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NCURA Fundamentals 2.2b: Project Management

NCURA Fundamentals - Project Management
by

David Mayo

on 4 September 2017

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Transcript of NCURA Fundamentals 2.2b: Project Management

Sponsored Project Management
Split Administration
Associate Vice President
Director
Associate
Director
Senior
Administrator
Administrator
New
Administrator
Serves as
institutional signature authority
Oversees
proposal submissions
Manages
award negotiation
Responsible for
invoicing and collections
Maintains
regulatory compliance
Manages the
research information systems
VP
Research
Proposal
Submission

Research
Compliance
Technology
Management
Limited
Submissions
Pre-Award
Vice President
for Finance
Masters Degree typically required, Ph.D. is preferred
At least 10 years of research administrative experience
Capacity to interpret new regulations and formulate institutional policies
Demonstrated capacity to represent the institution at the national level
An advanced degree preferred
A combination of education or experience equal to or exceeding 10 years
Excellent customer service and negotiation skills
Thorough knowledge of polices and procedures
An advanced degree preferred
At least 5 years of research administrative experience
Excellent negotiation skills
Capacity to manage and supervise a working team
Bachelors degree preferred
Demonstrated efficiency in administration of complex contracts
Familiarity with federal and non-federal regulations
Capacity to work autonomously but within a team environment
Bachelor's degree preferred.
At least 3 years of research administrative experience
Demonstrated capacity to negotiate awards in a timely manner
Familiarity with handling industrial negotiations
Bachelor's degree preferred
Familiarity with sponsored terms
Displays capacity to perform under deadline
Displays capacity for customer service
Minimum
$150,000
Minimum
$110,000
Minimum
$90,000
Minimum
$80,000
Minimum
$60,000
Minimum
$50,000
Pay
Position
Vice President
for Research
Ph.D. is required
Typically Full Professor
Significant sponsored research funding from a variety of sponsors
Demonstrated capacity to grow the institutional research base
Minimum
$200,000
Research Systems
Vice President for Research
Associate Vice President for Research
Director
Associate Director
Senior Administrator
Administrator
New Administrator
Description
Characteristics of awards supporting sponsored projects
Role

versus

Responsibility

The majority of
funding is via Grants
Award
Negotiation
The field of Sponsored Project Administration can be categorized into two areas:
Pre-Award
and
Post-Award
Functions
are often
split
between two administrative areas:

Office of Sponsored Research
Grants Accounting
VP
Finance
Accounts
Receivables
Research
Accounting
Property and
Inventory Control
Treasurer
Payroll
Institutional
Reporting
Post-Award
Regardless of your institutional structure,
typically there are but a few key
sponsored project administrative offices.

Research Accounting
Office of Sponsored Programs
Contracts and Grants
These offices serve as the primary institutional interface with the investigators and the sponsors.
Institutional Signature Authority
Many awards require the signature of an authorized institutional official to formally accept the terms and conditions of the award. These may include university agreements for sponsored support, patent or copyright licenses, biomaterials, equipment loans, material transfers, and clinical trials. These agreements
bind the institution
to certain obligations and, as such, can be signed only by those who have delegated signature authority from the
institution (e.g., board of trustees)
.
These offices perform
the following
fundamental functions:

Proposal Submissions
Faculty and departmental administrators work in conjunction with the Pre-Award office to prepare a proposal in response to the sponsor's solicitation or request for proposal. The Pre-Award office then reviews the proposal to ensure that the project has an acceptable
description of work
and a corresponding, auditable
budget estimate
with itemized justification. The office will
officially submit
the proposal once satisfied the proposal meets institutional and sponsor requirements.
Award Negotiation
When a sponsor awards funding to an institution, the institution will then
review the award
to confirm that it matches the proposal and any agreed upon changes (e.g. budget revisions, statement of work, etc), and that the
terms and conditions
are in agreement with
institutional policy and principles
. Any requirements, contained in the agreement but not addressed in the proposal, will be reviewed with the investigator(s) to ensure they are acceptable. The terms of the agreement
may require negotiation
in order to allow for institutional acceptance of the award.
Invoicing and Collections
Every sponsored project will include terms defining how the sponsor will pay the institution for the research. These terms are commonly referred to as a
payment schedule
and will define the
invoicing format
,
frequency
, and any special instructions. The institutional accounting offices will review the expenses to ensure institutional and sponsor compliance and then
invoice
and
collect
from the sponsor all revenue owed.
Regulatory Compliance
Award recipients are required to maintain sponsor, institutional, or government regulatory compliance throughout the lifecycle of a sponsored project. Compliance is often defined as
financial
and
non-financial
. Financial involves ensuring costs are
allowable
and
allocable
while non-financial centers around issues such as the
use of humans
and
animals
on research projects. Dependent upon the size of your institution, regulatory compliance may be a separate office that specializes in
pre-award
or
post-award compliance
functions.
Sponsored Information Systems
Managing a diverse sponsored portfolio requires
specialized services
and
software systems
that are not typically supported by routine business functions. Often these systems require
support offices
that understand the unique needs of institution and the investigators as well as the various sponsors.
Taken together, the various tasks will determine
an individual
sponsored project lifecycle

Time
Each sponsored award is unique and mutually exclusive of each other, requiring separate tracking and reporting structures.
Post-Award
Pre-Award
Combined Administration
OR
It is common for a large research institution to have
5,000
or more active awards at any one time.
PI/Chair Dean /Designee RSP
PI/Chair Dean /Designee RSP
PI/Chair Dean /Designee RSP
PI/Chair Dean /Designee RSP
PI/Chair Dean /Designee RSP
The Structure of your Institution is dependent upon the following factors:
Culture
Charter
Mission
Scale
Resources

Questions?
Awards can be categorized as a gift, grant, or contract.
ABCD Foundation
1234 World Drive
New York, NY 123456
Dear Recipient,

Congratulations on the receipt of an ABCD Foundation award in the amount of $35,000. The enclosed check is to support Dr. John Smith for his work on nanomaterials. In return, we ask that your institution counter- sign this letter accepting our award terms as outlined at www.ABCD.org.

Congratulations on this award!

Sincerely,


Executive Director
Bradley Pitt
Some institutions have clearly defined roles and responsibilities for the investigator, dean/department chair, and the sponsored projects office.
The investigator is responsible for writing the proposal while the research office is responsible for submitting the proposal.
The research administrative office accepts the award terms but the investigator is responsible for agreeing to the technical performance requirements.
The vast majority of awards to universities arrive as grants. This is especially true of government funded and non-profit-funded research projects.
Non-government funding may arrive as a gift, grant, or contract, and it is sometimes difficult to determine the classification of the award.
Is it a gift, grant, or contract?
What questions would you ask?
Why is it important to classify the award properly?
Notice there are no Gifts
; government funding is never provided in the form of a gift
Example
Vice President
for Research
PRE AWARD
POST AWARD
Find
Funding
Proposal
Development
Proposal
Submission
Award
Negotiation
Project
Setup
Award
Closeout
Award
Management
Establish
Budget
Invoice
Sponsor
Over time, formal structures have been created to manage institutional sponsored portfolios. Below is a typical
U.S. Academic Research Administrative Career Ladder

Pre-Award
Post-Award
Shared
Responsibility

Investigator
Pre-Award
Department
Post-Award
Take the largest U.S. funding agency - the National Institutes of Health as an example:
Full transcript