Funding Application Approval Form (FAAF)

UM Project Number: For office use only.

Information/Instructions: Be sure to read information and instructions carefully.

Radio Buttons: Select type of project - Grant or Contract

Externally Held Funds: If project funds are to be held, administered at, or administered by an affiliated hospital or institute upon award, enter name of facility or organization.

All UM researchers must hold an eligible academic appointment with a UM faculty, department, centre, institute or school to hold a grant or agreement. See list provided.

The PI is responsible to ensure that all expenses conform to Agency rules and UM policies.

Last Name: Enter as per HR records.

First Name: Enter as per HR records.

Employee #: Enter number assigned by HR.

Percentage (%): Signifies the percentage of effort the PI will be contributing to the project.

• If the PI is the only UM investigator, then the percentage of contribution will be 100%.
• If there are also UM Co-PI's and/or UM Co-Investigators, then percentages of all UM investigators must total 100%.

Department: Always enter the department of the PI's primary appointment.

• If the department of the PI's secondary appointment is intended to hold the funds, please complete and submit to ORS a Request to Change Organization (ORG) on a New or Continuing AURORA Fund (aka Change of ORG) form for approval by the ORS Director. 
• The Change of ORG form is to ensure that both Department Heads/Directors/Deans are aware that the project exists, and they approval of the funds being held in the secondary department.

Faculty: Enter faculty corresponding with the department entered.

Phone number: Enter UM phone number.

Co-PI(s):

• Name: Enter first and last name of UM Co-Principal Investigator per HR records.
  • Co-PI's must hold an eligible academic appointment (see list provided).
• Department: Enter department of either primary or secondary appointment (a Change of ORG form is not required).
• Percentage (%): Enter percent the Co-PI will be contributing to the project.
• Click on the [+] to add fields for each additional co-PI.

UM Co-Investigators:

• Name: Enter first and last name per HR records.
  • Must hold an eligible academic appointment (see list provided).
• Department: Enter department of either primary or secondary appointment (a Change of ORG form is not required).
• Percentage (%): Enter percentage of contribution to the project.
• Click on [+] to add fields for each additional UM Co-Investigator.

Non-UM Project Lead: If the UM PI is contributing to a multi-institutional research team where the UM PI is not listed as the Project Lead as reported to the funding agency, then enter the Project Lead details here.

• Name: Enter first and last name.
• Institutional Affiliation: Enter full legal name.
  • If outside Canada, include their country as a foreign collaborator in section D.
• Click on [+] to add fields for each additional Project Lead.

Non UM Co-Investigators: Any Co-Investigator not affiliated with the UM.

• Name: Enter first and last name.
• Institutional Affiliation: Enter full legal name.
  • If outside Canada, include their country as a foreign collaborator in section D.
• Click on [+] to add fields for each additional Non-UM Co-Investigator.

Collaborators (new): Any individual in a named Collaborator role or whose role in the proposed activities is to provide a specific service (e.g., access to equipment, provision of specific reagents, training in a specialized technique, statistical analysis, access to a patient population, etc.).

• Name: Enter first and last name.
• Institutional Affiliation: Enter full legal name.
  • If outside Canada, include their country as a foreign collaborator in section D.
• Click on [+] to add fields for each additional Collaborator.

Fellowship/Studentship: Students are not eligible to hold funds; therefore, student details are entered here, and the student's advisor/supervisor is to be entered as the PI.

• Name: Enter first and last name per HR records.
• Department: Enter student's department.
• Click on the [+] to add fields for each additional student.

Sponsor: Enter sponsor's full legal name.

Originating Sponsor: If Project Lead and funding are from another agency/institution, enter the full legal name of institution.

Sponsor Program Name:

• Grants: Enter the sponsor-specific program name.
• Contracts: If there is no program name, enter "N/A".

Program Type: From the drop-down menu, select the type that describes the purpose of the funds.

Matching Funds: If the project requires matching funds, enter the sponsor's full legal name and the amount they are contributing to the project.

Transferring Funds (new): If project funds are being transferred outside the UM, enter the institution/partner's full legal name.

Project Title: Enter project title per application.

