INTRODUCTION TO RESEARCH ADMINISTRATION Graduate School Advisory Council April 29, 2011
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Transcript of INTRODUCTION TO RESEARCH ADMINISTRATION Graduate School Advisory Council April 29, 2011
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INTRODUCTION TO RESEARCH ADMINISTRATION
Graduate School Advisory Council
April 29, 2011
Randall Draper, Ph.D.DirectorOffice of Contracts and GrantsOffice of the Vice Chancellor for Research
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What is a sponsored project?
How do Investigators get funded?
How much support for research and sponsored projects does UCB receive annually?
How are sponsored programs managed at UCB?
What challenges are faced in the everyday management of sponsored programs?
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• The proposal responds to a RFA, RFP, or other formal solicitation and the project is initiated by notice of award.
• The Statement of Work specifies programmatic objectives to be accomplished within a delimited period of time and budget.
• These awards require deliverables or detailed technical reports.
• These awards require separate accounting procedures and detailed financial reports.
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• These awards include provisions for audit by the sponsor.
• These awards involve the disposition of property, whether tangible or intangible, that may result from the project.
• These awards require regulatory oversight in areas such as animal care, human subjects, bio-safety, or financial conflict of interest.
See APS Sponsored Project Revenues at: https://www.cusys.edu/policies/Fiscal/Rev_Sponsored-Project-Revenue.pdf
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GIFTSo Private Purposeo Discretionary/No Strings Attached (Courtesies)o CU Foundation
GRANTSo Public Purposeo Always Restricted/Always Strings (Provisions)o Assistance o OCG
CONTRACTS/SUBCONTRACTSo Government Purposeo Restricted and Binding (Terms and Conditions)o Procuremento OCG
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Federal Government State Government Local Government Local/State Foundations Regional/National Foundation Non-Profits Institutions Industry Other Institutions (Subcontracts) Individuals
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AWARDS AND EXPENDITURES THROUGH AWARDS AND EXPENDITURES THROUGH FY 2010FY 2010
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Number of Proposals: 2,147
Value of Proposals: $1,534,368,406
Number of Awards: 1,930
Value of Awards: $454,386,815
Number of Active Projects Over 3000
Cumulative Obligations: Over $1.5B
Expenditures: $330,945,670
Cost Recovery: $73,192,374
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Fiscal Years 2005 2006 2007 2008 2009 2010
NSF 46.7 40.0 43.9 48.0 60.3 77.9
NASA 44.5 48.4 46.9 54.4 73.6 111.3
DHHS 39.3 43.3 40.3 42.6 46.3 69.5
Commerce 26.5 31.9 33.2 38.1 36.5 77.2
Defense 11.4 13.3 10.0 17.9 12.5 15.8
All Others 21.4 16.8 20.4 21.0 23.9 23.8
Sub-Total 189.7 193.7 194.7 222.0 253.1 375.5
Flow Thru* 39.2 26.0 31.2 22.3 28.9 33.1
All Fed 228.9 219.7 225.9 244.3 282.0 408.6
Non-Fed* 28.7 36.8 40.2 35.7 57.7 45.8
Total 257.6 256.5 266.1 280.0 339.7 454.4
*JPL, NREL, STSI, Other Universities
* State of Colorado, Industry, Miscellaneous
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FISCAL YEARS 2005 2006 2007 2008 2009 2010
Federal $190 $194 $195 $222 $253 $375
Federal Flow Through
$39 $26 $31 $22 $29 $33
Non-Federal $29 $37 $40 $36 $58 $46
$258 $257 $266 $280 $340 $454
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Fiscal Year 2006 2007 2008 2009 2010 2011Estimated
Proposals 969 1,099 1,459 1,307 1,534 1,928
Awards 256.5 266.2 280.0 339.7 454.4 345
Expenses 259.0 258.7 258.7 282.5 330.9 386
Cost
Recovery51.4 53.6 56.2 62.0 73.2 80
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AWARDS BY MAJOR RESEARCH UNITS ($M)AWARDS BY MAJOR RESEARCH UNITS ($M)
Fiscal Years 2006 2007 2008 2009 2010 5 Year
Average
Business 3.1 3.0 2.4 3.6 4.4 3.3
Education 4.9 3.2 5.3 6.3 7.9 5.5
Arts & Sciences
64.8 (25%)
68.0 (26%)
70.1 (25%)
79.5(23%)
93.0(20%)
75.1
Engineering 34.8 (14%)
40.3 (15%)
42.9 (15%)
57.7(17%)
65.8(14%)
48.3
Institutes 144.2 (56%)
144.9 (54%)
152.3 (54%)
187.2(55.1)
273.0(60%)
180.3
Others 4.6 6.7 7.1 5.4 10.3 6.8
Total 256.4 266.1 280.1 339.7 454.4 319.3
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The mission of the Office of Contracts and Grants is to help UCB faculty, staff, and students obtain and manage external funding, while protecting the University’s interests. OCG reviews and approves the submission of sponsored project proposals; negotiates grant and contract awards; monitors the implementation of projects for compliance with sponsor regulations; reviews, initiates, and enforces policies and procedures; provides training to faculty and staff; and serves as the University’s official liaison with sponsors and regulatory agencies.
TO SERVE AND PROTECT!
