INTRODUCTION TO RESEARCH ADMINISTRATION

Graduate School Advisory Council

April 29, 2011

Randall Draper, Ph.D.DirectorOffice of Contracts and GrantsOffice 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 or detailed technical reports.

• 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 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

GIFTSo Private Purposeo Discretionary/No Strings Attached (Courtesies)o CU Foundation

GRANTSo Public Purposeo Always Restricted/Always Strings (Provisions)o Assistance o OCG

CONTRACTS/SUBCONTRACTSo Government Purposeo Restricted and Binding (Terms and Conditions)o Procuremento 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 AWARDS AND EXPENDITURES THROUGH FY 2010FY 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

Fiscal Years 2005 2006 2007 2008 2009 2010

NSF 46.7 40.0 43.9 48.0 60.3 77.9

NASA 44.5 48.4 46.9 54.4 73.6 111.3

DHHS 39.3 43.3 40.3 42.6 46.3 69.5

Commerce 26.5 31.9 33.2 38.1 36.5 77.2

Defense 11.4 13.3 10.0 17.9 12.5 15.8

All Others 21.4 16.8 20.4 21.0 23.9 23.8

Sub-Total 189.7 193.7 194.7 222.0 253.1 375.5

Flow Thru* 39.2 26.0 31.2 22.3 28.9 33.1

All Fed 228.9 219.7 225.9 244.3 282.0 408.6

Non-Fed* 28.7 36.8 40.2 35.7 57.7 45.8

Total 257.6 256.5 266.1 280.0 339.7 454.4

*JPL, NREL, STSI, Other Universities

* State of Colorado, Industry, Miscellaneous

FISCAL YEARS 2005 2006 2007 2008 2009 2010

Federal $190 $194 $195 $222 $253 $375

Federal Flow Through

$39 $26 $31 $22 $29 $33

Non-Federal $29 $37 $40 $36 $58 $46

$258 $257 $266 $280 $340 $454

Fiscal Year 2006 2007 2008 2009 2010 2011Estimated

Proposals 969 1,099 1,459 1,307 1,534 1,928

Awards 256.5 266.2 280.0 339.7 454.4 345

Expenses 259.0 258.7 258.7 282.5 330.9 386

Cost

Recovery51.4 53.6 56.2 62.0 73.2 80

AWARDS BY MAJOR RESEARCH UNITS ($M)AWARDS BY MAJOR RESEARCH UNITS ($M)

Fiscal Years 2006 2007 2008 2009 2010 5 Year

Average

Business 3.1 3.0 2.4 3.6 4.4 3.3

Education 4.9 3.2 5.3 6.3 7.9 5.5

Arts & Sciences

64.8 (25%)

68.0 (26%)

70.1 (25%)

79.5(23%)

93.0(20%)

75.1

Engineering 34.8 (14%)

40.3 (15%)

42.9 (15%)

57.7(17%)

65.8(14%)

48.3

Institutes 144.2 (56%)

144.9 (54%)

152.3 (54%)

187.2(55.1)

273.0(60%)

180.3

Others 4.6 6.7 7.1 5.4 10.3 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!

Randy DraperDirector (1.0)

Chandra TjandrasaProgram

Assistant (1.0)

PRE-AWARD DATAMANAGEMENT

POST-AWARD

Joyce KrollAssistant Director (1.0)

Jennifer WardAssistant Director (1.0)

Johanna Eagan Award Processing Work Leader (1.0)

Roger McCormickCoordinator (1.0)

Stefan ReissProposal

Analyst (1.0)

Juliana ZuccaroProposal

Analyst (1.0)

Patti YoungSr. Contract /Grant Administrator(1.0)

Joan EatonProposal

Analyst (1.0)

James UhesContract/Grant

Administrator (1.0)

Rachelle RichmondContract/Grant

Administrator (1.0)

Lori LafonContract/Grant

Administrator (1.0)

Amanda ToddAward

Processor (1.0)

Ted JobeProperty/Travel Specialist (1.0)

Virginia HartContract/Grant

Administrator Ret.

Jan FarrarReports

Administrator(1.0)

Lyn MillikenData

Supervisor (1.0)

Betsy Williams (1.0)Miranda Lowe (.5)

Temporary

Kathy LorenziAssociate

Director (1.0)

Anselmo SerralheiroProposal

Analyst (1.0)

Loretta NegreteContract/Grant

Administrator Ret.

Brian RogersProposal

Analyst (1.0)

Lisa TedescoProposal

Analyst (.75)

Rosie AllenAward

Processor (1.0)

Meagan TaylorAward

Processor (1.0)

Mindy VallejosSubcontract

Administrator (1.0)

Denitta WardSubcontract Manager

(1.0)

Steve SheldonProposal

Analyst (1.0)

Office of Contracts and Grants

Organizational Chart

April 2011

SUBCONTRACT MANAGEMENT

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 Programso Introduction to Sponsored Projects

Administrationo Preparing/Submitting Proposalso Contracts and Subcontractso Property and Travelo Post-Award Administrationo Compliance Issues

Brown Bag Lunches/Drop-In Discussions Department Administrator Breakfasts Newer Faculty Receptions/Meetings Department Meetings

Office of the Vice Chancellor for Researcho Cost Sharing/F&A Waiverso Export Lawso Conflict of Interesto 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/DisclosureIntellectual PropertyPerformance PenaltiesState of Colorado Provisions

o Indemnificationo Liability/Insuranceo State Law

“Annoying Clauses”

Unreasonable Invoicing/Payment TermsUnreasonable Reporting RequirementsKey PersonnelTechnical DirectionUnfair TerminationExport

o etc. etc. etc.

THANK YOU!

QUESTIONS/COMMENTS?