Dear Colleagues,
The Canada Foundation for Innovation has recently established a requirement that all institutions eligible to receive CFI funding must have an internal plan regarding the operation and maintenance of CFI-supported infrastructure. The exact wording in the Foundation’s revised Policy and Program Guide is as follows:
6.8 Operation and maintenance of CFI-funded infrastructure
It is the institutions’ responsibility to provide sufficient funds for the operation and maintenance of CFI-funded infrastructure. To meet this obligation, institutions must have an internal plan for the provision and administration of operating and maintenance support. The plan should be made available to all relevant stakeholders. Because the Infrastructure Operating Fund helps institutions with a portion of the operating and maintenance costs of CFI-funded infrastructure, its use should be an integral part of the operating and maintenance plan. Institutions must keep on file the operating and maintenance plan and provide it upon request.
The attached “University of Toronto Statement on Operations & Maintenance of Research Infrastructure Supported by the Canada Foundation for Innovation” has been prepared to address this sponsor requirement. It does not involve any new or changed procedures, but simply describes and clarifies the principles, decision-making and approval processes associated with ensuring that CFI-funded infrastructure at the University of Toronto is maintained in a state of readiness for research for the appropriate length of time.
We will post this Statement on the Research website, alert all current CFI applicants and award-holders about its existence, and reference it in the RSO CFI proposal development tips.
Should you have any questions or comments about the Statement, please don’t hesitate to be in touch with me or with Judith Chadwick, Assistant Vice-President, Research Services (j.chadwick@utoronto.ca).
Best wishes,
Paul
Professor R. Paul Young Ph.D., FRSC
Vice-President, Research
University of Toronto
Simcoe Hall, Room 109
27 King's College Circle
Toronto, Ontario, Canada M5S 1A1
Telephone: 416-978-4984
Email: vp.research@utoronto.ca
Web: www.research.utoronto.ca
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University of Toronto Statement on Operations & Maintenance of Research Infrastructure Supported by the Canada Foundation for Innovation (CFI)
This document outlines the principles, decision-making and approval processes at the University of Toronto relating to the operation and maintenance (O&M) of CFI-funded infrastructure.
The CFI Program and Policy Guide states:
The eligible recipient1 will operate and use the research infrastructure, and will assume responsibility for insuring all CFI-funded research infrastructure, including powered vehicles. It will also exercise de facto control over and hold a majority interest in the research infrastructure for a period of five years from the date of acquisition and installation of the research infrastructure, or for a period the CFI deems appropriate.
The CFI Infrastructure Operating Fund (IOF)
The CFI Program & Policy Guide further states:
The Infrastructure Operating Fund (IOF) helps cover a portion of the operating and maintenance costs to ensure optimal use of CFI-funded infrastructure. It is nonetheless the institution’s responsibility to provide sufficient funds for the operation and maintenance of CFI-funded infrastructure.
A CFI-eligible institution receives IOF funding through an annual application at June 15th. IOF allocations are intended as contributions to approved infrastructure awards. Projects approved by CFI 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. Institutions may distribute their IOF allocation based on actual operating and maintenance needs, as opposed to allocating the exact amount to the project that generated it. This offers institutions maximum flexibility to support projects with different needs and scope, while ensuring accountability. Further detail, including eligible IOF expenses, can be found in the Infrastructure Operating Fund section of the CFI Policy & Program Guide.
Developing O&M Plans
At the University of Toronto it is the responsibility of the CFI Project Leader to identify and secure all necessary and appropriate O&M resources for the active life (five years or as otherwise agreed with CFI) of the CFI-funded infrastructure. Each CFI application must contain a plan for the sustainable use of the proposed infrastructure, including projected O&M costs, for the first five years. Each plan takes account of the anticipated CFI IOF funding, as well as additional and alternative funding sources (revenue generated from user fees, institutionalcontributions, operating grant funds, etc.) required to maintain the infrastructure. This plan is reviewed and approved at the departmental, faculty and institutional levels prior to submission of the application to CFI and, when an award is approved for funding by CFI, becomes part of the funding agreement between the University and the CFI.
Administration of IOF Funds
The University of Toronto allocates 100% of the CFI IOF awarded to the academic division (Faculty, UTM or UTSC) that is the administrative home of the infrastructure project. Academic divisions are responsible for deploying IOF funds in support of the funded infrastructure so that O&M plans set out in the successful infrastructure application can be fulfilled. Each year, an IOF plan, approved by the Faculty, is submitted to the Research Services Office (RSO) within the division of the Vice-President Research. RSO establishes restricted research funds in support of eligible infrastructure projects as directed by the academic division and Project Leaders. The funded research digest (FReD) for each fund sets out the terms and conditions associated with the use of the IOF contribution.
The Project Leader is responsible for adhering to both CFI and University of Toronto guidelines in the use of IOF funds. There is no minimum or maximum number of years over which IOF can be claimed, as long as the infrastructure is being used for research purposes during the period claimed. Annual financial reports to CFI on the use of IOF funds are assembled and submitted by the Research Financial Reporting & Analysis unit of the division of the Vice-President Research, reflecting transactions processed by the Project Leader’s administrative unit. Questions about eligibility of expenditures are raised for resolution with RSO, the Project Leader and/or the administering unit, on an ongoing basis and at the time of financial reporting.
Issues Escalation
Unforeseen circumstances that adversely impact an approved O&M plan do not relieve the institution of the responsibility to maintain the CFI-funded infrastructure in a state of readiness for research for the period agreed upon with CFI. The Project Leader should bring any issues that threaten to interfere with the effective operation of the infrastructure to the attention of the head of the administering unit who, in turn, may contact the Dean or Principal of the academic division. Given the University’s budget model, academic divisions must ultimately ensure that when an O&M plan is disrupted, financial and other resources are assembled to ensure the ongoing operation of the infrastructure.
Questions
The Research Services Office is available to provide further information and to consult with CFI, when appropriate.
1 For CFI, “eligible recipient” means the institution, not the Project Leader.
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