Managing Your Research Finances

Managing Your Research Finances:

Best Practices

This guide has been created to assist researchers with managing their research finances. From opening and accessing your account, spending and transferring your funds, and to closing your account, you will find the best practices to manage your research finances efficiently and correctly.

If you have any questions, please consult with the contacts listed on the Financial Contact page of this booklet.

If there are any sections in this handbook requiring updates or clarification, please contact Dylan Jones (d.jones@uwinnipeg.ca / researchoffice@uwinnipeg.ca) in the Office of the Vice-President, Research and Innovation.

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Opening and Accessing Your Award

Once the Research Office has awarded your grant in WebGrants and has notified Research Accounting to open an award, you will be able to access your research award via NAV WebClient.

Please note: If ethics approval is required for the project, the funds will be held until ethics approval has been granted (for example, compensation for human participants involved in a project); if ethics is not required, the funds will be released to you as soon as the award is ready. Researchers seeking access to any of the award funds for research-related activities not subject to ethics review (for example for hiring students, purchasing equipment, travelling, etc.) are able to request partial fund access by submitting a Request for Preliminary Access form.

Please contact the Research Office to request a form. If you have any questions regarding the status of an ethics application, please contact ethics@uwinnipeg.ca.

Accessing Your Award

Research Accounting will notify you via email that a research award has been created in your name. The email will contain a five-digit award/general ledger (GL) number, the award name, and an attached list of expense accounts, as shown below:

Please note the following research account has been set up:

Attached is a listing of frequently used expense accounts for Awards for your reference.

Information about accessing your award via NAV WebClient, UW policies, forms and other award items can be found on the Research Accounting & TPDA website at: uwinnipeg.ca/financial-services/research-accounting-tpda.html

Use this five-digit award number to view your account in WebClient/NAV and track expenses.

WebGrants, Award, and Expense Account Numbers

Unique number given to your internal grant application or Research Starts Here form connected to a specific grant/project for tracking by the Research Office.

Unique number given to your internal grant application or Research Starts Here form connected to a specific grant/ project for tracking by the Research Office.

Five-digit number provided by Research Accounting to be used when processing invoices, payment vouchers, or travel expense claim forms.

Five-digit number used to identify the nature of your expenditures (i.e., salaries, travel, equipment, services, honoraria, etc.)

You are expected to use the most appropriate account number when coding your expenses. List of Accounts

WebGrants

WebGrants is where you will find internal grant application forms, the Research Starts Here form for external grants, final report forms for internal research grants, and applications for animal care, and human ethics. You can access details for all of your active research grants in this portal, including information on external grant and contract details.

Access WebGrants Online

Webclient/NAV Access

WebClient/NAV is the UWinnipeg online system that allows you to access and analyze all of your research awards. If you've received an award or grant, you can access your award accounting information, including expenses and the current balance, using the award number that Research Accounting provided when your award was set up.

Sign-in Instructions

Below you will find the link to the WebClient/NAV website. Please sign into this website using your UWinnipeg Windows username and password (i.e., what you use to sign into your UWinnipeg workstation).

WebClient/NAV Website

Training for WebClient/NAV

The videos available below walk through the basic functions of WebClient/NAV, showing you how to navigate through the various screens, as well as how to run a trial balance and account schedule reports: WebClient Training Videos

Below is an additional training document that contains information about WebClient/NAV. T his document is intended to be used as a supplement to the training videos that have been provided: WebClient - Supplemental Training Information

Once you have gained access to your award information in WebClient/NAV, you can begin charging expenses to your grant. The next section covers information on how to allocate these expenses to your grant.

Direct Payment and Reimbursements

Before charging any expenses and making any purchases with your award, please carefully read over the list of eligible and ineligible expenses below. The eligibility of your expense will ensure that you are able to make a direct payment, receive an advance, and/or be reimbursed for a purchase.

