Sponsored by Office of Research Administration … - 09/july-09...Research Administrators Forum...

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Research Administrators Forum Research Administrators Forum Sponsored by Office of Research Administration Marcia Smith Associate Vice Chancellor Research Administration July 9, 2009

Transcript of Sponsored by Office of Research Administration … - 09/july-09...Research Administrators Forum...

Page 1: Sponsored by Office of Research Administration … - 09/july-09...Research Administrators Forum Sponsored by Office of Research Administration Marcia Smith Associate Vice Chancellor

Research Administrators ForumResearch Administrators Forum

Sponsored by Office of Research Administration

Marcia SmithAssociate Vice Chancellor Research Administration

July 9, 2009

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AgendaAgenda

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Updates from the Animal Updates from the Animal Research Research

Committee (ARC)Committee (ARC)

Kathy WadsworthKathy WadsworthAnimal Subjects ResearchAnimal Subjects Research

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Update #1:Update #1:

Elimination of Requirement for ARC Review of Program Projects and Training Grants

Effective May 6, 2009, the requirement for administrative ARC review of program projects and training grants has been removed

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Update #2:Update #2:

No need to submit an amendment to remove personnel from your protocol

Send an email to our office at [email protected]. Indicate the personnel to be removed – ARC staff will remove them for you

mailto:[email protected]
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Update #3:Update #3:

Prompt processing of ARRA or other new funding sources

Call or email ARC staff immediatelyto notify of short deadlines!

Remember to submit your grant via email to ARC, or drop off

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Update #4:Update #4:

ARC staff available to provide training in RATS (Research Application Tracking System)

Sample RATS protocol available upon request

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Update #5 (Update #5 (…… well, more of a reminderwell, more of a reminder))

Summer students are coming!

MUST complete all required certifications, trainings & MHQ prior to working with animals

New Lab Staff checklist available on our website

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Last but not least Last but not least ……

Please emphasize to your summer students the importance of proper conduct and respect for lab animals

Suggest do not allow camera phones in labs

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ARC: Who Are You Gonna Call?ARC: Who Are You Gonna Call?

Associate Director Kathy WadsworthAssistant Director Andy PerkinsARC Administrator Jennifer PerkinsARC Compliance Coordinator Rosa HarmonARC Coordinator Karen WomackARC Specialist Annie Ryan

[email protected]

http://www.oprs.ucla.edu/animal

mailto:[email protected]
http://www.oprs.ucla.edu/animal
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Updates from the Office of Updates from the Office of Contract and Grant Contract and Grant

AdministrationAdministration

Connie WhitleyORA Office of Contract

and Grant Administration

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State Contract Expenditure State Contract Expenditure ReductionsReductions(Governor(Governor’’s Executive Order Ss Executive Order S--0909--09)09)

Broadly affects State Contracts and flow-through (subawards)Do not know the full impact yetOCGA and reviewing awards on a case-by-case basis and contacting sponsorsQuestions: contact your Contract and Grant Officer

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Portal: Award Status and Portal: Award Status and Documents ReportDocuments Report

ORA News – June 24, 2009Synopses and awards will no longer be distributed as hard copyReviewing feedback received and discussing enhancementsSend feedback to: [email protected]

mailto:[email protected]
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Additional UpdatesAdditional Updates

Office of Research Office of Research Policy and Policy and ComplianceCompliance

Ann PollackAnn Pollack

Office of Administration Policies and Compliance

Carole D. Zaima

Graduate Division

M. Belinda TuckerLisa ItagakiAna Lebon

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RESEARCH

POLICY

&

COMPLIANCE

Research Policy &Compliance

Ann PollackAssistant Vice Chancellor – ResearchJuly 9, 2009

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RESEARCH

POLICY

&

COMPLIANCE

Topics

Revised UCLA Policy 913National Institutes of Health Guidelines for Human Stem Cell ResearchUpdated UCLA SBIR/STTR Guidance

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RESEARCH

POLICY

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COMPLIANCE

UCLA Policy 913

Disposition of Unexpended Balances in Fixed Rate and Fixed Contracts and Nonrefundable Grants

