New Faculty Orientation

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New Faculty Orientation
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Outline

• Overview of Research Services Office
• Research Facilitation Offices
• Finding Funding
• Applying for Funding
• Receiving Funding
• Managing Funding
• Ethics and Approvals Research Ethics Office

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Organizational Structure
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Research Activity at the UofA
492 M
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RSO Vision and Mission

• Vision
• To provide the University of Alberta research
  community with the best research administration
  services in Canada.
• Mission
• To provide the Universitys research community,
  partners and sponsors with professional,
  client-focused research administration through
  central and distributed services while meeting
  the requirements of the research funding sponsors
  and supporting the Universitys vision and
  mission.

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Research Facilitation Offices

• Your first point of contact
• Research Facilitation Offices (RFOs) are located
  in Faculties
• Staffed by a Research Facilitator and support
  staff

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First Point of Contact
Research Facilitators
Mariska Span-Smeelen Kerri Calvert Martine
Desrochers Agricultural, Life and Environmental
Sciences Arts Augustana Campus Saint Jean
Extension Native Studies mariska.span-smeelen_at_ual
berta.ca kerri.calvert_at_ualberta.ca
martine.desrochers_at_ualberta.ca Victoria
Morisbak Lan Chan-Marples Terra
Garneau Business Education Physical Education
Recreation Engineering victoria.morisbak_at_ualbe
rta.ca lan.marples_at_ualberta.ca
terra.garneau_at_ualberta.ca Vacant Pat
Jones Jane Miller Law Medicine Dentistry
(Acting) Nursing Rehabilitation
Medicine [phone] pat.jones_at_ualberta.ca
jane.miller_at_ualberta.ca Andrew
Kirk Shelley Williamson Pharmacy
Pharmaceutical Sciences Science (Acting) Public
Health shelley.williamson_at_ualberta.ca
andrew.kirk_at_ualberta.ca [phone]
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Research Facilitation Office Activities

• First point of contact for queries related to
  research funding and research administration
• Education and mentoring
• Assist with research funding opportunities
• Review and provide institutional signature on
  research funding applications/proposals
• Advise on University policies connected to
  research and sponsor / agency terms and
  conditions

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Research Facilitation Office Activities

• RFOs liaise with
• Dean / Associate Dean of Research
• Department administrative staff
• Central RSO staff
• Other central administration units (e.g. Supply
  Management Services, Financial Services, Human
  Resources, Faculty of Graduate Studies and
  Research, etc.)
• Sponsors

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How RSO Helps You
Finding Funding
Applying for Funding
Receiving Funding
Managing Funding
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Finding Funding

• Target Point
• newsletter distributed electronically by
  subscription
• www.rso.ualberta.ca/targetpoint.cfm
• Community of Science (COS)
• funding opportunities and collaboration databases
• www.rso.ualberta.ca/cos.cfm

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Funding Opportunities

• There are three types of funding
• External (e.g. SSHRC, NSERC, CIHR)
• Internal to the University (e.g. Killam Research
  Fund, Conference Fund)
• Internal to the Faculties (e.g. start-up funds)

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Applying for Funding

• When you apply for funding, Research
  Facilitators
• Review applications for compliance with
• University policies and procedures
• Sponsor/agency guidelines/terms and conditions
• Application requirements
• Timelines
• Eligible costs, including indirect costs
• Matching funds, collaboration requirements
• Communicate any concerns to you

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Deadlines

• Generally the RSO internal deadline is five
  working days prior to sponsor deadline including
  electronic submissions to allow time for the
  following
• Ensure application is complete
• Ensure proper signatures are in place
• Ensure there is time to submit official
  application to sponsor or agency
• Note Departments, Faculties and certain
  programs may have earlier deadlines.

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Signatures

• You must meet the sponsor signature requirements
  and the U of A signature requirements
• All research grant applications/proposals must be
  signed by
• U of A applicants and co-applicant(s)
• U of A Chair(s) and Dean(s) of both the U of A
  applicant and co-applicant(s)
• Research Facilitator on behalf of the Board of
  Governors
• www.rso.ualberta.ca/signatures.cfm
• Allow enough time to gather signatures!

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Submitting Your Application

• In most cases, it is the applicants
  responsibility
• Some exceptions apply
• Electronic submissions (e.g. CIHR, NSERC, NIH)
• Institutional applications (CFI)

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Receiving Funding

• The following are required before funds can be
• authorized for release for all new projects,
  renewals
• and/or amendments to existing projects
• Notice of award or agreement from sponsor
• Scope of work and budget
• Signatures in accordance with University policies
• Certifications approvals (human, animal and
  biohazard) where required or disclosure from
  Principal Investigator that certifications are
  not required

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Receiving Funding

• Compliance with University policies and
  procedures
• Sponsor/agency guidelines/terms and conditions
• Award requirements
• Timelines
• Eligible costs, including indirect costs
• Intellectual property (IP) conditions
• Publication rights
• Matching funds, collaboration requirements
• Risk management
• Student rights

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Notes on Contracts

• Contact your Research Facilitation Office as
  early as possible to assist you with contract
  terms
• The legal party for all agreements is The
  Governors of the University of Alberta
• Principles of sponsored research
  www.rso.ualberta.ca/sponsoredresearch.cfm
• Contract Review and Signing Authority Policy
  https//www.conman.ualberta.ca/stellent/groups/pub
  lic/_at_academic/documents/policy/pp_cmp_059002.hcsp

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Bringing Funding With You

• Researchers bringing funding from other
  institutions should contact their
  Faculty-assigned Research Facilitation Office
• Steps include
• Consultation with previous institution
• Working with sponsor
• Compliance with U of A policies and procedures

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Questions?

