Account Terms of Reference

Conference Project

Terms of Reference
Fund Fund 330 - Research Operating
Purpose This category is used for administering a funds associated with an academic conference.
Sources of Funding External sources (use 402xxx account codes):
  • Registration fees (402025)
  • Sponsorship revenue (Account 402182).
Internal sources (use 401xxx account codes):
  • Internal registration fees (indents)
Transfers (use TCxxxx account codes):
  • Contributions from faculties or departments (Fund 210)
  • Funds from other projects in Fund 330 if authorized by the Project Holder of those funds.
Certifications Pursuant to University Policy, all research involving human participants, animal subjects, pluripotent stem cells, or biohazards must receive appropriate certifications and/or approvals before the research starts. Required certifications must be maintained throughout the research project or the duration of the specific activity.
External Billings Units must process external billings for these projects using the PeopleSoft Billings module.
Internal Billings Internal billings (i.e. indents) will be prepared by the Department and must be processed via the Department/Faculty’s GLJE user interface. For faculties that do not have a GLJE user interface set up they must complete the Research and Operating: Internal Sale form (Form 5) and send to their Senior Financial Officer for approval and submission.
Financial Reporting None
Donations and Grants Donations and Grants are not permitted except for those conferences that receive a limited amount of restricted grant revenue (see Conference Revenue in the Guide to Financial Management). All Donations must be referred to Advancement Services and all Grants must be referred to RSO.
Sponsorships When sponsorships are provided to a conference, the unit may process the sponsorship revenue to the project. See Sponsorship Revenue in the Guide to Financial Management.
Indirect Cost Recovery Indirect costs will be assessed on external billings as per UAPPOL.
End Date In order to provide adequate opportunity to process all costs related to the conference, end dates will be no longer than two months after the conference has taken place. If the conference will take place annually with the U of A as the administrative host, a maximum 5 year term on the project will be established.
Conference Cancellation If the conference is cancelled before it is held, all paid registration fees should be returned. Sponsorship revenues will be handled based on the terms and conditions in each Sponsorship Agreement.
Unspent Funds Once it is determined that all conference related costs have been charged to the project, any remaining balance will be transferred to the department’s operating budget (Fund 210).
Expense Eligibility

Expenses must be conference related and must be approved by the Project Holder.
All expenditures must comply with existing University policies and procedures governing the use of operating funds.

Non-Eligible Expenditures Any expenditure for which the Project Holder derives a personal financial benefit.
Over Expenditures As per the Research – Over Expenditure (Authorized) Procedure (PDF) in UAPPOL, over expenditures are not allowed and will not be authorized.
Requesting a Conference Project Select “Request Create Application/Proposal/Project” on the Researcher Home Page and select Request Type “Conference”.

 

General Research Project

Terms of Reference
Fund Fund 330 - Research Operating
Purpose This category is used for administering a Project Holder’s ongoing unrestricted external and internal revenue generated to support ongoing research programs and facilities.
Sources of Funding External sources (use 402xxx account codes):
  • Lab service and equipment user fees
  • External revenue from the sale of products and services
Internal sources (use 401xxx account codes):
  • Internal sales and services
Transfers (use TCxxxx account codes):
  • Residual funds from other F330 projects.
  • Lapsed residual funds from other restricted research projects, if permitted by Sponsor and there are no further restrictions on the funds.

Note: If the amount of unspent funds exceeds the higher of 20% of the amount awarded or $20,000, the Principal Investigator is required to explain how the surplus occurred, with the resultant transfer being subject to review by the Research Services Office (RSO) in consultation with the Principal Investigator, Chair, Dean and/or Sponsor, as needed.

