Conducting research at the University of Ottawa Effectuer la recherche à l’Université d’Ottawa Research Grants and Ethics Services

U of O RESEARCH ENTERPRISE This presentation provides an overview of the processes, players and resources available at the University of Ottawa for the conduct and management of research By the time we are through today, you should have a good idea of: - Your roles and responsibilities as a researcher - The basic steps for preparing and submitting proposals - The basic “post-award” processes - Where to look for information - The people and teams who are there to support you as you conduct your research

Overview You, the researcher, provides the intellectual direction for the research U of O provides a physical, policy and administrative framework to enable : Compliance with research sponsors regulations; Proper management of research funds; Effective conduct of research in accordance with the highest standards of professionalism, safety and ethics.

So let’s spend a few minutes on the landscape: The University delegates to Researchers overall responsibility for conduct and management of their research projects. The key players are:

Overview

Research Team Leaders (Principal investigators and co-principal investigators)

I.2.Research Team Leaders (Principal investigators and co-principal investigators) Responsible for: management and conduct of project activities; progress reporting; sound financial management of research funds; human resource management, including proper supervision and workplace safety; compliance with policies and procedures: Both U of O and research sponsors; Compliance with terms and conditions of the award (grants or contract)

I.3.Research Enterprise Structure RESEARCH GRANTS AND ETHICS SERVICES

I.3.Research Enterprise Structure Research Grants and Ethics Services: http://web9.uottawa.ca/services/rgessrd/rges/index.asp Provide expert advice on grant proposal development (in conjunction with Research Facilitators) and management; We sign grant applications on behalf of the University as they are submitted and authorize the accounts when they are awarded Facilitate and enable regulatory compliance, including Ethics Review for projects involving human subjects Research Grants and Ethics Services

Research Enterprise Structure TECHNOLOGY TRANSFER AND BUSINESS ENTERPRISE

Research Enterprise Structure Technology Transfer and Business Enterprise Office (TTBE): http://www.ttbe.uottawa.ca/ Facilitation of contract research; Development of new collaborative research opportunities; Disclosure and evaluation of research discoveries; Protection of research discoveries and intellectual property; Transfer of research discoveries to partners; Development of commercialization opportunities for research discoveries.

Research Enterprise Structure All contracts and contract amendments must be signed by the TTBE. Researchers are not authorized to sign contracts or contract amendments on behalf of the University of Ottawa.

Research Enterprise Structure Government Research Investment Programs

Research Enterprise Structure Government Research Investment Programs Office (GRIP): http://www.research.uottawa.ca/resources_funding_research-e.php is responsible for initiating, developing, overseeing, and managing large scale government funded research projects from the Canada Foundation for Innovation, Ontario Research Fund, and other government investment programs; Canada Foundation for Innovation (CFI), Ontario Research Fund (ORF), Early Research Award (ERA), YSTOP: Youth and Science Technology Outreach Program – New 2005

Overview

Bureau de la recherche internationale (BRI) Mission: Accroître la dimension internationale de l’Université d’Ottawa Développer et promouvoir des projets internationaux en recherche et développement Faire la promotion des facultés et des chercheurs ayant des intérêts internationaux Rechercher des opportunités de bourses pour la recherche, le travail en collaboration et les voyages, par faculté et chercheur Créer et administrer des réseaux internationaux pour faciliter la collaboration et les programmes d’échanges Promouvoir les nombreuses affiliations institutionnelles de l’Université ainsi que ses liens avec l’étranger

Bureau de la recherche internationale (BRI) Fournir des services de soutien aux chercheur(e)s et aux universitaires en visite Établir et maintenir des relations avec les organisations internationales et les organismes donateurs Accroître la capacité de l’Université à participer à des projets d’assistance technique et développement Agir en tant que point de liaison principal de l’Université pour la réalisation d’activités de vulgarisation dans la région d’Ottawa auprès d’agences et de départements scientifiques ainsi que d’organisations régionales ayant des préoccupations internationales. http://www.recherche.uottawa.ca/bureau_internationale.php

Research Enterprise Structure ETHICS ANIMAL CARE BIOHAZARDS

Research Enterprise Structure Ethics Services:http://web9.uottawa.ca/services/rgessrd/rges/ethics/index.asp Any research project involving humans must receive approval of one of the Research Ethics Boards (REB) prior to the start. It is the responsibility of the professor as researcher, thesis supervisor and lecturer to ascertain whether or not a project requires an ethical review. This may be done by consulting the Protocol officer for ethics in research.

