Insights into Partnership Files and Project Management

Partnership files play a crucial role in managing complex research projects involving multiple sponsors, financial aspects, and reporting requirements. This article delves into the definition, types of projects, common files, and stages of a partnership file, shedding light on the intricacies of research administration in academia and industry collaborations.

• Partnership Files
• Research Administration
• Project Management
• Industry Partnerships
• Research Projects

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1. Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 RAD 301 Lifecycle of a Partnership File Partnership and Institutional Projects Team Marita Hobman 1 Research Services Office Together we make it happen Research Administration Day June 5, 2013

2. What is a partnership file anyway? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Well, the definition is a bit flexible, but what generally defines a partnership file is: More than one sponsor can be 2, 10, 20 , and Complex financial and reporting management Partnerships also negotiate Relationship Agreements , that is MOU s, Master Agreements, etc. 2 Research Services Office Together we make it happen Research Administration Day June 5, 2013

3. What kind of projects? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Federal/Provincial industry match programs as well as assorted industry and industry organization partnering schemes Most files are from Engineering and ALES, but other faculties are represented as well Many partnership projects build on existing projects and relationships 3 Research Services Office Together we make it happen Research Administration Day June 5, 2013

4. Most common files include: Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 NSERC CRD matched with one or more industry partners NSERC IRC, often involving a large number of companies Other Chairs Agricultural Consortium funding matched with industry and/or industry organizations Industry Consortiums Genome Canada/Alberta projects Networks Western Economic Diversification 4 Research Services Office Together we make it happen Research Administration Day June 5, 2013

5. Stages of a Partnership file Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Application stage Agreement negotiation stage Set-up stage Management stage Reporting Extensions Budget changes Adding/removing sponsors Adding/removing sub-grantees and collaborators 5 Research Services Office Together we make it happen Research Administration Day June 5, 2013

6. Important role of the Research Facilitator Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 The Faculty Research Facilitation Office is a satellite office of the RSO Manages the Application Stage on behalf of the RSO Provides advice and updates throughout 6 Research Services Office Together we make it happen Research Administration Day June 5, 2013

7. Application stage: In the beginning there was an idea Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 If we are lucky there is an application, which is then processed as any grant: 1. The PI forwards an application to the RF, who provides comments 2. Chair and Dean approves/signs which gives go-ahead for RSO to work on the file, i.e,, in time negotiate an agreement with the sponsor(s) 3. Application is submitted to Sponsor(s) 4. Project is approved for funding 5. Sponsor(s) forward conditional or final award letter to PI 6. PI accepts funding 7. Sponsor forwards draft agreement to RSO or the RSO drafts the agreement 7 Research Services Office Together we make it happen Research Administration Day June 5, 2013

8. This is where it can start getting complex Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Matching funding might be covered in a multi-sponsor agreement or in several separate agreements with different sponsors Another version is a combination, where there is a multi-sponsor agreement, as well as one or more separate agreements Obligations and reporting (financial and project) can be inter- connected between different agreements, e.g., NSERC CRD We work with TecEdmonton sometimes documents that affect the legal framework have been negotiated by TecEd and might not be in our files 8 Research Services Office Together we make it happen Research Administration Day June 5, 2013

9. It can get really complex Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Collaborator 2 Sponsor A Collaborator 1 Collaborator 3 UA Sponsor C Sponsor B 9 Research Services Office Together we make it happen Research Administration Day June 5, 2013

10. So what if we are not lucky no application? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Sometimes the first we hear about a partnership project is a signed agreement in the inbox. Might be signed by sponsor only, or by sponsor and PI We will ask for the application (project scope and budget including overhead, are needed) - and for approval from Chair/Dean More often than not there are issues with the agreement and we need to contact the sponsor to negotiate those points In other words, it is really helpful if RSO can be in at the beginning because nobody likes to start negotiating all over again when everybody has already agreed 10 Research Services Office Together we make it happen Research Administration Day June 5, 2013

11. Best case scenario for complicated projects Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 The PI, RF, Partnership negotiator, perhaps RSO legal, and other stakeholders, meet and discuss the project early on, when planning is starting The project can be outlined and discussed: Governance of the project Financial management Sub-granting requirements Then we work together moving forward 11 Research Services Office Together we make it happen Research Administration Day June 5, 2013

12. Negotiation Stage: Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 When industry or interest organizations are involved, each award is subjected to the rules of a freshly negotiated agreement This could be a multi-sponsor, multi-collaborator agreement Or it could be several agreements, one with each sponsor, but all covering the very same project Or it could be a combination of both 12 Research Services Office Together we make it happen Research Administration Day June 5, 2013

13. Partnering with Government-affiliated Agencies (1) Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Federal agencies and government funded agencies usually have some strict rules around matching funding, for example: NSERC (CRD and IRC) requires the industry funder to be a Canadian company or a foreign company with a Canadian branch NSERC also has some rules around publication rights, intellectual property management, and students rights that often baffles companies that might have funded service contract type projects earlier sometimes on a related project with the same PI Mitacs requires the sponsoring company to send the funds to Mitacs, which then turns around and sends the money to the University 13 Research Services Office Together we make it happen Research Administration Day June 5, 2013

