Research Administration Workflow (online approvals) · Research Administration Workflow (online...

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Research Services OfficeTogether we make it happen

Research Administration Day June 5, 2019

Research Administration Workflow

(online approvals)

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“Winds of Change in Research Administration”

Introduction to Research Administration

Terra Garneau - Research Facilitator

Research Services Office2

RAD 101

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• Research Services Office (RSO)

• Research Relationships – from an Administrative Perspective

• Policies and Procedures

• Developing and submitting proposals

• Managing Funding

• Closing projects

Please feel free to ask questions as they come up.

Outline

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Research Services Office (RSO)(www.ualberta.ca/research/services)

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About UsResearch Services Office (RSO) supports researchers and administrators by helping the U of A research community find, apply for, receive and manage research funding ($).

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• Total research funding received in 2018-19 was $494 Million*

• Funding was received from over 1200 sponsors

• 2,683 funding applications were reviewed by RSO and submitted to sponsors in 2018-19

• The University is currently managing 8,793 Active Research Projects

* includes external grants, donations, and internal funds designated for research-related spending

Some Research Funding Facts

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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)

Who are Research Facilitators (RFs)?

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“Winds of Change in Research Administration”Research Policies and Procedures

UAPPOL: https://policiesonline.ualberta.ca/PoliciesProcedures/Pages/default.aspx

Research policies include: Patent Policy, Conflict Policy, Animal/Human Research Ethics policies, Distribution of Royalty Revenue Policy, Contract Review and Signing Authority Policy, Eligibility to Apply for and Hold Research Funding Policy, Research and Scholarly Integrity Policy, Research Policy

Note: Copyright is covered in various academic staff agreements

https://policiesonline.ualberta.ca/PoliciesProcedures/Pages/default.aspx

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Research Relationships

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Researcher

(PI)Institution

Sponsor($$$)

Policies and

Procedures

PI - a researcher who is primarily responsible for the intellectual contribution to the research proposal, application, agreement, contract or award and is responsible for the overall direction of research activities of the research project. A PI is also responsible for managing the funding tied to a project in accordance with U of A policy and the terms of the award as outlined by the sponsor (organization providing the funding).

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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)

• 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/Co-Applicants and RSO

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

• On-line Workflow will be implemented in June 2019 so that all UofA signatures will becollected electronically.

Signature Requirements

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

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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

14Watch 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

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

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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 (until June 16, 2019)

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mailto:[email protected]




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• Once the form has been completed in the Researcher Home Page, all application materials need to be attached as one pdf.

• This can be submitted by the creator or the PI.

• It will be routed to the PI first to approve the request. This starts the online approval process forwarding the application electronically to Co-PI’s and the appropriate department and faculty reviewers and approvers.

Training Sessions for administrators and approvers will be running from June 6th to 20th. Details can be found

https://www.ualberta.ca/research/services/about/news/2019/may/training-sessions-offered-for-research-administration-workflow-online-approvals

As of June 17, 2019 – Research Administration Workflow (Online Approvals)

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https://www.ualberta.ca/research/services/about/news/2019/may/training-sessions-offered-for-research-administration-workflow-online-approvals

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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 # ) - 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 an NOA is received for an application that was not reviewed and/or signed by RSO prior to submission or if a researcher receives an agreement/contract:• create a New Project Request in the Researcher Home Page (RHP)• submit a copy of the signed RSO page along with the NOA, and the

application or a scope of work and a budget for contracts and agreements.

Receive Funding - Notice of Award (NOA), Contract/Agreement 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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• 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 - Researcher Home Page

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Manage Funding - Researcher Home Page –Financial Overview

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Manage Funding - Researcher Home Page- cont’d

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Research Home Page – 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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Manage Funding - Create Amendment Request- cont’d

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Manage Funding - Create Authorized OE Request

42Watch 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

• Watch RAVES video: Introducing the Research Services Office

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://forms.gle/R37igevk2GtazdRc6

https://forms.gle/R37igevk2GtazdRc6

Research Administration Workflow (online approvals) · Research Administration Workflow (online...

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