Research Enterprise Structure Office of Risk Management, Environmental Health and Safety (ORM): http://www.uottawa.ca/services/ehss/ Biosafety Environmental Management Laboratory Safety Occupational Health and Safety Risk Management Radiation Safety Insurance

Research Enterprise Structure Animal Care & Veterinary Service: http://www.uottawa.ca/vr-recherche-research/animal_care/eng/ The Animal Care and Veterinary Service of the University of Ottawa is the administrative entity responsible for the acquisition and care of animals used in research, teaching or testing. The University of Ottawa is a registered research facility under the Animals for Research Act and is in full compliance with the Canadian Council on Animal Care on a five-year assessment cycle. It operates four Vivaria, each dedicated to providing a range of general and specialized services targeted to the needs of its scientist-clientele.

Research Enterprise Structure FACULTY RESEARCH FACILITATORS

Research Enterprise Structure Faculty Research Facilitators assist in: Preparing research proposals; Working through proposal administrative and approval procedures Searching for funds and identifying funding opportunities; Liaising between researchers and University services, involved in research management; Liaising with granting agencies.

Research Enterprise Structure FACULTY ADMINISTRATORS

Research Enterprise Structure Faculty/department administrators, amongst other things, are responsible for: Day to day administration, e.g. small purchases of materials/supplies, payment of invoices etc. Ensuring proper management of expenses as per agency and university guidelines; Helping resolve any issues about financial statements. They are the primary contact on all administrative matters related to research accounts.

Research Enterprise Structure HUMAN RESOURCES SERVICE

Research Enterprise Structure Human Resources Service: http://www.hr.uottawa.ca/00_main/index_e.asp payroll are responsible for processing employees’ records; provide clarification on employment and remuneration policies; act as a liaison between university, union and other parties.

Research Enterprise Structure FINANCIAL SERVICES

Research Enterprise Structure Financial Services: Research and Trust Section http://www.uottawa.ca/services/finance/welcome.html Provide support to researchers, generally through their administrators, for the management of financial resources for all research projects in accordance with Sponsor, University and other requirements; To meet the University’s financial obligations to the Granting Agencies : Administer and direct all financial services, including accounting, reporting, invoicing, etc. Research and Trusts Section produce timely and reliable financial reports & invoices for the research funding agencies, as well as monthly financial statements.

Research Communications Personne clé: Christel Binnie Directrice des communications pour la recherche Cabinet du vice-recteur à la recherche Université d'Ottawa http://www.research.uottawa.ca/office-e.php Toujours à la recherche de bonnes idées!

Cabinet du Vice-recteur à la recherche1) Research Grants and Ethics Services

APPLYING FOR RESEARCH FUNDING

From Research Idea to Successful Proposal Submission Key Players: Researcher Research Facilitator RGES, TTBE, GRIP Peers and Colleagues

The process at its most basic: Researcher develops proposal Faculty / University Approval Submission to granting agency

Proposal development : 1. Researcher identifies a research idea: - Know your “state of the art” - Where is there a gap in knowledge? - Is there a problem? - Can you find something new, important and which needs to be done? - Can you formulate testable hypotheses or a strategy to develop the knowledge that is needed? - Are you excited about this? Your enthusiasm should show through!

Writing the proposal A good idea is not enough – writing the proposal or grant application is really a matter of communication, because A good proposal won’t save a bad idea but a bad proposal could result in a good idea not being funded

Writing the proposal Know your sponsor – try to fit your proposal with your sponsor’s objectives Read the rules and follow them exactly Presentation matters: most reviewers are volunteers and most are overworked! Leave enough time for budgeting, internal approvals, re-writes… Get advice from colleagues – examples of successful proposals if possible – work with your Research Facilitators

Writing the proposal Who What Why you? How How much Why is it important?

