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INTRODUCTION TO RESEARCH ADMINISTRATION Graduate School Advisory Council April 29, 2011

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. INTRODUCTION. What is a sponsored project? How do Investigators get funded?

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INTRODUCTION TO RESEARCH ADMINISTRATION Graduate School Advisory Council April 29, 2011

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  1. 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

  2. INTRODUCTION 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?

  3. SPONSORED PROJECT: DEFINED • 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.

  4. SPONSORED PROJECT: DEFINED • 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

  5. GIFTS Private Purpose Discretionary/No Strings Attached (Courtesies) CU Foundation GRANTS Public Purpose Always Restricted/Always Strings (Provisions) Assistance OCG CONTRACTS/SUBCONTRACTS Government Purpose Restricted and Binding (Terms and Conditions) Procurement OCG HOW DOES ONE GETS FUNDED?

  6. Federal Government State Government Local Government Local/State Foundations Regional/National Foundation Non-Profits Institutions Industry Other Institutions (Subcontracts) Individuals FUNDING SOURCES

  7. AWARDS AND EXPENDITURES THROUGH FY 2010

  8. DATA FOR FY 2010 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

  9. SPONSOR AWARD TRENDS FY 2005 – FY 2010 ($M)

  10. FUNDING TRENDS (in $M)

  11. UNIVERSITY OF COLORADO AT BOULDERHISTORY OF PROPOSALS, AWARDS, EXPENDITURES AND COST RECOVERY ($M)

  12. OCG MISSION STATEMENT 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!

  13. Randy Draper Director (1.0) Chandra Tjandrasa Program Assistant (1.0) Kathy Lorenzi Associate Director (1.0) PRE-AWARD DATAMANAGEMENT POST-AWARD SUBCONTRACT MANAGEMENT Jennifer Ward Assistant Director (1.0) Joyce Kroll Assistant Director (1.0) Denitta Ward Subcontract Manager (1.0) Roger McCormick Coordinator (1.0) Patti Young Sr. Contract /Grant Administrator(1.0) Ted Jobe Property/Travel Specialist (1.0) Johanna Eagan Award Processing Work Leader (1.0) Lisa Tedesco Proposal Analyst (.75) Mindy Vallejos Subcontract Administrator (1.0) Jan Farrar Reports Administrator(1.0) James Uhes Contract/Grant Administrator (1.0) Joan Eaton Proposal Analyst (1.0) Amanda Todd AwardProcessor (1.0) Betsy Williams (1.0) Miranda Lowe (.5) Temporary Lyn Milliken Data Supervisor (1.0) Meagan Taylor AwardProcessor (1.0) Rachelle Richmond Contract/GrantAdministrator (1.0) Anselmo Serralheiro Proposal Analyst (1.0) Rosie Allen AwardProcessor (1.0) Lori Lafon Contract/GrantAdministrator (1.0) Stefan Reiss Proposal Analyst (1.0) Loretta Negrete Contract/GrantAdministrator Ret. Brian Rogers Proposal Analyst (1.0) Steve Sheldon Proposal Analyst (1.0) Virginia Hart Contract/GrantAdministrator Ret. Juliana Zuccaro Proposal Analyst (1.0)

  14. OFFICE OF CONTRACTS AND GRANTS RESPONSIBILITIES 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.

  15. OFFICE OF CONTRACTS AND GRANTS RESPONSIBILITIES 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.

  16. OFFICE OF CONTRACTS AND GRANTS RESPONSIBILITIES 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

  17. THE EDUCATION OF A RESEARCH ADMINISTRATOR • 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

  18. SPONSORED PROJECTS ACCOUNTING RESPONSIBILITIES • 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.

  19. PRINCIPAL INVESTIGATOR RESPONSIBILITIES • 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.

  20. PRINCIPAL INVESTIGATOR RESPONSIBILITIES • 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.

  21. OCG/SPA TRAINING AND OUTREACH PROGRAMS • Training Programs • Introduction to Sponsored Projects Administration • Preparing/Submitting Proposals • 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

  22. COLLEAGUE DEPARTMENTS/PROGRAMS Office of the Vice Chancellor for Research • Cost Sharing/F&A Waivers • 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.

  23. INTERNAL CHALLENGES • 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

  24. EXTERNAL CHALLENGES • 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

  25. TROUBLESOME CLAUSES “Deal Killers” • Publication/Disclosure • Intellectual Property • Performance Penalties • State of Colorado Provisions • Indemnification • Liability/Insurance • State Law “Annoying Clauses” • Unreasonable Invoicing/Payment Terms • Unreasonable Reporting Requirements • Key Personnel • Technical Direction • Unfair Termination • Export • etc. etc. etc.

  26. THANK YOU! QUESTIONS/COMMENTS?

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