Presentation Transcript

1. Life Cycle of Canada Foundation for Innovation (CFI) Awards

   RAN March 15, 2013
2. Overview of Presentation OSR Unit : ISI Introduction to CFI grants Life Cycle step-by-step Pre-Award – ISI Post-Award – ISI Financial Administration – RFMS Q&A
3. The Institutional and Strategic Initiatives Unit - ISI Provide support throughout the process of applying to and managing awards from: Major Canadian or Provincial institutional funding programs: Canada Foundation for Innovation MESRST - Programme de Soutienà la Recherche Volet 2 Canada Research Chair/Canada Excellence Research Chair * Major Canadian strategic funding opportunities in the areas of genomics and proteomics Genome Quebec and Genome Canada
4. What is the CFI and what does it Fund? The Canada Foundation for Innovation (CFI) is an independent corporation created by the Government of Canada 16 years ago to fund research infrastructure. The CFI’s mandate is to enhance the capacity of “eligible entities” such as Canadian universities, and research hospitalsto carry outworld-class research and technology development that benefits Canadians. The CFI helps Canadian institutions attract and retain the world’s top research talent. CFI Website: http://www.innovation.ca/en
5. CFI : an Institutional Grant The Institution is eligible, NOT individual researchers The institution submits an application to the CFI on behalf of a researcher Applicants must have been authorized by the Institution to apply The recipient of the award is the Institution. McGill is therefore the owner of the infrastructure and responsible for the award. A researcher leaving McGill does not keep the corresponding grant or infrastructure
6. Funding Structure for CFI Grants The 40 / 40 / 20 model: 40% Federal government (CFI) 40% Provincial Quebec government (MESRST or MSSS) 20% from: In-kind (CFI discount) from vendors, and/or McGill/Faculty/hospital/PI cash contributions
7. CFI Funding Programs The CFI has two main funding programs: The Leaders Opportunity Fund (LOF) - a pre-determined Institutional allocation-based program Submission 3 times a year or according to the deadline of the joint grant applied for Supports the needs of individual faculty (+ 2 co-applicants max) The Leading Edge Fund (LEF) /New Initiatives Fund (NIF) - open competition for innovative infrastructure projects Competition every 2 to 3 years Team grant , Multi-Million $ awards, Inter-institutional
8. OtherFundingPrograms In addition to its core programs, several other specific programs or time limited competitions exist to address specific objectives The Exceptional Opportunities Fund Address rare instances where an exceptional research opportunity could be missed if it had to follow regular national competition processes to access infrastructure Application any time The Automotive Partnership Canada Fund NSERC, SSHRC NRC, CERC and CFI have jointly created the Automotive Partnership Canada the (APC), Application any time until 2014
9. 2013 New FundingOpportunities CFI isincreasinglybecominginvolved in joint fundingopportunities The ISI unit workscloselywith the Grants and Foundations unit which leads the main proposal Tworecentlylaunched programs : Advancingbig data science in Genomics NSERC drivenopportunity (GC, CIHR, CFI = max $1M) LOI due in May Digginginto data challenge International opportunitydriven by SSHRC in Canada (NSERC, CFI= max $500K) LOI due in May
10. CFI operating funds Infrastructure Operating Fund The Infrastructure Operating Fund (IOF) helps cover a portion of the operating and maintenance costs to ensure optimal use of CFI-funded infrastructure. All CFI infrastructure projects approved by the CFI Board of Directors are eligible to receive IOF, All awarded Infrastructure projects generate an IOF allocation of 30 percent of the maximum CFI amount approved at award finalization. Each institution is responsible for deciding how their funds will be divided among projects eligible to receive IOF. Major Science Initiatives (MSI). Operating Fund for Large scaleFacility (National Platforms) 40% IOF – 60% other sources of funding to identify No immediate call announced
11. CFI Funds :Based on a maximum allocation LOF Allocation LEF/NIF Institutional Envelope National Envelope (Special Competitions) Faculties Provost, VP-RIR Internal Competition Institutional approval Retention, other Faculties, CRCs New faculty McGill
12. CFI Life cycle at McGill
13. Timelines for CFI -LOF 3-4 months 4-5 months Max. 9 months 1.5-2 months 0.5 months 2-3 years
14. Timelines for CFI LEF/NIF 12 months 4 months 6 months 7 months Max. 9 months 3- 4 years
15. ISI PRE-AWARD
16. What can be Purchased with CFI grants? Research equipment Warranties Software Lab furniture Communications infrastructure Travel to select research infrastructure Initial training Construction or renovation of space Acquisition or development of a database Costs associated with a digital library initiative that builds on the CFI-funded CNSLP
