INTRODUCTION TO RESEARCH ADMINISTRATION Graduate School Advisory Council April 29, 2011 Randall Draper, Ph.D. Director Office of Contracts and Grants Office of the Vice Chancellor for Research.
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INTRODUCTION TO RESEARCH ADMINISTRATION
Graduate School Advisory Council
April 29, 2011 Randall Draper, Ph.D.
Director Office of Contracts and Grants Office of the Vice Chancellor for Research
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?
• 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
technical
reports
.
or detailed • These awards require
separate accounting
procedures and detailed financial reports.
• 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
financial conflict of interest. in areas such as animal care, human subjects, bio-safety, or See APS Sponsored Project Revenues at: https://www.cusys.edu/policies/Fiscal/Rev_Sponsored-Project-Revenue.pdf
GIFTS
o Private Purpose o o Discretionary/No Strings Attached (Courtesies) CU Foundation
GRANTS
o Public Purpose o Always Restricted/Always Strings (Provisions) o o Assistance OCG
CONTRACTS/SUBCONTRACTS
o Government Purpose o o Restricted and Binding (Terms and Conditions) Procurement o OCG
Federal Government
State Government Local Government Local/State Foundations Regional/National Foundation Non-Profits Institutions
Industry
Other Institutions
(Subcontracts) Individuals
AWARDS AND EXPENDITURES THROUGH FY 2010
Number of Proposals: Value of Proposals: Number of Awards: Value of Awards: 2,147
$1,534,368,406
1,930
$454,386,815
Number of Active Projects Cumulative Obligations: Over 3000
Over $1.5B
Expenditures: Cost Recovery:
$330,945,670 $73,192,374
Fiscal Years
NSF NASA DHHS Commerce Defense All Others
2005
46.7
44.5
39.3
26.5
11.4
21.4
Sub-Total
Flow Thru*
All Fed
Non-Fed*
189.7
39.2
228.9
28.7
193.7
26.0
219.7
36.8
Total 257.6
*JPL, NREL, STSI, Other Universities * State of Colorado, Industry, Miscellaneous 256.5
2006
40.0
48.4
43.3
31.9
13.3
16.8
2007
43.9
46.9
40.3
33.2
10.0
20.4
194.7
31.2
225.9
40.2
266.1
2008
48.0
54.4
42.6
38.1
17.9
21.0
222.0
22.3
244.3
35.7
280.0
2009
60.3
73.6
46.3
36.5
12.5
23.9
253.1
28.9
282.0
57.7
339.7
2010 77.9
111.3
69.5
77.2
15.8
23.8
375.5
33.1
408.6
45.8
454.4
FISCAL YEARS 2005 2006 2007 2008 2009 2010 Federal Federal Flow Through Non-Federal $190 $39 $194 $195 $222 $26 $31 $22 $253 $375 $29 $33 $29 $258 $37 $257 $40 $266 $36 $280 $58 $340 $46 $454
Fiscal Year Proposals 2006
969
2007
1,099
2008
1,459
2009
1,307
2010 1,534 2011 Estimated
1,928
Awards
256.5
266.2
280.0
339.7
454.4
345
Expenses
259.0
258.7
258.7
282.5
330.9
Cost Recovery
51.4
53.6
56.2
62.0
73.2
386 80
AWARDS BY MAJOR RESEARCH UNITS ($M) Fiscal Years Business 2006 3.1
2007 3.0
2008 2.4
2009 3.6
2010 4.4
5 Year Average
3.3
Education 4.9
3.2
5.3
6.3
7.9
5.5
Arts & Sciences Engineering Institutes Others 64.8 (25%) 34.8 (14%) 144.2 (56%) 4.6
68.0 (26%) 40.3 (15%) 144.9 (54%) 6.7
70.1 (25%) 42.9 (15%) 152.3 (54%) 7.1
79.5
(23%) 5 7 .7
(17%) 187.2
(55.1) 5.4
93.0
(20%) 65.8
(14%) 273.0
(60%) 10.3
75.1
48.3
180.3
6.8
Total 256.4
266.1
280.1
339.7
454.4
319.3
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!
Office of Contracts and Grants Organizational Chart April 2011
Chandra Tjandrasa Program Assistant (1.0)
Randy Draper Director (1.0) Kathy Lorenzi Associate Director (1.0) PRE-AWARD
Joyce Kroll Assistant Director (1.0) Lisa Tedesco Proposal Analyst (.75) Joan Eaton Proposal Analyst (1.0) Anselmo Serralheiro Proposal Analyst (1.0) Stefan Reiss Proposal Analyst (1.0) Brian Rogers Proposal Analyst (1.0) Steve Sheldon Proposal Analyst (1.0) Juliana Zuccaro Proposal Analyst (1.0)
DATA MANAGEMENT
Roger McCormick Coordinator (1.0) Jan Farrar Reports Administrator(1.0) Lyn Milliken Data Supervisor (1.0) Ted Jobe Property/Travel Specialist (1.0) Betsy Williams (1.0) Miranda Lowe (.5) Temporary
POST-AWARD SUBCONTRACT MANAGEMENT
Jennifer Ward Assistant Director (1.0) Johanna Eagan Award Processing Work Leader (1.0) Amanda Todd Award Processor (1.0) Meagan Taylor Award Processor (1.0) Rosie Allen Award Processor (1.0) Patti Young Sr. Contract /Grant Administrator(1.0) James Uhes Contract/Grant Administrator (1.0) Rachelle Richmond Contract/Grant Administrator (1.0) Lori Lafon Contract/Grant Administrator (1.0) Denitta Ward Subcontract Manager (1.0
) Mindy Vallejos Subcontract Administrator (1.0) Loretta Negrete Contract/Grant Administrator Ret.
Virginia Hart Contract/Grant Administrator Ret.
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.
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.
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
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
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.
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.
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.
Training Programs o o Introduction to Sponsored Projects Administration Preparing/Submitting Proposals o o o o Contracts and Subcontracts Property and Travel Post-Award Administration Compliance Issues Brown Bag Lunches/Drop-In Discussions Department Administrator Breakfasts Newer Faculty Receptions/Meetings Department Meetings
Office of the Vice Chancellor for Research o Cost Sharing/F&A Waivers o o o Export Laws Conflict of Interest 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.
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
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
“Deal Killers” Publication/Disclosure Intellectual Property Performance Penalties State of Colorado Provisions o o o Indemnification Liability/Insurance State Law “Annoying Clauses” Unreasonable Invoicing/Payment Terms Unreasonable Reporting Requirements Key Personnel Technical Direction Unfair Termination Export o etc. etc. etc.