Research Compliance & Reporting
Research Compliance and Reporting
General Principles on the use of Research Funds
Spending Guidelines
Compliance Education
Non-Compliant Transactions
Reporting
Resource Links
Contact Us

 

 

 

 

 

 

Research Compliance and Reporting

The Research Compliance Team is responsible for reviewing processes and monitoring expenses to ensure that the policies, procedures, guidelines and contract terms of the external sponsors are adhered to in administering and controlling research and special funds. The team is also tasked with educating the University community on external agency and University guidelines to raise awareness and improve the overall research compliance at the University.

The University of Manitoba, along with other Canadian Universities, signed the Agreement on the Administration of Agency Grants and Awards by Research Institutes and we modelled our Financial Administration and Control of Research and Special Funds policy and procedure from this agreement to lay down the roles and  responsibilities of each stakeholder.

General Principles on the Use of Research Funds

  1. Research funds must contribute towards the direct cost of the research project for which the funds were awarded and the benefits should directly be attributable to the grant.
  2. Research funds must be used effectively and economically.
  3. Research funds must be used within the project period.

Spending Guidelines

Relation of expense to the research project
All expenses charged to research funds must be directly related to the research project for which the funds were awarded for.

Adequate justification for purchases/expenses should be provided prior to its purchase when the direct link to the research being funded is not obvious.

  • Bookstore Purchases – coming soon!
  • Computers on Campus Purchases – coming soon!
  • EPIC Purchases – comments field section in the purchase requisition form – coming soon! 
  • Hospitality Pre-Approval Form - sample form 
  • Purchasing Visa Cards – internal documentation to be filed with your account reconciliation
  • Travel related expenses – Concur or paper claim form 

Eligibility of Expense
Research expenses should comply with external agency, as well as University guidelines to be eligible.

Authorization from a Signing Authority
All expenses charged to a research fund must be approved by the primary signing authority or an authorized alternate. The Primary Signing Authority of a fund can assign alternate signing authority to another employee. To know more about signing authorities and how to assign them, please visit the Signing Authorities page.

Travel and Business Expense claims should be approved by an authorized signing authority and the traveler's one-over-one.

Documentation Requirements
All expenses to be eligible must have supporting documentation which must be kept for at least 7 years.

Documentation requirements for travel and other types of expenses can be found in the Research Compliance Cheat Sheet.

Available Funds
Before you make your purchase or commit to spending your research funds, ensure you have funds available to avoid overspending. You can check the most up to date balance of your fund in the FAST Reporting tool. If you do not have access to FAST, visit the Aurora Finance Security Access page to request access.

Support, online resources and FAQs for FAST Reporting can be found at the Aurora Finance homepage.

Research Compliance Education and Trainings

The Research Compliance Team offers the following workshops. A copy of the presentation material can be found by clicking on the workshop title.

  • Research Compliance – offered to Researchers and Research Administrators to provide information on research compliance topics such as travelling on research, eligibility of expenses, supporting documentation requirement and general research guidelines. Each person involved in research and research administration should attend this workshop.
  • Interdepartmental Charge – intended for interdepartmental (ID) charge processors charging research funds. The workshop covers topics such as how to create an ID charge, research compliance considerations and the documentations requirements.
  • Aurora Finance for Researchers – offered to Researchers and Research Administrators to provide basic understanding of the FOAP, finance systems and the basic spending guidelines on research funds.

If you wish to attend to any of the workshops, please email ask-finance-for-researchers@lists.umanitoba.ca for the available schedules and registration information.

Non Compliant Transactions

Should non-compliant transactions and/or ineligible expenses be charged to research funds, it is the responsibility of the primary signing authority together with the Department, to find an alternate funding source.

Reporting

Tri-Agency (CIHR, NSERC, SSHRC) requires that an Annual Statement of Account (F300) be submitted for each research fund on or before June 30th of each year for the preceding  fiscal year of April to March.

The annual submission of the statement is done electronically through the Financial Data Submission and Reconciliation System (FDSR) and all approvals are also done online. Research Accounting sends email notifications to Tri-Agency grant holders for  this annual exercise between May and June of each year. You may check the Instructions on the Annual Statement of Account (F300) Approval Process for information.

Resource Links

Tri-Agency Financial Administration Guide
Natural Sciences and Engineering Research Council of Canada
Canadian Institute of Health Research
Social Sciences and Humanities Research Council
Canada Research Chair
Canada Foundation for Innovation
Research Manitoba

 

 

 

 

 

 

Contact Us!

Send your research questions to ask-finance-for-researchers@lists.umanitoba.ca.

If you are a researcher or a research administrator wanting to receive research finance information, please subscribe to our Finance for Researchers Mailing List.