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.

THANK YOU!

QUESTIONS/COMMENTS?