April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals NCURA Region VI & VII Meeting Research Administration: Striving for

April 23, 2007 1:30pmWhat is Research Administration?

A Primer for IT Professionals

NCURA Region VI & VII MeetingResearch Administration:

Striving for Gold at the SummitApril 22 – 25, 2007

Park City, Utah

“What is Research Administration?A Primer for IT Professionals”



Speakers

Kevon Balls

Project Director

University of Utah

Administrative Computing Services

[email protected]

Terri Pianka

Manager

University of Utah

College of [email protected]



University of Utah ~ $300 million externally sponsored

research and development 29,000 students 15,000 faculty and staff 1,297 research labs; 48 instruction labs



Topics of Discussion

I. What is Research Administration?

II. Common Terms

III. Organizational Components and Service Highlights

IV. Lifecycle of a Sponsored Project

V. Pre- and Post-Award Processes

VI. Technical Systems



What is Research Administration? “Research administration is the support

required for success on research programs.” Research Administration and Management, Kulakowski and Chronister, 2006

Researcher

Research

Administrator

Institution Sponsor



Common Terms Sponsored projects

Programs and projects financed by Federal and non-Federal agencies and organizations, with obligated deliverables in return

Includes contracts, grants, cooperative agreements, and other types of agreements

Activities include research, sponsored instructions, health service projects, community service projects, and clinical trials



Common Terms Contract

A bilateral agreement that outlines the performance of work and compensation the institution will receive for that work

Very specific as to scope of work Outlines ownership of inventions, publication

rights, and disclosure rights



Common Terms Departmental Administrator – DA

Assists research with the day to day functions of running a research lab

Assists with the preparation of grants applications or review of contracts

Assists with financial administrative duties Electronic Research Administration – eRA

Paperless research administration All processes are conducted electronically



Common Terms Facilities & Administration – F&A

Also referred to as overhead costs Costs incurred for common or joint objectives that

cannot be readily attributed to a particular sponsored project

Includes depreciation and use allowances, general administration and general expenses, sponsored projects administration expenses, operation and maintenance expenses, library expenses, departmental administration expenses, and student administration and services



Common Terms Financial Status Report – FSR

Line item report sent to the sponsoring agency detailing how their money was spent and how much has been spent

Fiscal Year – FY A one year accounting period for an institution Generally runs Jul 1 to Jun 30 for educational

institutions Runs Oct 1 to Sep 30 for federal gov’t



Common Terms Grant

A unilateral agreement where a sponsor provides funding for a research or service project

Less specific as to scope of work Allows more flexibility on use of funds

Grants.gov Central source for all federal agencies Find federal grant opportunities Apply to federal agencies



Common Terms Intellectual Property - IP

“In law, intellectual property (IP) is an umbrella term for various legal entitlements which attach to certain names, written and recorded media, and inventions. The holders of these legal entitlements are generally entitled to exercise various exclusive rights in relation to the subject matter of the IP. The term intellectual property reflects the idea that this subject matter is the product of the mind or the intellect, though the term is a matter of some controversy.” Wikipedia, http://en.wikipedia.org/wiki/Intellectual_property



Common Terms Principal Investigator or Project Director –

PI or PD Conducts the research or oversees the service

for which sponsor funding was provided Manages the technical and programmatic

aspects of a project Manages physical and logistical aspects of a

project Exercises fiscal control of the project



Common Terms Assures regulatory compliance for the project Completes all technical reports and closing

reports Discloses intellectual property

Program Announcement – PA A formal announcement by a sponsor of a

funding program Program has broad guidelines



Common Terms Request for Application or Proposal – RFA

or RFP An announcement by sponsor of specific funding

opportunity Generally narrow in scope

Sponsored Projects Officer or Administrator – SPO or SPA Works in Sponsored Projects Office Liaison between institution and sponsor



Organizational Components Research Administration Offices

Conflict of Interest - CoI Institutional Review Board – IRB Institutional Animal Care & Use Committee

– IACUC Radiological Health or Radiological Safety

Office - RSO Research Integrity



Organizational Components Office of Sponsored Projects (Programs) –

OSP or Office of Sponsored Research – OSR Grants & Contracts Accounting - GCA Research Education



