Vice-President (Research)
107 Administration Place
Saskatoon, SK S7N 5A2
Tel: (306) 966-8514 Fax: (306) 966-8736
Vice-President (Finance and Resources)
E284 – 105 Administration Place
Saskatoon, SK S7N 5A2
Tel: (306) 966-6636 Fax: (306) 966-8676
www.usask.ca/vpresearch
www.usask.ca/vpfr/
Date:
February 26, 2014
To:
Senior Leadership Forum
Associate Deans of Research
Committee to Review and Monitor Internal Controls
From:
Karen Chad, Vice-President Research
Greg Fowler, Vice-President Finance and Resources
Re:
Implementation of Institutional Approver Support for Tri-Agency Related Expenditures
In May 2012, the results of a monitoring visit conducted by NSERC and SSHRC at the University of Saskatchewan
were issued in a final report that concluded “that the university’s management control framework for the
administration of grant and award funds from the agencies was not satisfactory.” The most significant
observation was that the Tri-Agencies require the university to establish an administrative practice that ensures
all expenditures related to a Tri-Agency grant go through an independent review and approval process (the
“institutional approver” function) prior to any charges being posted to UniFi.
If the university fails to implement this new administrative practice, it is likely that the university will receive a
negative review from the Tri-Agency in its monitoring visit in November 2014. The consequences of back-to-back
negative reviews could be devastating to the university. The university will want to avoid negative national press
coverage, as experienced by the University of Calgary in March 2010. In the worst case, the Tri-Agencies could
invoke its authority and suspend funding, with implications not only for research awards from the Tri-Agencies,
but also for funding from the Federal Indirect Costs of Research and Canada Research Chair programs.
Additionally, reputational damage would impact the university’s ability to attract and retain world class
researchers. Therefore, it is imperative that the university implement an institutional approver function to
address this issue.
The institutional approver is a new administrative process that will require significant effort. In recognition of the
administrative burden this places on colleges/units, the Provost’s Committee on Integrated Planning (PCIP) has
approved four full-time equivalent (FTE) institutional approver positions for a two-year term to assist colleges/
units with significant Tri-Agency activity. Although the new positions will alleviate some of the administrative
burden, all colleges/units with Tri-Agency activity may be required to supplement staffing resources dedicated to
the institutional approver activity.
Administrative processes, such as PCard approval, are being modified to accommodate the institutional approval
function. These new processes will be designed to minimize administrative tasks to the extent possible. Training
and support for the institutional approvers will be provided by Financial Services Division (FSD) to all
colleges/units with Tri-Agency activity.
As indicated, funding for these new positions is being provided for a two-year term. The results of TransformUS
and the shared service project are expected to impact the future direction of research administrative financial
support functions, including the work performed by these positions. To allow for flexibility and efficiency, these
four new positions will report to Financial Services Division (FSD), and will be located as follows: two FTEs in Arts
www.usask.ca/
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and Science; one FTE in Medicine; and one FTE in Engineering and Agriculture and Bioresources on an equal time
basis.
By locating institutional approvers in colleges, not only are they closer to the researcher for consultative and
review purposes, it is expected that as they become familiar with the research conducted in the college, they will
be able to provide more responsive service to the researcher. The institutional approvers will also be able to
support training of other college-based members of an institutional approver network.
The institutional approver positions will provide a required service for the institution. Despite geographical
location, it is expected that these positions will be interchangeable with each other and allow for back-up for the
college-based members of an institutional approver network during peak activity times, for vacation leave
purposes or any other purpose which FSD may deem necessary to fulfill the institutional approver function.
In the next two weeks, FSD will contact financial officers in colleges/units with Tri-Agency activity in order to
discuss an implementation strategy for their particular college/unit. Should you have questions in the meantime,
please contact John Cornwell, Financial Compliance Officer, Financial Services Division at extension 4625 or
john.cornwell@usask.ca.
Your continued support to ensure the university is in compliance with the Tri-Agency guidelines is appreciated.
Thank you for your assistance with implementing this new initiative.
Karen Chad
Vice-President Research
Greg Fowler
Vice-President, Finance and Resources
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