Revision issued June 15, 2009

Updated in response to concerns about appropriate charging and large balances

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RESEARCH

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UCLA Policy 913

Provides guidance regarding the conditions under which unexpended balances on fixed price and fixed rate contracts and nonrefundable grants maybe converted into unrestricted fundshttp://www.adminpolicies.ucla.edu/app/default.aspx?&id=913

http://www.adminpolicies.ucla.e
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National Institutes of Health Guidelines for

Human Stem Cell Research

Guidelines issued on July 6, 2009Implements Executive Order 13505 issued by President Barack Obama on March 9, 2009Effective July 7, 2009

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New National Institutes of Health Guidelines for

Human Stem Cell Research

Anticipate that the Guidelines will affect current UC and UCLA policies and procedures Reviewing the Guidelines. Will issue campus guidance as soon as possible

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UCLA SBIR/STTR Guidance

Released June 18, 2009Information in the guidance memo has been restated and reorganized for clarity The following sections of the document include new information:

Federal GuidelinesUCLA GuidanceNegotiation of Subcontract Agreements

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SBIR/STTR Guidance

Under Federal Guidelines: Information on the percentage of research that must be conducted at the small business’s research facilities

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SBIR/STTR Guidance

Under UCLA Guidance:Small business must have letter of intent, option, or license to use UCLA-developed technology Postdoctoral fellows or graduate students should not be small business PIResearch at UCLA must be conducted under a subcontractSBIR/STTR funds cannot be used to make a giftSmall business recipients must meet federal eligibility criteria

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SBIR/STTR Guidance

Under Negotiation of Subcontract Agreements:

Subcontracts with small business applicants negotiated by OIP-ISRChecklists being finalized:

How to verify federal eligibility of small business applicantHow to verify eligibility of UCLA PICompliance with conflict of interest and commitment policies

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Where to find SBIR/STTR Guidance

http://www.research.ucla.edu/researchpol/memos/RP%20&

%20KAA%20SBIR-STTR%20Memo%20-%206-

18-09.pdf

http://www.research.ucla.edu
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Administrative Policies & Compliance 1

Administrative Policies & Procedures Web Site

www.adminpolicies.ucla.edu

http://www.adminpolicies.ucla.edu
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Administrative Policies & Compliance 2

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Administrative Policies & Compliance 3

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Administrative Policies & Compliance 4

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Administrative Policies & Compliance 5

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Administrative Policies & Compliance 6

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Administrative Policies & Compliance 7

Policies & Delegations Web Site

www.policies.ucla.edu

http://www.policies.ucla.edu
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Administrative Policies & Compliance 8

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Administrative Policies & Compliance 9

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www.gdnet.ucla.edu

Graduate Division Staff• M. Belinda Tucker, Associate Dean, Grad. Division

• Institutional signing authority for all F-applications via Grants.gov & all other extramural individual fellowship applications requiring institutional submission (e.g., American Cancer Society, American Heart Association, Autism Speaks, Parkinson’s Disease Foundation)

• Office of Postdoctoral and Visiting Scholar Staff• Postdoc & Visiting Scholar appointments & payments• All Extramural Individual Fellowship Applications

• Lisa Itagaki, Director (Payments, Tax)• Jenny Tang, Analyst (Individual Fellowships)• Esther Chang, Analyst (Appointments)

http://www.gdnet.ucla.edu
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www.gdnet.ucla.edu

NRSA Electronic Submission ProcessEffective with the August 8, 2009 submission date, all F-series grant applications for the Individual National Research Service Award (NRSA) Fellowships will require electronic submission through Grants.gov to eRA Commons. These include:

• F30 (dual doctoral degree fellowships) • F31 (predoctoral fellowships) • F32 (postdoctoral fellowships) • F33 (senior fellowships)

http://www.gdnet.ucla.edu
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www.gdnet.ucla.edu

NIH NRSA Fellowship Resources• Website: www.gdnet.ucla.edu

• NIH Help Desk: http://www.grants.gov/help/help.jsp

• Office of Postdoctoral and Visiting Scholar Staff• Lisa Itagaki, Director [email protected] 5-0636• Jenny Tang, Analyst [email protected] 6-9791

http://www.gdnet.ucla.edu
http://www.grants.gov/help/help.jsp
mailto:[email protected]
mailto:[email protected]
http://www.gdnet.ucla.edu
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www.gdnet.ucla.edu

http://www.gdnet.ucla.edu
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www.gdnet.ucla.edu

JULY 31, 2009 deadline

http://www.gdnet.ucla.edu
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www.gdnet.ucla.edu

eRA Commons ID• The eRA commons is NIH's infrastructure for

electronic transactions to receive, review, award, monitor and administer NIH grant awards to organizations and investigators worldwide.