Writing the proposal – a few tips and resources - Use the summary / abstract wisely - There is lots of good advice out there: NSERC : http://www.nserc.gc.ca/Library/visits/2006_grants_pres_e.pdf CIHR : http://www.cihr-irsc.gc.ca/e/179.html SSHRC: http://www.sfu.ca/ors/Articles/sshrc_p.html http://www.unb.ca/research/ors/grants_contracts/propsupport/SSHRC_Tips.htm#Assess General: http://www.utoronto.ca/cip/sa_ArtGt.pdf http://healthlinks.washington.edu/rfs/gw/fundamentals.html#principles http://www.med.ubc.ca/research/grant_mentorship/grantsmanship.htm

Who approves? 1. YOU – as researcher Your department and faculty: “RE” Form confirms these approvals and becomes the key to accessing funds at U of O when awarded! University: Grants: RGES Contracts: TTBE CFI / OIT and some others: GRIP

How do I know if it’s a grant or contract? Une subvention de recherche est une somme d'argent allouée dans le but d'encourager la recherche ou toute autre étude faite à l'Université. Ces fonds serviront exclusivement à l'avancement de la recherche. Les subventions sont généralement des fonds distribués par des conseils fédéraux ou autres agences à but non lucratif qui sont déposés en fiducie à l'Université pour le chercheur. Un contrat de recherche est une entente formelle entre l'Université et un bailleur de fonds afin d'appuyer des activités de recherche selon des termes et conditions définis. Un contrat détermine généralement le type de travail qui devra être effectué, l'intervalle de temps sur lequel s'étendra ce travail, la confidentialité, les droits de propriété, l'exploitation commerciale, les droits en matière de brevets, etc. Just ask any one of us!

How do I know if it’s a grant or contract? Research Grant Typical Features: Research proposal and project control lies with the researcher Unrestricted rights to publish research results Payment in advance (not based on deliverables) Ownership of any intellectual property resides with the researcher/University Start and end dates of the project are defined Sponsor is provided with a copy of the final research report

Contrat ou subvention? Contrat de recherche: L’étendue des travaux et le plan de recherche sont définis à l’avance. Il peut y avoir des arriérés de paiements, en fonction de certains jalons ou produits livrables. Comporte des dispositions concernant la confidentialité de l'information. Le chercheur détient les droits de publication de ses résultats, mais peut en retarder la publication pour permettre au bailleur de fonds d'en évaluer la confidentialité ou la propriété intellectuelle. Les étudiants de deuxième cycle sont titulaires du droit d’auteur de leur thèse, dont la publication ne saurait être retardée de plus d’un an.

Contrat ou subvention? La propriété intellectuelle et le droit de propriété sont clairement définis. Le chercheur et l’Université sont titulaires des nouveaux droits de propriété intellectuelle, toutefois, Le commanditaire de la recherche peut faire un usage non commercial de ses résultats. Le commanditaire peut acquérir une licence (suivant les termes d’une entente de bonne foi, représentative du secteur industriel concerné).

Contrat ou subvention? Garantie : Le chercheur s’engage à suivre les normes professionnelles, mais ne garantit pas les résultats de sa recherche. L’Université d’Ottawa est propriétaire de l’équipement acheté pendant la durée du contrat. Les clauses d’expiration font partie du contrat. Des dispositions sur les assurances et les frais professionnels font partie du contrat, et ce afin de protéger les droits de l’Université d’Ottawa, ainsi que ceux du chercheur et des étudiants. Les coûts indirects correspondent à au moins 40 % du total modifié des coûts directs, sans tenir compte des pièces d’équipement les plus importantes

Contrat ou subvention? Donc, ce sont les clauses de l’entente qui déterminent si c’est une subvention ou un contrat de recherche

Remember to Anticipate: Researchers are responsible for conducting research in accordance with ethics, bio- and radiation safety, and animal care, environmental regulations, etc. Researchers are required to obtain appropriate certification prior to commencement of project;

POST-AWARD MANAGEMENT Starting up Financial Management Research Project Management

The “Post Award” process at its most basic: Agreements get negotiated (if necessary) / Certifications are obtained Funding agency approves Notifies RGES or TTBE or GRIP Work starts You and your admin person are notified Cost Centre gets opened

Starting up Once award has been approved and the cost centre is opened, you can then proceed to: Hire your students and personnel and put them on the payroll Order supplies, equipment, etc. Your key contact person for this, is the administrator in your department or faculty. Contact her or him early Be sure to review terms and conditions of the award, review deliverables, etc. Please do not forget certifications – Ethics, Animal Care, Radiation Safety, etc.

