Twila ReighleyAssistant Vice President of Research and Graduate Studies

Sponsored Programs Administration

Essentials of Research

Administration

1

Current and Foreseeable Future State

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Increasing proposals needed for same funding

Increasing demands on faculty

Increasing requirements from sponsors

Decreasing funding

Decreasing staff in many units

Decreasing time available for research

*Board Report Data

3

FY14 Award FundingTotal Awards: $528,039,904

NOTES: Award dollars are from the June 2014 Board of Trustees Report. The breakdown of Sponsor type is based on Federal Prime or Direct Sponsor. The first pie chart reflects the system of record. The smaller pie chart reflects the breakdown of sponsor type without Various Donors.

OSP=Office of Sponsored ProgramsBC=Business-CONNECTCGA=Contract and Grant Administration

4

Awards Administered through OSP/BC/CGA, $426M, 81%

Federal Government, $339M, 80%

Foundation, $20M, 5%

State of MI, $12M, 3%

Association, $11M, 2%

Industry, $27M, 6%

Other, $17M, 4%Awards Administered through Advancement,$102M, 19%

Awards Administered through OSP/BC/CGA, $426M, 81%

MSU’s Bolder (and Boldness) by Design

Strategic Imperative Number 4:

Increase research opportunities by significantly expanding research funding and involvement of graduate and

undergraduate students in research and scholarship.

5

Strategies from plan to get us there include:

Support Interdisciplinary research initiatives in key focus areas:

• Health and Biomedicine

• Environment

• Family

• Bioeconomy

• Plant Science

• Animal Science

• Nanotechnology

• Nanoscience

Expand and promote targeted research areas that support economic development

6

Direction from MSU’s Strategic Plan:

Engage in continuous assessment and improvement of policies, procedures, practices, and services that promote research activities

Increase support to faculty at the pre-award research stage

Expand use of advisory groups that include representative stakeholders (to monitor progress of research support and to provide input on stakeholder satisfaction)

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Sponsored Programs (OSP/CGA),Colleges and Departments

Team to Support Investigators

8

Why the ERA Certificate Series Matters:

Improve understanding, collaboration and teamwork between central, collegiate and departmental administrators to support faculty’s efforts and MSU’s research mission

Increase depth and breadth of staff knowledge on new and existing federal, state and university policies through five core and three elective classes.

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ERA Certificate Series

Replaced by

ERA

Thank you for participating in the Essentials of Research Administration

(ERA) series.

Thanks also to the session developers, presenters and leaders throughout the series.

Twila Reighleyreighley@osp.msu.edu

Appreciation also extended on behalf of Dr. Stephen Hsu, Vice President for Research and Graduate Studies

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Presented by: Katie Cook, Director

Office of Sponsored Programs (OSP)

TOPIC 1Overview of Research Administration and

Introduction to Units on Campus involved in Research Administration

Essentials of Research AdministrationCore 1

12

Find Funding

Proposal Preparation

Award Set-Up

Manage Award

Award Close-Out

What is Research Administration?

Research Administration is the management of the research and creative endeavor enterprise.

Goals of Research Administration:

Enhance the success of faculty and staff in obtaining external funding for research and creative endeavors.

To keep the University compliant with Sponsor and University requirements.

Research Administration Lifecycle:

13

What is a Research Administrator?

Administrative Staff at the University, College, Department, Division, Institute, Center, or other unit level may provide administrative support for all research and sponsored projects within that unit.

Research Administrator

Human Resources Department

Administration

Post-Award Administration

Service Centers

University Administration

Compliance Administration

(multiple offices)

Subrecipients/ Contractors

SponsorsPrincipal

Investigators

Research Associates and Grad Students

Payroll

University Accounting

Purchasing

College Administration

Pre-Award Administration

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MSU’s Research Infrastructure

15

Top federal funding agencies: 1. U.S. Department of Energy2. National Science Foundation (NSF)3. U.S. Department of Health and Human Services

(DHHS/NIH)