• Must have eRA Commons ID to apply.• PI or student can contact Jenny Tang or Lisa Itagaki,

with full name and email to obtain ID.• Student should NOT register for Grants.gov account

http://www.gdnet.ucla.edu
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www.gdnet.ucla.edu

Download Application at Grants.gov

http://www.gdnet.ucla.edu
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www.gdnet.ucla.edu

Application Submission Process• Email completed application to

[email protected] by July 31 at 5pm to 1237 Murphy Hall. Only final, completed applications will be accepted.

• Graduate Division staff will review your proposal package for errors. Once errors are corrected, Associate Dean Tucker will submit your application on Grants.gov.

http://www.gdnet.ucla.edu
mailto:[email protected]
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www.gdnet.ucla.edu

• Once your submission is accepted via Grants.gov, your application moves into the eRA Commons where it will be validated and compiled into a single PDF file.

• The two-day viewing window begins to correct errors.

• Please check email regularly as primary means of communication with Graduate Division for errors, warnings, and pdf compilation issues.

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www.gdnet.ucla.edu

http://www.gdnet.ucla.edu
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www.gdnet.ucla.edu

Form 10 • Graduate Student Form 10s & payments

Ana LebonDirector, Graduate Student Support1228 Murphy Hall

• Postdoc and Visiting Scholar Form 10s & paymentsLisa ItagakiDirector, Postdoctoral and Visiting Scholars 1237 Murphy Hall

http://www.gdnet.ucla.edu
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Graduate Student Support 1228 Murphy Hall

Graduate Student Support

• Ana Lebon, Director, x64309

• Sherman Chew, Office Manager, x55174

• Arlene Ortiz, Adm. Analyst, x55702

• Henry Hernandez, Adm. Analyst, x51985

• Jenny Luna, Adm. Adm. Analyst, x51465

• Fred Merrick, Adm. Analyst, x54213

• Jenny Tang, Adm. Analyst, x69791

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HOW TO Process an Award Transmittal Form

akaForm 10

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PURPOSE

To issue fellowship awards to individual students/postdoctoral fellows in the form of stipend, tuition or fees.

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New Fee and Tuition Award for a student

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EXAMPLE 1

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Stipend Award for a Student or Postdoctoral Fellow

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EXAMPLE 2

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How to Revise a Form 10

Example 1Award 1Receiving full fee award. Student will be employed as a GSR for fall and winter quarters with remission benefits. Need to revise award amount of fees.

Example 2Award 1You found out that the stipend award for fall needs to be for a total of $3,500 and not $2,000

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EXAMPLE 3

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EXAMPLE 4

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One More RevisionThe incorrect fund number was used to pay the stipend and therefore you need to make changes to the original form 10 as follows:Original Account information used: 783936-1C-21664New Account information to use: 783936-1C-28888

Submit a form 10 to make the change to the stipend award:Fall 3,500Winter 2,000Spring 2,000Total 7,500

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EXAMPLE 5

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EXAMPLE 6

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QUESTIONS?

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Overview of ORA Research Overview of ORA Research Administration Process Administration Process

ImprovementImprovementand Deployment (RAPID) and Deployment (RAPID)

ProjectProject

Marcia Smith Marcia Smith ORAORA

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Analysis of Assessment ReportAnalysis of Assessment Report

Review and analysis of the assessment reportAttended Steering and Working Group Meetings during project performanceMet with campus leadership, researchers, department research administrators, Office of Research Administration (ORA) leadership and ORA staff

Initial organization and prioritization of initiativesCatalogued and classified recommendations involving ORA processesDeveloped initial prioritization of recommendations based on project goals: Improve service to faculty, enhance financial performance, mitigate compliance riskFactored in new developments: Recovery Act requirements, AAHRPP return site visit Developed high-level project and resource plans

Met with Huron Team to review and discuss the initial prioritization of recommendations and to identify appropriate projects for Huron Team support

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Initial Priorities for ActionInitial Priorities for Action

