University of Saskatchewan

Financial Services Division (FSD)

Overview of Tri-Agency Compliance Project

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Printable version of the Overview of Tri-Agency Compliance Project  

 

U of S Tri-Agency Revenue

Tri-Agency funding comprises 27% of total research funding

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
2008/09 Research Revenue

Overview of Compliance Project

Goals
  • 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
Outcomes: 2006 Monitoring Visit by Tri-Agencies
  • 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:

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/forms/delegate_signing_authority.pdf

Reimbursements to the grant holder must be authorized by their supervisor – this responsibility cannot be delegated.

Authorization of Expenditures
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

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.

Rate of Compliance

Rate of Compliance

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