MSU's research breakthroughs improve life for people around the world. Examples: Cross-fertilization of corn in the 1870s Homogenization of milk in the 1930s Top-selling anticancer drug, Cisplatin, in the 1960s Development of materials in the 21st century for reducing

dependence on fossil fuels

MSU Facts about Research

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MSU Facts about Research

Home of the MSU AgBioResearch (formerly) Michigan Agricultural Experiment Station Funds the research of more than 300 scientists on campus 13 research centers across the state

Home of the National Superconducting Cyclotron Laboratory Premier rare isotope research facility in the nation

Site of Facility for Rare Isotope Beams (FRIB) Enable researchers from around the world to address

leading-edge questions in nuclear structure and astrophysics

Bring significant economic activity to Michigan

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MSU Finance Facts (June 2013–2014)

TOTAL REVENUE: $2.4 BILLION

Operating Revenues: $1,620 million (67%) Student Tuition and Fees: $753 million (31.2%)

Grants and Contracts: $389 million (16%)

Auxiliary Activities: $303 million (12.5%)

Other Operating Revenues: $175 million (7.3%)

Net Non-Operating & Other Revenues: $797 million (33%) Investments and Other Net Revenue: $289 million (12%) Federal Pell Grant Revenue: $37 million (1.5%) Gifts, Capital Grants, Additions to Permanent Endowments: $135 million

(5.6%) State/Capital Appropriations: $336 million (13.9%)

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Dean Offices Departments Faculty (Principal Investigators) Staff Office of Planning and Budgets (OPB)

Space/F&A distribution

Office of the Vice President of Research and Graduate Studies (OVPRGS) Office of Sponsored Programs (Pre-Award) Office of Research Facilitation and Dissemination Office of Regulatory Affairs (ORA) MSU Technologies MSU Business-CONNECT Office of Export Control and Trade Sanctions (ECTS)

Partners in the Enterprise

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Controller’s Office

Contract & Grant Administration (Post-Award)

Travel

Accounting & Voucher Processing

Payroll

Financial & Cost Analysis

Office of Risk Management & Insurance

University Services

Purchasing

Inventory Management

University Stores

Human Resources/Academic Human Resources

Office of the General Counsel

International Studies and Programs

Partners in the Enterprise

20

Office of the Vice President for Research and Graduate Studies (OVPRGS)

This office assists faculty in a number of ways:

Sets research expectations and directions

Promotes integrity in the research enterprise

Advocates for research and graduate education

Assists in administering certain funds made available from the MSU Foundation to provide:

Startup support for new faculty

Matching for external grants

Faculty seeking matching funds are advised to initiate discussions first with their department chairperson and college dean

Seed monies for new projects that have the potential to attract funds from outside sponsors

Maintains a website with information about conducting research at MSU and provides links to other sources of information about research activity

22

What does OSP do?

Reviews & approves proposals Negotiates agreements & accepts awards Advises faculty & staff about external funding agencies Liaison with funding agency prior to award/contract MSU’s Authorized Representative for sponsored projects

Office of Sponsored Programs (OSP)MSU’s Pre-Award OfficeMission Statement: Our mission is to provide superior pre-award support to faculty, staff, and the Contract & Grant Administration.

23

24

Contract & Grant Administration (CGA)

What does CGA do?

CGA monitors the award from account set up through close out/audit.

CGA is the post award/compliance office.

Advises faculty & staff about external agency regulations

The liaison with the sponsor for post award transactions including

amendments, prior approval requirements, progress reports, and other

inquiries

Mission Statement: A unit dedicated to superior post-award administration. Our mission is to support MSU's research and creative endeavors by providing timely, accurate, and courteous assistance to faculty and support staff with the financial and contractual administration of their grants, cooperative agreements, and contracts.

25

26

The Office of Regulatory Affairs' (ORA) goal is to promote the responsible conduct of research at MSU, to assure compliance with federal, state, and university regulations and policies on research and to serve as a campus resource for research ethics education materials and training.

ORA facilitates the research oversight processes in accordance with federal regulations to protect the rights and welfare of research subjects, to protect public & investigator health and safety, and to assure the proper execution of the research.

