New Faculty Orientation

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New Faculty Orientation
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Research Services Office

• Information (and this presentation) online at

www.rso.ualberta.ca/researchers.cfm
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Outline

• Introduction
• Research Facilitation Offices
• Finding, Applying for and Receiving Funding
• Institutional Programs
• Managing Funding
• Certifications and Approvals
• Meet your Faculty-assigned team at RSO

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TEC Edmonton

• Transforms innovations into business
  opportunities
• Joint venture of the University of Alberta and
  Edmonton Economic Development Corporation
• TEC Edmontons Technology Transfer Program has
  been an active unit at the University since 1994
  and has helped generate over 30 million in
  licensing and royalties revenue and assisted many
  of the 74 active University spin-off companies
• Friday 830-1030 in Council Chambers

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Why would I need RSO?
Finding Research Funding
Applying for Funding
Receiving Research Funding
Managing Research Funding
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Research Activity at the UofA
482 M
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Research Administration
Dean
Associate Dean (Research)
Department Chair
Researcher
Colleagues
Colleagues
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Research Services Office (RSO)
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Organizational Chart of RSO
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Service Delivery
functional expertise
discipline / Faculty-based service
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RSO Vision and Mission

• Vision
• To provide the University of Alberta research
  community with the best research administration
  services in Canada.
• Mission
• To provide the Universitys research community,
  partners and sponsors with professional,
  client-focused research administration through
  central and distributed services while meeting
  the requirements of the research funding sponsors
  and supporting the Universitys vision and
  mission.

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Questions?

• Ask your Faculty-assigned Research Facilitation
  Office (RFO)

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Research Facilitation Offices

• Finding Funding
• Applying for Funding
• Managing Research Funding

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What are RFOs?

• Research Facilitation Offices (RFOs) are
  distributed research services offices located in
  Faculties
• Staffed by a Research Facilitator and support
  staff
• RFO model was initiated by Vice-President
  (Research) in consultation with Faculties in 2003

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Advantages

• First point of contact in the Faculty for matters
  related to applying for research funding and
  research funding administration
• Liaison between central RSO, Faculty researchers
  and administrative staff
• Experience with and understanding of Faculty
  research administration and culture

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A first point of contact
Research Facilitators
Julie Stephens Kerri Calvert Martine
Desrochers Agriculture, Forestry and Home
Economics Arts Augustana, CSJ, Extension,
Native Studies julie.stephens_at_ualberta.ca
kerri.calvert_at_ualberta.ca mdesrochers_at_rso.ualb
erta.ca Melissa Hartley Lan
Chan-Marples Terra Garneau Business,
Law Education, Physical Education
Recreation Engineering melissa.hartley_at_ualberta.
ca lan.marples_at_ualberta.ca terra.garneau_at_ualber
ta.ca Lorraine Deydey Jane Miller Lorraine
Deydey Medicine Dentistry Nursing,
Rehabilitation Medicine Pharmacy
Pharmaceutical Sciences (Acting) lorraine.deydey_at_u
alberta.ca jane.miller_at_ualberta.ca
lorraine.deydey_at_ualberta.ca Betty
Peavey Science betty.peavey_at_ualberta.ca
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RFO Activities

• First point of contact for queries related to
  applying for research funding and research
  administration
• Orientation
• Education and mentoring
• Workshops
• eTRAC

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RFO Activities

• Assist with finding research funding
  opportunities
• Review and provide institutional signature on
  research funding applications/proposals
• Advise on University policies connected to
  research and sponsor / agency terms and
  conditions
• Monitor and communicate project end dates,
  project extensions and over-expenditures

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RFO Activities

• RFOs liaise with
• Dean / Associate Dean of Research
• Department administrative staff
• Central RSO staff
• Other central administration units
• Sponsors
• on your behalf

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Applying for Funding

• There are three types of funding
• External
• Internal to the University
• Internal to the Faculties

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Applying for External Funding

