Policies and Regulations

• A direct cost of research must be directly attributable to the funded research program or project and agreed to and authorized by the grantee.
• Researchers are responsible for how they use the funds to advance their research.
• Researchers may deviate from the proposed research, activities, and budget as long as they use the grant for the broad purpose for which it was originally awarded.
• The decision to change the allocation of funds rests solely with the researcher except when not permitted by the funder such as CFI or certain research contracts.
• If an expense does not seem to align with the broad purpose for which the funds were awarded or the link to the project is unclear, the administrator is responsible for seeking clarification from the researcher on how the expense contributes to the advancement of the project.

Direct costs should not be confused with indirect costs, which are costs that institutions incur, such as central and departmental administrative costs, which cannot be attributed to specific research projects. Indirect costs for Tri-Agency grants are partially funded by the Research Support Fund.

How does the Tri-Agency view what makes an expense “effective and economical”?

• It achieves the intended outcome with due regard for minimizing cost by avoiding unnecessary expense.
• It optimizes the use of the funds (does not necessarily mean the “lowest cost”).
• Researchers are responsible for how they use the funds to achieve their goals.
• Researchers make trade-offs between effectiveness and economical in the use of their funds, and they are responsible for these decisions.
• Certain expenses may seem more or less economical than others, and this choice remains the decision of the researcher.
• If an expense seems greater than the norm for its category, the faculty administrator is responsible for seeking clarification from the researcher on how the expense contributes to the advancement of the project.

How does the Tri-Agency define “personal gain”?

The concept of “personal gain” refers to using grant funds to serve an individual’s interests or attain a personal advantage and/or profit that outweighs the benefit to the grant-funded research/activities.

Examples of personal gain and conflict of interest are:

• Entering into research contracts with companies employing a faculty member or a member of that faculty members’ immediate family.
• Directing research toward developments of potential benefit to private firms in which the researcher has an interest
• Influencing the purchase of equipment or materials from a company in which the person has a personal interest.
• Extending a research trip beyond what is permitted in policy 21, procedure 16-11.

If an expense seems to provide a personal benefit to a researcher, the faculty administrator is responsible for seeking clarification from the researcher.

uOttawa Policies

• Policy 47 - Working Conditions for Short, Medium and Long-Term Non-Union Contractual Employees (Research and Operations)
• Policy 48 - Administration of Research Grants and Contracts
• Policy 123 – Post Doc

Mandatory Directives on Employment & Compensation

Individuals employed to work on funded research/activities are not considered employees of the Funder and can be compensated via salary or stipend from the grant funds. If employment includes the provision of compensation benefits, the administering institution’s share of the costs of mandated compensation benefits is eligible for reimbursement from grant funds. Only individuals employed and compensated from Agency grant funds to work on the funded research/activities are eligible for mandated severance pay for the period of time the individual worked on the current grant.

Grant funds must not be used to pay compensation to:

• grant recipients or individuals who conduct research independently as part of the terms and conditions of their employment, including but not limited to researchers in academia, hospitals and research institutes
• individuals expected to work on the funded research/activities free of charge as a collaboration as per the program and funding opportunity literature and any relevant Agency agreements

Subject to the restrictions above,

• Individuals employed and compensated by another organization for the time spent on the funded research/activities cannot be compensated from grant funds.
• However, grant funds can be used to reimburse the organization for costs incurred in compensating the individual for time spent on the grant activities.

International researchers may be compensated from grant funds, provided their employer can attest, by letter, that the individual is not being compensated by the employer for time spent on the grant-funded research/activities.

Source: Tri-Agency Guide on Financial Administration, 2020

uOttawa Policy

Policy 36 - Supply of Goods and Services

Tri Agency Policy - Mandatory Directives on Good and Services Expenditures

The acquisition of goods and services for the funded research/activities must be undertaken in accordance with the administering institution’s relevant policies and processes.

Agency grant funds must not be used to pay consulting fees to:

• grant recipients or individuals who conduct research independently as part of the terms and conditions of their employment, including but not limited to researchers in academia, hospitals and research institutes
• individuals expected to work on the funded research/activities free of charge as a collaboration as per the program and funding opportunity literature and any relevant agency agreement

Source: Tri-Agency Guide on Financial Administration, 2020

Exceptions

• Home Internet costs - up to a maximum of $25 per month, which represents 50% of the average monthly amount spent by Canadian families in the upper quintile of income

uOttawa Policies

• Policy 21 - Reimbursement to Individuals for University Business Expenses
  • Procedure 16-11 - Reimbursement of Travel Expense(s);
  • Procedure 16-12 - Reimbursement of Hospitality Expense(s);
  • Procedure 16-13 - Reimbursement of Other Business-Related Expenses;
  • Procedure 16-14 - Approved Reimbursement Rates; and
  • Procedure 16-15 - Approval Authority.

