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Copy of Introduction to UIUC Research Administration

Introduction to UIUC Research Administration
by

David Richardson

on 19 August 2014

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Transcript of Copy of Introduction to UIUC Research Administration

Failure to submit
financial

or
technical reports
may impact more than the project in question.
Expenditures should be
allowable
,
allocable
, and
consistent
with university policy. If not, sponsors may disallow the costs. The burden of such disallowances falls on the college and/or department.
Non-Financial approved protocols are required if the project involves
human
or
animal

subject

research
,
biohazards
,
radioisotopes
,
export

compliance
, or a significant
financial interest
.

When the agreement is
fully executed
(i.e., signed by all parties), an account is setup in the Banner financial system. The Grants and Contracts Office releases the account number.

Federally-funded projects are subject to
cost principles
and
administrative

requirements
specified in the
OMB

Circulars A-21, A-110, & A-133
. Federal contracts are subject to the
Federal Acquisition Regulations
(FAR).
Faculty members may sometimes send a “
white paper
” to a colleague of theirs at a funding agency. White papers are not considered formal proposals, and any budget submitted with a white paper should be marked “
draft
.”
The format of the proposal is normally specified by the funding solicitation, but a typical proposal includes a
narrative
and a
budget
, at the very least. The narrative is also sometimes referred to as the
scope of work
.
A few projects require detailed financial reporting at the end of the project. Some even require a
program

audit
of the funds. Most projects at Penn State do not require project-specific audits, because Penn State conducts a university-wide audit pursuant to the Single Audit Act. These audit requirements are described in
OMB

Circular

A-133
.
Major changes to project personnel, work scope, or period of performance almost always require the
prior approval
of the sponsor.
Some sponsors provide a lot of flexibility for
rebudgeting
, but other sponsors reserve the right to reject or approve any proposed
budget

revisions
.
It is important for the college and departmental administrators to
review

the

terms

and

conditions
to make sure the agreement is followed. For example, some sponsors may prohibit procurement of equipment.
When agreements include inappropriate terms, the contract negotiator must negotiate better terms. If such negotiation is unsuccessful, it may be necessary to
reject

the

agreement
.
TRUE

or
FALSE
UIUC Investigators have the authority to submit proposals directly to sponsor.
22
RESULTS
?
Investigator
Submission Deadlines
Proposals shall be submitted within 5 days of deadline
You are lucky that I'm even submitting a proposal
Help!
Institution
An investigator informs you that she needs to secure the specialized services of a consultant on her NIH funded project.
How do you respond?
An investigator overspends his NSF account by $13.24 and seeks your assistance in reconciling the account.
How would you handle the reconciliation?
Score of 1 to 3
Rigid adherence to policy and procedures.
Word of warning, you may be a sadist.
What kind of Research Administrator are you
An investigator informs you that she has a potential conflict of interest on a pending award from the U.S. Department of Energy.
The award is expected to arrive any day.
Do perspectives change as you move along the scale of administration?
Institutional
Department
College
Lab
Science
Compliance
Service
1.

You ask her if the consultant was listed in the original award. If not, you inform her that she is out of luck and she should have justified this at the time of the proposal submission. To reinforce your position, you email, leave a voice mail, and personally stop by her office to tell her in-person that she should have included the consultant at submission time.

2.
You review the award to determine if the consultant was listed in the original award. If yes, then all is well and she may move forward with establishing the consultant agreement in accordance with university policy. If no, you inform her that approval is needed from NIH and that you will assist in securing the approval.

3.
You inform her that this will not be a problem for NIH expects things like this to happen and your institution is more than happy to have her secure the services of the consultant on general funds. Once the consultant has completed the job, you will just journal voucher the charges onto the NIH project and all is well.
1.
Transfer the overspent amount to the investigator's departmental funds and fire off a letter of reprimand, being sure to copy the department head, informing the investigator of his misdeed and indicating that this can never happen again.

2.
Transfer the small amount overspent to the department's returned overhead funding thereby reconciling the account to zero and allowing the account to be closed.

3.

Tell the investigator that you will pick another one of his active projects and transfer the cost overun to the project that has the most money.
1.
You inform her that she should call the sponsor immediately to stop the award process. In addition, you take the liberty of calling the conflict of interest committee chair to see to it that the conflict is thoroughly investigated. You inform the investigator that she will be hearing from the conflict of interest committee chair.

2.
You ask the investigator if the potential conflict was disclosed at the time of the proposal submission. If yes, you ask if the conflict was reviewed and determined to be significant enough to warrant further steps by the institutional conflict of interest committee. If yes, you confirm a mitigation plan is on file and inform the investigator that unless something has changed since the proposal submission, all is well.

3.