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Randy DraperDirector (1.0)
Chandra TjandrasaProgram
Assistant (1.0)
PRE-AWARD DATAMANAGEMENT
POST-AWARD
Joyce KrollAssistant Director (1.0)
Jennifer WardAssistant Director (1.0)
Johanna Eagan Award Processing Work Leader (1.0)
Roger McCormickCoordinator (1.0)
Stefan ReissProposal
Analyst (1.0)
Juliana ZuccaroProposal
Analyst (1.0)
Patti YoungSr. Contract /Grant Administrator(1.0)
Joan EatonProposal
Analyst (1.0)
James UhesContract/Grant
Administrator (1.0)
Rachelle RichmondContract/Grant
Administrator (1.0)
Lori LafonContract/Grant
Administrator (1.0)
Amanda ToddAward
Processor (1.0)
Ted JobeProperty/Travel Specialist (1.0)
Virginia HartContract/Grant
Administrator Ret.
Jan FarrarReports
Administrator(1.0)
Lyn MillikenData
Supervisor (1.0)
Betsy Williams (1.0)Miranda Lowe (.5)
Temporary
Kathy LorenziAssociate
Director (1.0)
Anselmo SerralheiroProposal
Analyst (1.0)
Loretta NegreteContract/Grant
Administrator Ret.
Brian RogersProposal
Analyst (1.0)
Lisa TedescoProposal
Analyst (.75)
Rosie AllenAward
Processor (1.0)
Meagan TaylorAward
Processor (1.0)
Mindy VallejosSubcontract
Administrator (1.0)
Denitta WardSubcontract Manager
(1.0)
Steve SheldonProposal
Analyst (1.0)
Office of Contracts and Grants
Organizational Chart
April 2011
SUBCONTRACT MANAGEMENT
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PRE-AWARD
• Understand the rules, regulations, and culture of the sponsoring agencies and the federal cost principles.
• Review Proposal Guidelines.
• Help prepare Proposals/develop Budgets.
• Provide liaison to Sponsors, Partners, Colleagues.
• Sign, package, submit Proposals.
• Revise Budgets; resolve problems.
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POST-AWARD
• Understand the Federal cost and management principles.
• Understand the Federal Acquisition Regulations.• Review Grant and Contract terms and conditions.• Negotiate, approve, and process Awards.• Assist with the project planning and start-up, including
Subcontracting.• Provide liaison to Sponsors, Partners, and
Colleagues.• Coordinate with Sponsored Project Accounting.• Administer Awards.
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OTHER SERVICES
Assist with Project Management = Solve Problems
Manage Federal Property
Advise Standing Committees
Maintain Data Bases/Prepare Reports
Provide Training to the UCB Research Community
Monitor Compliance Regulations, modify Policy and Procedures appropriately
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BA Required; Masters Preferred 1 to 2 Years On the Job Training History of Higher Education Understanding of Research and Research Administration Disciplinary Awareness Sponsor Rules, Regulations, Procedures, Culture OMB Circulars A-21, A-110, A-133 Federal Acquisition Regulations (FAR) State Statutes, Policies, Guidelines University Laws, Policies, Procedures Electronic Research Administration Experience
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Manage the Financial aspects of an Award after it is received.
Maintain systems to ensure compliance with the University, State, Federal, and Agency Rules and Regulations.
Consult/Advise/Train/Assist with the Financial Administration of Projects.
Provide general financial accounting for restricted funds.
Monitor Compliance Regulations, modify Policy and Procedures appropriately.
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Identify Funding/Collaboration Opportunities. Notify OCG re: Proposal . . . EARLY. Prepare Proposal. Obtain all Approvals(C/S, Space, Released
Time, etc.). Review and Accept the Terms of the Award. Implement the S.O.W. according to the Award
Terms.
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Comply with all Regulations.
Supervise Project Personnel.
Manage the Project Budgets.
Authorize Expenditures.
Prepare Technical Reports.
Work w/ SPA for Financial Reports.
Work w/ OCG for Property and Invention Reports.
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Training Programso Introduction to Sponsored Projects
Administrationo Preparing/Submitting Proposalso Contracts and Subcontractso Property and Travelo Post-Award Administrationo Compliance Issues
Brown Bag Lunches/Drop-In Discussions Department Administrator Breakfasts Newer Faculty Receptions/Meetings Department Meetings
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Office of the Vice Chancellor for Researcho Cost Sharing/F&A Waiverso Export Lawso Conflict of Interesto IRB/IACUC
Office of Technology Transfer
University Counsel
Internal Audit
Risk Management
University Controller/Accounting and Business Support
Procurement Service Center
CU Foundation
Colorado Renewable Energy Colaboratory, etc.
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Personnel Recruitment, Training, Retention Efficient and timely processing of awards Efficient and timely processing of subcontracts Building a research administration infrastructure in the
departments Improving data processing and reporting Increasing overall office automation (eRA) Supporting all the departments and disciplines,
including the Arts, Humanities, and Social Sciences
Meeting the expectations of the faculty
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Grants.gov and Electronic Research Administration Increasing number of Compliance Regulations (Laws,
Statues, Policies) Increasing number of Troublesome Clauses Larger, More Complicated Projects New Centers, Institutes, Consortia Faculty Transfers ARRA, Continuing Resolution, Tighter Federal Budgets Increasing Private Funding Over-Expenditures and Under-Expenditures
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“Deal Killers”
Publication/DisclosureIntellectual PropertyPerformance PenaltiesState of Colorado Provisions
o Indemnificationo Liability/Insuranceo State Law
“Annoying Clauses”
Unreasonable Invoicing/Payment TermsUnreasonable Reporting RequirementsKey PersonnelTechnical DirectionUnfair TerminationExport
o etc. etc. etc.
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THANK YOU!
QUESTIONS/COMMENTS?