Mandatory Directives on Travel and Travel-Related Subsistence Expenditures

All travel and travel-related subsistence expenditures (meals and accommodation) must be claimed in accordance with the administering institution’s relevant policies and processes.

Such expenditures, including reasonable out-of-pocket expenses, can be claimed for the grant recipient and other individuals who contribute to the funded research/activities. For claimants other than the grant recipient, the affiliation with the funded research/activities must be specified.

The cost of alcoholic beverages cannot be reimbursed from grant funds.

Source: Tri-Agency Guide on Financial Administration, 2020

Exceptions

• Travel expenses between home institution and sabbatical location limited to one round trip, except in unusual circumstances: one additional round trip for research purposes is allowed
• Transportation of the beneficiary to the home institution for supervision or teaching purposes: one return trip for the supervision of graduate students is permitted
• Education-related costs such as thesis preparation, tuition and course fees, leading up to a degree- for student thesis preparation & defense
• Patenting expenses when the University is a named partner on the Patent- must consult with the Office of the Vice-President, Research, and in accordance with university policy 29
• Grant proposal development and submission.

uOttawa Policy

• Procedure 16-12 - Reimbursement of Hospitality Expenses

Directives on Hospitality Expenditures

The provision of hospitality must be in accordance with the administering institution's relevant policies and processes.

Hospitality costs (non-alcoholic refreshments and/or meals) must be directly related to the funded research and be incurred for:

• networking purposes provided in the context of a formal courtesy or as a form of cultural respect (for example, a grant recipient meeting with partners, stakeholders or guest researchers)
• activities in the context of assemblies or gatherings that facilitate and contribute to achieving the research objectives (for example, a workshop or conference) where one or more of the individuals participating is not a member of the research team and not involved in the day-to-day funded research/activities

Hospitality costs incurred for interactions between participants involved in day-to-day funded research/activities, such as regular interactions with colleagues from the institution, personnel meetings and staff recognition events, cannot be reimbursed from Agency grant funds.

The cost of alcoholic beverages cannot be reimbursed from grant funds.

Source: Tri-Agency Guide on Financial Administration, 2020

Exceptions

• Costs of Alcohol -only to host the thesis defense committee and in accordance with university policy 21, Procedure 16-12

uOttawa Policy

• Procedure 16-13 - Reimbursement of Other Business-Related Expenses

Mandatory Directives on Gifts, Honoraria and Incentives

The provision of gifts, honoraria and incentives must be in accordance with the administering institution’s policies and processes.

The provision of gifts and incentives to participants requires the prior approval of the administering institution’s Research Ethics Board. Grant recipients have an ethical duty to protect participants’ confidential information and provide documentation to justify the gifts and incentives. Please refer to the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans - TCPS 2 (2018)

Gifts, honoraria and incentives can be offered to an individual or group whose involvement in the funded research/activities is voluntary (i.e. not part of a contractual obligation or professional service) and the individual is not a member of the grant team.

“Honoraria” refers to monetary payments made on a one-time or non-routine basis to an individual as a “thank you” for a service for which fees are not traditionally paid (i.e. speeches, lectures, seminars, etc. by a guest lecturer/speaker). Grant recipients cannot receive honoraria from grants.

“Gifts” are cash or in-kind items provided freely as a token of appreciation, respect and/or goodwill. Gifts can be offered to establish/facilitate relationships with individuals or groups who are involved in the research/activity as participants or as research partners/contributors (i.e. guest researchers, research partners or community stakeholders) under the following circumstances:

• when prescribed by cultural heritage/established traditions
• as a formal courtesy

In recognition of the cultures and traditions of First Nations, Métis and Inuit, Elders and other Knowledge Keepers who also fulfill another role (i.e. an independent researcher) are eligible to receive gifts in a ceremonial or other context.

“Incentives” refers to cash or in-kind items offered to human participants as a means to establish participant pools or to acknowledge their participation in the research/activity.

Source: Tri-Agency Guide on Financial Administration, 2020

Eligible expenses

Policy 85 defines conditions in which over expenditures may be authorized.

Ineligible expenses

The Health and Safety standards imposed by the University of Ottawa on students and staff facilitate compliance with the Ontario Occupational Health and Safety Act and its regulations.

Environmental Safety is an important part of many research projects. The University has established monitoring programs for many environmental issues such as environmental sampling and monitoring as well as health and safety inspections.

The University community has always recognized the necessity for maintaining the highest ethical standards in the conduct of research. However, the emerging belief that universities are responsible for the guidance and conduct of their faculty and staff has prompted the University of Ottawa to develop guidelines setting out general principles that underlie the ethical conduct of research. This is viewed as a preventive measure which should also help to ensure the reliability and high quality of research.