Organizational Components Conflict of Interest

Federal government requires disclosure prior to submission of a grant application

Many researchers transfer technology to private companies for use by the population

Committee reviews private interests against research to be performed

Determines whether or not a management plan is required



Organizational Components Institutional Review Board

Responsible to ensure that research is conducted ethically, that participants’ rights are protected, that risks are minimized, and there are benefits to participants and/or society

Committee that reviews all research projects that involve any human subjects, including surveys

Audits all studies to ensure protocol being followed Any institution conducting research involving human

subjects MUST have oversight by an IRB Reports to Department of Health and Human Services



Organizational Components Institutional Animal Care & Use Committee

Responsible for the oversight of research involving vertebrate animals

Provide guidance for the care and use of laboratory animals

Committee reviews and approves applications for the use of animals

Animal safety officers regularly visit labs and check on the animals

Reports to U.S. Department of Agriculture



Organizational Components Radiological Health

Oversee the use of radiation on humans, animals or in the laboratory

Provide training and authorize people to use radiation or order radiologic materials

Committee reviews applications for the use of radiologic materials

Inspect facilities on campus Reports to U.S. Nuclear Regulatory Commission



Organizational Components Research Integrity

Educates faculty and staff on the proper conduct of research

Investigates allegations of research misconduct Coordinates the education of students regarding

ethics in their field of study Reports to Dept. of Health and Human Services



Organizational Components Office of Sponsored Projects, Programs or

Research Identifies and matches funding opportunities to

faculty and resources Reviews all proposals prior to submission for

accuracy, correctness, legal sufficiency and in consideration of agency funding requirements, institutional and sponsor policies and practice

Assists faculty in preparing grant applications



Organizational Components Negotiates the terms and conditions of grant

awards and contracts with sponsors Acts as the institution’s authorized representative

and signatory for all sponsored projects and programs

Coordinates activity with other research administration units at the institution

Manages projects and programs as needed to meet institution obligations to sponsors



Organizational Components Maintain a sponsored project database for

proposals, awards, and other relevant information to provide institution management

Some offices perform the post-award accounting function, or

Sends award information to accounting office for the establishment of spending accounts



Organizational Components Conducts or participates in training for institution

researchers and staff regarding the policies, compliance issues, procedures, proposal improvement and agency specific issues

Reports to Vice-President for Research or Institutional Advancement



Organizational Components Grants & Contracts Accounting or

Research Accounting Reviews all expenditures on sponsored projects

for adherence and appropriateness to federal and agency guidelines

Some perform all post-award negotiations with sponsoring agencies

Files financial reports with sponsoring agencies per their guidelines



Organizational Components Maintains financial database for faculty and staff Reports to PIs on the financial status of their

projects Often tracks institutional assets (computer

equipment, lab equipment), especially those purchased with sponsor funds

Reports to Vice-President for Research or Vice-President for Financial Services



Organizational Components Research Education

Facilitates a trained workforce in research administration supporting the mission of the institution

Provides coordinated education and training programs which assist faculty and staff in the management of research activities

Promotes compliance and research integrity at the institution

Reports to Vice-President for Research Sometimes located within OSP



Lifecycle of a Sponsored ProjectPI wants to

submit a proposal

PI and staff prepareapplications and institutional

documents •OSP forms•IRB applications•IACUC applications

PI submits documents for institutional approvals and forward to OSP for review

OSP reviews application, makes appropriate

revisions and submits to sponsor

Sponsor sends award letter or declination letter to PI and OSP

OSP verifies all approvals have been received then sets up spending account for PI

PI performs research or service and submits financial and technical

reports through post-award office

PI and post-award office close out project once

completed



Pre-Award Processes PI prepares application package and internal

approval forms and delivers to OSP. This includes: Original signature page or electronic file Research or Work Plan Budget and budget justification Certification or assurance pages Approval forms with Chair and Deans signatures CoI Number



Pre-Award Processes If applicable, also submit:

Sponsor and program guidelines or applicable web address.

Copies of relevant compliance documentation.