ORA’s Departments include: Animal Care Program Human Research Protection Program Environmental Health & Safety Institutional Stem Cell Research Committee Clinical Research Billing Compliance

http://www.ora.msu.edu/

Office of Regulatory Affairs (ORA)

27

Services Provided:

Grant writing assistance for approved cross-disciplinary, all-university, or multi-department proposals

Information regarding open grant competitions and RFPs http://resfacil.msu.edu http://www.vprgs.msu.edu/findfunding

Direct training and subventions for third-party training(e.g. Coffee Breaks)

Travel support for visits to federal and other grant officers for discussion of possible projects (typically matched by a college or department).

www.resfacil.msu.edu

Office of Research Facilitation& Dissemination

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Involved in:

Manages the university's extensive intellectual property portfolio, evaluating the commercial potential of each invention

Works with MSU researchers on the invention disclosure and technology transfer process

Protects inventions by filing patent applications Markets and licenses commercially viable technologies to large

corporations and small-to-mid-sized businesses Works with Spartan Innovations to launch start-up companies

based around MSU technologies Facilitates confidential disclosure and material transfer

agreements (CDA/MTA) http://www.technologies.msu.edu/

MSU Technologies

29

The Office of Export Control & Trade Sanctions is here to facilitate that MSU complies with all export control laws and to disseminate up to date information regarding this topic.

http://www.exportcontrols.msu.edu/

Office of Export Control and Trade Sanctions (ECTS)

30

MSU

Bu

sin

ess

-CO

NN

ECT

31

NETWORK for BUSINESS ENGAGEMENTA ONE-STOP Destination for Business, Industry, & Investor Engagement

Part of an integrated approach to University engagement with the private sector

32

A ONE-STOP Destination for Business, Industry, & Investor Engagement

Business-CONNECT’s vision for value creation

• PARTNERING:

Facilitate business partnerships that add value to both MSU and business partners, by providing a visible, accessible, and helpful portal.

• The Business-CONNECT office is:

• An advocate for the deal, acting to translate among the stakeholders.

• A one-stop shop, single portal, for business engagement

MSU Business-CONNECT

MSU Business-CONNECT

•Industry – MI, national, international

•Economic development organizations

•Industry organizations

•Investors – angel, venture capital

•Entrepreneurs

•MSU Alumni

Business Customer Base MSU Faculty, Administration, and Physical Resources

“Front Door”

“Concierge”

“Translator”

•Faculty: Expertise and Thought Leaders

•Technical Strengths

•Med: MDs, CVMs & patients

•High-Tech Equipment

•Knowledge of Funders

•Connections to Gov’t

•MSU Students & Alumni

A ONE-STOP Destination for Business, Industry, & Investor Engagement

34

External Business Partners

MSU Network

MSU Administration

and Policies

MSU Business ConnectConducting “Honest Broker”

negotiations that bring all viewpoints to the table

Ensure deals fit University policiesUnderstand what the business

really wants, and where there is room to negotiate. Explain MSU policies.

BUILD RELATIONSHIPS.

Understand faculty needs and necessary resources to deliver.

An honest broker in negotiations – an advocate for the deal

MSU Research Faculty,

Departments, Centers, Deans,

etc.

MSU Business-CONNECT

Business-CONNECT’s strategic objectives

• Facilitate rapid, high-quality customer connections with MSU research & services

• Enable two-way strategic communications with business customers

• Ensure timely completion of contractual negotiations between MSU and partner organizations

MSU Business-CONNECT

NETWORK for BUSINESS ENGAGEMENT

Business-CONNECT’s strategic objectives, cont.

• Align customer business goals with MSU’s

ability to deliver, assuring MSU policies and

objectives are not compromised

• Coordinate MSU - corporate relationships

with MSU’s Administration and the University

Advancement offices

MSU Business-CONNECT

NETWORK for BUSINESS ENGAGEMENT

MSU’s goal is to develop the whole relationship

• Get the graphic of partnership from Lucille

Awareness

•Career Fairs

•Interviews

Involvement

•Industry Affiliates

•Research Grants

•Internships

•Consortia

Support

•Research

•Workshops

•Support contracts

•Student Organizations

•Philanthropic

•Guest lectures

Sponsorship

•University Initiative Sponsorship

•Grad Student

•Collaborative Research

•Outreach

•Education proposals

Strategic Partner

•Executive sponsorship

•Joint partnerships

•State Education lobbying

•Major gifts

•Business development

Phase One Phase Two Phase Three Phase Four Phase Five

Traditional Engagement Holistic Engagement

Leve

l of

Enga

gem

en

t

Adapted from “The Collaboration Imperative: Universities and Industry as Partners in the 21st Century Knowledge Economy.” Wayne Johnson, VP Hewlett-Packard April 25, 2006

