Conducting research at the University of Ottawa Effectuer la recherche à l’Université d’Ottawa

1. Conducting research at the University of OttawaEffectuer la recherche à l’Université d’Ottawa

2. U of O RESEARCH ENTERPRISE • This presentation provides an overview of the processes, players and resources available at the University of Ottawa for the conduct and management of research • By the time we are through today, you should have a good idea of: - Your roles and responsibilities as a researcher - The basic steps for preparing and submitting proposals - The basic “post-award” processes - Where to look for information - The people and teams who are there to support you as you conduct your research

3. Overview You, the researcher, provides the intellectual direction for the research U of O provides a physical, policy and administrative framework to enable : • Compliance with research sponsors regulations; • Proper management of research funds; • Effective conduct of research in accordance with the highest standards of professionalism, safety and ethics.

4. So let’s spend a few minutes on the landscape: The University delegates to Researchers overall responsibility for conduct and management of their research projects. The key players are:

5. Overview

6. Research Team Leaders(Principal investigators and co-principal investigators) RESEARCH TEAM LEADERS

7. I.2.Research Team Leaders(Principal investigators and co-principal investigators) Responsible for: • management and conduct of project activities; • progress reporting; • sound financial management of research funds; • human resource management, including proper supervision and workplace safety; • compliance with policies and procedures: Both U of O and research sponsors; • Compliance with terms and conditions of the award (grants or contract)

8. I.3.Research Enterprise Structure RESEARCH GRANTS AND ETHICS SERVICES

9. I.3.Research Enterprise Structure Research Grants and Ethics Services: http://web9.uottawa.ca/services/rgessrd/rges/index.asp • Provide expert advice on grant proposal development (in conjunction with Research Facilitators) and management; • We sign grant applications on behalf of the University as they are submitted and authorize the accounts when they are awarded • Facilitate and enable regulatory compliance, including Ethics Review for projects involving human subjects

10. Research Enterprise Structure TECHNOLOGY TRANSFER AND BUSINESS ENTERPRISE

11. Research Enterprise Structure Technology Transfer and Business Enterprise Office (TTBE): http://www.ttbe.uottawa.ca/ • Facilitation of contract research; • Development of new collaborative research opportunities; • Disclosure and evaluation of research discoveries; • Protection of research discoveries and intellectual property; • Transfer of research discoveries to partners; • Development of commercialization opportunities for research discoveries.

12. Research Enterprise Structure All contracts and contract amendments must be signed by the TTBE. Researchers are notauthorized to sign contracts or contract amendments on behalf of the University of Ottawa.

13. Research Enterprise Structure Government Research Investment Programs

14. Research Enterprise Structure Government Research Investment Programs Office (GRIP): http://www.research.uottawa.ca/resources_funding_research-e.php • is responsible for initiating, developing, overseeing, and managing large scale government funded research projects from the Canada Foundation for Innovation, Ontario Research Fund, and other government investment programs; • Canada Foundation for Innovation (CFI), Ontario Research Fund (ORF), Early Research Award (ERA), YSTOP: Youth and Science Technology Outreach Program – New 2005

15. Overview

16. Bureau de la recherche internationale (BRI) • Mission: Accroître la dimension internationale de l’Université d’Ottawa • Développer et promouvoir des projets internationaux en recherche et développement • Faire la promotion des facultés et des chercheurs ayant des intérêts internationaux • Rechercher des opportunités de bourses pour la recherche, le travail en collaboration et les voyages, par faculté et chercheur • Créer et administrer des réseaux internationaux pour faciliter la collaboration et les programmes d’échanges • Promouvoir les nombreuses affiliations institutionnelles de l’Université ainsi que ses liens avec l’étranger

17. Bureau de la recherche internationale (BRI) • Fournir des services de soutien aux chercheur(e)s et aux universitaires en visite • Établir et maintenir des relations avec les organisations internationales et les organismes donateurs • Accroître la capacité de l’Université à participer à des projets d’assistance technique et développement • Agir en tant que point de liaison principal de l’Université pour la réalisation d’activités de vulgarisation dans la région d’Ottawa auprès d’agences et de départements scientifiques ainsi que d’organisations régionales ayant des préoccupations internationales. http://www.recherche.uottawa.ca/bureau_internationale.php

18. Research Enterprise Structure ETHICS ANIMAL CARE BIOHAZARDS

19. Research Enterprise Structure Ethics Services:http://web9.uottawa.ca/services/rgessrd/rges/ethics/index.asp • Any research project involving humans must receive approval of one of the Research Ethics Boards (REB) prior to the start. • It is the responsibility of the professor as researcher, thesis supervisor and lecturer to ascertain whether or not a project requires an ethical review. • This may be done by consulting the Protocol officer for ethics in research.