Eligibility of expenses: A few hints: Eligibility of expenses: ask department/faculty administrators for clarification on eligible expenses if further interpretation is needed, request it from appropriate service (RGES, TTBE, Fin Services, Human Resources etc.) when no final decision can be made, RGES is responsible for obtaining the ruling from the agency

A few hints: Partenariats et transferts de fonds: Si vous travaillez avec un chercheur d’un autre université et vous désirez y transferer des fonds: - Informer votre administrateur/administratrice - Pour les subventions: Communiquer avec le Service des Subventions de recherche et déontologie - Pour les contrats: Communiquer avec le Service de la Valorisation de la recherche et transfert de technologie

Project changes: A few hints: Please inform RGES of any changes to project dates & major budget allocations, increases/ decreases to awarded amounts.

Introduction – Gestion Financière Bienvenue Welcome Research Grants and Ethics Services

CONTENU DE LA PRÉSENTATION Quelle est notre mission ? Quel est le cadre de gouvernance financier de la recherche à l’Université d’Ottawa ? Qui sont les principaux joueurs et qui fait quoi ? Quelles sont nos responsabilités et les vôtres ? Quelle est la documentation à votre disposition et où la trouver ? Questions ?

MISSION Provide support to all faculty administrators in management of financial resources for all research projects To meet the University’s obligations to the Granting Agencies Ensure the clauses in the contracts are managed appropriately Manage the grant funding in accordance with the guidelines of the grantors, University as well as the Canadian Government

CADRE DE GOUVERANCE FINANCIER Principe de base : le chercheur a la responsabilité et l’imputabilité opérationnelle et financière dans la conduite des projets de recherche (1) L’ensemble des responsabilités du chercheur sont décrites dans le « Guide du chercheur », que vous pouvez consulter à l’adresse http://web9.uottawa.ca/services/rgessrd/ssrd/subventions/conduite/guide_chercheur.asp --------------------------------------------------------------------------- « Les chercheurs étant à la fois des employés de l’Université et des personnes aptes à gérer des projets de recherche, l’Université leur délègue la responsabilité générale d’assurer le bon déroulement et la saine gestion de leurs projets de recherche. » Source : Guide du chercheur, Principes de base

CADRE DE GOUVERANCE FINANCIER (suite) 3. La gestion financière touche les 4 éléments suivants : La planification financière (le budget) Les opérations financières (l’autorisation des dépenses) La surveillance financière (le suivi financier du projet) Le compte-rendu financier (la soumission des rapports) 4. Ne pas oublier : les chercheurs sont responsables de tout déficit à leur centre de responsabilité. Surtout, pas de panique : nous sommes là pour vous aider et vous appuyer

QUELS SONT LES PRINCIPAUX JOUEURS ? En premier lieu, les directeurs administratifs et les agents d’administration de vos facultés. Comme pour la Lotto 6 / 49, soyez gentils avec ces personnes, car elles vous seront d’un grand secours Deuxièmement, vous aurez besoin des trois services suivants : Le Services des Ressources humaines, pour embaucher le personnel Le Service des Approvisionnements, pour acheter des biens et services Le Service des Immeubles, si votre projet comprend un volet rénovations ou construction Naturellement, vos agents d’administration et vos directeurs administratifs se feront un plaisir de vous aider dans ces démarches et constituent votre premier point de communication. Troisièmement, le Service des finances effectue les opérations qui sont décrites dans les pages suivantes