Allegations of misconduct in research, though rare, must be dealt with effectively. Formal procedures are essential to determining how such allegations should be handled and also to protecting the rights of individuals, the University and any outside funding agency.

The University of Ottawa is reviewing its Conflict of Interest (COI) and Conflict of Commitment (COC) Policies.

The objectives of reviewing the COI/COC Policies include:

• Promoting public confidence in research and the research process
• Providing guidance for managing potential conflicts
• Protecting institutions, researchers, and research
• Defining roles

NSERC, CIHR and SSHRC in consultation with other institutions who administer funds for federally funded projects have collaborated and created this Agreement on the Administration of Agency Grants and Awards by Research Institutions which acts as a tangible agreement declaring shared accountability for funds administered. It describes the basic requirements for institutions to be eligibility to administer agency funding.

Supervisors and principal investigators must show due diligence in the application of health and safety measures in general. To be more precise, they must keep informed of the health and safety regulations applicable to the employees under their authority. Also, they must initiate and incorporate necessary preventive measures in order to control health and safety hazards associated with activities under their authority. Finally, they must ensure that employees under their authority work in the manner and with the protective devices, measures and procedures required under the Occupational Health and Safety Act, as well as ensure the use of equipment, protective devices or clothing required.

For more detailed information, please refer the Faculties of Science, Engineering and Medicine's Laboratory Procedures and Safety Manual as well as to Policy 77 "Health and Safety Policy", clause seven in the Manual of Policies and Procedures of the University of Ottawa. 

Ownership of intellectual property developed at the University of Ottawa is governed by Policy 29 - "Patents" and by Article thirty-five of the Collective Agreement between the University and the Association of Professors of the University of Ottawa. The key provisions are described below:

Inventions

The University of Ottawa holds the rights to all inventions, whether or not covered by a patent application or patent, made by its faculty, students or staff using University of Ottawa facilities or under financial support provided by the University of Ottawa or by third party funding administered through the University of Ottawa. The University of Ottawa has no claim on inventions made without the use of the University of Ottawa's facilities, support personnel or services and on an individual's own time.

Copyrights

Works prepared within the scope of employment, also called "works for hire", generally belong to the employer. The general rule at the University of Ottawa is that the University owns all copyrights to work created by University of Ottawa employees in the scope of their employment. However, in keeping with academic tradition and the collective agreement between the University of Ottawa and the Association of Professors of the University of Ottawa, the University generally grants ownership of copyrights of original works resulting from faculty members' or students' own efforts to the creator(s).

Software

Although software is generally covered by copyrights and treated as belonging to the authors, the nature of the development process for software raises a number of complex issues in dealing with its ownership and disposition. It is often difficult to attribute ownership of software because its development may involve contributions from more than one party and because different kinds of proprietary rights may exist in the final product. For example, development of the algorithm on which the software is based and the actual writing of the code both represent valid contributions to the end product but may have been performed by different people. In cases where software does not belong to the University, the authors and other contributors must determine ownership amongst themselves. 

If software developed using University resources is commercially exploited, the University may be entitled to recover a portion of the costs incurred in the development of the software. Such matters are negotiated between the author(s) and the Office of Research Management Services.

Intellectual Property Obligations to External Research Sponsors

Of particular interest is intellectual property developed by University of Ottawa faculty members, students and staff under research funding provided by external sponsors such as granting agencies or under contracts with government agencies or private sector organizations. Most research conducted at the University is funded through such mechanisms, some of which may require that intellectual property be owned by the research sponsor or owned by the University of Ottawa with certain licenses granted to the research sponsor. In such cases, ownership of all works produced by faculty and students (including progress, final and technical reports and software, etc.) under externally sponsored research agreements vests with the University or the research sponsor, to the extent required to meet the University's and the individuals' obligations to the external research sponsor.

Laboratory and Office Space

Allocation of laboratory and office space is the responsibility of the Dean of each Faculty. Researchers must ensure that they have the facilities needed to conduct a project before applying for research funding for that project. Researchers must explicitly inform their Deans of any additional requirements, and obtain the Dean's approval, before applying for projects needing additional laboratory and/or office space.

Ownership of Equipment

Unless there are contractual obligations or granting agency regulations are to the contrary, equipment, including computers, purchased with research funds administered by the University of Ottawa belongs to the University of Ottawa. For more details, contact Innovation Support Services at 613-562-5842.

Overhead/Indirect Costs

Overhead, or indirect costs, must be included in the budgets for all contracts and contract proposals. Some granting agencies also allow a provision for overhead in their grants and overheads should be included in funding applications if eligible. The University's overhead rate is based on the amounts negotiated between the Association of Universities and Colleges of Canada (AUCC) and the Department of Supply and Services (DSS).