20. Research Enterprise Structure Office of Risk Management, Environmental Health and Safety (ORM): http://www.uottawa.ca/services/ehss/ • Biosafety • Environmental Management • Laboratory Safety • Occupational Health and Safety • Risk Management • Radiation Safety • Insurance

21. Research Enterprise Structure Animal Care & Veterinary Service: http://www.uottawa.ca/vr-recherche-research/animal_care/eng/ • The Animal Care and Veterinary Service of the University of Ottawa is the administrative entity responsible for the acquisition and care of animals used in research, teaching or testing. • The University of Ottawa is a registered research facility under the Animals for Research Act and is in full compliance with the Canadian Council on Animal Care on a five-year assessment cycle. • It operates four Vivaria, each dedicated to providing a range of general and specialized services targeted to the needs of its scientist-clientele.

22. Research Enterprise Structure FACULTY RESEARCH FACILITATORS

23. Research Enterprise Structure Faculty Research Facilitators assist in: • Preparing research proposals; • Working through proposal administrative and approval procedures • Searching for funds and identifying funding opportunities; • Liaising between researchers and University services, involved in research management; • Liaising with granting agencies.

24. Research Enterprise Structure FACULTY ADMINISTRATORS

25. Research Enterprise Structure Faculty/department administrators, amongst other things, are responsible for: • Day to day administration, e.g. small purchases of materials/supplies, payment of invoices etc. • Ensuring proper management of expenses as per agency and university guidelines; • Helping resolve any issues about financial statements. They are the primary contact on all administrative matters related to research accounts.

26. Research Enterprise Structure HUMAN RESOURCES SERVICE

27. Research Enterprise Structure Human Resources Service: http://www.hr.uottawa.ca/00_main/index_e.asp • payroll • are responsible for processing employees’ records; • provide clarification on employment and remuneration policies; • act as a liaison between university, union and other parties.

28. Research Enterprise Structure FINANCIAL SERVICES

29. Research Enterprise Structure Financial Services: Research and Trust Section http://www.uottawa.ca/services/finance/welcome.html • Provide support to researchers, generally through their administrators, for the management of financial resources for all research projects in accordance with Sponsor, University and other requirements; • To meet the University’s financial obligations to the Granting Agencies : Administer and direct all financial services, including accounting, reporting, invoicing, etc. • Research and Trusts Section produce timely and reliable financial reports & invoices for the research funding agencies, as well as monthly financial statements.

30. Research Communications Personne clé: Christel Binnie Directrice des communications pour la recherche Cabinet du vice-recteur à la recherche Université d'Ottawa http://www.research.uottawa.ca/office-e.php Toujours à la recherche de bonnes idées!

31. Cabinet du Vice-recteur à la recherche1)

32. APPLYING FOR RESEARCH FUNDING

33. From Research Idea to Successful Proposal Submission Key Players: • Researcher • Research Facilitator • RGES, TTBE, GRIP • Peers and Colleagues

34. The process at its most basic: Researcher develops proposal Faculty / University Approval Submission to granting agency

35. Proposal development : 1. Researcher identifies a research idea: - Know your “state of the art” - Where is there a gap in knowledge? - Is there a problem? - Can you find something new, important and which needs to be done? - Can you formulate testable hypotheses or a strategy to develop the knowledge that is needed? - Are you excited about this? Your enthusiasm should show through!

36. Writing the proposal A good idea is not enough – writing the proposal or grant application is really a matter of communication, because A good proposal won’t save a bad idea but a bad proposal could result in a good idea not being funded

37. Writing the proposal • Know your sponsor – try to fit your proposal with your sponsor’s objectives • Read the rules and follow them exactly • Presentation matters: most reviewers are volunteers and most are overworked! • Leave enough time for budgeting, internal approvals, re-writes… • Get advice from colleagues – examples of successful proposals if possible – work with your Research Facilitators