QUI FAIT QUOI ? Ressources humaines : Paie : Jean-Pierre Cormier, poste 1535, jcormier@uOttawa.ca et Marc Ducharme, poste 1483, marc.ducharme@uOttawa.ca Plusieurs formulaires, politiques directives Approvisionnements : Yves Jobin, poste 6552, yves.jobin@uOttawa.ca Document de référence de base : Règlement 36, http://web5.uottawa.ca/admingov/reg-f.php?id=36 Deux grandes méthodes de fonctionnement : Les achats inférieurs à 5 000 $ sont faits directement au fournisseur, sans l’intervention du Service des Approvisionnements Les achats de 5 000 $ et plus sont faits de façon centralisée par le Service des Approvisionnements Immeubles : Mario Bouchard, poste 5713, mbouchar@uOttawa.ca Votre agent d’administration et votre directeur administratif vous aideront à communiquer avec ces secteurs, au besoin

Roles and Responsabilities Step-by-step process Receipt of Notice of Decision form from RGES, TTBE or GRIP office Receipt of new accounting cost center as follows: T-xxxx-yyy-zz xxxx = Unit yyy = Project number zz = Source of funding

Roles and Responsabilities (Cont’d) Funds are recorded in the cost centre in advance of being received by the funding agency If University is project leader, transfer funds to other institutions involved (contracts to be signed before transfer of funds) Prepare and submit invoices to agency Collect and deposit the funds from the granting agency Prepare and submit monthly,yearly and final financial reports within deadlines established by granting agency’s format (consolidated reports where University if project leader)

Roles and Responsabilities (cont’d) Ensure that only eligible expenses are included in the financial reports Report meet eligibility criteria Obtain researcher’s approval on paper and then submit the signed report to agency Plan, prepare and coordinate audits conducted by external auditors including preparing the file with all required supporting documentation and coordinating interviews with various sectors on campus

Researcher’s responsibility Researcher works in conjunction with financial administrators within the Faculty Ultimate responsability for his research project including ensuring the appropriate management of financial resources Ensures to meet all obligations and constraints of agreement Ensures to follow all the granting agency’s policies and procedures Ensures all expenses are eligible

Researcher’s responsibility With the support of the faculty, ensures that all supporting financial documentation including purchase orders, invoices and receiving are kept documents Approves all financial reports and submits them to Research and Trust Fund Services promptly Answers all questions asked by external auditors and/or granting agency

Research and Trust Funds: Organizational Chart Denis Cossette, CA Director of Finance

DOCUMENTATION Guide du chercheur http://web9.uottawa.ca/services/rgessrd/ssrd/subventions/conduite/guide_chercheur.asp Organisation administrative de la recherche à l’Université d’Ottawa http://web9.uottawa.ca/services/rgessrd/ssrd/subventions/recherche_uo/org_admin_rech.asp Site du secteur des Subventions de recherche et déontologie http://web9.uottawa.ca/services/rgessrd/ssrd/index.asp Ce site donne une foule de renseignements plus intéressants les uns que les autres, dont les deux sites ci-dessus et beaucoup d’autres. Ne manquez pas ça!

Information générale General Information Year-end administrative procedures for Research and Trust Funds: http://www.uottawa.ca/services/finance/proc/fanrf-e.htm Personnel within R&F Department and individual responsibilities: List distributed How to contact us: 550, rue Cumberland Street Pièce/Room 029A Pavillon Tabaret Hall Tel. 562-5800 Poste/Ext. 1509 Fax/Téléc.: 562-5988 Courriel/Email: nmercier@uottawa.ca

Remember: Research team leaders (principal and co-principal investigators): initiate and approve all requests for commitments, transactions, supplies, services and remuneration; submit to Faculty Administrators for review and execution. Faculty administrators: review and confirm the requests; ensure compliance with applicable policies; execute the transaction.

A few hints: Review budget when award is made. Ensure that expenses meet the grant budget guidelines and are attributed to the correct cost centre – this will really facilitate things later! Plan for contingencies for possible financial liabilities such as for accumulated holidays, transport, taxes, installation costs for equipment or supplies etc.

QUESTIONS ?

Merci! Thank you!

