Transcript Upstairs HR - San Francisco State University

Overview
Office of Research and Sponsored
Programs
May 7, 2014
CSU Org Chart
Governor
Jerry Brown
California State University (CSU)
Chancellor
Timothy White
and the Board of Trustees
Presidents of the 23 CSU Campuses:
CSU Bakersfield CSU Channel Islands
CSU Chico
CSU Dominguez Hills
CSU East Bay
CSU Fullerton
CSU Fresno
Humboldt State University
CSU Long Beach
Maritime Academy
CSU Los Angeles
California CSU Monterey Bay
CSU Northridge
Cal Poly Pomona
CSU Sacramento
CSU San Bernadino
San Diego State University
San Jose State University
CSU San Marcos
San Francisco State University
Cal Poly San Luis Obispo
Sonoma State University
CSU Stanislaus
University Org Chart
President
Leslie Wong
VP Academic
Affairs
VP Finance and
Administration
Sue Rosser
Ronald Cortez
VP Student Affairs
VP Advancement
Luoluo Hong
Robert Nava
President’s Cabinet also includes:
Legal Counsel, Patricia Bartscher
Chief of Staff, Shawn Whalen
Executive Director University Corporation (UCORP), Jason Porth
Elogeanne Grossman, Executive Assistant
University Org Chart - Advancement
VP University
Advancement
Development:
Advancement
Services
Alumni Relations
Athletics
Communications
Corporate
Partnerships
Foundation Relations
Government &
Community Relations
University Org Chart – Student Affairs
VP Student
Affairs
Dean of
Students
Disability
Programs
Enrollment
Management
Emergency
Preparedness
Financial Aid
Registrar
Student
Health
Services
Testing
University
Police
University Org Chart – Academic Affairs
Provost and VP for Academic Affairs
Sue Rosser
Deans of Six Colleges
Dean of College of Extended Learning
(CEL)
Dean of Faculty Affairs
Dean of Undergraduate Studies
Dean of Graduate Studies
AVPs:
Research and Sponsored Programs
Office of International Programs
Academic Planning and Assessment
Academic Resources
Library
University Org Chart –Administration and Finance
VP Administration and Finance
Budget Administration, incl.
Labor Cost Distribution (LCD)
Division of Information Technology (DoIT)
Fiscal Affairs
Human Resources, Safety and Risk
Management
Internal Audit
Physical Planning and Development
Accounts Payable
Fiscal Services
Accounting , incl. Trust & Special Projects
Accounting (TSPA)
Hospitality
Tax Services
Procurement Card
Travel
Bursar’s Office
Fiscal Affairs Business Systems
One Card
Procurement and Contracts
ORSP – Department 3080
• An department within Academic Affairs that provides
administrative support for faculty and other Principal
Investigators. Responsibilities include:
- Pre Award: finding funding opportunities, submission of
proposals and negotiation of contracts with external
funders
- Post Award: financial and HR management for
externally funded grants/contracts
- Training: PIs, staff, other units
- Compliance Program: Conflict of Interest, Subrecipeint
Monitoring, Cost Sharing, Responsible Conduct of
Research (RCR)
- Other Support: Rx for faculty, internal funding
• Grant funded employees are hired in this department and the
project is set up in the financial system in this department
ORSP – Department 3075
• General Fund
• ORSP’s “Central Office”
• This department’s employees include the Grant
Administrators, Grant Support Coordinators, HR
Specialists and the staff of Human and Animal
Protections
• ORSP Central Office staff are located both in the
Administration Building and in Hensill Hall, Room 301
What is Research Administration?