38

Network of MSU Deans, Chairs, Faculty, Organizations, & Consulting Partners

Charles HasemannExecutive Director

Stephen HsuVP Research

Marta PalmerExecutive Assistant

Brice NelsonAssociateDirector

Guangming HeInformation

Analyst

Jeff MyersAssociateDirector

MSU Business-CONNECT:

Tina RamosContract

Administrator

Randy SheetsSenior Contract

Manager

Charlene FortinContract

Accountant

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B-C:

Industry

SPONSORED RESEARCH

MSU-T:

Industry

INVENTIONS

OSP:

Gov & Found’n

GRANTS

Advancement:

Corp & Found’n

GIFTS

Thumbnail summary of MSU service offices:

WHO:

Works with whom?

DOING WHAT?

MSU Business-CONNECT

Part of an integrated approach to University engagement with the private sector

MSU Business-CONNECT: Part of an integrated

approach to University engagement with the private sector

MSU-T

Disclosures, patents, licenses

Business-CONNECT

Preserves rights during

research

How do these offices work

together?

INTELLECTUAL

PROPERTY

Advancement

Gifts

Business-CONNECT

Research

CORPORATE

RELATIONSHIP

Shared

contacts,

coordinated

approach

How do these offices work

together?

MSU Business-CONNECT

Part of an integrated approach to University engagement with the private sector

MSU Business-CONNECT

Which MSU office is responsible for handling my Pre-Award Proposal?

Question: Who is the direct sponsor?

(What entity will send checks to MSU?)

Industry*

Question: Who is the prime sponsor?

(Is the direct sponsor receiving the money from another organization?)

Any organization that is NOT the Federal Govt.

Business-CONNECT will handle your

proposal

No prime funder; the industrial sponsor is providing the funds.

Business-CONNECT will handle your

proposal

Federal Grant† (e.g. SBIR/STTR)

OSP will handle your proposal.

Federal Contract(e.g. SBIR/STTR)

OSP will handle your proposal.

Not Industry

OSP will handle your proposal.

† B-C will work with OSP on contracts for GOALIs and IUCRCs.

Business-CONNECT

• Corporate-sponsored Research and Testing Agreements

• Clinical Trials

OSP (Pre-award)

• Federal Grants and Contracts

• Foundation Grants

• Federal pass-through contracts – even through corporate channel (in cooperation with B-C)

CGA (Post-award)

• Account creation and compliance monitoring for all awards

MSU Business-CONNECT

Part of an integrated approach to University engagement with the private sector

www.osp.msu.eduINDUSTRY TAB

45

How do Business-CONNECT & MSU-T work together?

While MSU-T focuses on IP protection and licensing and Business-CONNECT focuses on SRA’s, we do our homework together.

Every licensing opportunity can lead to further research

investment

Every SRA involves a negotiation of licensing

terms

Market and patent research identify targets

for both licensing & sponsored research

MSU Business-CONNECT

Part of an integrated approach to University engagement with the private sector

How can you work with Business-CONNECT?• Start early. As soon as you are aware of a possibility of partnering with

industry, come to Business-CONNECT. Companies may need to move

fast; the sooner you get us involved, the better we can match that pace.

• Build relationships. MSU wants to build solid bridges to commercial

partners. Engage with colleagues in industry when you meet them; treat a

sponsored research project as a real partnership; follow through on

obligations.

• Protect MSU assets. Be aware of how your work can generate new

intellectual property. Work with Business-CONNECT and MSU-

Technologies by discussing any IP potential of your work. Again, start

early.