Overarching Recommendations

ORA OrganizationStabilize operations and strengthen leadershipEstablish communication and outreach planDevelop performance management measurement metricsDevelop training and education programsDefine roles and responsibilitiesUpdate policy and procedure

Information SystemsIntegrate technology solutions across ORA unitsDevelop technology strategic plan

Business ProcessConduct detailed process redesign to standardize, reduce inefficienciesDevelop standard desktop SOP and compliance manuals

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Initial Priorities for ActionInitial Priorities for Action

Specific Business Process Recommendations

Proposal and award managementProposal development, review, approval and submissionAward acceptance/setupSub-award development, negotiation and execution

Post-award financial managementFinancial status reporting and invoicingLetter of Credit cash managementEffort reportingCost transfersAward close-out

Protection of human subjectsAAHRPP AccreditationwebIRBProtocol management

Protection of animal subjectsProtocol management

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Steps Taken and Progress to DateSteps Taken and Progress to Date

Overarching PrioritiesStabilize operations and strengthen ORA organization

Integrate ORA operational unitsDevelop plan for ongoing staff professional development

Establish campus communication and outreach planMonthly RA Forum MeetingsORA NewsRACC MeetingsCAO MeetingsOOC MeetingsDepartment Faculty Meetings RAPID Project Web Site (in development)

Develop performance management measurement metricsReview, improve, integrate and standardize data collectionDevelop management reports Communicate metrics through ORA portal

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Overarching Priorities (Continued)

Develop and deploy training and education programs

Monthly RA Forum meetingsOPRS Open HouseS2S hands-on training and open house sessionsUpdate and expand curriculum for Research Administration Certification Program

Integrate technology solutions across ORA units

Provide IRB/IACUC approval information for OCGAPost IRB approval packets and OCGA award notices on the portal

Conduct detailed process redesign to standardize, reduce inefficiencies

Steps Taken and Progress to DateSteps Taken and Progress to Date

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Business Process Analysis, Redesign and Deployment Priorities

Proposal and Award ManagementProposal development, review, approval and submissionPrepare for American Reinvestment and Recovery Act (ARRA) funding

Implement ARRA Help Line and FAQs Develop and deploy proposal checklistsHold S2S training sessions and Open House sessionsDeploy temporary/OT staffing in OCGA to manage proposal surge

Implement new proposal intake, data collection and tracking process

ARRA Proposal Submissions: 1,123 proposals, $570MARRA Award Transactions: 47 awards, $18M

Award acceptance/setup (Huron-led project)Initiate award acceptance/setup business process analysis working group

Form interdisciplinary working groupBegin business process analysis

Steps Taken and Progress to DateSteps Taken and Progress to Date

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Business Process Analysis, Redesign and Deployment Priorities (Continued)

Post-Award Financial ManagementPrepare for ARRA rapid award setup and unprecedented reporting requirementsRequirement for detailed budgetsOIG funding for monitoring grantees – ARRA funds to be treated with “extreme sensitivity to waste, fraud and abuse.”Quarterly reports of programmatic and financial progress:

details of funds received, obligated and expended;evaluation of the project status;number of jobs created and jobs retained for each project;detailed information on all subcontracts and sub-grants awarded

Individualized Letter of Credit drawdown for each ARRA awardCost TransfersDesign, schedule implementation of payroll system control to manage salary transfers

Steps Taken and Progress to DateSteps Taken and Progress to Date

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Business Process Analysis, Redesign and Deployment Priorities (Continued)

Post-Award Financial Management (Continued)Financial status reporting and invoicing (Huron-led project)Initiate financial reporting business process analysis working group

Form interdisciplinary working groupPerform business process analysisBegin process redesign

Letter of Credit cash management (Huron-led project)Initiate Letter of Credit business process analysis working group

Form interdisciplinary working groupPerform business process analysisComplete process redesignDevelop implementation plan

Steps Taken and Progress to DateSteps Taken and Progress to Date

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Business Process Analysis, Redesign and Deployment Priorities (Continued)Post-Award Financial Management (Continued)Effort reportingDevelop management reports for campus and ORA monitoring of compliancePlan Initiation of effort reporting team for monitoring, trouble-shooting, and training