Radio Buttons: Select "yes" or "no" in response to each question below:

• Does the research involve the Space Sector?
• Will this project be managed by Partners for Health & Development in Africa (PHDA)?
• Does any research/collaboration involve research in a country other than Canada?
  • If there are international Co-Investigators or Collaborators, or if the majority of the research is being performed internationally, select "yes" and enter the name of the foreign collaborating country.
  • Note that if only the funding is coming from an international institution, select "no".
• Will the project be associated with the Richardson Centre for Functional Foods and Nutraceuticals (RCFFN)?
  • If "yes", then indicate the percentage of the project associated with RCFFN.
  • Will project use UM Research Centre/Institute and/or Health Research Affiliates resources?
    • If "yes", PI is to acquire approval for the use of facility.
    • If "yes", indicate the research facility in section H.

Term: Select start and end dates (calendar is embedded) per sponsor program (required). If term dates are not specified, then approximate term dates are acceptable. 

Competition Deadline: Select date of competition deadline (calendar is embedded) per sponsor program. If a competition deadline is not specified, enter "N/A". 

Total Funds & Yearly Amounts: Enter yearly requested amounts and total requested funds.

• Ensure amounts correspond with budget to be submitted with application.
• Ensure the total requested funds does not exceed maximum amount offered by sponsor.
• Ensure yearly amounts are correctly summed to reflect total requested funds.
• Ensure institutional costs are correctly calculated and accounted for in total requested funds.

Institutional Costs: Enter the percent of institutional costs.

Total Institutional Costs for Proposal: Enter the total institutional costs (see calculation instructions provided).

Foreign Currency: If the funding currency is not in Canadian dollars, enter the type of foreign currency, i.e. USD, EURO, etc.

What are institutional costs?

Institutional costs, also known as "overhead costs", "indirect research costs", or "facilities and administrative costs", provides cost recovery for the indirect costs of sponsored research activities at the UM.

Indirect Costs: These include the use of space and services, utilities, library, central computing, insurance, common equipment, health and safety, security, custodial, financial, and administrative services, among other things. Note instructions and examples for calculating institutional costs below.

Direct Costs: These include expenses that are specific to a particular project or activity and are allowed by the sponsor. It is important to carefully review the program guidelines of the sponsor organization, but direct costs typically include salaries and benefits, materials and supplies, equipment and maintenance, project-related travel and publication costs.

Some other terms that may be found in certain program guidelines are:

• Total direct costs – the sum of all direct research costs
• Modified total direct costs – the total direct costs less items that are ineligible/excluded from overhead calculations.

Overhead Rates: The UM requires that all project budgets include both direct and overhead (indirect) costs whenever allowed by a sponsor. The overhead rate to use in a research budget is the maximum rate allowed. If a maximum rate is not specified, the standard UM overhead rate is 30%.

The table below shows some common overhead rates for on-campus activities, including the cost categories for which the rate is applied. For off-campus rates, contact ORS for the program. 

* Indirect costs are not allowed on funds received from the Tri-Agency (NSERC, CIHR, SSHRC). Instead, the federal government provides indirect cost support to Canadian post-secondary institutions through an annual grant called the Research Support Fund.

Indirect Costs Distribution: Refer to the UM Policy: Institutional Costs of Research: Recovery and Distribution.

Institutional Costs Calculations & Examples:

Indirect costs added over and above the direct costs of research:

If the direct research costs for a project are $100,000 and the indirect costs rate is 15%, the indirect costs would be calculated as:

$100,000 x 0.15 = $15,000

Direct Costs = $100,000
Indirect Costs = $15,000
Total Budget = $115,000

Important points:

• Round up to the nearest dollar, ensuring that your direct and indirect costs equal the total budget.
• Ensure the Total Funds entered on the FAAF includes both the direct and indirect costs, i.e. $115,000 in example above.
• Ensure the Yearly totals entered on the FAAF includes both the direct and indirect costs, i.e. if the above example was for 2 years with equal budget, enter $57,500 in the Year 1 and Year 2 fields.

-- OR --

Indirect costs included in maximum budget:

If the maximum budget allowed is $100,000 for both direct and indirect costs and the indirect cost rate is 15%, the budget would be calculated as:

Calculation of direct costs:
$100,000 / 1.15 = $86,957

Calculation of indirect costs:
$100,000 - $86,957 = $13,043

Direct Costs = $86,957
Indirect Costs = $13,043
Total Budget = $100,000

Important points:

• Round up to the nearest dollar, ensuring that your direct and indirect costs equal the total budget.
• Ensure the Total Funds entered on the FAAF includes both the direct and indirect costs, i.e. $100,000 in example above.
• Ensure the Yearly totals entered on the FAAF includes both the direct and indirect costs, i.e. if the above example was for 2 years with equal budget, enter $50,000 in the Year 1 and Year 2 fields.