Certifications Pursuant to University Policy, all research involving human participants, animal subjects, pluripotent stem cells, or biohazards must receive appropriate certifications and/or approvals before the research starts. Required certifications must be maintained throughout the research project or the duration of the specific activity.
External Billings Units must process external billings for these projects using the PeopleSoft Billings module.
Internal Billings Internal billings (i.e., indents) will be prepared by the Department and must be processed via the Department/Faculty’s GLJE user interface. For faculties that do not have a GLJE user interface set up they must complete the Research: General Ledger Journal Entry (Excel) Form found in the Finance, Procurement and Planning Forms Cabinet and send to their Finance Partner for approval and submission
Financial Reporting None
Donations and Grants Donations and Grants are not permitted. All Donations must be referred to Advancement Services and all Grants must be referred to RSO.
Sponsorships When sponsorships are provided to a conference, the unit may process the sponsorship revenue to the project. See Sponsorship Revenue in the Guide to Financial Management.
Indirect Cost Recovery Indirect costs will be assessed on external billings as per UAPPOLIndirect costs will be assessed on external billings as per UAPPOL.
End Date Maximum of 5 year term. End dates may be extended through an approved amendment request with adequate justification and spending plan.
Early Departure If the faculty member departs the University prior to using all of the funds, the balance will be returned to the department that provided the funding.
Unspent Funds If the Project Holder leaves the University or the Project is not renewed, any unspent funds remaining will be transferred to the Principal Investigator’s Department.
Expense Eligibility

Expenses must be research-related and must be approved by the Project Holder. Main uses include:

  • Operations of a research lab
  • Purchase of equipment
  • Sponsor ineligible expenses on other research projects
  • Transfer of expenses from an over expended project
  • Meeting costs, educational forums and other similar activity for staff, students if the amount is reasonable and support the overall research program of the Project Holder
  • Project Holders may also use their General Research Fund projects for expenses that would otherwise be eligible for Professional Expense Reimbursement.

In all the above situations, the expenditures must comply with existing University policies and procedures governing the use of operating funds.

Non-Eligible Expenditures Any expenditure for which the Project Holder derives a personal financial benefit.
Over Expenditures As per the Research – Over Expenditure (Authorized) Procedure (PDF) in UAPPOL, over expenditures are not allowed and will not be authorized.
Requesting a General Research Project Select “Request Create Application/Proposal/Project” on the Researcher Home Page. Procedures to complete this form can be found on the RSO Website. Please include “General Research Project” in the Project Description.

 

Internally-Funded Project

Terms of Reference
Fund Fund 330 - Research Operating
Purpose Internal funding from Fund 210 or 100 is often provided for the following purposes:
  • Start-up funding for new faculty recruits in order to establish research labs and programs
  • Internal matching of external awards
  • Other contributions of internal funds to ongoing research activities
Sources of Funding Transfers (use TCxxxx account codes):
  • Contributions from faculties or departments (Fund 210 or 100)
  • Funds from another Internally Funded Project if authorized by the Project Holder of those funds.
Note: All transfers must be approved and processed by RSO
Certifications Pursuant to University Policy, all research involving human participants, animal subjects, pluripotent stem cells, or biohazards must receive appropriate certifications and/or approvals before the research starts. Required certifications must be maintained throughout the research project or the duration of the specific activity.
External Billings None
Internal Billings None
Financial Reporting None
Donations and Grants Donations and Grants are not permitted. All Donations must be referred to Advancement Services and all Grants must be referred to RSO.
Indirect Cost Recovery None
End Date

Maximum of 3 year term. End dates may be extended through an approved amendment request.

If the purpose of the contribution is to match an external award, the end date should align with that award and should not be used for any other purpose.

Early Departure If the faculty member departs the University prior to using all of the funds, the balance will be returned to the department that provided the funding.
Unspent Funds Any balance remaining at the end of the project will be returned to the department that provided the funding.
Expense Eligibility

Expenses must be related to the Project Holder’s research program and must be approved by the Project Holder.

All expenditures must comply with existing University policies and procedures governing the use of operating funds.

Non-Eligible Expenditures Any expenditure for which the Project Holder derives a personal financial benefit.
Over Expenditures As per the Research – Over Expenditure (Authorized) Procedure (PDF) in UAPPOL, over expenditures are not allowed and will not be authorized.
Requesting an Internally- Funded  Project Select “Request Create Application/Proposal/Project” on the Researcher Home Page and select Source of Funds “Internal”. Procedures to complete this form can be found on the RSO Home Page.

