1. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Roles and Responsibilities in Finalizing a Research Contract Presenters: Julaine Herst, Assistant Director, Contracts & Agreements Maren Bolstler, Agreements Administrator Sharon Campbell, Agreements Administrator 1 RAD 201

2. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Grants 3.0 – Getting to Know Your Researcher Home Page 2

3. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Grants 3.0 – Getting to Know Your Researcher Home Page cont’d 3

4. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Grants 3.0 – Getting to Know Your Researcher Home Page cont’d 4

5. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Finalizing the research agreement is a team effort between the Research Services Office (RSO) and the Principal Investigator (PI)  without you there is no project!!! Agreement Negotiations – A Team Effort 5

6. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 PI can help by: Being aware of University of Alberta (U of A) policies and procedures and communicating them to your sponsor’s representatives. Facilitating early discussions between the RSO and Sponsor to establish the appropriate form of research agreement. We try to encourage use of our standard U of A templates where possible!! Agreement Negotiations – A Team Effort 6

7. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 The U of A has developed templates for each of these relationships Meet all the policy, legal and business requirements of the U of A - approved by Legal Counsel, Risk Management, TEC Edmonton Use of these templates will enable the expedient processing of your funding We can assist you in determining the type of funding agreement to be used for your project Research Grant Research Contract Research Collaboration Agreement Research Service Agreement Timelines 7

8. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Sponsors often require that we use their form of agreement Must be reviewed to ensure consistent with terms in the U of A approved templates If not, must be amended to meet U of A requirements and this takes additional time!! Must allow for sufficient lead-time for the review, negotiation and execution of agreements Timelines cont’d 8

9. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Factors that may result in delay: Complexity of the agreement Multi-party agreements Sponsors in both private and public sector Collaborators at other institutions or organizations RSO does not receive the agreement for review in advance of the project Missing information and/or supporting documentation Sponsor priorities, business practices are contrary to the University Responsiveness of parties (PI, RSO, legal, sponsor, etc.) Timelines cont’d 9

10. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Ownership of patentable intellectual property arising from the research lies with the creator/ inventor at the U of A. The University researcher provides guidance to the U of A as to: (a) whether the patentable intellectual property will be owned by or licensed to the sponsor; and (b) the terms of such licence. Intellectual Property 10

11. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Often we find that the sponsor would like to own the research results and research data which can be understandably problematic. The U of A is a publicly-funded institution, therefore any ownership or exclusive licence of the research results given to a sponsor must reserve to the U of A a non-transferable, royalty- free licence to use those research results created at the U of A for non-commercial education and research purposes. We work closely with the PI to finalize their wishes with respect to Intellectual Property in research agreements. Intellectual Property cont’d 11

12. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Publication Rights Ability to publish fundamental principle for academics – we cannot accept language that restricts publication in any way. Research integrity may be upheld by demonstrating that research is being conducted in an unbiased manner, irrespective of the funding source – can be done by having unrestricted access to publish methods, data and results. Withholding publication is prohibited, a short delay to allow for the protection of intellectual property may be acceptable. Sponsor should NOT have ability to influence content of publication, can request removal of any of their confidential information. Publication/Copyright/Moral Rights 12

13. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Moral Rights – the right of an author to: Prohibit other people from distorting, mutilating or modifying the work, the prejudice of the honour or reputation of the author. Prohibit other people from using the work in association with a product, service, cause or institution to the prejudice of the honour or reputation of the author. Be associated with the work as its author by name or under a pseudonym and the right to remain anonymous, where reasonable under the circumstances. Publication/Copyright/Moral Rights cont’d 13

14. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Graduate Students Rights Freedom to undertake research, independent thinking Ability to use data in meeting their educational requirements, including the writing of their thesis Ownership of copyright in their thesis Ability to graduate and disseminate thesis Publication/Copyright/Moral Rights cont’d 14

15. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Graduate Student Thesis Requirements Research Publications Policy: In principle, graduate students should not undertake, nor supervisors involve students in, research for a thesis when the thesis project is part of a contract which prohibits public access to the thesis. A thesis should be made freely available to the public as soon as it has been successfully defended. It is the responsibility of the supervisor and the supervisory committee to inform the student of the University policy on public access to thesis results and to explore with the student the possible ramifications of his/her research, at the outset of the thesis project. Publication/Copyright/Moral Rights cont’d 15

16. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Indemnification: The act of compensating for loss or a damage. Insurance and indemnification provisions must protect the U of A, staff and students There should be objective standards that warrant indemnification Inability to limit risk to the U of A may be a deal-breaker Warranty: A promise that goods are useful for a specific purpose or function. Warranty provisions should include use of high professional standards but do not guarantee results Indemnification & Warranty 16

17. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Sample clause we try to include: “The Research Project may be terminated by either the University or the Sponsor on ninety (90) days notice from one to the other in which event the parties will take all reasonable steps to wind down the Research Project with a minimum of costs. In these circumstances, or if the Research Project is wound down as provided in Section 2, the Sponsor will pay for the portion of the Research Project completed and the University’s committed and uncancellable costs of the Research Project, the total of which in no event will exceed the Contract Amount.” Payment Provisions 17

18. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Effectively access to funds is being used to enforce/reinforce ethics compliance and ethics approval is being used as a financial control. The RSO is required to verify that the appropriate certification approvals (human, animal, biohazards, and stem cells), prior to release of funding. It is the responsibility of the PI to determine which approvals (if any) are applicable to his or her research projects, to communicate this information to the RSO and to apply for ethics approval. Certifications 18

19. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Duration of approval: 1) Biohazard ‐ lasts for duration of project; 2) Animal Care Approval ‐ maximum duration of 12 months; 3) Human Ethics Approval ‐ maximum duration of 12 months. Certifications cont’d 19

20. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 We operate using a “paperless” system between the RSO and the Research Ethics Office (REO) for Animal Care and Human Ethics Approvals – each has access to the other’s system. Note – Biohazard approvals are separate from REMO and arrive in letter format electronically to the RSO. The approvals are tracked and the file numbers are cross referenced in both systems: Research Services Office – “Grants 3.0” Research Ethics Office – “REMO” Certifications cont’d 20

21. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 The PI (or their designated study staff) enters the RSO file number (RES#XXXXXX) into the appropriate field in REMO. RSO is the “gatekeeper” on the tracking of file numbers by ensuring protocol numbers are “visible” in both REMO and Grants 3.0 before a file is processed. Screenshots from REMO: Certifications cont’d 21

22. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 Closing – Questions 22

23. “Behind the Scene ” Research Administration Day 2015 Research Services Office Together we make it happen Research Administration Day May 27, 2015 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).Click here Online Evaluation Form 23