Introduction to Research Administration · Introduction to Research Administration Lan Chan-Marples...

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Research Services OfficeTogether we make it happen

Research Administration Day June 6, 2018

“Keeping it Simple: Best Practices in Research Administration”

Introduction to Research Administration

Lan Chan-Marples - Research Facilitator

Research Services Office1

RAD 101

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• A central unit on campus under the Office of the Vice President (Research) (VPR)

• All research funding is administered by the Research Services Office (RSO)

• Around 90 staff – agreements/contracts, finance, information management, business processes and training, reporting/audits, legal counsel

• Helps the research community find, apply for, receive and manage research funding

Watch RAVES video: Introducing the Research Services Office

What is the Research Services Office (RSO)?

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https://www.ualberta.ca/vice-president-research

http://www.rso.ualberta.ca/

https://www.ualberta.ca/research/services/training/online-training-videos

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The Research Services Office (RSO) Org Chart

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Vice President(Research)

Research Services Office

Contracts &Agreements

(Single sponsor agreements)

Research FacilitationAnd Strategic

Initiatives(Research Facilitation

Services)

Partnerships &Institutional

Projects(Multi sponsor agreements, institutional

awards)

Finance & Information

Management(Finance and

quality assurance)

Legal Counsel

TEC EdmontonResearch

Ethics Office

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• First point-of-contact for the RSO

• Pre-award and Post-award support

• Review and sign off on research applications/proposals

• Advise on sponsor guidelines and U of A policy

• Trouble shoot research-related problems

• Educate via workshops, one-on-one training

• Works closely with the assigned faculty’s Associate Dean (Research)

• Answer questions

Who are Research Facilitators (RFs)?

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• Act as resource for PIs and faculty/department administrators, and sponsors on end to end research administration.

• Provide guidance to PIs and faculty/department administrators on sponsor terms and conditions and University of Alberta policies and procedures.

• Work with RFs in developing and delivering training sessions, workshops and one-on-one training on research administration.

• Work with RFs on review and sign-off of research applications/proposals.

• Process no cost end-date extension and Authorized OE requests.

• Coordinate the sign off and assume responsibility for the submission of year-end financial statements to the sponsor

Who are Research Facilitation Support Administrators? (RFSAs)

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• Procedure is on UAPPOL at https://policiesonline.ualberta.ca/PoliciesProcedures/Procedures/Research-Administration-Roles-and-Responsibilities-Procedure.pdf

• Parent policy, Research Policy, is on UAPPOL at https://policiesonline.ualberta.ca/policiesprocedures/policies/research-policy.pdf

• The procedure outlines the responsibilities of the PI, Project Holder (may be another individual other than PI), Department and Faculty, and the Research Services Office.

Research Administration Procedure (Roles and Responsibilities)

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https://policiesonline.ualberta.ca/PoliciesProcedures/Procedures/Research-Administration-Roles-and-Responsibilities-Procedure.pdf

https://policiesonline.ualberta.ca/policiesprocedures/policies/research-policy.pdf

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Research Administration Process – Step by Step

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Find Funding Opportunity

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Things to Consider When Applying for Funding

• Deadlines – Sponsor/RSO/Faculty/Dept

• Eligibility – Applicant, Co-Applicants, Collaborators, Partners, Institutionhttps://policiesonline.ualberta.ca/PoliciesProcedures/Procedures/Eligibility-to-Apply-for-and-Hold-Research-Funding-Procedure.pdf

• Type of Research activity

• Budget – Indirect costs (ICR), UofA standard 20% (may be higher or lower or ineligible depending on external sponsor; internal sponsor always not eligible)

• Submission process – Paper/Courier/Electronic/Online

• Letters of Support – Institutional/Faculty/Dept

• Requirements for matching funds or proportion of budget

• Signatures

Develop and Submit Proposal

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https://policiesonline.ualberta.ca/PoliciesProcedures/Procedures/Eligibility-to-Apply-for-and-Hold-Research-Funding-Procedure.pdf

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Two sets of signature requirements must be met:

• 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 set by UofA Policy)

• ALWAYS required for full applications

• Sometimes required for letters of intent (LOI)

• Include PI, Chair (departmentalized faculties), Dean, ALL UofA Co-Investigators and RSO Research Facilitator (RF)

• https://www.ualberta.ca/research/services/proposal-submission/signature-requirements

Signature Requirements

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https://www.ualberta.ca/research/services/proposal-submission/signature-requirements

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RSO Website (www.ualberta.ca/research/services)

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• To generate the UofA signature page, a form must be completed through the Researcher Home Page

Request for New Application/Proposal/Project

13Watch Raves videos: Introducing the Researcher Home Page and Creating a Proposal Request on Research Home Page

https://cloudfront.ualberta.ca/-/media/research-services/forms/qrg-request-new-application-proposal-project-m1.pdf


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Request for New Application/Proposal/Project

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Create New Application/Proposal/Project

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Request Form Created For Signatures

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Request Form Created For Signatures

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• Send scanned copy of complete application with signature page(s) in a single PDF document to Faculty-specific application mailbox:• [email protected]• [email protected]• [email protected]

• Only send funding applications to application mailboxes.

• Don’t send paper copies of applications to RSO unless the sponsor requires original signature.

• RSO will review, request any changes and then approve the application.

• RSO must approve application before submission to sponsor.

• Other requests (Amendments, Subgrants, Authorized OE, etc.) should be sent to your faculty assigned RF.

• Watch RAVES video: Submitting a Complete Application Package to the RSO

Sending Signed Applications to RSO

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mailto:[email protected]




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Receive Funding

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• When an applicant receives notification of award directly from sponsor, a copy of the NOA should be sent to RSO (with project # from RHP) - RSO is not always copied by sponsor.