 

NSERC SSHRC General Research Fund

Terms of Reference
Fund Fund 530 - Sponsored Research
Sources of Funding The Natural Sciences and Engineering Research Council of Canada (NSERC) and the Social Sciences and Humanities Research Council of Canada (SSHRC) General Research Funds are externally restricted funds held by the VicePresident (Research) into which the unspent funds of expired or terminated NSERC and SSHRC grants are transferred once authorization has been received from the sponsor.
Objective of Funding The General Research Fund (GRF) is intended to be reinvested by the University of Alberta in order to support and enhance the quality of research and training in the fields of natural sciences and engineering or social sciences and humanities. The funds may be used to provide small startup grants to new professors or professors changing their research direction, bridge funding to professors who are between applications, or additional funds to further support existing research programs.
Certifications Pursuant to University policy, all research involving human participants, animal subjects, pluripotent stem cells, or biohazards must receive appropriate certifications and/or approvals before the research starts. Required certifications must be maintained throughout the research project or the duration of the specific activity.
Financial Reporting The University is required to submit a Form 300 or 301 at the end of each fiscal year.
Indirect Cost Recovery Not Applicable
End Date

Generally, 12 or 18 months after the start date.

Unspent Funds Unspent funds at the end of the project will be returned to the University of Alberta's GRF. No extensions will be permitted except in cases of extenuating circumstances. Requests for extensions require the written approval of the VicePresident (Research and Innovation).
Expense Eligibility

The policies and requirements of the agencies stated in the Tri-Agency Guide on Financial Administration (TAGFA) apply at all times to the use of GRF funds.

GRF funds must only be used to cover eligible expenses associated with the direct costs of research, and all expenses charged to the GRF must be authorized by the person responsible for the GRF or their authorized delegate.

Please consult the Use of Grant Funds (PDF) section in the TAGFA to obtain additional information on eligible expenses, such as expenses associated with compensation, travel and accommodation expenses, research equipment and supplies, computers and electronic communications, dissemination of research findings, and miscellaneous services and expenses.

In the absence of a written policy from the TriAgency, all expenditures must comply with existing University policies and procedures governing the use of funds.

Non-Eligible Expenditures The following expenditures are NOT eligible:
  • 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.
  • Any expenses that are not related to a grant application which has been approved for funding.
  • Any expenditures for which the Project Holder derives a personal financial benefit.
  • Expenses that were incurred prior to the official start date of the project.
Please consult the Use of Grant Funds section in the TAGFA for examples of ineligible expenses.
Access to Funds

As per the Eligibility to Apply for and Hold Research Funding Policy (PDF) in UAPPOL, researchers may submit grant applications for support from the GRF through their associate/vice dean (research).There is no standard template for grant applications. Generally, applications must include a scope of work, budget, budget justification, timeline, certifications (if required), and amount of funds being requested. A letter of support must be provided by the department chair and associate dean (research).

There is no restriction on the amount of funds that may be requested from the GRF, but it should be noted that these funds are intended as seed funding or bridge funding for researchers between grant submissions. It is intended that these grants are normally for 12 to 18 months in duration.

Applicants should create a Quick Reference Guide - Request for New Application/Proposal/Project via Online Approvals (PDF) form via their Researcher Home Page to collect the required U of A signatures. The grant application is submitted to the Office of the VicePresident (Research and Innovation) by the associate/vice dean (research) for consideration

Amount of Funding Available The amount of funds available in any given year is unpredictable. However, as required by NSERC/SSRHC guidelines, the University must spend at least 50 per cent of the opening balance of its GRF during the current fiscal year.
Deadlines for Submission of Applications There is no deadline for submissions of grant applications. Applications that are received by the Office of the VicePresident (Research and Innovation) will be adjudicated on an ongoing basis.

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