Research Administration Day Research Administration in the Fast Lane

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Research Administration DayResearch
Administration in the Fast Lane

• Basic Research Administration
• For New Staff
• Lorraine Deydey
• Research Facilitator
• May 29, 2007 (900 1015 AM)
• 165 Education South

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Research Administration DayResearch
Administration in the Fast Lane

• Begin presentation

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Research Administration DayResearch
Administration in the Fast Lane

• SEEKING FUNDING
• Target Point
• Community of Science
• Targeted e-mail distribution lists

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Research Administration DayResearch
Administration in the Fast Lane

• THE APPLICATION
• Sponsor Guidelines
• Application Guidelines and Forms
• Registration
• Letter of intent
• Eligibility to apply for research funding
• Role of external partners
• Intellectual Property Rights

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Research Administration DayResearch
Administration in the Fast Lane

• THE APPLICATION
• University Guidelines
• (includes Faculty/Department Guidelines)
• Internal review processes/committees
• Eligibility to apply for funding
• Intellectual property rights
• Publication restrictions
• Researcher
• Graduate Student

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Research Administration DayResearch
Administration in the Fast Lane

• APPROVALS SUBMISSION
• Signatures
• REQUIRED BY SPONSOR
• Refer to Sponsor Guidelines
• REQUIRED BY U OF A
• Principal Investigator/Applicant
• U of A Co-Applicants
• Department Chair for each U of A Applicant and
  Co-Applicant
• Faculty Dean (or Associate Dean Research) for
  each U of A
• Applicant and Co-Applicant
• RFO/RSO on behalf of the U of A
• RSO Web Site http//www.rso.ualberta.ca/sig
  natures.cfm

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Research Administration DayResearch
Administration in the Fast Lane

• APPROVALS SUBMISSION
• Signatures
• Registration
• U of A Signatures not Required
• Letters of Intent
• Reviewed and Signed in 3 circumstances
• Required by Sponsor
• LOI results in an Award (e.g., Development
  Award)
• University is the Applicant
• Applications, Proposals Contracts
• All U of A Signatures Required

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Research Administration DayResearch
Administration in the Fast Lane

• SPONSORS DECISION
• Where is my speedcode??

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Research Administration DayResearch
Administration in the Fast Lane

• SPONSORS DECISION
• RSO-Agreements is usually the first point of
  contact for
• sponsor/agency competition results
• In some cases it is only sent to the
  Researcher
• Upon receipt of notice of decision (Notice of
  Award,
• Award letter)
• Principal Investigator (PI) notified of
  decision
• Initial reminder to PI re certification
  requirements
• Central RSO Database updated

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Research Administration DayResearch
Administration in the Fast Lane

• PROJECT SET-UP
• To Authorize Set-Up of Financial Project RSO
  (Agreements) must first review/confirm the
  following
• University policies and procedures
• Sponsor/agency guidelines/terms and conditions
• Award requirements
• Timelines (watch start/end dates)
• Determine future financial requirements for RSO
  Finance team
• Eligible costs, including indirect costs
• Intellectual property (IP) conditions
• Publication rights
• Matching funds, collaboration requirements
• Risk management
• Student rights

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Research Administration DayResearch
Administration in the Fast Lane

• PROJECT SET-UP
• Authorizing Funding
• Once documentation in place
• Terms and conditions acceptable to University
• All documents signed
• Certifications on file at RSO
• RSO Agreements prepares a Project Authorization
  and submits to RSO set up administrator

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Research Administration DayResearch
Administration in the Fast Lane

• PROJECT SET-UP
• Certifications and Approvals
• Many types of research require certifications
  or approvals
• BEFORE the research can begin and
• BEFORE project can be authorized!!
• Approvals are individual to each award as a
  general rule - The researcher cannot have
  standard or blanket certifications to cover all
  awards

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Research Administration DayResearch
Administration in the Fast Lane

• PROJECT SET-UP
• Certifications and Approvals
• Examples
• Research involving human subjects
• Research involving animals
• Research involving biohazards
• Research having environmental impact
• Research involving human embryonic stem cells

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Research Administration DayResearch
Administration in the Fast Lane

• PROJECT SET-UP
• The 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
• Process budgets, advance funds, and/or bill
  sponsor as required
• Record future financial requirements for use by
  RSO Finance team into financial database

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Research Administration DayResearch
Administration in the Fast Lane

• PROJECT SET-UP
• Research funds become available for use
• Researcher now has a speed code!!

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Research Administration DayResearch
Administration in the Fast Lane

• DOING THE RESEARCH
• Roles and Responsibilities Researcher
• Undertake research and provide deliverables
• Manage expenses in accordance with budgets
• Manage research personnel
• Comply with funding agency requirements and
  University Policies and Procedures
• Declare any conflicts of interest

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Research Administration DayResearch
Administration in the Fast Lane

• DOING THE RESEARCH
• Sponsor guidelines and University policies
• Research Personnel - Hiring, training and
  supervision (Staff and Students)
• Purchasing - supplies and equipment (e.g.,
  competitive bid process)
• Signing authority and delegation of signing
  authority
• Travel - conferences (dissemination of
  research), field work, etc.
• Certifications annual renewals
• Scientific reporting interim?