• Can be a simple award letter or a complex contract/agreement (researchers must not sign these without prior RSO review).

• Unless required by sponsor RSO is the only signature on contracts/agreements. RSO is authorized to sign on behalf of the institution – not PIs, Deans/Chairs.

• If applicant receives an NOA for an application that was not reviewed and/or signed by RSO prior to submission:• create a New Application/Proposal/Project Request on RHP• submit a copy of the full application/proposal/budget and signature page

to RSO along with the NOA

• NOA that comes directly to RSO will be communicated to the applicant and to department/faculty as appropriate.

Receive Funding - Notice of Award (NOA) From Sponsor

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• After RSO receives the Notice of Award (NOA) the Contracts and Agreements Team reviews and may negotiate the terms and conditions of award as part of award set up.

• Confirms research involving human subjects, animals, biohazards, human embryonic stem cells has appropriate certifications in place…Ethics Certification is the #1 delay in award activation

• Animal and Human certifications provided by the Research Ethics Office (REO)

• Biohazard Certification provided by Office of Environment, Health & Safety (EHS)

Watch RAVES video: Understanding Contracts and Understanding the Role of the Partnership Project Team

Finalize Funding Documentation

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• RSO Finance Team finalizes set up and activate Project

• RSO sends a New Project Activation Notification email to PI/Holder, Project Administrator, Dept/Faculty contacts, and Research Facilitator

• Only then can PI begin spending from project.

Activate Project Account

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Activate Project Account - Email Notification

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Activate Project Account

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Manage Funding with eTRAC (electronic Tracking of Research Awards and Contracts)

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PeopleSoft module for monitoring and reconciliation of project revenues and expenses

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Manage FundingeTRAC

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Manage Funding - eTRAC Expenditure Details

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• Track proposals and funded research projects.

• Track project-specific information.

• Amendments to award such as end date extension; increase/decrease to awarded amount; change of PI, co-applicants, project holder; sponsor approved changes to research.

• Authorized Overexpenditure (OE) request.

• Sub-grants or transfers of portions of funding to participating institutions.

Watch RAVES video: Managing Research Projects, Reviewing and Verifying Research Grant Expenditures and Understanding Research Expenditure Testing

Manage Funding – Researcher Home Page (RHP)

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Manage Funding with Researcher Home PageTrack Funded Projects and Status of Proposals

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Manage Funding with Researcher Home PageTrack Project-specific Information

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Manage Funding with Researcher Home PageTrack Project-specific Information cont’d

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RHP -Track Project-specific Information cont’d

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RHP -Track Project-specific Information cont’d

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RHP – Amendments, Authorized OE, Sub Grant Requests

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Manage Funding - Create Amendment Request

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Manage Funding - Create Amendment Request cont’d

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RHP – Create Amendments Request cont’d

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Manage Funding - Create Authorized OE Request

43Watch RAVES video: Creating a Request for Authorization of a Temporary Over Expenditure


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Manage Funding - Create Sub Grant Request

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Project Account Close Out

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Project Account Close Out – Residual/Unspent Funds in Project

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Each sponsor has their own guidelines on unspent funds:

• Unspent funds in a given year will often roll over to the next year for multi-year awards but must be used up by the end of award period.

• Unspent funds will have one of the following sponsor conditions at end of award period: return to sponsor, lapse to university, or retain by PI.

• Unless an extension is authorized by the sponsor recipient cannot use unspent funds beyond the award period end date.

• Occasionally a sponsor may permit spending out the project beyond an end date without an extension – seek permission well before end date.

• In most cases written permission from the sponsor is required for an end date extension – this may be by an email or amended agreement.

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Project Account Close Out – Residual/Unspent Funds in Project cont’d

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For example, Tri-Agency sponsors:

• NSERC and SSHRC permit an automatic one-year extension for many programs during which a grantee may continue to use up their grant.

• NSERC and SSHRC have programs with no automatic one-year grace period. They require written permission for an extension. http://www.nserc-crsng.gc.ca/Professors-Professeurs/FinancialAdminGuide-GuideAdminFinancier/AnnualFunding-FinancementAnnuel_eng.asp

• CIHR provides a minimum of one additional fiscal year, beyond the expiry date to finish use of unspent funds.

• CIHR may approve one additional extension (one year) beyond the automatic extension period. Written permission is required.

Watch RAVES video: Preparing for a Tri-Agency Financial Monitoring Review for Administrators

http://www.nserc-crsng.gc.ca/Professors-Professeurs/FinancialAdminGuide-GuideAdminFinancier/AnnualFunding-FinancementAnnuel_eng.asp


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Where Do Administrators Fit In the Process?

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Remember …

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• Contact your Research Facilitator or your Research Facilitation Support Administrator first with your questions and queries: https://www.ualberta.ca/research/services/about/contact-us

• Take a look at the RSO Website for information: www.ualberta.ca/research/services

Questions?

https://www.ualberta.ca/research/services/about/contact-us

http://www.ualberta.ca/research/services

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• We appreciate your help in evaluating this presentation!

• The RAD evaluation form is accessible online. Click here or click on the blue checkmark below (right-click the hyperlink(s) and click Open Hyperlink to activate).

Online Evaluation Form

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https://docs.google.com/a/ualberta.ca/forms/d/e/1FAIpQLSf0k8UFZx4g6UgyKSikQp4KNW7h80sb5Vj6L6FTXbxXBsSF5g/viewform?c=0&w=1

https://docs.google.com/a/ualberta.ca/forms/d/e/1FAIpQLSf0k8UFZx4g6UgyKSikQp4KNW7h80sb5Vj6L6FTXbxXBsSF5g/viewform?c=0&w=1

Introduction to Research Administration · Introduction to Research Administration Lan Chan-Marples...

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