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
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

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
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
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/ /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)
University of Alberta Policies and Procedures Online (UAPPOL)
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? Research Services Office Principle Investigator
Project Managers
Sponsors
Centralized Services (SMS/FS/REO)
Other
Faculty Admin
Faculty
&
Department &
Department
Admin

23. Remember …
Contact your Research Facilitation Office first with your questions and queries
Take a look at the RSO Website for information
Questions?

24. Online Evaluation Form
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).