Tri-Agency Compliance Project
August, 2010
U of S Tri-Agency Revenue
Tri-Agency funding comprises 27% of total
research funding
2008/09 Research Revenue
2% 5% 13%
Funding from NSERC/SSHRC/CIHR drives
funding for Indirect Costs and Canada Research
Chairs
Funding from NSERC/SSHRC/CIHR is the
only research funding identified separately in
the MacLean’s Survey
5%
2%
73%
SSHRC
CIHR
NSERC
Indirect Costs
CRC
Other
Overview of Compliance Project
Goals
Outcomes:
2006 Monitoring
Visit by
Tri-Agencies
To establish lines of accountability
To establish a level of control/compliance that meets the requirements of
the granting agencies
To identify areas for change in existing processes
To establish a process for monitoring
To identify areas in which training and education need to be improved
To improve the management of Tri-Agency grants in academic units so
they are consistently aware of their responsibilities
To improve information (ie. Financial reporting) being provided to
researchers
Eliminate financial transaction audit
Reduced site visit from 5 days to 3 days
U of S identified as having ‘best practices’ by Tri-Agencies in the
following:
On-line purchasing system capturing information for capitalization and
tagging of assets
Biohazard certification process
Audit compliance process
Observations For Improvements
Delegation of Signing Authority:
Authorization of Expenditures
Written delegation of signing
authority must be on file if anyone
other than the grant holder is
authorizing expenditures from the
grant
http://www.usask.ca/fsd/resources/f
orms/delegate_signing_authority.pdf
5 5
Equipment & Computers
12
Materials & Supplies
22
Student Salaries
3
37
Travel
0
Reimbursements to the grant holder
must be authorized by their
supervisor – this responsibility
cannot be delegated.
3
10
Properly authorized
20
13
30
40
50
Improperly authorized
Eligibility of Expenditures:
Supporting information submitted with
travel expense claim forms must be
improved
 Attach conference agenda showing
meals provided
 Detailed receipts must be provided
rather than credit card receipts
 A separate claim form must be
submitted for each trip
 Details supporting hospitality
expenditures must be provided
 Alcohol is an ineligible
expenditure
Rate of Compliance
Salaries/stipends paid to students from all Tri-Agency funding must adhere to minimums and
maximums as specified by the agency
General office supplies are ineligible expenditures as it is the responsibility of the University to
provide pens, paper, etc.
University Contacts for Further Information
Eligibility and
Agency
Guidelines
Research Services
966-8576
Research.services@usask.ca
Financial
Administration
Financial Reporting
966-8303
fsd_accounting_inquiries@usask.ca