Responsible Service: Research Management Services
Date: February 14, 2024
Instance of Approval: Office of the Vice-President, Research and Innovation
1. PURPOSE
1.1 This Procedure is established pursuant to Policy 48 – Administration of Research (“Policy 48”) and provides for the recovery of salary and professional fees of the Principal Investigator, Researchers and other regular employees engaged in Research.
2. DEFINITIONS
2.1 Capitalized words or expressions used in this Procedure are defined in Policy 48.
3. RECOVERY OF SALARIES AND TREATMENT OF PROFESSIONAL FEES OR OTHER COMPENSATION
3.1 Funds received by the University under a Research Contract for the Research activities or services of a Principal Investigator, Researcher or other employees of the University, where such activities are performed within the scope of their duties under their University employment agreement, shall be treated as salary recovery and deposited in trust into a University account under the responsibility of Research Management Services and credited to the relevant University Faculty, service or unit of the Principal Investigator, Researcher or other University employee, as applicable.
3.2 Funds received by the University pursuant to a Research Contract for the activities of a Principal Investigator, Researcher or other employees of the University, where such activities are outside the scope of their University employment, shall be treated as professional fees or other compensation. Funds treated as professional fees or other compensation are conditional upon the Principal Investigator, Researcher or other employee of the University obtaining the prior written approval of their Dean, director or supervisor, as applicable, to conduct such activities outside the scope of their employment. Such activities must also comply with the relevant collective agreement or University’s Policies and Procedures. Researchers who receive professional fees or other compensation directly for their professional expertise under a Research Contract, have an obligation to inform Research Management Services or the applicable OVPRI unit when submitting the proposal/application/Research Contract for review and negotiation. Subject to the approval of the Dean of the relevant faculty or a director of the relevant administrative service or unit who holds signing authority under the University’s Policies and Procedures (including for example, University Board By-Law No. 3) the Principal Investigator may choose from the following methods to manage professional fees or other compensation:
a) credited to a University account under the responsibility of the Faculty administrator, as salary recovery;
b) used to pay supplementary income to the Principal Investigator or other employee; Research and Services contract activities performed under supplementary income by the Principal Investigator or other employee shall be deemed to be work done for the University pursuant to a “contract for services.”
c) deposited in trust into a special University account to be administered by Research Management Services, to which the Principal Investigator can request an internal Research Grant to be managed in accordance with Policy 48 and other relevant University Policies and Procedures, for example, those related to procurement of research equipment, travel expenses, human resources, administration of trust funds.
3.3 Any determination by the Principal Investigator to receive supplementary income from a Research and Services contract needs to be disclosed via Workday at any time after the research account has been opened.
This disclosure is conducted as follows: the Researcher submits the request “Honorarium Paid through Research Funds”: Create Request > Request Types without Workday Objects > Professional Fees Payment Request.
Once the request has been submitted, if the Researcher is not the requestor, the Researcher will receive it for approval, followed by the Vice-Dean, Research of the Faculty (who is the designate of the Dean). Once the request has been approved, the system will send it to Financial Resources for processing.
3.4 Any credits, payments as supplementary income, or Research Grants awarded by the University shall normally be made following receipt of payment from the Research Sponsor.
3.5 When requesting a Research Grant from the University in accordance with paragraph 3.2 c) above, the requestor shall provide the following information:
a) A description of the proposed Research project:
b) A proposed budget and budget justification for the Research project;
c) A proposed timeframe for the Research project.
3.6 The decision on whether to award a Research Grant in accordance with paragraph 3.2 c) shall be made by the requestor’s Dean or Director who holds signing authority under University Policies and Procedures (including without limitation University Board By-Law No. 3) and the Director (or delegate) of the responsible unit within the OVPRI.
3.7 If a Research Grant is awarded by the University in accordance with paragraph 3.2 c) above, the following administrative provisions apply:
a) Research Grant funds, including those awarded under paragraph 3.2.c) above, belong to the University and are held in trust by the University for Researchers to be used in support of their Research activities. Recognizing that such funds are intended to support the requestor’s Research, there can be no conflict of interest or personal benefit to, or use by, the Researcher.
b) Funds can only be used for Direct Costs arising from the Research. Any equipment purchased with these funds becomes the property of the University.
c) The decision to request a Research Grant in accordance with paragraph 3.2.c) is irrevocable. Any funds so awarded cannot then be used as payment of supplementary income or other compensation to Researchers.
d) The Principal Investigator shall be solely and completely responsible for the administration of the Research Grant and the performance of the Research supported by the Research Grant in accordance with the University Policies and Procedures, including without limitation, costs for travel, hospitality, receptions, business meals and expenses charged to the Research account.
e) The Principal Investigator shall be solely responsible for making all appropriate disclosures and notifications, including those involving conflict of interest that may be required by any regulatory authority or government body, including the Canada Revenue Agency, in respect of the Research Grant.