MSU Business-CONNECT

• Generate draft protocol (statement of work) and budget for both agreement and transmittal processes

• Start both processes in parallel – do this before you agree on budget with company

AGREEMENT Draft NegotiateExecute

(signature authority)

TRANSMITTAL Dept. College Review and acceptance

Export Control

CGA:

Account,

invoicing,

contract

compliance

MSU Business-CONNECT

The Process:

How can you work with Business-CONNECT?

Visit us at our web portal…

http://BusinessConnect.msu.edu

325 E. Grand River Ave., Suite 375East Lansing, Michigan 48823517-884-2370FAX: 517-884-2373

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50

Essentials of Research AdministrationCore 1

TOPIC 2Roles & Responsibilities and MSU’s External Funding

Approval Process

Presented by:Katie Cook, Director, OSP

Laura Johnston, Training Manager & Administrator, SPA

51

Agenda

Roles & Responsibilities

Signature Authority

Approval Process

eTransmittal Demonstration

Pitfalls of not having Approval

Additional Approvals Needed

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Roles and Responsibilities

Principal Investigator (PI)

The principal investigator is responsible for the sponsored project's overall programmatic and financial direction.

In that role, he/she must decide how best to allocate the available financial resources to successfully carry out the project activities, and may require the department's assistance with the routine paperwork associated with the obligation and expenditure of funds and in the regular review of the project's fiscal status.

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Roles and Responsibilities

Principal Investigator (PI)

The principal investigator is ultimately responsible to his or her departmental executive officer/ administrator for resolving in a timely manner any over-expenditures or unallowable costs that occur on a sponsored project.

The principal investigator assumes responsibility for project fiscal management; for adhering to all University, governmental, and sponsor certifications, policies, and regulations; and for reporting any inventions and/or financial conflicts of interest in accordance with prescribed University policies.

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Roles and Responsibilities

Research Administrator

A Research Administrator helps facilitate research or other creative endeavors for an entity by assisting faculty with the management of their sponsored projects so they are able to do the project.

It is essential that administrative staff maintain current knowledge of sponsor regulations and MSU policies and procedures related to sponsored projects management and research compliance.

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Roles and Responsibilities

Research Administrator may have some of the below

responsibilities :

Promote best practices in grant administration

Identify funding sources

Oversee compliance with funding agency regulations and standards

Ensure the timely submission of progress reports and closeout reports

Familiarize faculty with the guidelines and requirements of grant applications

Familiarize investigators and staff with the scientific and financial responsibilities of the grant

Provides proposal and budget templates

Helps the PI apply for grants or contracts, especially through assistance with budgets, forms, deadlines, approvals, and signatures

Takes part in reviewing applications, including the budgets, before they are submitted

Award review and negotiation 56

Roles and ResponsibilitiesCollege Dean’s Office

The College Dean’s Office is responsible for general oversight

of the sponsored activities conducted within the college.

This may include, but is not limited to:

Assuring that departments have adequate facilities and other resources for achieving project goals and objectives

Assuring that faculty time commitments on sponsored activities do not conflict with other departmental or University responsibilities

Monitoring departmental financial resources

Assuring that departments are complying with the various regulatory requirements of the sponsors and the University as they apply to sponsored activities.

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Roles and ResponsibilitiesOffice of Sponsored Programs (OSP)

The Office of Sponsored Programs is responsible for authorizing all projects to

external sponsors and to assist the PI, Department Staff, and College Staff

throughout the pre award process.

It is one of three units on campus legally authorized to submit proposals to

external sponsors, accept awards, and negotiate & sign agreements/contracts

(other 2 units: CGA & MSU Business-CONNECT). OSP also has the ability to

legally commit the University, on behalf of the Board of Trustees.

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Roles and ResponsibilitiesContract and Grant Administration (CGA)

Contract & Grant Administration is the unit responsible for all post-award

management & compliance related to MSU sponsored projects. CGA has also

been delegated signature authority, which allows them to legally commit the

University on behalf of the Board of Trustees.

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Signature Authority

What is Signature Authority?

Permission to execute documents on behalf of the University.

Why is Signature Authority needed at MSU?

