Research & Innovation Services

No expenditure may be made under any grant or contract until funding is received or confirmed in writing by the funding agency.  Grant funds must contribute towards the direct costs of the research program or project for which the funds were awarded.

Only faculty members, professional research personnel and continuing staff employees may administer research funds.  All funds administered by the University, including sponsored research, are to be handled in accordance with the University of Lethbridge policies and procedures.  Please see Policies & Procedures for a listing of research policies and procedures.

Authorizing and opening a research fund
Transferring funds from other universities
Transferring funds to co-applicants
Requesting pre-spending

Authorizing and opening a research fund 

ORS authorizes the opening of all research funds. Only faculty members, professional research personnel and continuing staff employees may administer research funds. All funds administered by the University, including sponsored research, are to be handled in accordance with the University of Lethbridge policies & procedures. 

Note: Any change in your (eligibility) status should be disclosed to Office of Research Services (ORS) so the appropriate granting agency can be notified.

The following information is required before a research fund can be opened:

•  Notice of Award
  •  Your Notice of Award will be: (1) a letter from the funding agency or sponsor outlining the terms of the funding support (i.e., period of award, payment schedule, timelines, purpose of award, funding restrictions, reporting requirements etc.); or (2) a research agreement/contract indicating the deliverables and obligations of each party.
•  A copy of the grant application or research contract
  •  If a grant/contract has a proposal it must be included. All internally restricted research funds must have a grant proposal.
    If there is no grant/contract proposal for externally funded projects, this must be disclosed and explained why (e.g., the proposal is part of the agreement).
•  Budget
  • All research projects (internal/external) require a budget. Normally, the budget will be included with the grant/contract proposal or agreement. If not, or if the proposal has a different budget amount from actual funding, a new budget must be developed for funding received. The budget must add up to the funded amount of the agreement.
  • For in-kind contributions, these contributions must be disclosed so that they can be verified and reported. In-kind contributions from other sources must have a contact person that can report on and verify contributions to Financial Services for reporting purposes.
• Research Proposal Form
  • The Research Proposal Form must be complete. If there are space requirements or the U of L is contributing funding to the project it must be disclosed on this form. All appropriate signatures must be in place.
• Proof of animal welfare, human subject, radiation safety or biohazard committee approval, where applicable
• Request for New Fund Form
  • The Request for New Fund Form must be complete and bear all required signatures.
• Overhead
  • Overhead must be disclosed on all research projects. Where overhead is not being charged or is an ineligible expense, it must be documented on the "Overhead Charge Waiver" form.

A research fund will not be opened until all required documents are received by ORS. For projects that are renewals and/or amendments to existing projects, the above documentation is still required.

Once the documentation is complete and the research has been through the appropriate approval process (i.e., certifications obtained), Research Services will forward the Request for New Fund form and all relevant documentation to Financial Services. All research funds are approved and opened by Financial Services. Once fund coding has been assigned (the FOAP) all questions related to financial transactions should be referred to Financial Services.

Transferring funds from other universities

To transfer a grant from one university to another, regulations of the granting agency apply. However, the steps outlined below are more or less appropriate to most agencies.

Grant holders must inform the agency of thei rintention to transfer their grant and ensure that the following documentation is provided to that agency:

• Confirmation, by the university to which the funds are being transferred, of its willingness to accept and administer the grant;
• A financial statement from your former university to the receiving university (signed by the principal investigator) showing expenditures and balance of the grant up to the date of transfer, as well as confirmation fo the actual transfer of the remaining grant fudns;
• Confirmation from your receiving university that they have received the balance of the grant as shown on statement of account;
• Copies of any other correspondence relationg to the transfer of the grant.

The following documents must be supplied to Research Services before a research fund can be opened:

• A copy of the grant including the budget;
• A copy of the Notice of Award;
• A letter or cheque indicating the amount of funds to be transferred to the University and animal welfare, human subjects, radiation safety and/or biosafety cerfitifcation, if applicable.

Transferring funds to co-applicants

If you wish to transfer a portion of your grant to co-applicants located at another university, the following procedure applies:

• Inform Research Services of the identity of the grant to be shared, the amount, the co-investigator's name/university and any conditions that may apply;
• Research Services will send a letter to the recipient's university informing them of the desire to provide funds and asking for agreement to receive the funds under specific conditions;
• Once approval has been provided by the recipient university, installment payments will be made according to the agreed-upon payment schedule.

Financial reports will be sent by the recipient institution to the U of L in an agreed-upon format and tiem frame and these will be incorporated into the summary financial reports provided to the funding agency whose grant is being shared.

Requesting pre-spending

Under special circumstances, requests for prespending will be considered. If you have an overexpenditure or a commitment to overexpend (up to 20%) you may be authorized to pre-spend on future installments.  Requests must be made by submitting a Request for Prespending on a Research Account form.  Note: Requests to expend over 20% of the next years grant installment or in excess of $20,000 requires the signaute of the Vice-President (Academic).