reimbursements are countersigned by the appropriate individual (i.e., supervisor's signature)
Waterloo policy, procedure or guideline	Waterloo Travel Guidelines
External policy/requirements	“If the traveler is a student, the claim must be signed by the grantee. In the event that the traveler is the grantee or a visiting researcher, the claim must be countersigned by the department head or dean confirming the relevance of the travel to the research being funded.” Tri-Agency financial administration guide 2016
Who can help?	Research Finance Training and Compliance
Mandatory/key compliance obligations	Remove signing authority delegates from your project in a timely manner
Waterloo policy, procedure or guideline	Guideline on signing authority on research accounts
Who can help?	Research Finance Training and Compliance
Best practices	Contact the Office of Research early for any discussions where the authorizations required are unclear to you
Who can help?	Office of Research

Expense eligibility

Mandatory/key compliance obligations	Ensure all expenses are directly related to your research project and are charged to the correct account
External policy/requirements	“Grant funds must contribute towards the direct costs of the research for which the funds were awarded, and the benefits should be directly attributable to the grant.” Tri-Agency Financial Administration guide 2016
Who can help?	Research Finance Training and Compliance
Mandatory/key compliance obligations	Expenses should be consistent with the policies of Waterloo, Province of Ontario, and research sponsor
External policy/requirements	Broader public sector procurement directive
Who can help?	Research Finance Training and Compliance
Mandatory/key compliance obligations	Ensure that supporting documentation for all internal charges or PCard charges is retained in case of audit. Any documentation submitted to Finance or HR will be retained by them.
Waterloo policy, procedure or guideline	Purchasing Card Program
External policy/requirements	“Grantees must be able to provide supporting documentation for all expenditures charged to their grant accounts. Such documentation includes: Internal expense allocations or shared expenditures: documentation indicating the exact charge made; the method of calculation or attribution; the grantee’s authorization for those assigned to the Agency account.” Tri-Agency financial administration guide 2016
Who can help?	Research Finance Training and Compliance

Management of funds

Mandatory/key compliance obligations	Review financial statements on a regular (i.e. monthly) basis
Waterloo policy, procedure or guideline	Roles and responsibilities for research account holders https://uwaterloo.ca/research/find-and-manage-funding/manage-funding/monitoring-research-accounts
External policy/requirements	Tri-Agency financial administration guide 2016
Who can help?	Research Financial Analyst
Mandatory/key compliance obligations	Request any account adjustments within four months of the initial transaction date
Waterloo policy, procedure or guideline	Procedure on Internal Adjustments to Restricted Fund Accounts
Who can help?	Research Financial Analyst
Mandatory/key compliance obligations	If your project is in deficit, stop spending on it until the cause for the deficit and/or additional funds have been identified
Waterloo policy, procedure or guideline	Roles and responsibilities for research account holders
Who can help?	Research Financial Analyst
Mandatory/key compliance obligations	Ensure all spending is completed by the end date of the project
Who can help?	Research Financial Analyst
Mandatory/key compliance obligations	Contact the Office of Research well ahead of project end date if an extension is required
Who can help?	Relevant Pre-Award group https://uwaterloo.ca/research/about-research/what-we-do-who-can-help
Best practices	Understand the consequences of under or overspending, either in total (e.g., under spends may result in funds being returned) or at the line item (e.g. budget variances may need to be explained)
External policy/requirements	Consequences will be sponsor specific
Who can help?	Research Financial Analyst
Best practices	Understand the eligibility requirements of any matching funds
Who can help?	If matching funds are required, these will likely fall under the same eligibility requirements of the main sponsor funding agreement. Relevant Pre-Award group https://uwaterloo.ca/research/about-research/what-we-do-who-can-help

Reporting and audit

Mandatory/key compliance obligations	Be aware of the reporting requirements of your grant
External policy/requirements	Sponsor specific
Who can help?	Research Financial Analyst
Mandatory/key compliance obligations	Obtain in-kind certifications from industry partners in accordance with your project schedule
Who can help?	Research Financial Analyst
Mandatory/key compliance obligations	Ensure all reporting that is your responsibility (i.e., usually non-financial progress reports) is completed on time or that your OR contact is informed well in advance
Who can help?	Pre-Awards
Mandatory/key compliance obligations	Provide signatures on reports or additional information for reporting as required
Who can help?	Research Financial Analyst
Mandatory/key compliance obligations	Provide alternate accounts for resolving deficits or surpluses
Waterloo policy, procedure or guideline	Deficit Resolution Procedure
Who can help?	Research Financial Analyst
Mandatory/key compliance obligations	Provide assistance, supporting documentation and/or justifications to auditors
Who can help?	Research Financial Analyst