14. Partnering with Government-affiliated Agencies (2) Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Working with government on partnered funding can be challenging as the room for negotiation is very limited and agreements often includes cumbersome provisions (e.g., Natural Resources Canada) Even if the University can live with those provisions, it is sometimes difficult to fit the expectations of one or several sponsoring corporations that provide matching funds, into the scheme 14 Research Services Office Together we make it happen Research Administration Day June 5, 2013

15. Who negotiates the Agreements? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 The agreement is always between the sponsor(s) and the University of Alberta so signature needs to be by someone who is authorized to sign on behalf of the University 15 Research Services Office Together we make it happen Research Administration Day June 5, 2013

16. Who negotiates the Agreements? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 For research funding contracts/agreements it is the VPR Office that signs The RSO has signing authority for the VPR up to a certain $$ amount, so in most cases it is the RSO that signs the agreement for the University 16 Research Services Office Together we make it happen Research Administration Day June 5, 2013

17. Who negotiates the Agreements? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 It is also the VPR/RSO s responsibility to make sure the agreement does not contain any provisions that the University will not be able to fulfill. For example, agreements sometimes ask us to follow laws of another country we cannot promise to follow laws without knowing what they are 17 Research Services Office Together we make it happen Research Administration Day June 5, 2013

18. RSO and PI need to work together to make sure Agreements are reasonable Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 18 Research Services Office Together we make it happen Research Administration Day June 5, 2013

19. Why does it take so long to negotiate a Partnership Agreement with the sponsors?? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 With the exception of a few agreements that have been previously negotiated as templates e.g., Agriculture Consortium Investment Agreement there is always something that needs to be changed! 19 Research Services Office Together we make it happen Research Administration Day June 5, 2013

20. Why does it take so long to negotiate a Partnership Agreement with the sponsors?? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Negotiating with several parties gets complicated for example, IRC s can include 10+ corporate sponsors that all have their own internal policies and specific expectations 20 Research Services Office Together we make it happen Research Administration Day June 5, 2013

21. Why does it take so long to negotiate a Partnership Agreement with the sponsors?? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Corporate sponsors often do not appreciate the framework around partnered funding they have sometimes had previous collaborations with the University, as the solo sponsor, and want to continue with the same type of contract 21 Research Services Office Together we make it happen Research Administration Day June 5, 2013

22. Why does it take so long to negotiate a Partnership Agreement with the sponsors?? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Agreements that originate from the sponsor often have clauses around liability and insurance that need to be reviewed by legal or risk management 22 Research Services Office Together we make it happen Research Administration Day June 5, 2013

23. Why do we need all those signatures??? Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 It is the VPR/RSO signature that binds the University Chair and Dean signatures acknowledge that Department and Faculty support the project and that the researcher is in a position to carry out the project (e.g., is employed during the term, has access to facilities, etc.) PI signature acknowledges that he/she will fulfill his/her responsibilities under the agreement. This could be: Perform the research and finish the project on time Submit reports Keep records of spending Assign Intellectual Property to the University so that the University is able to offer licensing rights to the sponsor 23 Research Services Office Together we make it happen Research Administration Day June 5, 2013

24. Set up Stage Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Reporting can be quite complex for Partnership Projects: Some agencies/sponsors require financial and project reporting on entire project, including parts that are funded by other sponsors It is important to establish which financial reporting is expected from the RSO and which is the PI s responsibility communication between PI, sponsor and RSO often needed to sort this out 24 Research Services Office Together we make it happen Research Administration Day June 5, 2013

25. Financial set-up Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Communication is also needed in order to come up with the best financial management model, for example: One RES Several RES for related funding One RES number, but with sub-accounts (e.g., RES#/core funding + RES#/Project funding + RES#Salary) 25 Research Services Office Together we make it happen Research Administration Day June 5, 2013

26. Management stage Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Agreements might regulate how funding from one sponsor is to be spent in relationship to funding from other sources For example, industry funding matching a CRD, is to be spent at the same rate as the money from NSERC It can be challenging to manage expectations of different sponsors on the same project 26 Research Services Office Together we make it happen Research Administration Day June 5, 2013

27. Projects Change Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Partnership projects are often dynamic with sponsors and collaborators coming and going Term extensions and budget changes are common Each time something changes we need to amend agreements, sometimes with several sponsors 27 Research Services Office Together we make it happen Research Administration Day June 5, 2013

28. Challenges during Project Term Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 Extensions and changes to budget if this happens during particularly busy times, e.g., fiscal year end, it will take us some time to get them done and project might be closed or O/E in the meantime, so advance notice is really helpful Any change might open up new cans of worms , especially if new sponsors are added/removed 28 Research Services Office Together we make it happen Research Administration Day June 5, 2013

29. Partnership files littered with Stakeholders Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 29 Research Services Office Together we make it happen Research Administration Day June 5, 2013

30. Online Evaluation Form Top 10 Research Administration Day 2013 Top 10 Research Administration Day 2013 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 Hyperlinkto activate). C:\Users\efmadsen\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.IE5\SN6SFSDZ\MC900442153[1].png 30 Research Services Office Together we make it happen Research Administration Day June 5, 2013