General Research Fund guidelines (NSERC and SSHRC only)

Introduction

A General Research Fund (GRF) is a special account under the authority of the President of the University of Waterloo into which residual funds of expired or terminated eligible grants (see Tri-Agency Guide on Financial Administration: Residual balances in the grant account) are transferred with the authorization of the granting agencies (NSERC and SSHRC only). The President has delegated the signing authority for the GRF to the Vice-President, Research and International (VPRI). In accordance with Tri-Agency regulations, the University uses these funds to support research in the fields of natural sciences and engineering or in the social sciences and humanities, respectively.

Definitions

Residual funds are defined as an amount corresponding to 50 percent or less of the total grant funds received remaining after the termination of a grant. If an amount greater than 50 percent remains in the grant, it is deemed unspent and will not go to the University’s GRF but will be reimbursed back to the Tri-Agency. This rule applies to NSERC and SSHRC only.

The grantee is the principal investigator who is leading the research project and the grant holder for the GRF.

Disbursement of the GRF

Grants ending March 31, 2026, or later

If there is a GRF eligible residual fund balance at the NSERC/SSHRC grant end date, a GRF account will be set up in the grantee’s name for no more than the amount remaining in the work order after the final Form 300 is completed, subject to the terms below, with the grantee having signing authority on those funds. The original grant cover sheet will serve as the GRF work order cover sheet.

Terms and conditions

  • GRF access will only be approved for residual balances greater than $1000 up to a maximum of $20,000, for a period of one year. No justification or spending plan is required for GRF access within these amounts.
    • The only exception to request more than $20,000 and/or a term greater than one year is if the funds are needed for student support (i.e., only for eligible expenses such as student stipends, travel, open access costs and supplies that are directly supporting student involvement in the work). For such a request, the grantee must provide a justification and spending plan, the term may not exceed 3 years, and the request will require VPRI approval (to be arranged by the Office of Research).  The Tri-Agency requires the University to spend at least 50 percent of its opening GRF balance during the Tri-Agency fiscal year. Thus, GRF applications over $20,000 must spend at least 50% of the residual funds by the half-way point of the approved time period.
    • Requests to access more than $20,000 must be made within two months of being notified of the balance, otherwise the funds in excess of $20,000 will become part of the University’s GRF and will not be accessible to the grantee.
  • No transfers between work orders intended to maximize GRF value will be allowed in the last 3 months of the grant. Grantees are expected to spend down their original grant in a timely fashion.
  • GRF funds will not be transferred to another institution.
  • The policies and requirements of the agencies stated in the Tri-Agency Guide on Financial Administration apply at all times to the use of GRF funds. Indirect or overhead costs, such as costs associated with facilities and basic utilities, the purchase and repair of office equipment, administration fees, insurance for research equipment and vehicles, and basic communication devices such as telephones and fax machines, are not eligible.
  • Grantees must retain NSERC/SSHRC eligibility throughout the GRF grant period.
  • Any funds remaining at the end of the GRF grant period will be automatically returned to the University’s GRF and subsequent applications or extensions to GRF grants will not be considered.

Grants ending March 30, 2026, or earlier

Permission to access GRF funds is not automatic and must be fully justified in terms of an ongoing research program or new initiative. Within two months of being notified of the balance at the NSERC/SSHRC grant end date, the previous grant holder may apply in writing to the VPRI for permission to access the funds. A GRF work order will be set up in the grantee’s name for the amount of funds approved by the VPRI with the grantee having signing authority on those funds.

General principles

  • If no request has been made within two months of being notified of the balance, the funds will become part of the University’s GRF and will not be accessible to the grantee.
  • The Tri-Agency requires the University to spend at least 50 percent of its opening GRF balance during the year in order to spend funds in a timely manner, for GRF applications of $10,000 and less access to funds is limited to a maximum of one year; for applications over $10,000 the grant period will be determined on a case by case basis.
  • GRF funds will not be transferred to another institution.

Application requirements

Use of GRF funds

The policies and requirements of the agencies stated in the Tri-Agency Guide on Financial Administration apply at all times to the use of GRF funds. Indirect or overhead costs, such as costs associated with facilities and basic utilities, the purchase and repair of office equipment, administration fees, insurance for research equipment and vehicles, and basic communication devices such as telephones and fax machines, are not eligible.

Eligibility of expenses

All expenses must follow the approved application budget; any deviations from the original budget must receive prior authorization from UW NSERC for NSERC or UW SSHRC for SSHRC.

Eligibility of the grantee

Grantees must retain NSERC/SSHRC eligibility throughout the GRF grant period.

Duration of GRF account

Any funds remaining at the end of the GRF grant period will be automatically returned to the University’s GRF and subsequent applications or extensions to GRF grants will not be considered.