• Pre Award, Post Award, Training, Compliance, Human
and Animal Protections, Intellectual Property, Patents
are all part of Research Administration
• The accidental profession
• NCURA and SRA are the two primary professional
associations for Research Administrators
• A hot field to be in
The ORSP Org Chart by Team
Central Office Team
Health and Social Sciences,
Business, Creative and Liberal
Arts, Ethnic Studies, Graduate
College of Education
College of Science and
Engineering (CoSE) Team
Michelle Gagnon, Manager, Post Award
Susan Pelton, Manager, Post Award
Jackie White, Manager, Pre Award
Jackie White, Manager, Pre Award
Grant Administrators and Grant
Support Coordinators
Jenny Chau
Candy Mou
Raman Paul
Chao Guan
Asha Smith
Cecelia Li
Pat Hanson
Robert Garcia
ORSP HR Specialists
Kari Wong and Cherrell Escort
Grant Administrators and Grant
Support Coordinators
Karen Lee
Julie Paez
Rick Bond
Pat Hanson
Josh Calder
Pat Hanson
ORSP HR Specialists
Jocelyn Tolentino and Allan
Calabio
The ORSP Org Chart, Continued
Alison Ng, Compliance Manager
Human and Animal Subjects Protection
Research Compliance
Liz Miller, Protocol Analyst
Vacant Position, Compliance Specialist
Pablo, Student Assistant
Vacant Position, Compliance Specialist
Sarah, Student Assistant
Vacant Position, Compliance Assistant
Support Staff
Institutional Review Board (IRB) for Human Subjects
Institutional Animal Care and Use Committee (IACUC) for Animal Subjects
The ORSP Org Chart, Continued
Paul Barrows, Funding Information Specialist and Tech Guru
Website Design and Maintenance
Funding Information/SPIN Training
On line form maintenance
Weekly Funding Announcements
Pre Award Cycle
PI spends years, months,
several weeks preparing
and publishing
Award letter or contract
received
Funding opportunity
identified
Everybody waits while
proposal is reviewed,
usually peer review
PI submits on line checklist
to ORSP
ORSP submits proposal
PI works with GA on
budget and application
forms
PI works on project
narrative, may include
external peer review and
editing
Project and budget
approved by Dean and VP
Finance & Admin
PI submits protocol to IRB
or IACUC/Just in Time (JIT)
Fiscal Agent
• Employees are SFSU employees, hired into the same
classifications, and eligible for the same benefits, as any other
SFSU temporary employee.
• The University assumes all responsibility for payroll, labor
relations, benefits, risk management, leave programs, tax
withholding, recruitment, retention, raises, setting
compensation.
• In addition, the University assumes responsibility for
implementing the specific provisions of the sponsored
agreement.
• The University is responsible for the overall financial
management of grants and contracts, including compliance,
audit, maintenance of financial systems and records, risk
management, safety, etc.
Post Award Cycle
Award notification received
Project outcomes used to successfully
apply for new funding
Create budget and re-budget costs,
Project set up in financial system, may
include the funded project and a cost
share project
Recruitment begins
Project activities begin
Submit progress report
Spending mechanisms activated
GA and PI meet regularly for program
and financial review, re-budgeting, no
cost time extension budget projections
Invoice funder
Communicates with funder if necessary
Project Expenditure
GA reviews each transaction for
compliance with funder terms and
conditions, University policy and
procedure
Timing Really is Everything
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Plan for years
Apply
Wait
Get rejected (we apply for 3-4 times the amount of
money that we get)
• Surprise! You got funded
• You’re now 3 months behind schedule
ORSP Relationship to Other Units
What’s a Grant? What’s a Contract?
What’s a Sponsored Program?
• Grants – Includes a scope of work but the outcomes may
be unknown (research).
• Contracts – Includes a scope of work with defined
deliverables; contracts are enforceable in law even if it
not labelled as a contract (agreement, MOU).
• Sponsored Program refers to any project that is
externally funded (grants, contracts, MOUs).
• External support may be for research, community
service, student support, student and faculty training,
additional instruction.
• Sponsored programs are distinct from gifts or charitable
donations. Sponsored programs come with
programmatic, financial and compliance terms and
conditions.
What’s a PI?
• Principal Investigator, usually a probationary or
tenured faculty member.
• The University serves as the fiscal agent for all grants
and contracts.
• The PI is responsible for programmatic aspects.
• Pis are also responsible for managing their budget;
spending funds in a responsible way in accordance
with University policies and procedures and the
funder’s terms and conditions; hiring and supervising
staff.
• A PI is responsible for program, people, and money.
• The amount of time that a PI spends on
administrative tasks is estimated at 25%.
PIs and Department 3080
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PIs drive external funding
PIs are our clients
PIs are directors of programs
PIs report to their department chair/dean
Department 3080 is a department with 150 directors
(who don’t report to ORSP)
Working with ORSP and PIs
• PIs are not administrators. They don’t get the emails that
administrators get announcing new executive orders, changes
in policies and procedures.
