This
outlines
the
roles
and
responsibilities
of
the
Research
Account
Holder to
ensure
effective
and
responsible
financial,
ethical
and
human
resource
management
of
research
funds
and
adherence
to
sponsor
agency
guidelines.
| Term | Definition |
|---|---|
| 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. 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. |
RAH Roles & Responsibilities
Inclusive of the following:
Responsible for the overall financial management of their research
Authorise, in writing, all transactions related to their research accounts unless there is written delegation of authority from them for others to do so.
-
must ensure that a copy of this delegation of authority is retained by their Department.
Authorize all travel claims and advances by the RAH (or delegate) and have a one over one authorisation.
For travel claims and advances for RAHs or other researchers (including visiting researchers) the one over one authorisation must be from the Chair, Director or Dean.
Ensure that all expenditures comply with University policies and procedures.
Ensure that all expenditures comply with the terms and conditions of the granting program/contract and are in accordance with:
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the purpose of the account or program,
-
the approved budget,
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necessary to the research endeavour being undertaken.
Any significant deviations, either from the original objective and/or original budget, must receive prior authorisation from the sponsor/ agency.
Ensure that agency compensation limits (maximum and minimums), where these exist, are respected.
Monitor and review 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.
Ensure 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 UW policies.
Ensure that they are in compliance with the UW 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.
Inform the Office of Research 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.
Inform 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. NSERC, SSHRC and 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.
Office of Research 27-APR-2009