• When you apply for funding, RFs
• Review applications for compliance with
• University policies and procedures
• Sponsor/agency guidelines/terms and conditions
• Application requirements
• Timelines
• Eligible costs, including indirect costs
• Matching funds, collaboration requirements
• Communicate any concerns to you
• Enter the details of the application into a
  shared database

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What signatures you need

• You must meet the sponsor signature requirements
  and the U of A signature requirements
• All research grant applications/proposals must be
  signed by
• U of A applicants and co-applicant(s)
• U of A Chair(s) and Dean(s) of both the U of A
  applicant and co-applicant(s)
• RF on behalf of the Board of Governors
• www.rso.ualberta.ca/signatures.cfm

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Why does RSO have internal deadlines?

• Generally our internal deadline is five working
  days prior to sponsor deadline including
  electronic submissions to allow time for the
  following
• Ensure application is complete
• Ensure proper signatures are in place
• Ensure RSO has time to submit official
  application to sponsor or agency

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Agreements

• Finding Funding
• Applying for Funding
• Receiving Research Funding
• Managing Research Funding

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How do we help you?

• We
• Communicate funding opportunities and sponsor
  terms conditions
• Review, negotiate and act as custodian of
  agreements
• Process research awards
• Set-up projects for financial administration
  of research

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Finding Funding

• Target Point
• monthly newsletter distributed electronically by
  subscription
• Community of Science (COS)
• funding opportunities and collaboration databases
• Targeted e-mail distribution lists

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Receiving Funding

• What happens in RSO Agreements?
• Point of contact for sponsor competition results
• Upon receipt of notice of decision
• Principal investigator notified of decision
• Database updated

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Receiving Funding

• What does your agreements administrator do?
• Ensures all terms and conditions of award are met
• Coordinates negotiation of agreements where
  required (grant, contract)
• Ensures all required documentation and approvals
  are on file (see next slide)
• Authorizes set-up of financial project
• Sends authorization supporting documentation to
  principal investigator and department/Faculty
  administrative officer(s)
• Agreements may need to be treated as confidential

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Supporting Documentation and Terms of Reference
for PeopleSoft Projects

• The following are required before funds can be
• authorized for release for all new projects,
  renewals
• and/or amendments to existing projects
• Notice of award or agreement from sponsor
• Scope of work and budget
• Signatures in accordance with University policies
• Certifications approvals (human, animal and
  biohazard) where required or disclosure from
  Principal Investigator that certifications are
  not required

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What do we look for?

• Compliance with University policies and
  procedures
• Sponsor/agency guidelines/terms and conditions
• Award requirements
• Timelines
• Eligible costs, including indirect costs
• Intellectual property (IP) conditions
• Publication rights
• Matching funds, collaboration requirements
• Risk management
• Student rights

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Signatures on Research Agreements

• Research agreements must be signed by
• Principal investigator (PI)
• U of A Department Chair(s) and Dean(s) of the PI
• RSO on behalf of the University of Alberta
• www.rso.ualberta.ca/policies.cfm

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Notes on Contracts

• Contact RSO Agreements as early as possiblean
  agreement administrator will assist you with
  contract terms
• The legal party for all agreements is The
  Governors of the University of Alberta
• Principles of sponsored research
  www.rso.ualberta.ca/sponsoredresearch.cfm
• Contract Review and Signing Authority Policy
  https//www.conman.ualberta.ca/stellent/groups/pub
  lic/_at_academic/documents/policy/pp_cmp_059002.hcsp

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Receiving Funding

• Your set-up administrator will
• Perform initial project set-up requirements in
  the financial system
• Prepare and distribute advice notice
• Sent by e-mail to researcher, copy to
  departmental/Faculty administrators
• Record future financial requirements for use by
  RSO Finance team
• Research funds become available for use

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Award Administration

• We
• Act as University liaison with sponsor for
  matters related to funding opportunities,
  administrative matters, electronic research
  administration systems
• Coordinate sponsor administrative reports
• Negotiate and process sub-grants and contracts
• Negotiate and process extensions, amendments,
  renewals, terminations
• Coordinate and complete non-financial close-out
  documents
• Solve other problems if they arise

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For more information

• www.rso.ualberta.ca/finding.cfm
• www.rso.ualberta.ca/applying.cfm
• www.rso.ualberta.ca/receiving.cfm
• www.rso.ualberta.ca/targetpoint.cfm
• www.rso.ualberta.ca/cos.cfm
• www.rso.ualberta.ca/contact.cfm and enter
  Agreements in the team selector or your
  Faculty in the Faculty selector

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Questions?