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Research Administration DayResearch
Administration in the Fast Lane

• DOING THE RESEARCH
• Sponsor guidelines and University policies
• Documentation Original data must be retained
  by the PIs for a minimum of 5 years or such
  longer periods required by the
• funding agencies
• Research and Scholarship Integrity Policy
• Major deviations to research Is prior
  authorization from sponsor required for
• Significant deviations in proposed activities
• Significant deviations in proposed budget
• Major changes in research objectives
• Conflict of Interest

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Research Administration DayResearch
Administration in the Fast Lane

• MANAGING RESEARCH FUNDING
• Accountability
• The University and researchers are accountable
  to the sponsors for the proper use of research
  funds in accordance with
• Sponsor terms and conditions
• University policies and procedures
• To maintain eligibility to administer sponsor
  funds
• As a Research Community we are accountable to
  our organization, the University of Alberta, for
  the appropriate use and reporting of research
  funds.

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Research Administration DayResearch
Administration in the Fast Lane

• MANAGING RESEARCH FUNDING
• Roles and Responsibilities Admin Unit
• Provide administrative assistance to the
  researcher
• Monitor compliance with U of A policies and
  procedures (internal control)
• Authorization of expenditures
• Eligibility of expenditures
• Deliverables
• Over-expenditures
• Internal control approvals
• One-over-one approvals

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Research Administration DayResearch
Administration in the Fast Lane

• END OF PROJECT TERM
• End Date Extension
• To get a project end date extended, sponsor
  authorization or an agreement amendment is
  required
• For renewals and extensions, start the
  procedure early. 
• For grants, allow at least three months before
  the end date.
• For contracts, allow at least six months before
  the end date.
• Valid/current certifications must be in place
  before the extension will be processed.

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Research Administration DayResearch
Administration in the Fast Lane

• END OF PROJECT TERM
• Wrapping up the Project
• Surplus Funds remaining in project
• Small Balances
• Large Balances
• Project Funds Over Expended
• Reactivate PeopleSoft project
• Project Deliverables
• Scientific Reports
• Final Financial Report

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Research Administration DayResearch
Administration in the Fast Lane

• END OF PROJECT TERM
• Wrapping up the Project
• Telephones
• Employment Contracts
• Utilities
• Standing Orders
• Shutting down your laboratory
• Retention of Research Documentation
• Research Data
• Financial Records

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Research Administration DayResearch
Administration in the Fast Lane

• RESEARCH SERVICES OFFICE (RSO)
• Supports researchers by providing services
  focused on
• Identifying potential research funding sources
• Processing applications and awards
• Financial Management of research funds

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Research Administration DayResearch
Administration in the Fast Lane

• RSO STAFF AND ORGANIZATION
• RSO is divided into Faculty based teams
• Research Facilitation Offices
• Agreements Team
• Institutional Programs Team
• Finance Team

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Research Administration DayResearch
Administration in the Fast Lane

• RESEARCH FACILITATION OFFICES
• Research Facilitators (RF) are faculty based
  RSO staff who serve as a point of first contact
  for researchers and administrators in their
  Faculties
• Most RF Offices have associated support staff
  who are also located within the Faculty

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Research Administration DayResearch
Administration in the Fast Lane

• ROLE OF THE RF OFFICE
• Finding funding
• Application advice and assistance
• Application review and signature
• Education and training role
• First point of contact for researchers and
  administrators.
• Provide post-award assistance to researchers
  and administrators

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Research Administration DayResearch
Administration in the Fast Lane

• AGREEMENTS TEAM
• Role of the Agreements Team
• Identifies Funding Opportunities and communicates
  deadlines via Target Point
• Point of Contact for Agencies/Sponsors
• Coordinate response to administrative reports
• Respond to individual queries/requests for
  information
• Receive communications on funding decisions
• Coordinate close-out documents for awards

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Research Administration DayResearch
Administration in the Fast Lane

• AGREEMENTS TEAM
• Role of the Agreements Team (contd)
• Process awards
• Review and negotiate research agreements
• Process research agreements
• Negotiate and prepare sub-grant
  letters/agreements
• Authorize and establish PS projects in the
  financial system once all supporting
  documentation is received
• Notify PI Department Administrator of new
  award

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Research Administration DayResearch
Administration in the Fast Lane

• AGREEMENTS TEAM
• Role of the Agreements Team (contd)
• Develop forms to obtain required information
  when research funding is received without a
  formal application or agreement.
• Request for NEW Research Project
• Change to EXISTING Research Project
• Change of Project Holder
• Please ensure that all fields are completed on
  the form and that all required supporting
  documentation is attached

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Research Administration DayResearch
Administration in the Fast Lane

• Finance Team (RSO)
• Role of the Finance Team
• Advance funds
• Enter budgets into PS Financial System
• Bills sponsors monitor receipt of payments
• Provide Project financial reports to Campus and
  to sponsors
• Provide sponsor and University level financial
  analysis and reporting
• Eg. Over-expenditure reporting

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Research Administration DayResearch
Administration in the Fast Lane

• Finance Team (RSO)
• Role of the Finance Team (contd)
• Provide specialist help
• Coordinate research-related site visits,
  financial monitoring and audits
• Auditor General for Alberta
• Tri-Council Agencies (NSERC, SSHRC, CIHR)
• Any other sponsors with audit provisions in
  their terms and conditions

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Research Administration DayResearch
Administration in the Fast Lane

• QUESTIONS?