You inform the investigator to not worry about it since conflicts happen all the time and especially to faculty who are great at bringing home the bacon!
Score of 4 to 6
Advocates flexibility within reason. You are pragmatist that advocates practicality over theory.
Score of 7 to 9
Views policies as a necessary evil. Make sure you have a defense lawyer on retainer!
Maintaining
Compliance
is the highest priority at the institutional level.
The
Science
is the prime focus at the investigator level.
Maintaining a high level of
Service
is mandatory at the department and lab level.
Investigator
Kaplan
The research administrator is frequently viewed as an impediment to the research but a
necessity for the organization
.
Conduct Research
Institution
CATCH
Maintain Organization
Investigator
Research
Administrator
?
How can you successfully administer different perspectives
Be accepting of multiple perspectives
Be consistent in your daily decisions
Demand process improvements
Communicate with your peers
Engage your research community
Envision yourself as part of the team
Kaplan
The Research Administrator can
never take credit
for the accomplishments within the organization but must always be ready to
receive the complaints
of those who feels he interferes with the accomplishment of these goals.
On any given day, UIUC has
5,000
active awards,
1,000
unique sponsors, and nearly
2,000
investigators,

engaged in sponsored
research
,

instruction
, or
outreach
.
Demographics
UIUC
Department
Investigator
Central
Being a Research Administrator is similar to being a
Cat Herder!
Norman Kaplan, Assistant Professor in the Department of Sociology and Anthropology, Cornell University in Administrative Science Quarterly, Vol. 4, No. 1, June, 1959
Good policies are required, but not what makes for good research administration.
Good administration is derived from well trained, empowered, and flexible staff.

David Richardson
Associate Vice President for Research, and
Director, Office of Sponsored Programs

Linda Learned
Associate Director
Office of Sponsored Programs
UIUC
Research Administration
Overview
?
What is a
research
administrator?
Demographics
What is a Research Administrator?
Perspectives
Lifecycle of a Sponsored Project
Roles and Responsibilities
Challenges and Opportunities
Overview
Find the Right Balance
Grant & Contract
Office
Technology
Management
Purchasing
Sponsor
Sponsored
Programs
General
Counsel
Governmetnal
Affairs
Research
Protections
Corporate
Relations
Business &
Finance
Property
Inventory
Graduate
School
Vice Chancellor
for Research
Risk
Management
UIUC
Investigator
Lifecycle
Time
Each sponsored project
has a unique
lifecycle
!
Demographics
"The
research administrator

is seen as a 'man in the middle,' caught between the frequently conflicting goals of the research scientist and the research organization. In his attempts to maintain controls (many of which may be required by 'higher authority') over the allocation and use of scarce resources of the organization, the administrator is the focal point for scientist's grumbling about 'red tape' and worse, unnecessary interference with research."
Perspectives
Research Administrator
Roles and Responsibilities
Challenges and Opportunities
Receives
Funding
Submits
Proposal
Negotiates
Award
Investigator
has a
eureka
moment!
(cc) image by nuonsolarteam on Flickr
Targets
Sponsor
Awards are made to
The

Board

of

Trustees
University of Illinois
.
The
dean

and

department

head
are responsible for ensuring the work scope is reasonable and feasible.
If a sponsor decides to fund UIUC, the sponsor will decide whether to issue a

gift
,

grant
, or

contract
.
PRE AWARD
POST AWARD
Find
Funding
Proposal
Development
Proposal
Submission
Award
Negotiation
Project
Setup
Award
Closeout
Award
Management
Establish
Budget
Invoice
Sponsor
Functional Responsibilities
are split between
Pre-Award

or
Post-Award
Award
Setup
Close
Out
Financial
Reporting
The lifecycle will be determined by the
award type
, the
sponsor
, and the
scope of work
.
The sponsor may be a
federal agency, corporation
,
foundation
, state agency, or a consortium.

Proposals are categorized as
solicited
or
unsolicited
. A solicited proposal is in response to a published request for proposals (
RFP
).
How many
proposals
does
UIUC submit a year?

a. Over
3,000
b. Over
4,000
c. Over
5,000
d. Over
6,000
The
Principal

Investigator

is responsible for ensuring that the scope of work and budget are in line.
The
central

contracting

office
is responsible for ensuring that the award is compliant.

Some agreements allow us to incur costs prior to execution of the agreement (“
pre-award costs
”).
Funding may be awarded in one lump sum for the entire
period of performance
or awarded one year at a time. Awards are established as either
cost reimburseable
or
fixed price
.
BEGIN
END
Technical
Reporting
Accounts
Receivables
Accounts Receivables
Period of Performance
Role
versus
Responsibility
Handout: Gift vs Grant vs Contract


Grow the sponsored portfolio in lieu of federal funding cuts.

Remain compliant with growing regulations and declining resources.

Reduce administrative burden on managing sponsored projects.

Increase funding from industry and foundations.

Evaluate processes and automate when applicable.

Develop centralized tools for managing portfolios.
Challenge
Opportunity
Questions?
Full transcript