• Call your RFO!

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Institutional Programs

• Finding Funding
• Applying for Funding
• Receiving Research Funding
• Managing Research Funding

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What do we cover?

• UofA/RSO-Administered (Internal) Grants
• Institutional Awards

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UofA/RSO-Administered Grants

• Self-funded
• Sabbatical
• EFF-SAS Small Faculties
• AHFMR Visiting Lecturer
• Conference Fund
• Fund for Learned Journals

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What are institutional awards?

• Projects held by the Vice-President (Research) on
  behalf of the University
• Canada Foundation for Innovation (CFI)
• Alberta Advanced Education and Technology (ASRA,
  ASRIP, SEGP)
• Canada Research Chairs (CRC)

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Canada Foundation for Innovation

• What is CFI?
• Independent corporation established by the
  federal government in 1997
• What is its mandate?
• To strengthen capability of institutions to
  conduct world class research technology
  development
• How?
• By investing in infrastructure to support
  innovative research

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Institutional Commitment

• Has always been important with CFI, but increased
  emphasis
• CFI expects substantial institutional
  investments as evidence of institutional
  priority
• Commitments to research area in terms of HQP
  (highly qualified personnel), new capital
  projects, space allocated, centres formed, etc.
• Related to U of A Strategic Research Plan (and
  Faculty plan)

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CFI

• Programs
• Leading Edge Fund (LEF)
• New Initiatives Fund (NIF)
• National Platforms Fund (NPF)
• Leaders Opportunity Fund (LOF)
• Infrastructure Operating Fund (IOF)
• Research Hospital Fund (RHF)

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Leaders Opportunity Fund (LOF)

• Amalgamation of previous New Opportunities and
  Canada Research Chair (CRC) Infrastructure Funds
• Smaller (lt1M) projects
• Infrastructure support
• Three intake dates per year (depends on project)

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Leaders Opportunity Fund (LOF)

• Three streams for individual support
• Funding for research infrastructure alone
• New recruit
• Established researcher (to retain)
• Funding for infrastructure associated with a CRC
• Funding for infrastructure and research support
  from the federal agencies (CIHR, NSERC and SSHRC)
• Complete agency form abbreviated LOF form
• Reviewed by agency

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Eligibility

• Modernization, acquisition or development of
  research infrastructure
• Costs required to bring new infrastructure into
  service
• No teaching or administrative costs

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CFI is a matching program

• CFI provides up to 40 of eligible costs
• Partner funding to cover other 60

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Partner Funding

• Eligible partners include
• The University
• Corporations
• Other organizations, foundations and individuals
• Provincial, federal and foreign government
  departments and agencies excluding CIHR, SSHRC,
  NSERC and NCEs

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Matching Formula

• 40 CFI
• 30-40 from Alberta Advanced Education and
  Technology is possible (depends on program)
• 20-60 other (institutional support, in-kind
  contributions, etc.)

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Alberta Advanced Education and Technology SEGP

• Small Equipment Grants Program
• Supports projects for faculty applying to the LOF
• Must show alignment with provincial priority
  areas
• Up to 30 of total project cost
• Applications due four months prior to CFI LOF
  application

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More on matching (partner funding)

• Tri-Council funds and items partially or wholly
  purchased with Tri-Council funds are not eligible
  to match to CFI
• Funds matched to Tri-Council funds are also
  ineligible
• NCE and CRC funds are ineligible
• Other federal programs are OK (e.g. WD)

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In-kind contributions

• Non-cash contribution to the project vendor
  discount, donation of equipment or external
  professional services, datasets
• The contribution must be in excess of any normal
  or educational discount offered
• Time sensitive depending on the fund
• Very strict rules regarding eligibility of
  in-kind contributions, particularly with respect
  to acceptable documentation/valuation

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What is the IOF?

