MEMO

DATE:[insert date]

FROM:Tracy Arabski, Assistant Director, Health Research Services

Sonya Caissie, Assistant Comptroller, FHS Research Finance

TO:[insert faculty member name) / [insert email]

RE:Residual Research Project Request

Start and End Date:[insert start and end dates – use max end date e.g. December 31, 2050]

Related Project #(s):[Identify active research ledger accounts where funds come from – obtain fr Res Fin]

Transfer Amount:[insert $ amt – obtain fr Res Fin] - closing balance of the above related projects(s)

Research residuals result when there are unspent funds remaining in a research project and any of the following conditions exist:

  • The research project is complete (has met all of its deliverables), and the end date on record is significantly aged (5 years or greater), the contract is silent on the treatment of unspent funds, and the sponsor has not requested reimbursement of the unspent funds (all components of this condition must be met);
  • The research project is a clinical trial in which the sponsor contribution amounts are based on a fee-per-patient basis; once the clinical trial is completed, it is implicit that the sponsor does not have a claim of ownership for any unspent funds; or
  • The account is a consolidation of residual funds from miscellaneous clinical trials which have ended in the past.

The above-noted project number(s) has been identified as having a residual balance according to the Research Finance Office and the contracts have been reviewed to ensure that there is no obligation to repay the unspent funds to the Sponsor. These funds will be treated as research residuals as outlined below.

A separate discretionary research residual project will be established for you to hold these residual funds and the original project will be closed. It is the intent to utilize this one new project for the transfer of any future residual funds that may occur in any research projects over time.

Terms and conditions of the funding –

  1. As per McMaster’s Research Residual policy (dated June 9, 2011), you confirm that the project(s) noted above which holds residual funds has met all of its deliverables.
  2. Funding is provided for research expenses not covered by your active research projects (i.e. funding is meant to supplement the expenses of existing specifically funded research where necessary approvals are in place for activities involving human subjects, animals and biohazards). If you wish to initiate a new research project with funds accumulated in the above residual project, then a separate transfer is required (80 fund to 80 fund) to create the new project with a specific research description, budget and record of applicable ethics approvals. Contact Health Research Services for further info.
  3. Funding is not to be used for cost recovery deposits (e.g. where funding is held at HHS and expenses incurred at Mac).
  4. No deficits will be allowed. The residual project will be closed once funding has been depleted.

All expenditures on residual projects must (1) comply with University policies and procedures, and (2) directly support the terms and conditions as noted above. Eligible expenses are normally, but not limited to, those allowed by the Federal Tri-Council Agencies. While other than Federal Agencies’ allowable research expenses will be considered, a direct link and benefit to the general content area of the Grant Holder’s research must clearly be demonstrated in order for the expense to be processed by the University.

Link to Research Residual Policy:

Please sign below indicating your acceptance of the terms of this residual project. Also complete the attached FHS Research Finance “Research Project Delegation Form” (if a delegate is required) and return it together with the signed memo to:

McMaster University

Health Research Services

Faculty of Health Sciences

Health Science Centre, Room HSC-3H9

Residual Grant Holder Acceptance of Terms and conditions of the residual project as noted above:

  1. The signature/acceptance of the Investigator affirms that:
  1. The investigator will use the residual project to support ongoing research and any new research the investigator proposes to initiate would require submission of the necessary documents to Health Research Services to create a new project with a specific research description, budget and record of applicable ethics approvals;
  2. The Investigator will take responsibility for resolving any over­ expenditures or any expenditures deemed to be ineligible as per McMaster Policy;
  3. The Investigator agrees to:

 review the Research Project Statement monthly to identify discrepancies and/or problems and to take corrective action in consultation with the Research Finance Office; and

 abide by McMaster University Research Policies ( including the requirement of meeting all regulations regarding the use of animal subjects, human subjects and bio-hazardous materials and other Administrative Policies and Procedures as appropriate (

Terms and Conditions accepted by:Approved by:

______

Printed NameDepartment Chair/Institute Director

______

SignatureDateSignatureDate

Attach – Research Project Delegation Form

/ Research Finance Project Delegation
(New Research Projects)

The purpose of this form is to appoint someone as a formal delegate on a research project. For the clarification on the types of delegation, please review the guidelines at

SUBMIT signed Delegation Form to HRS, HSC-3H9 or email* to **
*Note: Retain the signed original and email a scanned copy to HRS.

**Note: To change delegation on an existing research project please use “Change to Existing Research Projects” form.

Roles and Responsibilities of a Delegate
The Delegate has intimate knowledge of the research project, and is able to determine the relevance of transactions as they relate to the respective research project. The Delegate has knowledge of the Granting Agency Regulations and/or Terms of the Contract Agreement and has been advised of the Approved Budget, the terms of reference and the general policies and procedures of the University. Any change in delegation will be authorized by the Principal Investigator and sent to the Research Finance Office for action.
Please note that the Research PI Delegate role will automatically amend an individual’s security role that will restrict their access to only view projects for which they are a project delegate. If this limitation is too restrictive then the Delegate needs to discuss other options with the Department or the Research Finance Office. This delegation of authority does not absolve the grant holder of their responsibility to ensure that transactions recorded against their research Projects are appropriate. All transactions can be reviewed in the Research Project Statement. The project holder’s accountabilities can be reviewed in the HRS checklist, section H, Meaning of Signatures.
Delegates for Vouchers, Travel & Expense claims, Requisitions
The Delegate has access to approve voucher, travel & expense claims, and requisitions on the same level as PI. There can be multiple Delegates on a project. The Principal Investigator and all of the delegates will be part of the Work-Flow as a pool of approvers. Only one approver in the pool needs to approve a transaction.
NAME OF DELEGATE / EMPLOYEE ID # / EMAIL / DELEGATE SIGNATURE
Project Manager for Journal Entries (JE)
The Project Manager has access to approve Journal Entries. There can only be one Project Manager per project. The Project Manager role can be assigned to a Delegate, if no Delegate is assigned, this role will be defaulted to the Principal Investigator. The Principal Investigator will not be part of the Work-Flow process for JEs if a Delegate is assigned to the Project Manager role.
NAME OF DELEGATE / EMPLOYEE ID # / EMAIL / DELEGATE SIGNATURE
Grant Holder Signature:
Grant holder Name (print):
Date: