Definitions
Research account: An individual research grant, contract, award, account, sub-grant – these are identified in the accounting flex fields (AFF) by a unique 6-digit project account number.
Research Account Holder (RAH): The faculty member under whose name the research account is held. The RAH most often has the role of Principal Investigator (also referred to as grantee or grant holder) however, there are instances when the RAH may act in the capacity of co-applicant, or supervisor of a trainee, or some other role. The RAH responsibilities apply regardless of the role within the project.
Research Financial Analyst (RFA): Member of the Office of Research who is responsible for the financial reporting on a research account.
Scope
This
document
outlines
the
roles
and
responsibilities
of
the
RAH
to
ensure
effective
and
responsible
financial,
ethical,
and
human
resource
management
of
research
funds
and
adherence
to
sponsor
agency
guidelines.
Roles and Responsibilities
- RAHs are responsible for the overall financial management of their research accounts.
- RAHs must authorize, in writing, all transactions related to their research accounts unless there is written delegation of authority from them for others to do so. RAHs must ensure that a copy of this delegation of authority is retained by their Department.
- All travel claims and advances must be authorized by the RAH (or delegate) and have a one over one authorization. For travel claims and advances for RAHs or other researchers (including visiting researchers), the one over one authorization must be from the Chair, Director, or Dean.
- RAHs must ensure that all expenditures comply with University policies and procedures.
-
RAHs
must
ensure
that
all
expenditures
comply
with
the
terms
and
conditions
of
the
granting
program/contract
and
are
in
accordance
with:
- the purpose of the account or program,
- the approved budget, and
- are necessary to the research endeavour being undertaken.
- Any significant deviations, either from the original objective and/or original budget, must receive prior authorization from the sponsor/ agency.
- RAHs are responsible for ensuring that agency compensation limits (maximum and minimums), where these exist, are respected.
- RAHs are responsible for monitoring and reviewing, on a regular basis, all financial transactions that have been processed to their research accounts. Any discrepancies or errors must be communicated in a timely manner to their RFA.
- RAHs are responsible for ensuring that there are sufficient funds available in a particular account to fund all expenditures charged to that account. RAHs are accountable and responsible for all deficits resulting from over expenditures, expenses deemed ineligible by the research sponsor, and for failure to comply with the rules and regulations of the funding agency and/or University of Waterloo policies.
-
RAHs
are
responsible
for
ensuring
that
they
are
in
compliance
with
Waterloo
and
sponsors’
guidelines
on
research
involving:
- live, non-human vertebrate animals and animal tissues.
- human participants, human tissue/fluids, observational recording & secondary data not in public domain.
- biohazardous agents.
- radioactive materials.
- environmental Impact.
- field work in Canada or abroad.
- conflict of interest.
- RAHs must ensure that the Office of Research is informed if any funds are to be transferred to or received from another institution. The Office of Research will ensure that the appropriate paperwork (e.g. a “Transfer of Funds” agreement) is in place to support such transactions.
- RAHs are responsible for informing sponsor agencies and the Office of Research, in a timely manner, of any changes in their status (e.g. maternity/parental leave, termination, sabbatical, long term disability).
- For Tri-Agency grants and awards (i.e. Natural Sciences and Engineering Research Council (NSERC), Social Sciences and Humanities Research Council (SSHRC), and Canadian Institutes of Health Research (CIHR)), RAHs must operate in compliance with the Tri-Agency Memorandum of Understanding (MOU) on the Roles and Responsibilities in the Management of Federal Grants and Awards.