17. What are Non-Eligible Cost for CFI grants? Purchase or lease of real property Infrastructure used for teaching and/or clinical care Office furniture and supplies Internal fees Operating costs High-speed network access Supplies and consumables Trainee stipends and researcher salaries Research-related costs Conference travel Administrative costs
18. Preparing a Good CFI Application Means back and forth exchanges with the PI Requires a good understanding of the Infrastructure requested Requires evaluation of the feasibility of setting up the proposed infrastructure Can we build the infrastructure? Would the equipment fit where we want to install it? Did we take into account all related expenses to set up the infrastructure? Is this feasible within the 5 years timeframe? HPC component to bevetted by Compute Canada
19. ISI Internal Review:A personalized approach Eligibility of expenses Source and eligibility of in-kind and/or cash Content and clarity of language and presentation Alignment with objectives of the funding opportunity and guidelines Application requirements and completeness (i.e. CV) Budget requested and justification RESNAF & Renovation/ construction estimates Operating Budget Checklist Grants Officers work hand in hand with PIs and review the proposal several times providing advice related to:
20. Space Validation Is a requiredstep of ourreviewprocess: Facultyapproval of spacerequired Doesspacemeetequipmentspecifications? Essential to define if renovations are required A specifictooldeveloped to interface with FOD: The Research Equipment and Space NeedsAssessmentForm – RESNAF FOD project managers coordinatereview of space and develop a renovationestimate
21. Developing a Good CFI Budget: Building an appropriate CFI budget at the application stage is key to the success of the project. Important to control: Eligibility of the requested infrastructure Eligibility of the source of cash contribution Validity of the in-kind contribution/Quotes Appropriate calculation of the total cost of an item (taxes, exchange rate, shipping and other costs) Appropriate appraisal of Donation Appropriate renovation budget estimate (RESNAF) Etc…
22. Developing a good CFI budget: In addition to the PI, important collaborations with: Facilities Procurement services Faculty (Chairs & Deans) and or Hospitals RFMS Are essential!!! ISI budget tool << Budget builder application>> You provide the quotes, wecomplete the budget for you and upload the budget on line
23. OSR – CFI Checklist CFIOSR Checklist is slightly different from the regular OSR checklist. More importantly is used to Validate sources of cash contribution - signature commitment Validate Max. CFI$ allocation and source of allocation Is completed by ISI www.mcgill.ca/research/sites/mcgill.ca.research/files/checklist_osr.pdf
24. CFI Online Submission New online submission system released in February, 2013 CFI Awards Management System (CAMS) Major improvements include: Most of the text sections are now pdf attachments and thus can include formatting and figures Budget entry is simpler Per-year cost breakdowns are no longer required Proposals can be shared with colleagues for editing and/or review Better proposal management tools for institutional representatives CRC-LOFs still use the CRC web forms
25. CAMS Create an account Project Module Finance Module Researcher Dashboard Create a new proposal Suggested Reviewers Proposal Sharing
26. Quebec Online Submission Since the Quebec government matches the CFI contribution, they also require an online project summary submission Forms include: Basic information (PI info, project info, keywords, simplified budget) Project Summary (should include benefits to Quebec) Researcher must complete a 5 step process before ISI has access Electronic signatures by institutional representatives are required ISI will ensure that relevant sections are translated
27. Quebec Online Submission Create an account Create a project Complete all 5 steps
28. What about CRC associated with a CFI? The Office of the Provost is responsible for the CRC program As such, tracks available Chairs to fill Contact Deans for submission deadlines Organize internal scientific review Committee, sharing comments with related Faculty before submission of an application to the CRC secretariat The ISI unit supports aspects of the Pre-award process Assists candidate with CRC and CFI grant writing Verifies that supporting documents (like letters of support) are eligible and transmitted on time to the CRC secretariat Participates in the review of content with the internalreviewcommittee Ensures final review of the complete application Processes paper and electronic submissions Once a CRC or a CRC-CFI proposal is awarded : Provost Office manages the CRC award while the ISI unit manages the CFI award
29. What about Pre-purchase? Pre-purchase of infrastructure isallowed, but depends on the funding program Eligibleexpenseswillberefunded once awarded if costincurred and services renderedwere made: up to 6 monthsprior to submission deadline for the LOF usually 1 yearprior to the submission deadline for LEFs/NIFs Reimbursementis possible if eligible items werepurchasedaccording to CFI policy Bridge funding is the responsibility of the corresponding Faculty, Department or PIs
