Top 10 Things to Know About Research Administration When You Are a New Administrator

1. RAD 101 Top 10 Things to Know About Research Administration When You Are a New Administrator Jane De Pauw, Research Facilitator Faculty of Medicine & Dentistry Faculty of Pharmacy and Pharmaceutical Sciences

2. What are the objectives of this workshop? • Overview of Research Administration at UofA • Handout for List of Acronyms • Handout of UAPPOL Research Administration Procedure • Key Steps for Research funding. • Where do you fit in this picture?

3. Research at the University of Alberta • Attracted $460 million in external research funding in 2011-2012. • Research Services Office responsible for research funding administration at the UofA. • Over 10,000 funding proposals at various stages. • Central office (222 Campus Tower) and distributed offices in Faculties. • Vice-President (Research) Portfolio • http://www.research.ualberta.ca/OfficeoftheVPR.aspx

4. Research Services Office Teams Health Sciences Team • Provides end-to-end research services for standard grants and agreements associated with the health sciences-related Faculties. Natural & Social Sciences Team • Provides end-to-end research services for standard grants and agreements associated with the natural & social sciences-related Faculties. Partnership & Institutional Programs Team • Provides end-to-end research services for more complex agreements, often involving multi-sponsors and multi-Faculties, Network agreements. • Provides end-to-end research services for institutional awards associated with the Canada Foundation for Innovation (CFI), the Canada Research Chairs (CRC) program.

5. Research Services Offices in the Faculties • Located within various Faculties; support one or multiple faculties. • Provide first point of contact for researchers and administrators. • Pre-award and Post-award support. • Facilitate the review and institutional sign off of research applications and proposals. • Provide a range of Faculty-specific research admin-related services. • Trouble shoot issues raised by researchers and administrators. • Triage documents and requests to determine the appropriate person/unit responsible. • Host workshops, one-on-one training. • Work with SMS, NACTRC, FS, REO, external sponsors.

6. 4 main components of research funding Funding Opportunities Applying for Funding Receiving Research Funding Managing Research Funding

7. #1: Life cycle of a grant

8. #2: Finding funding • Opportunities received from sponsors • Opportunities received from researchers • RSO website has a “Funding Opportunities” document that links to internal and external sources of research funding • http://www.rso.ualberta.ca/en/Funding.aspx • Community of Science (COS Pivot) • Meetings between researchers and sponsors (industry/government)

9. #3: Applying for funding • Registration with sponsor • Notice of Intent to apply (NOI) • Expression of Interest (EOI) • Letter of Intent (LOI) • Pre-application • Full Application/proposal – result in grant/contract

10. Things to consider when applying for funding • Sponsor Deadlines (open/closed/time zones) • Internal Deadlines (RSO/Faculty/Dept) • Eligibility (PI, co-applicants, collaborators, partners, institution) • Eligibility (Research activity) • Eligibility (budget/indirect costs) • Submission Process (paper/courier/electronic/online) • Letters of Support-Institutional/Faculty/Dept • Signatures

11. #4: Signatures • What signatures are required on application/proposals? • Two sets of signature requirements: • Sponsor (signature requirements vary by sponsor) • Usually outlined in the application guidelines or on the application form • May or may not be required • University of Alberta (signature requirements determined by UofA Policy) • Always required for full applications

12. Internal UofA signature requirements • Only applies to UofA principal applicants and UofA co-applicants • U of A signature page • http://www.rso.ualberta.ca/~/media/rso/Forms/form_supplementary_signature_page.pdf • Order of signatures is important: • U of A Principle Investigator and U of A Co-applicants • Chair of Department of Lead Applicant • Faculty (Dean/ADR) of Lead Applicant • Institution (RSO/VPR)

13. What do the PI/CO-PI signatures mean? Principal Investigator/Co-applicants signatures • Abide by sponsor and University policies and procedures • Certifications • Eligibility of expenses • Documentation supporting expenditures • Conflicts of interest • Research reports • Milestones

14. What do the Chair & Faculty signatures mean? Chair and Faculty Signatures • Eligibility of PI/Co-applicants • Support of the proposed research • Willingness to administer research funds • Availability of resources to carry out the research • Budget information appropriate, realistic and contains indirect costs where appropriate

15. What do the Institutional signatures mean? Institutional Signature (RSO/VPR) • Release funds once ethics/certifications are in place • Administer funds on behalf of the PI • Aware of any institutional commitments (e.g., matching funds) • Ensure compliance with sponsor terms and conditions • Ensure compliance with U of A policies and procedures

16. #5: Sponsor’s decision • Adjudication process and timelines vary by sponsor: • May be months/weeks/days • Announcement of Award comes in different forms: • Hard copy mail/e-mail/posted on sponsor website • RSO is usually get a copy of competition results but not always. • Some results are sent directly to the researcher only. • If your researcher is funded, send your RFO a copy of the notice so RSO can initiate the setup and activation of the award-in case RSO did not get the award notice.

17. #6: NOA or AFF or Funding Agreement • As per Sponsor policy, RSO is only permitted to setup and activate awards on the basis of an NOA (Notice of Award) or AFF (Authorization for Funding) or Fully Executed Agreement. • Letters of Offer of Award are not enough but lets everyone know the application was successful and award is pending. • Agreements/Contracts take extra TIME as RSO is mandated by the UofA to protect the legal rights of the PI/Students/ Institution with respect to liability. • Can require rounds of negotiation between UofA and sponsor. • Agreement/contract must be signed by RSO/VPR (not PI) or else all liability falls to the PI.

18. #7: Award setup and activation • Review the terms and conditions of award to finalize setup • e.g. start/end dates, indirect costs, deliverables, payments, residual funds, eligible/ineligible costs • Research involving human subjects, animals, biohazards, human embryonic stem cells • All require a current certification supplied by the PI • Animal and Human certifications provided by REO • Biohazard Certification provided by Office of EHS • This is the #1 holdup of award activation • RSO staff activate project in the U of A financial system (PeopleSoft) • RSO sends Advice Notice to PI/Dept/Faculty which provides the project ID, terms of the award and speed code

19. #8: Conducting the research (spending the money) • Speedcode required for incurring expenses • Must follow Sponsor guidelines/policies for expense eligibility • Agreement on the Administration of Agency Grants and Awards by Research Institutions (between Tri-Council and Institutions) • http://www.science.gc.ca/Research_Funding_Collaboration/Policies_and_Guidelines/Institutional_Agreement-WS56B87BE5-1_En.htm • University of Alberta Policies and Procedures Online (UAPPOL) • https://policiesonline.ualberta.ca/Pages/default.aspx • UofA also has policies on hiring personnel, purchasing, travel, signing authority, documentation, conflict of interest, over expenditures, etc.

20. #9: Managing the award • Reconciliations (PeopleSoft module-eTRAC – electronic tracking of research awards and contracts) • Researcher Home Page (Grants 2.0 module of PeopleSoft) • Sub-grants or transfers of portions of funding to participating institutions • Change of PI, Change to co-applicants • Transfer of award to new institution when PI leaves • Amendments to award (end date extension, increase to awarded amount, sponsor approved changes to research)

21. #10: Project completion • Over expenditures • Residual funds in project • Deliverables (financial reporting; research reports) • HR Commitments: Severance, Legal Notice of Termination • Telephones, payroll; standing orders; contracts for service • Retention of documentation

22. Where do you fit?

23. Remember … • Contact your Research Facilitation Office first with your questions and queries • http://www.rso.ualberta.ca/ContactRSO.aspx • Take a look at the RSO Website for information • http://www.rso.ualberta.ca/ • Questions?

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