PI may work collaboratively with OSP to develop their proposal



Pre-Award Processes Internal routing form:

Summarizes content of the proposal/contract application for deans, chairs and OSP

Alerts PI to other regulatory issues and offices Contents

General Information Compliance Questions University Resources Signatures



Pre-Award Processes PI Signature

“I certify that the statements herein are true, complete and accurate to the best of my knowledge, and accept the obligation to comply with Public Health Services terms and conditions if a grant is awarded as a result of this application. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties.”



Pre-Award Processes Dean and Department Chair Signatures:

Verify applicant is eligible to be PI Verify PI has the knowledge, time and ability to complete

the scope of work Responsible if Principal Investigator is not able, capable,

or willing Confirm resources, space, equipment, and support Conflict of Interest Cost Sharing or Matching Over-Expenditures / Non-Payment



Pre-Award Processes OSP Reviews application or contract for:

Compliance with sponsoring agency’s policies and guidelines

Compliance with institution policies and guidelines Appropriateness of budget

Calculations Conforms to agency requirements Verify for allowable costs, salary cap, appropriate

charges, and appropriate F&A costs



Pre-Award Processes Appropriate application forms that are correctly

completed All required information has been provided by PI

After review and/or negotiation is completed, OSP will provide institutional signature or complete electronic submission This signature legally binds the institution



Pre-Award Processes OSP and PI submit proposal

Electronically Uploads and electronically signs application, or PI uploads application and OSP electronically signs, or PI uploads application and submits directly

Paper OSP signs sponsor cover page or “face page” Returns to PI who sends to sponsor, or Mails application to sponsor



Pre-Award Processes Contract – OSP negotiates terms with sponsor Application reviewed by sponsor

Can take 2 weeks to 10 months

While application is being reviewed or negotiation is taking place PI will process applications to other research

administration offices such as IRB, IACUC Forwards those approvals to OSP once received



Post-Award Processes Congratulations! PI receives award letter

OSP or Post-Award Office or Grants & Contracts Accounting

Reviews terms and negotiates with sponsor if necessary

Verifies dates of performance for the award Gets final approval from PI to accept award Establishes internal account for spending and

reporting purposes



Post-Award Processes Grants & Contracts Accounting

Reviews all expenditures being charged to award Adherence to agency spending policies Adherence to institution spending policies Sufficient funds exist

Performs billing and receivables function with sponsoring agency

Submits FSR to sponsor Verifies technical report has been submitted by

PI



Post-Award Processes OSP or Post-Award Office or Grants &

Contracts Accounting Performs close-out functions

Final technical and financial reports Property status reports Intellectual property reports Closes internal spending account



Technical Systems PeopleSoft – owned by Oracle

Enterprise Service Automation – grants and project administration

Financial Management – asset and financial management, government portal

Campus Solutions – student administration Human Capital Management – human resources

and payroll



Technical Systems Banner – owned by Sungard Higher

Education Advancement Finance Financial Aid Human Resources Performance Reporting Student



Technical Systems InfoEd

Pre & Post Award – proposal development and tracking, project management, time & effort

Compliance Systems – IRB, IACUC, radiation safety

Clinical Trials – data collection, tracking adverse events, regulatory compliance

Tech Transfer – inventors, patents, key dates, expenses and royalties



Technical Systems iRIS – integrated Research Information

System Study Management Review Board Management Compliance Management Grant & Contract Management Financial Management



Technical Systems ClickCommerce – eResearch Portal

Software IRB CoI IACUC Grants & Contracts Management SF424 eSubmission Level of Effort Management Clinical Trials Management



Technical Systems Many institutions use a variety of software

platforms University of Utah

PeopleSoft – Student services, financial aid, human resources, financial management, grants

eProposal – web-based proposal submission site ERICA – Electronic Research Integrity &

Compliance Administration for CoI and IRB IACUC – Word documents submitted

electronically



Technical Systems Challenges

Can make process more confusing and difficult for PIs and their staff

Difficult for PI hardware to perform properly across a variety of applications

Often does not support non-Windows based systems



Technical Systems What would be ideal?

One system to manage all functions Transparent portal

PI can access all eRA needs and applications at one site

Must work across a variety of platforms



Thank you! Questions?

Documents

April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals NCURA Region VI & VII Meeting Research Administration: Striving for