• ORSP often has to interpret the new law, the new regulation,
the new process for grant/contract purposes. The change may
need to be:
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2.
3.
adapted to fit our systems and processes
communicated, explained and interpreted to the PI
changed or rescinded because it is in conflict with existing funder
guidelines and/or ORSP policy and procedure.
• ORSP is the face of administration to the PIs. To the PI, the
change looks like ORSP initiated it, and we take the heat.
What are Direct Costs?
• Costs associated with a project that are easily
allocated to the project.
• Costs that are directly related to achieving the
goals and objectives of that project.
`What are Indirect Costs?
• Costs associated with a project that are not
easily allocated to the project.
What are Indirect Costs?
• These are referred to variously as:
Indirect Costs (IDC),
Overhead
Facilities and Administration (F&A)
• Our Negotiated Indirect Cost Rate Agreement (NICRA) is
negotiated every 5 years with our cognizant agency,
Dept. of Health and Human Services (DHHS)
• Costs include existing buildings and equipment,
operations and maintenance, library, general and
department administration, etc.
• All costs are included in the calculation of the IDC rates,
i.e. whether the funding is federal, state or private.
• There are different rates for organized Research, for
Instruction and for Other Sponsored Programs (OSP).
What are Indirect Costs Spent On?
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Internal funding opportunities
Bridge funding
ORSP budget
Research training including Research Rx for Faculty
Cost share for institutional grants
Animal facility
Support for the IRB
External review of proposal narratives
Statistical training and software
Support for departments that support ORSP, including
HR, Fiscal Affairs, and Budget Administration
• Return to Colleges – 20% to 25%
Volume of Grants & Contracts
• 125 Principal Investigators from different
departments and colleges
• 350 active grants and contracts
• $50 million in expenditures in Fiscal Year 2012
The Truth about External Funding
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It’s competitive
Terms and conditions
Compliance
Additional audit and compliance issues
Begin and end dates
No cash
Use it or lose it
HR Volume
• 1200 employees per year – students, hourly &
salaried staff, postdoctoral researchers and faculty
additional pay
• 1/3 to 1/4 of employees will have some payroll
change in any given month.
• Faculty additional pay adds 100 employees to ORSP
payroll, 3-4 times a year.
• RRT – approximately 100 per semester
Who are our Sponsors?
• Federal – your tax payer dollars
The alphabet soup: National Institutes of Health
(NIH), National Science Foundation (NSF),
Department of Education, NOAA
• State – more of your tax payer dollars
• Local Government – even more of your tax payer
dollars
• Private – foundations and associations
• Business
• International
EXTERNAL FUNDING BY SOURCE
Business
1%
Non Profits
4%
State/Local
16%
Federal
79%
Fun Facts about External Funding
• Majority of costs are spent on salaries and benefits
• At this University, most awards have a student
support component
What’s a Grant Administrator (GA)?
• Pre Award - Responsible for researching the application
process, compiling application data, and coordinating
deadlines, and final submission.
• Post Award -budget and expense analysis, periodic invoicing,
financial reporting, labor distribution changes, reconciliations,
and rebudgeting; performs grant closeout functions required
by sponsors including reconciliations, financial status reports,
final invoices, purchase order liquidations, zeroing out
budgets, and final reporting; reviews general ledger
transactions to ensure accuracy and complete journal entries.
• Train PIs who are not administrators
• Portfolio of 50 awards, 20 Pis, $number of dollars, multiple
academic departments, colleges and type of program
What does an ORSP HR Specialist do?
Pre Award
• Determine classification and compensation for
budgeting and planning purposes for grant funded
staff, postdoctoral researchers, faculty, student
assistants and Special Consultants.
• Determine benefits eligibility and benefit costs
• Provide guidance and training to faculty on
recruitment and retention in post award
• Process re-appointments and other employee
changes.
• Maintain ORSP Job and ORSP Person within HRMS.
• Budget projections for salary and benefit costs.