• Call your RFO your first point of contact for
  research administration

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Managing Funding

• This funding has the following characteristics
• Restricted for research
• Reporting requirements
• Finite time span (usually)
• Your research funding is deposited to a project
  in PeopleSoft, the financial system informs
  researchers of funds available

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What is a Project?
PeopleSoft projects
Research Project
Sponsor A
Project 1

Environmental impact of oil sands extraction
Sponsor B
Project 2

Sponsor C
Project 3

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What do researchers need to know during the life
of a project?

• How much money is left?
• How much more money needs to be spent?
• What has money been spent on?
• Deadlines for providing deliverables (e.g.
  progress reports, financial statements, etc.)

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eTRAC

• Research Facilitation Offices provide eTRAC
  training

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Project Information
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Expenditure Details Report
Start and End Dates
Award for each year
Balance Available
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eTRAC Actuals
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Expenditures Related Issues

• The following must be considered when recording
  expenses to a project
• Eligible relevant to research, contractually
  agreed upon and allowable under University
  Policies and Procedures
• Life of the grant incurred between the start
  date and end date
• Expense documentation - source documents
  (receipts, invoices, pay action forms) must be
  kept on file
• Over-expenditures monitor and resolve

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Roles Responsibilities

• Roles and responsibilities associated with
  research administration are detailed in UAPPOL
  (University of Alberta Policies and Procedures
  Online)
• Examples of other policies in UAPPOL applicable
  to researchers
• Delegation of signing authority
• Eligibility to apply and hold funding
• One-over-one approvals
• Over-expenditures

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Roles Responsibilities Researcher

• Undertake research, provide deliverables
• Manage expenses
• Manage research personnel
• Comply with funding agency requirements and
  University Policies and Procedures
• Declare any conflicts of interest

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Roles Responsibilities Admin Unit

• Provide administrative help for the researcher
• Monitor internal control procedures
• Over-expenditures
• Eligibility
• Deliverables supplied
• One-over-one approvals
• Ethics

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Roles Responsibilities RSO

• Invoicing sponsors
• Completing financial reports
• Processing indirect cost allocations
• Coordinating research-related audits
• Monitoring over-expenditures

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Research FUNDamentals

• Provides updates of research administration
  issues
• Newsletter delivered via email
• Subscribe online
• www.rso.ualberta.ca/researchfundamentals.cfm

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Questions?

• Call your RFO your first point of contact for
  research administration

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Ethics and Approvals

• human and animal Research Ethics Office(REO)

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Ethics Approvals

• The University is bound by the Tri-Council
  Memorandum of Understanding for the Roles and
  Responsibilities in the Management of Federal
  Grants and Awards
• Our REBs and related policies meet or exceed the
  standards with the Tri-Council Policy Statement
  on Ethical Conduct for Research Involving Humans
• Our ACUCs and related policies meet or exceed the
  standards of the Canadian Council on Animal Care
  (CCAC), which conducts site visits.

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Ethics Approvals

• The following require ethics or equivalent
  approval BEFORE the research begins and BEFORE
  funds are released
• Research involving human subjects
• Research involving human embryonic stem cells
• Research, teaching testing involving animals
• Research involving biohazards
• Research having environmental impact

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Biohazard Approvals

• Contact Dan Dragon, Biosafety Officer
• Approval of research protocol for biohazards
• Registry of Laboratories
• Laboratory information (contacts, protocols)
• Human Body Substance Permit (Immunizations)
• Workplace Hazardous Materials Information System
  (WHMIS)
• Radiation and hazardous waste

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Animal Welfare

• Animal Care and Use Committees (ACUC)
• ACUC BioSciences
• ACUC Livestock
• ACUC Health Sciences
• Mandatory Part 1 Animal User Training is
  coordinated by REO.
• Part 2 Courses specific to different animal
  models are coordinated by the animal facilities
• - Health Sciences Lab Animal Services
• - Biological Sciences Animal Services
• - Animal Care Agricultural, Life and
  Environmental Sciences

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Research Involving Human Subjects

• Research involving living human participants and
  research that involves human remains, cadavers,
  tissues, biological fluids, embryos or foetuses
  must be reviewed by an REB
• Health REB (Biomedical and Health Panels) for
  applications from researchers in Health Sciences
  Faculties, Capital and Caritas
• Arts Science Law REB, soon to include Native
  Studies
• Education Extension Augustana REB, soon to add
  Campus St Jean
• Physical Education Recreation and Agricultural
  Life Environmental Sciences have merged their
  REBs
• Business REB
• Engineering REB

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HERO

• Human Ethics Research Online (HERO) is a
  web-enabled system for ethics application,
  review, approval and ongoing management.
• To date, the Education Extension Augustana REB
  and the Biomedical Panel of the Health Research
  Ethics Board (HREB) are fully or partially
  implemented.
• Arts Science Law REB and the Health Panel of HREB
  will follow in the new year.
• REO is beginning work on a parallel Animal Ethics
  Research Online (AERO) system.

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REO

• human and animal Research Ethics Office
  houses/supports the Office of the University
  Veterinarian and the Human Research Protections
  Office
• Provides researchers, students and staff with a
  single point of access to information and
  services for research ethics certification,
  animal use approvals and related training,
  policies and procedures

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For more information

• Human Ethics, Biohazards and Animal Welfare
  (overview)www.rso.ualberta.ca/certification.cfm
• REOwww.uofaweb.ualberta.ca/orca/
• HERO
• https//hero.ualberta.ca/HERO/
• Biosafetywww.ehs.ualberta.ca/index.aspx?Pg22

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Questions?

• When in doubt, ask your Research Facilitation
  Office.
• Refer to your green handout for ethics information