Protection of Human SubjectsRevised organizational structureImplemented an expedited process for expedited studiesAchieved full AAHRPP accreditationContinued with webIRB developmentImproved HRPP staffing, retention, and trainingCleared backlog of meeting minutes

Steps Taken and Progress to DateSteps Taken and Progress to Date

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Apr‐09 Jul‐09 Sep‐09 Dec‐09 Mar‐10 Jun‐10 Sep‐10 Dec‐10 Mar‐11 Jun‐11 Sep‐11 Dec‐11

Develop Standard Desktop SOP and Compliance ManualsAccounts Receivable (AR) Management

Expand DRA Program (Delegated Signature) Across CampusSubrecipient Monitoring

Align Billing Teams  in EFM by Campus UnitCost Sharing Process Improvement

Research Administration Policy and ProcedureProtocol Management: Animal Subjects (ARC)

Charging Expenses to Sponsored ProjectsContract Review, Negotiation  and Approval

Develop a Strategic Plan for TechnologyCost Transfers Process ImprovementPre‐Award Spending (eRAS) Process

Non‐LOC Invoicing Process ImprovementAward Closeout Process Improvement

Subaward Review, Negotiation  and ApprovalOPRS Communication with Faculty and Campus Units

Clear Backlog of IRB Meeting MinutesAAAHRP Accreditation

webIRB ImplementationIRB Protocol Management  Process Improvement

Protocol Management:  IRB Expedited ReviewIRB Meeting Logistics: Cost Reduction

Financial Reporting Process ImprovementLetter of Credit Drawdown Process Improvement

Effort Reporting: Compliance, Communication  and TrainingProposal Development, Review, Approval and Submission

Award Acceptance/SetupIntegrate Technology in ORA Units

ARRA Funding: Pre‐ and Post‐AwardConduct Detailed Process Redesign Effort

Research Administration Training and EducationRoles and Responsibilities for Research Administration

Define and Measure  Performance MetricsStablize Operations and Strengthen Leadership

Develop Performance Measurement & Management  PlanCampus Outreach & Communication

RAPID Project PlanRAPID Project Plan

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Next StepsNext Steps

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Next StepsNext Steps

Gather feedback on the current initiatives from the RAPID Steering Committee and other campus groupsContinue to move forward with the implementation of priority process improvementsEvaluate progress and ongoing resource requirementsContinue to communicate and report on progress of RAPID initiativesEstablish a website to share information about the ongoing efforts with the UCLA research community

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Questions and DiscussionQuestions and Discussion


Sponsored by the Federal Transit Administration LEGAL ...onlinepubs.trb.org/onlinepubs/tcrp/tcrp_lrd_09.pdfTCRP Transit Cooperative Research Program Sponsored by the Federal Transit

Sponsored by the Federal Transit Administration LEGAL ...onlinepubs.trb.org/onlinepubs/tcrp/tcrp_lrd_09.pdfTCRP Transit Cooperative Research Program Sponsored by the Federal Transit

Fundamentals of Sponsored Project Administration

Fundamentals of Sponsored Project Administration

Kathi Schoonover, Director Office of Research & Sponsored Programs Northeastern State University Susan Foster, Director Office of Research Administration.

Kathi Schoonover, Director Office of Research & Sponsored Programs Northeastern State University Susan Foster, Director Office of Research Administration.

Research Administration Forum - Clemson Universitymedia.clemson.edu/research/sponsored-programs/toolbox/Research … · FINAL GCA Approval STEPS: GCA Manager/Director approvals is

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Sponsored by the Federal Transit Administration LEGAL ...onlinepubs.trb.org/Onlinepubs/tcrp/tcrp_lrd_12.pdfSponsored by the Federal Transit Administration LEGAL RESEARCH DIGEST ...

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University Sponsored Project Travel Marcia Black Office of Research Compliance and Administration.

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Sponsored Programs Administration Uniform Guidance ...

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Sponsored Projects Post Award Administration

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15.01.01 - Administration of Sponsored Agreements ...

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Grant Administration Workshop Presented by: Danielle Booth and Elaine Davis Research and Sponsored Programs.

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Introduction to Research Administration Offices of Sponsored Projects and Research Development.

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Sponsored Chart String Reconciliation Friday, April 22, 2011 WCAS-McC-VPR Centers Research Administration.

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