January 18, 2013 Bronfman 151

Transcription

1 January 18, 2013 Bronfman 151

2 Overview Introduction Roles and Responsibilities Office of Sponsored Research Research Financial Management Services Q & A

3 Tri-Agency Monitoring Visit Conducted in 2010; final report issued in 2011 Key Findings: Delineate the roles and responsibilities of everyone involved in research administration Address issues related to signing authority delegation and authorization of expenditures (lack of supporting documentation) Improve financial compliance and monitoring of expenditures

4 Action Undertaken Tri-Agency Response Implementation Group (TRIG) created Published Roles and Responsibilities document (Nov. 2012) Launched Research Administration Network Developing suite of new tools

5 Provide the tools and resources to foster the professional development of McGill staff by improved understanding of the policies and processes involved in day-to-day research administration activities Illustrate and advocate best practices aimed to minimize or prevent McGill and its research community from future compliance and audit/monitoring issues. Develop a community of practice, harnessing the knowledge and expertise that exist across the McGill community with respect to research administration Distinguish McGill as a leader in not only research excellence but also in adherence to the highest standards of research administration and compliance.

6 Research Facilitation Research financial accounting Compliance with agency and institutional requirements What is research administration? Commercialization Research Contracts & agreements Ethical Conduct of Research.just to name a few

7 The Reality of Research Administration Sponsors increasing administrative requirements on institutions Faculty members want to able to easily conduct their research Research Administrators do their best to manage the competing obligations

8 Why is Research Administration Important? Assists researchers and the institution in securing and managing research funding Ensures all research grants and contracts comply with agency and institutional policies Mitigates against non compliance and audit findings

9 Best Practices in Research Administration Resources and tools that facilitate compliance with agency and institutional policies and procedures Training opportunities available to all stakeholders Roles and Responsibilities identified and confirmed for all key stakeholders

10 ROLES AND RESPONSIBILITIES

11 Roles and Responsibilities Developed in consultation with major stakeholders Focuses specifically on the administration of research funding Includes Roles and Responsibilities under three headers Academic Faculty/Department Administrative and Support Staff Central Administration Final version approved by Steer Co and circulated in November 2012

12 Academic Researcher / Principal Investigator (PI) Ensures all research is conducted according to governing principles, policies, regulations of the institution and the sponsor over the life of the project Dean/Associate Dean/Departmental Chair/Director of School or Institute Communicate and advocate the University s highest level of integrity and compliance with all relevant administrative policies and regulations, for all sponsored research projects.

13 Faculty/Department Administrative and Support Staff Faculty Financial Officer (FFO) / Director of Administration Financial Service Team (FSTs) / Administrative Officers Coordinate the dissemination and local implementation of research administration policies, procedures and guidelines to Faculty and Departmental staff. Act as a primary point of contact for Researchers requiring financial / administrative assistance during the life cycle of the research funding Advocate and apply applicable policies and procedures as they apply to research funds to ensure compliance

14 OFFICE OF SPONSORED RESEARCH (OSR)

15 Mission - OSR McGill University's Office of Sponsored Research (OSR) provides comprehensive information, services and support to members of the McGill research community in their pursuit and management of funding. It also ensures accountability, compliance and stewardship for the funds received for McGill research.

16 OSR Grants and Contracts at a glance April 1, 2011 to March 31, ,713 proposals processed 1,243 Research grants awarded $ 238 M 189 Research contracts $ 19 M

17 Roles and Responsibilities /Structure - OSR Grants and Foundations Institutional Strategic Initiatives Contracts and Agreements Commercialization Awards Management Operations Assists with development & preparation of grant applications Reviews & approves applications on behalf of McGill Communicates funding opportunities & results of competitions Organizes workshops for funding opportunities Most often the first point of contact for PIs seeking support with research funding Oversees pre-and post-award for the following strategic grants involving institutional commitments: Canada Foundation for Innovation (CFI) Provincial Infrastructure Grants (MDEIE PSRv2) Canada Research Chairs (CRC) Canada Excellence Research Chairs (CERC) Genome Canada/Genome Quebec Grants Drafts, negotiates and executes research contracts, most often with industry partners Industry liaison Participate in building project proposals for competitive bid applications and industry engagement Educate PIs and their research teams in regards to contractual clauses, including intellectual property and confidentiality Seeks and receives Reports of Inventions (ROIs) Due diligence review on new invention disclosures IP protection (patent) Valorisation grant applications (POP, I2I, PSVT-3) Business development to identify partners, licensees Negotiates option and license agreements Support new company creation (spinoffs) Award acceptance/review and negotiations of grant agreements Delineation of award parameters and Terms & Conditions for grants & contracts Approval of new Fund creation upon receipt of required documentation (compliance certificates) Assists with award management, i.e. sponsor notifications, issuance of subawards Link between OSR, RFMS & PIs/you Provides administrative support to OSR Maintains database and informational tools such as InfoEd Responsible for internal and external data reporting and statistics