• Infrastructure Operating Fund
• Additional operating funds provided for direct,
  incremental operating expenditures
• Up to 30 of finalized CFI award amount
• Not a competition
• CRC projects not eligible

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CFI project purchase monitoring

• Institutional awards are made to
  theVice-President (Research) who is the project
  holder
• VPR has signing authority for most Institutional
  money
• All CFI-funded human resources and one-over-one
  transactions must be approved by RSO
• RSO team/RFOs reviews purchases to ensure
  eligibility and to reconcile to CFI budget
• Required for CFI audit compliance

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What the Institutional Programs team does

• Liaises with major sponsors on the Universitys
  behalf
• Application development, review and submission
• Review and assistance with agreements (i.e.,
  inter-institutional agreements, etc.)
• Assists researchers through CFI award
  finalization once an award has been made
• Purchase monitoring with the Research
  Facilitation Offices
• Award administration
• Financial and outcomes reporting

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For more information

• www.rso.ualberta.ca/internal.cfm
• www.rso.ualberta.ca/cfi.cfm
• www.rso.ualberta.ca/lof.cfm
• www.rso.ualberta.ca/crc.cfm
• www.rso.ualberta.ca/segp.cfm
• www.rso.ualberta.ca/contact.cfmand enter
  Institutional Programs in the team selector or
  your Faculty in the Faculty selector

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Questions?

• Call your RFO your first point of contact for
  research questions.

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Finance

• Managing Research Funding

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Financial Agenda

• What is a project?
• Roles and responsibilities
• What the Finance Team does

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What is a Project?

• Your research funding is deposited to a project
  in PeopleSoft, the financial system
• This funding has the following characteristics
• Restricted for research
• Reporting requirements
• Finite time span (usually)

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What is a Project?
PeopleSoft projects
Research Project
Sponsor A
Project 1

Environmental impact of oil sands extraction
Sponsor B
Project 2

Sponsor C
Project 3

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Purpose of a Project

• To account for how research revenue is spent
• To inform researchers of funds available

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What do researchers need to know during the life
of a project?

• How much money is left?
• How much more money needs to be spent?
• What has money been spent on?
• Deadlines for providing deliverables

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Welcome to eTRAC
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Project Information
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Expenditure Details Report
Start and End Dates
Award for each year
Balance Available
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Expenditures

• Expenses may be charged against a project if the
  expense is
• Relevant to the research
• Eligible under the terms of the research
  agreement
• Allowed under University Policies and Procedures

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Expense Issues

• Document approval of expenditures and nature of
  travel claims
• Sign off pay action forms
• Resolve over-expenditures
• Contact RFO if you are over expended
• Project holders are personally liable for
  over-expenditures
• Cut-off at end of award period

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Roles Responsibilities

• Roles and responsibilities associated with
  research administration are detailed in UAPPOL
  (University of Alberta Policies and Procedures
  Online)
• Examples of other policies in UAPPOL applicable
  to researchers
• Delegation of signing authority
• Eligibility to hold funding
• One-over-one approvals
• Over-expenditures

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Roles Responsibilities Researcher

• Undertake research, provide deliverables
• Manage expenses
• Manage research personnel
• Comply with funding agency requirements and
  University Policies and Procedures
• Declare any conflicts of interest

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Roles Responsibilities Admin Unit

• Provide administrative help for the researcher
• Monitor internal control procedures
• Over-expenditures
• Eligibility
• Deliverables supplied
• One-over-one approvals
• Ethics

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How RSO Finance team helps you

• Invoicing sponsors
• Completing financial reports
• Processing indirect cost allocations
• Coordinating research-related audits
• Monitoring over-expenditures

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Research FUNDamentals

• Provides updates of research administration
  issues
• Delivered monthly via email
• Subscribe online

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For more information

• www.rso.ualberta.ca/managing.cfm
• www.rso.ualberta.ca/researchfundamentals.cfm
• www.rso.ualberta.ca/policies.cfm
• www.rso.ualberta.ca/contact.cfmand enter
  Finance in the team selector or your Faculty
  in the Faculty selector

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Questions?