Research Project Management Setting up Your Project Budget and Budget Controls Teamwork Communication in Research Teams Interdisciplinary Research Conflicts in Research Team Research Project Monitoring

Setting up Your Project Important to: Plan, Organize, And Monitor your project well! If you fail to plan, you might plan to fail…

Setting up Your Project Planning: Based on your proposal Identify tasks (including outputs) Identify sequence and timing Identify resource requirements Define key milestones and deliverables Remember to allow time for reporting

Setting up Your Project Logical Framework Structure: Presented as a table; Rows: overall goal of research project; objectives supporting achievement of the goal, activities to achieve each objective and their results; Columns: narrative summary, timeframe, resources, external/internal assumptions and constraints, objective/subjective indicators;

For example:

References: http://www.isnar.cgiar.org/activities/training/2pla.htm http://www.isnar.cgiar.org/gender/hambly.htm http://www.kar-dht.org/logframe.html http://lgausa.com/logframe_approach.htm www.ausaid.gov.au/ausguide/pdf/ausguideline3.3.pdf

Setting up Your Project For the logical framework to be effective: Use it regularly; Use it not only for planning, but also for monitoring; Make it accessible for all team members. The logical framework is easy to understand and use. It will help bring your team together.

Budget and Budget Controls Proposal budget ≠ Awarded budget Budget reallocation should be decided upon immediately after award is confirmed Many tools are available for budget monitoring Need to consider planned vs. actual budgets

Budget and Budget Controls Have a solid budget from the start Plan for contingencies Researchers are responsible for allocating expenses to cost centers and ensuring reasonable completion of the project within its financial limitations

Human Resources Researchers are responsible for supervision and workplace safety of the research team; Researchers must comply with: regulations of Canadian Union of Public Employees (students’ section: http://www.uottawa.ca/associations/SCFP-CUPE2626/english/documents_en.htm) Policy #5 (Appendix II-I) of the U of O http://web5.uottawa.ca/admingov/reg-e.php?id=5#cupe Regulations of Faculty of Graduate Studies http://www.grad.uottawa.ca/postdoctoral_research/associates/index.html Other relevant regulations (http://www.hr.uottawa.ca/04_politique/index_e.asp)

Teamwork Make sure you choose your team wisely – you might be stuck with them after!

Teamwork Creating a Balanced Team: Find people with appropriate skill sets; Find people who are compatible with you and with each other Interdisciplinary teams represent a special challenge Difficult communications due to different research methodologies, training backgrounds and historical perspectives. At the start, allow some time for compatibility and understanding to develop among researchers; Focus on effectiveness of communication;

Communication Tips for better communication: Bring all interested parties together in one room at one time; Ask for examples; Be assertive, but not a bully; Use small words and short sentences; Be precise, concrete and specific; Use documentation effectively.

In case of conflict: Communicate! Seek to understand all angles of the disagreement. Attack the issue, not people. Channel anger and hostility into problem solving and planning. Develop a plan describing what each person will do to solve the issue. Avoid covering up painful issues, which could resurface. Organize more frequent meetings and status review sessions to increase communication between subgroups in the future. Minimize inconsistent perceptions of project goals and priorities.

Research Project Monitoring Research, because of its inherent unpredictability, is one of the areas where adjustments are made fairly often. One needs monitoring to: stay on top of project progress, particularly with respect to plans; clearly and concisely inform the team, and other stakeholders, on progress; adjust the schedule predict and plan for resource requirements

Research Project Monitoring You need to monitor: Expenditures to date – project expenditures to completion; Are you on budget? Time remaining: Are you on time? Are objectives being achieved as planned? If not, what adjustments are needed and what are the options?

Research Project Monitoring Progress Reports: Communications tool Satisfy information needs of sponsors and university administrators; Help identify current and potential complications; Submitted at fixed deadlines (interim & annual); Must meet specific content requirements;

Research Project Monitoring Effective decision making is crucial to success Common fallacies in decision making: Not allocating enough time for problem analysis and generation of alternatives Not considering all pros & cons Jumping to first “reasonable” solution Coping previous solutions/decisions in new situations

Conclusion Research is increasing in volume, involving a greater number of researchers in single projects As a result, importance of proper planning & monitors is growing as well This session has provided an overview of resources available for researchers at U of O and of tools & insights for research management

THANK YOU!