30. What about bridge funding? For equipment? Bridge funding is the responsibility of the corresponding Faculty, Department or PI at their own RISK For renovations? A procedure has been beenrecentlyimplemented to initiate the design phase once the proposalissubmitted 50/50 risk sharing model between Dean/Provost appliedshould the projectbeunsuccessful. For New recruitsonly
31. Results Announced After a few months the researcher is informed that their application was selected for funding! The file moves from: ISI Pre-award to ISI Post-award
32. ISI POST-AWARD
33. Once a project is awarded…. Ensure conditions are met if any Submit a revised budget : Finalization Obtain updated quotes for items over $100K Validate with PI that no major changes are anticipated Address significant changes in prices, nature or functionality of the CFI infrastructure Work closely with Renovation Facilities to obtain floor plans, updated renovation estimate and timelines for constructions – The constructions must have been initiated within the 18 months past award Ensure that the revised budget will be submitted within 9 months following the award announcement Get FOAPAL for committed cash contributions CFI Finalization approval: 6-8 weeks
34. Updated Budget Review PRICING: Exchange rates In-kind contribution review (updated quotes if required) Coordinate with Procurement (i.eDelivered at Place (DAP) – Destination McGill University, tendering) Prices on the budget includes: Freight, in-transit insurance, unloading of Goods at Destination, and deliver to requested Any cost related to handling, installation WARRANTIES: (max. of 5 years) On-site warranty, (Minimum of 1 year manufactures on site warranty on parts, travel and software upgrades) Extended warranty (up to 4 years) TRAVEL
35. Updated Budget Review SITE PREPARATION: Requirements for the infrastructure installation facilities Ensure with facilities Project Manager that renovations begin within 18 months following the award announcement TRAINING: Initial training for the main operator(s) of the research infrastructure. It is expected that the main operator(s) will train other users. Alternatively, an initial group training session may be provided by the vendor at the institution. COAC
36. Once the award agreement is received…
37. ISI – POST AWARD Overview of Roles and Responsibilities
38. CFI - Change RequestsCFI Change requests at ISI post-award
39. Change Requests - (continued) Process on change requests: Standard form (change request template) to be completed by Principal Investigator Sent to RFMS for initial review RFMS will review the request and contact the PI if additional information is required RFMS will send the reviewed change request form to ISI Post-award Final review done by ISI office ISI office sends the request to CFI & Qc for approval
40. CFI - Change Requests CFI Change Requests at ISI post-award
41. CFI Approved Equipment list “Itemized/Equipment list” officially approved by CFI Spending restricted to this list (items and quantities) Grouped by CFI categories of expenses Examples: Scientific equipment (category #13) Personnel (category #15) Stipends/awards are not allowed Travel CFI-related (category #17) Software (category #18) Construction/renovation (category #20)
42. Change requests When is a Change request not required? When PI wishes to purchase same equipment from a different vendor Slight increase/decrease in cost of an equipment (cash and/or in-kind)
43. CFI Renovation/Construction Must begin within 18 months following the award announcement Purchase of the equipment Oncethe space is ready RFMS to be notified after completion Delays with renovations/construction = delays with procurement and reporting - Report CFI on significant delays on the acquisition of the infrastructure
44. Infrastructure Operating Fund (IOF) Each CFI projectawardedgenerates an IOF allocation to the Institution: The allocation represents 30% of the CFI infrastructure portion to the award. The current allocation and distribution model of IOF monies are based on “The Guiding Principles for Allocation of McGill-IOF 0809” and applies to all applications awarded since fall 2008. Researchers are eligible to receive funds from the institutional McGill-IOF envelope provided that: The need for the funds is fully justified. All the projected expenses are in support of the proposed CFI research program.
45. IOF current distribution model For CFI Infrastructure projects located on McGill Campus 2/3 of the IOF allocation is provided to the PI 1/3 of the IOF allocation is retained centrally to create a reserved fund accessible on request and to cover part of related utilities costs. The reserved fund is made to bridge gap in O&M funding. CFI Hospital-RI based projects the maximum 30% IOF allocation is made available to the Hospital once Infrastructure project is opened. Hospital researchers abide by the rules of their respective Hospital to access operating funds. Reporting University manages the reporting requirements with CFI. If required, researchers will be asked to sign and review IOF financial statements. *McGill O&M policy currently being developed as per CFI monitoring visit requirement.