• Talk to the RFO in your Faculty

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Certifications and Approvals

• human and animal Research Ethics Office(REO)

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Certifications Approvals

• The following types of research require
  certification(s) or approval(s) BEFORE the
  research begins and BEFORE funds are released
• Research involving human subjects
• Research involving animals
• Research involving biohazards
• Research having environmental impact
• Research involving human embryonic stem cells

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Certifications Approvals

• Tri-Council MOU
• Memorandum of Understanding for the Roles and
  Responsibilities in the Management of Federal
  Grants and Awards
• Social Sciences and Humanities Research Council
  (SSHRC)
• Natural Sciences and Engineering Research
  Council (NSERC)
• Canadian Institutes of Health Research (CIHR)

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Environmental Health Safety

• Biohazards (Environmental Health Safety),
• Education Car Park
• Dan Dragon, Biosafety Officer

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Biohazard Approvals

• Approval of research protocol for biohazards
• Registry of Laboratory
• Laboratory information (contacts, protocols)
• Human Body Substance Permit (Immunizations)
• Workplace Hazardous Materials Information System
  (WHMIS)
• Radiation and hazardous waste

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Animal Welfare Approvals

• Three Animal Care and Use Committees (ACUCs)
• Animal Care and Use Committee for BioSciences
• Animal Care and Use Committee for Livestock
• Animal Care and Use Committee for Health Sciences

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Animal Welfare

• University policy is compliant with
• Tri-Council MOU
• Canadian Council on Animal Care (CCAC)
• CCAC performs site visits
• CCAC National Institutional Animal User Training
  Program training required for all members of a
  study team

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Research Involving Human Subjects

• Currently nine Research Ethics Boards (REBs)
• Researchers in each Faculty have access to at
  least one REB
• REBs are constituted to be compliant with
  University Standards for the Protection of Human
  Research Participants
• (GFC Section 66 which also reflects the
  Tri-Council Policy Statement TCPS Ethical
  Conduct for Research Involving Humans)
• Tri-Council MOU

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Ethics Review

• Research that involves living human subjects
• Interventions, treatments, clinical trials
• Interviews, surveys, using pre-existing data that
  can be tied back to an individual, etc.
• Health Information Act
• Research that involves human remains, cadavers,
  tissues, biological fluids, embryos, or foetuses
• Research involving human pluripotent embryonic
  stem cells
• REB and Stem Cell Oversight Committee (federal
  CIHR)

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REO

• human and animal Research Ethics Office
  houses/supports the Office of the University
  Veterinarian and the Human Research Protections
  Office
• Provides researchers, students and staff with a
  single point of access to information and
  services for research ethics certification,
  animal use approvals and related training,
  policies and procedures
• Susan Babcock, Manager REO, 218 Campus Tower

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For more information

• Human Ethics, Biohazards and Animal Welfare
  (overview)www.rso.ualberta.ca/certification.cfm
• REOwww.uofaweb.ualberta.ca/orca/
• Biosafetywww.ehs.ualberta.ca/index.aspx?Pg22

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Questions?

• When in doubt, ask!
• Refer to your orange sheet
• OR
• Call your RFO

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Meet our Teams
Finding Research Funding RFOs, Agreements,
Institutional Programs
Applying for Funding RFOs, Agreements,
Institutional Programs
Receiving Research Funding Agreements,
Institutional Programs
Managing Research Funding RFOs, Finance,
Institutional Programs
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Meet our Teams
functional expertise
discipline / Faculty-based service