Eligible Expenses

The University of Winnipeg adheres to the Tri-Agency’s four principles governing the appropriate use of grant funds. These principles state that grant expenditures must:

1. Contribute to the direct costs of the research/activities for which the funds were awarded, with benefits directly attributable to the grant;

2. Not be provided by the administering institution to their research personnel;

3. Be effective and economical; and

4. Not result in personal gain for members of the research team.

Basically, research grants must be used for the project as described in the application, and the expenditures must comply with the policies of both The University of Winnipeg and the applicable funding agency. Eligible expenses may include, but are not necessarily limited to:

› Research assistant salaries and benefits

› Honoraria

› Professional services

› Equipment

› Materials and supplies

› Travel costs, including a per diem

› Data entry costs

› Manuscript preparation

› Media services

› Printing

› Publication costs

› Leases for computer or equipment

› Honorarium to research participants may be eligible under the following circumstances;

› That this practice is normal for the discipline

› That the payment is a token amount

› That the project is not for the purpose of teaching

› That the project has received approval from the University of Human Ethics Research Board

Please note that any significant changes to the budget for internal research grants must have prior approval of the Research Office (researchoffice@uwinnipeg.ca).

Ineligible Expenses

Generally, ineligible items are those that do not meet the governing principles or policies noted above and are not directly related to the research outlined in the application. Examples of ineligible expenses include:

› Alcohol, non-research-related or personal expenses, consultation with other faculty members, contract research, severance pay for research assistants, and non-research-related travel

› Retroactive research expenses (i.e., conference travel prior to the deadline date)

› This ineligibility applies to all internal research grants except Discretionary Grants, which allow for expenses to be charged retroactively up to 2 months before the intake date for which the application was submitted.

› Seat selection for flights under 6 hours and travel by air at a class higher than economy

› Exceptions to this must be pre-approved by the Comptroller and the approval in writing shall be attached to the Travel Expense claim.

Please note that these are not exhaustive lists. If you are uncertain of the eligibility of an expense, please consult with the Research Office (researchoffice@uwinnipeg.ca).

Direct Payment

Many research expenses can be charged via direct payment. Direct payments usually involve contacting the correct University unit and filling out the applicable paperwork.

Travel Costs

If you have to travel to a location to present at a conference, conduct field work, or any other research activities, you will need to fill out an Application for Travel form. In this application, there is a space in the source of funding table to list the award number from which you are requesting funds, and where you may request an advance to cover the non-airfare-related costs up front.

Please note that advances will not be provided for airfare as it is paid for directly by the University.

All faculty are encouraged to contact Out ‘N About Travel for inquiries on upcoming travel arrangements. Travel costs, such as flights and accommodation, can be charged directly to your award if you book through Out ‘N About Travel. More specifically, if your award number starts with “1”, “2” or “3”. While the use of Out ’N About is not mandatory for travel, it is recommended to use their support whenever possible.

Billings from Out ‘N About are forwarded to Accounts Payable for reconciliation and payment on a monthly basis; the cost for their service is $$35 + GST per flight (a round-trip counts as one flight).

If you have any questions regarding upcoming travel arrangements, please contact Out ‘N About Travel via email: agent@outnabouttravel.com.

Hiring Costs

You may want to hire a research assistant or research associate to support your research project. The first step is to contact your HR representative for more information on the hiring and job posting process. On this contact list, you will find the Human Resources Consultant who represents your department, and they will guide you in hiring the research support you require.

Once you have hired your research assistant, Payroll will set up direct withdrawals for your assistant to be expensed from your award. During these final steps, you may email payroll@uwinnipeg.ca with any questions.

Internal Event Costs

If you want to host a research-related event at The University of Winnipeg, you will need to request an event space by filling out the appropriate forms, including media services and physical plant equipment needs: Internal and External Event Forms

Events and Conferences Services will invoice your award directly once your event has ended. Need food for the event? Diversity Food Services can directly invoice your award for the catering. Please visit their website for more information.

Equipment and Supply Costs

The University of Winnipeg often has contract discounts with vendors on large equipment items like computers or other technology, and they can provide you with accurate pricing when you are developing your research budget. Therefore, it is highly recommended that you purchase these items through Purchasing Services. Purchasing Services will pay for these costs directly from your award account. It is important to contact Purchasing Services for the proper forms and procedures related to the type of equipment and supplies you are planning to purchase.

Please note that only equipment purchased through Purchasing Services will be supported/serviced by the Technology Solutions Centre and that all equipment purchased using external or internal grants is considered UWinnipeg property.