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19 RESEARCH FINANCIAL MANAGEMENT SERVICES (RFMS)

20 Mission - RFMS Provides support to the researchers in order to facilitate the management of their research grants/contracts as well as provides financial management and control on behalf of external funding stakeholders (Governmental Agencies, Foundations, Corporations, etc.). oller#rfms

21 Roles and Responsibilities - RFMS Support researchers, facilitate research fund management and ensure compliance of sponsor policies and regulations Validate eligibility and accountability of fund expenditures in accordance to policies and procedures of sponsors and the University Preparation and submission of financial reports and billings according to sponsors set deadlines Coordinate and respond to audits and monitoring visits Develop and execute monitoring and compliance programs Liaise with sponsors and partners on behalf of researchers and the University

22 Structure - RFMS Fund Management Team Reporting and Compliance Teams (2) (includes Financial Administrators) Monitoring and Compliance Team Training Receives all action items from OSR Awards Management Team Reviews terms and conditions of new funds Sets up new fund and renewals Processes interinstitutional advances Processes cheque and wire transfer deposits Closes funds Ensures FOAPAL integrity Assists fund administrators in peak periods Reviews new fund openings and renewals Monitors expenditures and eligibility Prepares financial reports Prepares billings Assesses control reports (over-expenditures, receivables, error reports) Acts as agency expert/contact Terminates fund Audit support Oversees overexpenditure monitoring Follows-up with control reports Coordinates audits Follows-up with and implements audit recommendations Measures performance KPIs Benchmarks FST statistics Develops and executes compliance programs by transaction type (Pcard, Expense Reports, Payroll, Feeds, etc) Communicates findings Maintains sponsor grid Simulates Tri-agency audits Develops training materials for training sessions and knowledge base Documents Standard Administrative Procedures (SAP) Provides on-going updates on process changes Trains new staff members (onboarding) Coordinates training (Banner, Crystal, Payroll, etc.) for new hires and refreshers Acts as floater when required

23 RFMS Stats FY11/12 April 1, 2011 to March 31, ,266 RFMS Funds $654 M 670 Unique Sponsors 1,940 Unique Researchers (FFM)

24 Transaction Approvals Journals/Inter-departmental Charges (IDCs) Requisitions/McGill Marketplace (MMP) Payroll Banner Student Aid (BSA) Payment Requests Travel Advances/Expense Reports Currently, RFMS approves Expense Reports & Travel Advances from Faculty of Medicine only FST approves for all other Faculties

25 RFMS On an Annual Basis 2,300 New funds opened 3,035 Tri-Agency financial statements in CFI financial statements 700 Inter-institutional advances processed

26 CENTRAL OSR/RFMS Gatekeeper Agency-specific expertise University authority to interpret and issue final ruling on grey areas Main pre and post-award contact for PIs and administrators LOCAL Support Staff On-site and primary support for PIs Key liaison for PIs with central offices Management of research funds to ensure compliance Transaction validation Repository of supporting documents

27 RAN 2013

28 RAN 2013 Date Feb. 15 March 15 April 19 May 17 June 14 July 18 & Aug 15 (repeat sessions) September October November December Topic Life Cycle of Grant Awards Life Cycle of Canada Foundation for Innovation (CFI) Awards New Tools for Research Administration Optimal Budget Strategies Payroll and Procurement Understanding our bread and butter agencies Travel Regulations and Accounts Payable Life Cycle of Contracts and Agreements Life Cycle of an Audit Research Administration Jeopardy We welcome your feedback. Please send us your comments or suggestions for future sessions.

29 THANK YOU! Questions?

30 CONTACTS

31 Contact List for OSR Management Contact Person Role Phone Mary-Margaret Klempa Olga Naiberguer Nathalie Foisset Nathan Currier Michèle Beaulieu Marlene Boutet Senior Director, OSR (514) Associate Director, Grants & Foundations Associate Director, Institutional Strategic Initiatives Associate Director, Contracts & Agreements Associate Director, Commercialization Associate Director, Awards Management (514) (514) (514) (514) (514) Janie Kwan Director, Operations (514)

32 Contact List for RFMS Management Contact Person Role Phone Elvie Coletta Director (514) Lea Archambault Senior Manager Monitoring & Compliance Sonia Pietraroia Compliance Supervisor Monitoring & Compliance Cindy Furtado Marilena Mincu Linda Augello Supervisor Tri-Agency, CRC, NIH, US Army, Heart & Stroke & Other Foundations, Associations Supervisor CFI, MDEIE, Genome, Contracts, FQRNT/SC, FRSQ & Other Foundations, Associations Supervisor Fund Management Team (514) (514) (514) (514) (514)