Pre Award / Proposal Development
Budgeting for Salaries and Benefits
• Faculty – Reimbursed Release Time and Additional
Pay
• Staff – hourly and salaried
• Students
• Postdoctoral Researchers (Research Fellow)
• Special Consultants
• Honoraria
• Independent Contractors
What does an ORSP HR Specialist do?
Post Award
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Provide guidance and training to faculty on all HR issues.
Post jobs and make job offers
Orient new employees
Serve as the point of contact for employees and faculty
on retention, payroll, benefits, leave eligibility and
employee relations issues.
Process re-appointments and other employee changes.
Process employee separations
Process RRT
Maintain ORSP Job and ORSP Person within HRMS
Technology – Human Resources
• HR system was modified to accommodate ORSP needs.
• This system links to the finance system in order to provide the ORSP HR
Team, the GA and the PI with information about begin and end dates, the
source of funds, name of the grant, the PI name.
• Implemented Job Earnings Distribution (JED) in order to charge grants
appropriately. Using position number didn’t work because of the volume of
transactions and frequency of changes in funding.
• ETRACs routed to a GA and the PI
• We work with the HR Tech Team to update and maintain the system, as well
as test the system when upgrades and changes are implemented centrally.
Technology – Finance
• HR system was modified to accommodate ORSP needs.
• The Oracle Business Intelligence (BI) tool implemented with
custom ORSP reports.
• Implemented CSU Sponsored Programs (CSUSP) to store
information unique to grants and contracts administration.
• Work with the Business Systems team in Fiscal Affairs to
maintain and test the system when upgrades and changes are
implemented centrally.
We Know Something about Everything
• Human Resources – payroll, benefits, labor relations,
compensation and classification, volunteer status
• Finance – finance reporting, budgeting, labor cost
distribution, accounts receivable, accounts payable,
Procurement, contract negotiation, salary and benefit
costs, p-card, travel, taxes for salaries and wages, stipends,
foreign payments, risk management, property management
• Technology – adapt university systems to meet the needs of
research administration
• The academic world – academic salaries and benefits,
academic workload, student employment and student
financial aid
What is Reimbursed Release Time?
• Please refer to ORSP_Salary&Benefit_Costs
training
Compliance Team
• Major financial compliance issues
- Time and Effort Reporting
- Cost Share
- Subrecipient Monitoring
- Conflict of Interest
- Cost Transfers over 90 Days
• Audit preparation
• Spot Audits
• Human and Animal Subjects Protections
• Responsible Conduct of Research
What’s an OMB Circular?
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Office of Budget & Management
A-21, A-110 and A-133
Allowable, allocable, reasonable and consistent.
HR Provisions - Administrative staff and definition of
major program, visa costs, time and effort reporting,
recruitment costs, legal costs, salary cap, etc.
• Grant Administrator reviews each and every
transaction against the terms and conditions of the
award
• Federal regulations apply to all grants and contracts.
Human Subjects in Research
• Review is required for any research that:
– is a systematic investigation leading to generalizable knowledge
– is conducted by University faculty, staff, students
– is performed on the premises of the University (even if
conducted by persons not affiliated with SFSU)
• Institutional Review Board (IRB) is appointed by the Academic
Senate and comprised of faculty, community members, nonscientific and scientific backgrounds.
• Office reviews new research protocols and continuing review
of projects
– Responds to participant inquiries
– Provides technical assistance and protocol coaching
• Just-In-Time: Staff will review ASAP
Animal Subjects in Research
• Institutional Animal Care and Use Committee
(IACUC) is appointed by the President or designee
and comprised of veterinarian, faculty members,
non-affiliated and non-scientific members
• Federal regulations are more extensive and detailed,
review often takes 1-2 months
• Research locations include SF State’s Animal Facility,
other organizations or field sites
The ORSP Website
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Find Funding (including internal funding)
Apply for a Grant
Human & Animal Protections
Manage My Award
Spend Grant Funds
Hire/Pay People
Analyze Data/Design a Study
Compliance Program
Forms and Policy Libraries
FAQs
Staff Directory
Reference Documents
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Negotiated Indirect Cost Rate Agreement (NICRA)
Benefits Matrix
Sample grant budget
Grant files – award letter, terms and conditions
OMB Circulars
HR Training for internal staff:
(ORSP_Salary&Benefit_Costs)
• Pre Award files
• Post Award files
• Personnel files