Select "yes" or "no" according to the requirements of the following ethics and/or compliances for the proposed project. 

Human Research:

• If "yes", indicate if approval is pending or attached.
• A copy of the approval is required.
• If the protocol is linked to the project in MRT then renewals are not required; the renewed expiry date will be automatically updated.

Human Stem Cells:

• If "yes", indicate if approval is pending or attached.
• A copy of the approval is required.
• Stem cells ethics approvals can be encompassed in a human ethics protocol or it may require a separate approval. Please specify.

Vertebrate Animals:

• If "yes", indicate if approval is pending or attached.
• A copy of the approval is required.
• If the protocol is linked to the project in MRT then renewals are not required; the renewed expiry date will be automatically updated.

UM Biosafety Approvals:

• If "yes", contact the Biosafety Officer for approval.
• Approval will be forwarded directly to ORS. Please do not forward a duplicate copy.

External Biosafety Approvals:

• If "yes", indicate if approval is pending or attached.
• A copy of the approval is required.

Environmental Impact:

• If "yes", indicate if approval is pending or attached.
• A copy of the approval is required.

Controlled Goods:

• If "yes", contact the Chief Risk Officer.
• This is for information purposes only. ORS does not require any documentation.

Cannabis Compliance:

• If "yes", contact Research Officer, Cannabis and Security
• This is for information purposes only. ORS does not require any documentation.

Clinical Trials:

• If "yes", indicate if research involves a Clinical Trial Application to Health Canada.
• If "yes", indicate if the sponsor is UM or other.

If you answered "yes" to the first two questions, then the Conflict of Interest Disclosure Form (PDF) must be completed and submitted for review and approval. Refer to the UM Conflict of Interest Policies and Procedures for instructions.

• If "yes", indicate if approval is pending or attached.
• A copy of the approval is required.

Indicate the primary location the research will be conducted, including UM research centres, institutes, health research affiliations, external biosafety facilities and/or field locations.

• Only one location may be selected.

Declaration: By signing the FAAF the PI verifies that the information contained in the FAAF, as well as on the application form for which the FAAF is being submitted, is accurate and true. Submitting inaccurate or false information in these forms is a breach of the University of Manitoba Responsible Conduct of Research Policy.

A digital signature is preferred on all documentation submitted to ORS.

Principal Investigator: Signature required.

UM Co-Principal Investigator: Signature required.

• The FAAF provides three fields for UM Co-PI signatures. If additional fields are required use the FAAF Additional Co-PI Signature Form.
• Be sure to include the additional signature page when submitting your application.

UM Co-Investigator: Signature required.

• The FAAF provides three fields for UM Co-Investigator signatures. If additional fields are required, use the FAAF Additional Co-Investigators Signature Form. 
• Be sure to include the additional signature page when submitting your application.

Department Head: Signature required.

• If the department has no Department Head, field may be left blank.
• If the PI is also the Department Head, then the PI's one-over-one must sign the FAAF.

Dean of Faculty or Director of School: Signature required.

• If the PI is also the Dean/Director, then the PI's one-over-one must sign the FAAF.

• Dean of Faculty or Director of School: Signature required. 

• If the PI is also the Dean or Director, then the PI's one-over-one must sign the FAAF.
• For College of Medine applications: For the Dean's signature, forward the following complete application to resmedgrants@umanitoba.ca a minimum of 24 hours prior to the ORS deadline:
  • Complete grant application/proposal and affiliated documents - combined in one PDF
  • Ethics/compliance approvals - in separate PDFs
  • FAAF - in a separate PDF
    • Avoid delays by ensuring there are no errors, missing signatures or missing documents as the application package will be returned for corrections.
    • Once signed, the Dean's office will forward the application package to ORS. Please do not forward a duplicate copy.
• For Nursing, Pharmacy, Dentistry and Rehabilitation Sciences:  Do not forward your application to resmedgrants, rather forward it to the appropriate designate for the Dean's signature.

Non UM Co-Investigator: Signature not required.

Collaborator: Signature not required.

Student: Signature not required