38. Writing the proposal • Who • What • Why you? • How • How much • Why is it important?

39. Writing the proposal – a few tips and resources - Use the summary / abstract wisely - There is lots of good advice out there: NSERC : http://www.nserc.gc.ca/Library/visits/2006_grants_pres_e.pdf CIHR : http://www.cihr-irsc.gc.ca/e/179.html SSHRC: http://www.sfu.ca/ors/Articles/sshrc_p.html http://www.unb.ca/research/ors/grants_contracts/propsupport/SSHRC_Tips.htm#Assess General: http://www.utoronto.ca/cip/sa_ArtGt.pdf http://healthlinks.washington.edu/rfs/gw/fundamentals.html#principles http://www.med.ubc.ca/research/grant_mentorship/grantsmanship.htm

40. Who approves? 1. YOU – as researcher • Your department and faculty: “RE” Form confirms these approvals and becomes the key to accessing funds at U of O when awarded! • University: • Grants: RGES • Contracts: TTBE • CFI / OIT and some others: GRIP

41. How do I know if it’s a grant or contract? • Une subvention de recherche est une somme d'argent allouée dans le but d'encourager la recherche ou toute autre étude faite à l'Université. Ces fonds serviront exclusivement à l'avancement de la recherche. Les subventions sont généralement des fonds distribués par des conseils fédéraux ou autres agences à but non lucratif qui sont déposés en fiducie à l'Université pour le chercheur. • Un contrat de recherche est une entente formelle entre l'Université et un bailleur de fonds afin d'appuyer des activités de recherche selon des termes et conditions définis. Un contrat détermine généralement le type de travail qui devra être effectué, l'intervalle de temps sur lequel s'étendra ce travail, la confidentialité, les droits de propriété, l'exploitation commerciale, les droits en matière de brevets, etc. Just ask any one of us!

42. How do I know if it’s a grant or contract? • Research Grant Typical Features: • Research proposal and project control lies with the researcher • Unrestricted rights to publish research results • Payment in advance (not based on deliverables) • Ownership of any intellectual property resides with the researcher/University • Start and end dates of the project are defined • Sponsor is provided with a copy of the final research report

43. Contrat ou subvention? • Contrat de recherche: • L’étendue des travaux et le plan de recherche sont définis à l’avance. • Il peut y avoir des arriérés de paiements, en fonction de certains jalons ou produits livrables. • Comporte des dispositions concernant la confidentialité de l'information. • Le chercheur détient les droits de publication de ses résultats, mais peut en retarder la publication pour permettre au bailleur de fonds d'en évaluer la confidentialité ou la propriété intellectuelle. • Les étudiants de deuxième cycle sont titulaires du droit d’auteur de leur thèse, dont la publication ne saurait être retardée de plus d’un an.

44. Contrat ou subvention? • La propriété intellectuelle et le droit de propriété sont clairement définis. • Le chercheur et l’Université sont titulaires des nouveaux droits de propriété intellectuelle, toutefois, • Le commanditaire de la recherche peut faire un usage non commercial de ses résultats. • Le commanditaire peut acquérir une licence (suivant les termes d’une entente de bonne foi, représentative du secteur industriel concerné).

45. Contrat ou subvention? • Garantie : Le chercheur s’engage à suivre les normes professionnelles, mais ne garantit pas les résultats de sa recherche. • L’Université d’Ottawa est propriétaire de l’équipement acheté pendant la durée du contrat. • Les clauses d’expiration font partie du contrat. • Des dispositions sur les assurances et les frais professionnels font partie du contrat, et ce afin de protéger les droits de l’Université d’Ottawa, ainsi que ceux du chercheur et des étudiants. • Les coûts indirects correspondent à au moins 40 % du total modifié des coûts directs, sans tenir compte des pièces d’équipement les plus importantes

46. Contrat ou subvention? • Donc, ce sont les clauses de l’entente qui déterminent si c’est une subvention ou un contrat de recherche

47. Remember to Anticipate: • Researchers are responsible for conducting research in accordance with ethics, bio- and radiation safety, and animal care, environmental regulations, etc. • Researchers are required to obtain appropriate certification prior to commencement of project;

48. POST-AWARD MANAGEMENT Starting up Financial Management Research Project Management

49. The “Post Award” process at its most basic: Agreements get negotiated (if necessary) / Certifications are obtained Funding agency approves Notifies RGES or TTBE or GRIP Work starts You and your admin person are notified Cost Centre gets opened

50. Starting up • Once award has been approved and the cost centre is opened, you can then proceed to: • Hire your students and personnel and put them on the payroll • Order supplies, equipment, etc. • Your key contact person for this, is the administrator in your department or faculty. • Contact her or him early • Be sure to review terms and conditions of the award, review deliverables, etc. • Please do not forget certifications – Ethics, Animal Care, Radiation Safety, etc.