Purchase Requisitions

Depending on the total amount of your purchase and items you are procuring, you may need to complete a purchase requisition form. A purchase requisition is a request or instruction to Purchasing Services to procure a certain quantity of a material or a service so that it is available at a certain point in time. Purchase requisitions generally include information on the department requesting materials, the exact number of supplies requested, a general description of those supplies, the legal name of the supplier, and the expected price of the purchase. It is an internal document which, if approved, will be incorporated into a purchase order submitted to the supplier.

Purchases of Capital Expenditures

For purchases of furnishing/equipment and renovation projects exceeding $25,000, where the economic life of the purchase is in excess of one year, a Capital Expenditure Form must be completed prior to requisitioning, in compliance with the Capital Expenditures/Leases/Services Contracts Policy.

For information regarding submitting a purchase requisition, please visit:

Accounting Service Guide: Purchase Requisitions

How to Complete a Purchase Requisition Form

Payments to individuals

The University issues payments to individuals outside of the University for:

› Honorariums

› Contracted services

› Professional services

University faculty and staff are not authorized to pay for any of these services to individuals from their petty cash funds, or from personal funds (for later reimbursement).

Revenue Canada requires that all payments to individuals for honorariums, contracted services and professional services in excess of $500 (cumulative over the calendar year) receive a T4A. Accounts Payable will not issue payment to an individual for these purposes without first obtaining a Social Insurance Number and complete mailing address.

Certain exceptions apply to honorariums to Elders. Please view the Elders Protocol here

Reimbursements

If you do not choose to set up a direct payment for your research expenses, you may also be reimbursed for your expenses after you have purchased your items.

Award Payment Vouchers

For most reimbursements, you will need to fill out an award payment voucher which will charge the reimbursement to your award. When you are filling out this form, please make sure that you have fulfilled the payment voucher checklist requirements. Once the form has been completed, including the checklist, send the form along with any receipts and/or invoices to Accounts Payable (accountspayable@uwinnipeg.ca). Accounts Payable will reimburse you for your research costs on the next available pay cheque.

Please note:

Second signature is required for approval of payment in excess of $5,000 or when payment is being made to oneself.

*VP Research (or designate) must sign for payment in excess of $5,000 using research grant funding

Petty Cash

For low-value purchases under $50, you may submit a Petty Cash Voucher to Student Central Services for reimbursement. This voucher must be accompanied by a receipt for the materials or services that were provided. To learn more, please click here

Purchasing Cards

Inquiries regarding applying for a Visa Purchasing Card should be directed to the Card Administrator (accountspayable@uwinnipeg.ca) in Financial Services. The Card administrator, through discussions with you and, if necessary, your department head and/or Research Accounting will determine if you have a need for a Visa Purchasing Card. Once eligibility is determined, staff can apply for a Visa Purchasing Card.

For more information regarding application procedures, please visit the links below:

Procedures — Purchases with a University Visa Card

Purchasing Card Application Form

Visa Purchasing Card Setup and Processing Transactions (Video)

Travel

Travel expenses that have not been advanced or paid directly by Out ‘N About are reimbursed when you return from your trip. Please keep all receipts, conference agendas, and boarding passes to submit with your Travel Expense Claim Form. Most importantly, please make sure you have fulfilled requirements from the Travel Checklist before submitting your travel claim to Financial Services. A travel claim must be submitted within two weeks of the date of your return.

Per Diem Rates

Below are the maximum claim amounts for individual meals, including gratuities, while travelling inside Canada, inside the USA, or internationally.

Mileage Allowance

If you are driving your own vehicle for a research-related trip, you may be reimbursed $0.45 per kilometer travelled.

Hospitality and Business Expenses

All hospitality and business expenditures must follow the procedures found here: Travel and Business Expenditures Procedures

For more information regarding claiming travel expenses, please visit: Questions For Travel Claims

Award Extensions and Transfers

Extensions

Internal Grants

A request for extension is required if a researcher is unable to complete the outlined project within the term of the grant (one year). A request to extend the end date of a research grant can be made for all internal funds with the exception of Travel Grants. The maximum amount of extra time a researcher can request is twelve months from the end of the original grant term or two years from the award date and must be requested before the end date of the internal grant.

External Grants

A request for extension is required if a researcher is unable to complete the outlined project within the term of the grant. Since external grants have different terms and conditions, a request for extension is made on a case-by-case basis with the maximum amount of extra time a researcher can request varying. Please note that some external grants may not allow extensions. All external grant extensions must be approved by the external funder before the Research Office will process the extension.

If you need to submit a request for extension, or if you have any questions regarding extending your research grant, please contact the Research Office

Transfers

Grant holders wishing to transfer eligible expenses from one expense code to another or from one eligible grant to another may do so by filling out an inter-award transfer form and submitting to Research Accounting (researchaccounting@uwinnipeg.ca) for processing.

Please note:

› Fund transfer between grants is not permissible;

› In some cases, expense transfers cannot be completed between an internal and external grant since the grant requirements and eligible items can be different; and

› Fund transfers between universities are allowed for some Tri-Agency Grants.

› Please check with the Research Office and Research Accounting regarding transferring funds between universities.

Closing Your Award

When you have completed the project associated with a particular research award, please send notice to the Research Office to close the award’s Research Starts Here form or internal grant application and notify Research Accounting that your award can be closed. In some cases, Research Accounting may close an award and notify the Research Office first. When this occurs, the Research Office will contact the researcher to complete any final reporting.

When your award, internal or external, has been closed, Research Accounting will email you with the following message:

Please be advised that the following research award has been closed: Award No. Name

At this point, your research award has been closed and will be removed from WebClient/NAV.

Internal Final Reports

A Final Status Report on WebGrants is expected to be completed at the end of a grant’s term. For Travel Grants, the report is due 90 days from the return date, and for all other internal grants, it is one year from the award date. If an extension has been approved, the Final Status Report is due at the end of the carryover term. Applicants must ensure they indicate research results (e.g., publications, presentations) that have been supported by The University of Winnipeg in the final report. Final status reports are found by accessing “my grants”, selecting the award, and clicking on status reports.

External Final Reports

A final report to the Research Office is expected to be completed at the end of an external grant or contract term, and ideally within 30 days from the external grant/contract end date. This report can be a copy of the final report required by the external funder or contractor.

Overspending and Underspending

Overspending

Three things to consider:

1. Overspending month to month:

This is less of a concern if your project is 1-year or multi-year, as you can adjust your budget month-to-month to ensure you’re on track.

2. Overspending annually:

If your project is multi-year, you can adjust your budget annually as well to ensure that by the end of the full grant you are all balanced. This might mean spending less in year 2 if you overspent in year 1, or vice-versa.

3. Overspending by the end of your grant:

If your grant reaches its expiration date and you are still showing it to be overspent, you can either:

› a) transfer expenses to another grant to ensure the end balance is $0

› b) repay the overspending via cheque to the University.

We always hope b) never happens, so budgeting and tracking is an important way to avoid repayments!

Underspending

Tri-agency grants:

› If more than 75% of the latest installment of the grant remains in the account when it is time for the next installment – defer!

Internal grants:

› If you have not spent your research funds within a year of receiving them, you can request an extension via email to the Research Office with information about how you plan to spend your funds with the extra time.

Contracts/other funds:

› These awards are often closely regulated by the contract/agreement in question, underspending is often not an option. In some cases, funders may require unspent funds to be returned.

› Be sure to review the contract to ensure you are on time with your work and deliverables!

› Unspent contract funds can sometimes be shifted into a General Research Account with approval from the VPRI if all contract requirements have been met.

Research Office Contacts

Below is a list of Research Office staff and the areas for which they may be able to assist.

Grant applications, timelines, and applicant and expense eligibility:

› Lauren Bosc, Lead Program Officer l.bosc@uwinnipeg.ca

Post-approval extensions, final status reports, and using your grant funds:

› Arshnoor, Legal and Administrative Assistant a.arshnoor@uwinnipeg.ca

WebGrants accounts:

› Theresa Mackey, Program Officer, Research Implementation and Ethics, t.mackey@uwinnipeg.ca

More information and details can be found in the Research Manual under “Using Your Grant Funds.”

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Research Office

515 Portage Avenue

Winnipeg, Manitoba, Canada

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P 204.786.9734

E researchoffice@uwinnipeg.ca

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