46. IOF request for fund approval PI complete the “McGill-IOF Projected Expenditure Information Form” PI & Chair/Director is responsible for reviewing, and signing the form ISI Post-Award office obtains VP-RIR approval & requests RFMS the fund setup Projected Expenditure Information Form - Most common operating expenses Personnel (technician, research assistant, etc) Supplies Maintenance and repairs (replacement of equipment parts, warranties including warranties) Software upgrades Travel Duration: IOF funds are aimed at supporting five (5) years of incremental operating and maintenance costs for the CFI-funded infrastructure. Changes: Significant changes within the categories to be approved by ISI office
47. While the CFI is active ISI Post-Award works hand in hand with RFMS once the fund is open Among priority actions: Monitoring & ensuring that the setup of the infrastructure is made in a timely fashion Followup withrenovations Proactive approach: Raise issues on time to solve them with the CFI Process and submit change requests for approval to funding agencies or answer to requests of the CFI…. Constant exchange with RFMS is key to the success of a project Both offices meet regularly Control submission of annual Project Progress Report by PI. ISI sends a reminder to the PI for completion of their annual scientific report (4 to 5 years)
48. CFI Project Progress Report (PPR) Each successful CFI project is required to complete CFI’s PPR (except Automotive Partnership Canada Fund) Purpose of PPR: Demonstrates the results of CFI investment in institution’s research infrastructure by looking at indicators: Attraction/retention of researchers Training of Highly Qualified Personnel Research productivity Partnership and collaborations Social and economic benefits Provides information on issues (O&M; useful life of infrastructure etc) Every year in April: ISI office sends a reminder to researchers who must complete a PPR PPRs are submitted electronically by ISI office by June 30 each year past projects were reporting over 5 years New reporting calendar since 2012
49. Reporting calendar All projects finalized after March 31, 2011: Are subject to new reporting rules Depending on: Date of award finalization Financial value of CFI contribution Will report for either 4 or 5 years following award finalization Will start reporting when the infrastructure is operational and the project has been initiated At the latest in year 2 or 3 of the award at the latest Reporting starts has been initiated
50. Financial Administration - RFMS
51. Kick off meeting - fund opening The assigned CFI Fund administrator initiates a meeting with the PI On large scale projects a meeting to launch the finalization process is held by the ISI office and all stakeholders involved are invited RFMS PI and co-PIs Renovation Facilities Procurement services The complexity of the CFI funding and the specialized know-how required to reach the goals mean that collaborations between our various offices and the PI is key for a successful CFI project. When the CFI fund is opened by RFMS, the researcher can request transfer of previously done (eligible) purchases to the CFI fund. The CFI fund administrator will do the transfers.
52. Fund Creation 234567 Financial Administrator (FA) Receives approved award & respective documents from OSR ISI team. A new Banner profile is created based on award parameters Restricted Fund numbers begin with a “2” Fund is setup according to the approved granting period (start date to end-date) Fund is setup for the total approved CFI budget. Matching Funds; journal transfers of cash contributions (if any) In-kind contributions and renovation budgets are encumbered on the fund. Transfer pre-purchases (if any) temporarily charged to a fund, while PI waits for the new fund to be opened Memo of New Fund Opening is emailed to the PI and copied to the Chair, Faculty Financial Contact, FA, and FST (if any) Liaises with ISI if any clarifications are required Handles file moving forward
53. Funding structure for CFI grants How many Funds are opened for one CFI project? Typically, five funds One fund for tracking of all expenses (the only fund to be used by PI) Four other funds for tracking of revenues received or to be received: CFI (Federal fund) MESRST or MSSS (Provincial fund) McGill cash contribution fund In-kind fund
54. Activity code vs Account code Activity code = the fifth sequence in the FOAPAL CFI Activity codes: Internal system to track every purchase to the CFI line items Each category = one or more line items with a number assigned Example: Line item “Microscope” has assigned the number 3, under category #13 (Scientific Equipment) CFI Activity code would be R13003, where “13” is the category of the expense, and “3” is the line item number
55. Activity code vs Account code (continued) All CFI purchases in Banner must have a CFI activity code Activity code does NOT equal Account code! Account code = the third sequence of the FOAPAL
56. Example of CFI approved list:
57. What is CFI in-kind discount “In-kind contributions are defined as eligible non-monetary resources that external eligible partners provide for eligible projects. The CFI considers all contributions made by the recipient institution, or by participating institutions in the case of multi-institutional projects, to be cash contributions” CFI Cash Contribution Cash (McGill, Hospital or other Institution) Discount from the vendor Donation In general a “discount” from a vendor can be: CFI discount Educational – NOT ACCEPTED BY CFI Special discount Both educational and CFI – ONLY CFI PORTION ACCEPTED
58. CFI in-kind / discount (continued) No taxes are applied on CFI- discounts Vendor must clearly write on the quote/invoice: “CFI discount” Also accepted: Vendor statement on quote or via e-mail: “We do not give educational discounts to clients”
59. CFI Discount (example) Net CFI Selling Price : List price $500 (less) Normal discount ($20) (less) Educational discount ($80) Fair market value (CFI eligible cost) $400 (less) Special CFI discount ($100) eligible in-kind contribution Net selling price (cash consideration) $300 - Taxable amount Attention! The Normal and Educational discounts are not accepted as CFI discounts What is reported to CFI in the financial statement is: CFI eligible cost = Net selling price + In-kind contribution
60. Financial Reporting CFI Financial reports submitted to CFI are cumulative (inception to date). PI isrequired to verify and signanyfinancial report. Fiscal year for CFI projects : April 1st to March 31. March financial reports are due June 15. Forecastisrequired for nexttwo fiscal years. How oftenwesend CFI financial reports? Everytwoyears for projectslessthan $500,000 Everyyearfor projectsover $500,000. Quarterly or Semi-Annually for very large projects over 1M
61. Financial Reporting CFI (continued) FINAL REPORT (end of the project): Due within 6 months after all purchases have been completed Variance explanationshas to be addressed (including change requests) Variance explanations; for line items whichincurred total costs (cash+in-kind) over/under 5% of the total budget OR $50,000 (whicheverislower) Address unspent balance (to be returned to funding institutions) Outstanding encumbrances must be cleared Over-expenditure must be cleared Important! Any eligible expense that is charged only partially to the CFI fund has to be declared entirely to CFI (including the portion sitting in another fund).
62. RFMS- ISI Monitoring & Compliance Examples of Controls : Over-Expenditures Source of funding income Inter-Institutional Advances & payments Ineligible expenses as per CFI regulations Hospital-RI expenditures
63. To keep in mind Researchercanask the fundadministrator for an updatedfinancial report atanygiven time of the project. Last minute purchasesshouldbeavoided (end of project) Couldlead to disallowances from CFI if: Item receivedafter end date of project Equipment not working/not beingused for research Item isdefective Post-award issues: must beaddressedwith key people in RFMS and ISI office
64. To keep in mind(continued) In-kind contributions are only reported once the PO is closed. Vendor must clearly write on the quote/invoice: “CFI discount” Also accepted: Vendor statement on quote or via e-mail: “We do not give educational discounts to clients”
65. Remember - All financial reports and claims are prepared by RFMS CFI team. PI must review and sign the financial statement For Inter-Institutional projects when McGill is the lead, the PI at the partner institution signs the financial statement Authorized financial signing authority = RFMS Authorized grantee signing authority = PI Final Financial report is reviewed by ISI – Post- award team, previous submission to CFI
66. Audit/Monitoring Visits
67. Audit requirements CFI The list of documents to beretained by the universityincludes (but is not restricted to): Time sheets and payroll documents CFI personnel form for salaries paid Expense reports (receipts included) Contracts or agreements Quotes, invoices, purchase requisitions Public tender documents and POs Proof of payments to vendors Proof of receiving the equipment (packing slip, etc.) Proof of returning/replacing an equipment item Renovation estimates, as built plans and Certificate of completion. Change requests sent to CFI and approvals/denials received Coordinated by RFMS
68. Award Administration - RFMS
69. Transaction Approval Process
70. RFMS monitors various aspects of the CFI grant
71. Supporting Documentation Documentation and Retention Responsibilities: http://www.mcgill.ca/financialservices/sites/mcgill.ca.financialservices/files/retention_of_financial_documents_roles__responsibilities_nov_27_2012_1.pdf
72. CFI project closure Project is complete – the renovation (if any) is complete and the PI moved to the new space, all equipment has been purchased and it is up and running. All inter-institutional advances to partners are received and accounted for. All payments to vendors have been made. Outstanding commitments are cancelled. Outstanding travel advances are reconciled. All in-kind has been booked. Balance of the CFI (expenses) fund is at $0. Final financial report is done, signed and sent to CFI All the documents are in the file, available for an eventual audit.
73. CONTACT US
74. Who do I contact? FOD (Dedicated Project Manager) Procurement Graham Currie Youssef Azad
75. OSR - Institutional Strategic Initiatives Contacts
76. Research Financial Management Services – CFI & IOF If you’re not sure who to contact, contact RFMSHelpDesk.finserv@mcgill.ca.
77. Thank You! QUESTIONS? 81