ÎÛÎÛ²ÝÝ®ÊÓƵ

May 16, 2017

In September 2016, we informed you of the Tri-Agency Monitoring Site Visit 2016 Results and the areas that required changes in order for ÎÛÎÛ²ÝÝ®ÊÓƵ to ensure compliance in administering research grants and awards.

In particular, we continue to actively develop and implement the necessary changes relating to expenses (Internal Stores, PCard, Internal Expense Allocations, Core Facilities) charged to research grants/awards to address the inadequate controls cited by the Tri-Agency in 2016. We are doing so by ensuring:

1. There is clear authorization by the PI/Delegate for all expenses;
2. All expenses are adequately justified and have supporting documentation;
3. Compliance and eligibility is reviewed by an appointed institutional official who is not the PI/Delegate.

Additionally, we have put in place processes to address Delegation of Signing Authority, Research Asset Management and Disposal of Assets , changes in PI eligibility status, and the monitoring of the CIHR Research Allowances ethics renewals.

Resources available to you

Attached for your reference is the Tri-Agency Executive Scorecard, which is used to monitor the progress that has been made relating to the Tri-Agency findings. This scorecard is submitted to the Principal on a quarterly basis as well as to the Audit Committee of ÎÛÎÛ²ÝÝ®ÊÓƵ’s Board of Governors. ÎÛÎÛ²ÝÝ®ÊÓƵ must adequately address all of the findings in the Scorecard, and in June 2018, the Tri-Agency will formally review the corrective measures put in place to address the 2016 Monitoring Visit findings.

We take this opportunity to remind faculty members that Financial Services Teams (FSTs) and Administration Excellence Centres (AECs) are mandated to ensure eligibility and compliance of all transactions charged to research grants/awards. We trust that we can continue to rely on faculty members and administrative staff in assisting us with the implementation of solutions to address the remaining findings. PIs must support the FSTs and AECs by providing them with the information needed to comply with both internal and external requirements. Expenditures simply cannot be processed when necessary information is not made available to them. The FSTs and AECs can help to make sure your expense claims are compliant, and we urge you to make use of their capability and expertise.

Thank you for your cooperation in ensuring ÎÛÎÛ²ÝÝ®ÊÓƵ University meets the highest standards of stewardship and compliance in the administration of research grants and awards.

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