It is needed to ensure compliance with University & Sponsor rules and to show that MSU is accepting the responsibilities of the document.

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Let’s do an eTransmittal!

61

Who can change a PI’s

overhead credit distribution

base and how is it done?

62

What happens with this data after the eTransmittal is approved by OSP? The information is stored in the Proposal Database.

Why is this important?

Database of record – used by PIs, Chairs, Deans and Provost;Shows credit and overhead distributions

Tool to see agency awards and F&A rates

Tool to find other MSU PIs (title search)

Provides history of proposal data

Human Subjects

Space needs

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Possible Pitfalls of NOT receiving correct approvals on proposals prior to submission

May have to request changes to proposal from Sponsor Chair or Dean may not support proposal, requiring withdrawal Chair or Dean may not pay for the cost share included in

proposal May not be able to accept the award or contract due to issues

in solicitation Will receive increased scrutiny on proposal from OSP due to

not following internal procedures Delays award set up or contract negotiation due to the

above, or we may not be able to accept the award at all!64

Possible Additional Approvals Needed

Limited Submission

Facilities & Administrative (F&A) Cost Waiver Approval

Who Can Submit a Proposal?

65

Limited Submission Approval Some funding opportunity announcements are designated as “Limited

Submission Programs”, which contain restrictions placed by the sponsor stipulating that the University can only submit a specified number of proposals for consideration for an award.

The Office of the Vice President of Research & Graduate Studies coordinates the internal screening and review process to determine which proposals can go forward on behalf of MSU. http://vprgs.msu.edu/institutionally-limited-application-procedure

Institutionally limited fellowships submitted by graduate students are managed by the graduate school. Please contact Karen Klomparens, kklompar@grd.msu.edu, for more information and to receive approval to move forward with an application.

66

MSU Limited Submission ProceduresProcedures to select applications for all (non-graduate student) limited

submission programs/announcements:

1. Announcements, including internal and external deadlines, will be posted to

vprgs.msu.edu/ILP.

2. Pre-proposals will be required for EACH limited submission program. Pre-

proposals must be submitted electronically to: limited@msu.edu.

3. Pre-proposals will be reviewed by an ad hoc review committee, and this

committee will make recommendations to the VPRGS regarding which

applications are allowed to go forward.

4. If a faculty member brings a limited submission opportunity to the attention

of the Office of Interdisciplinary Research and Internal Grants within 6 weeks

before the submission deadline, proposals will be submitted on a first come,

first serve basis. If the submission deadline is more than 6 weeks from

notification, a solicitation for pre-proposals will be distributed and handled as

described above.67

MSU Limited Submission Procedures

Structure of the Internal Pre-Proposal Application:

Cover page form that includes project title and list of investigators

3–5 page project summary

Two page curriculum vita for each PI

Total project budget estimate

Total project cost share estimate, if applicable

A letter of agreement to match from the lead department (if applicable)

Additional supporting information deemed relevant by investigator (not required)

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F & A Waiver Approval

When is a waiver required? Whenever a PI seeks to recover less Facilities and Administrative costs than the

rate identified in the funding announcement, approval from VPRGS is required.

At what point in the proposal process should I request a waiver?

A waiver must be obtained prior to the eTransmittal being processed by OSP.

It is advisable that the waiver be processed so that the PI can finalize her/his budget with the proper indirect cost rate prior to forwarding the transmittal for review and approval.

If the PI must process both the waiver request and the eTransmittal together, then he/she may wish to include two budgets. One budget can include the full indirect cost applicable to the sponsor, with a second budget reflecting project costs with the indirect cost rate if the waiver is approved.

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F & A Waiver Approval

What must be included in the F & A Waiver request memo?

What is being sought (e.g., reduction of indirect cost from 41% to 30%)

Support for the request. This support can include documentation from the potential sponsor.

Benefits MSU will derive by cost sharing on the project (note that if MSU does not recover its full indirect cost applicable to the project, the unreimbursed indirect cost will need to be funded by MSU). In short, a cost-benefit justification is needed.

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F & A Waiver Approval

Routing the F & A Waiver:

PI(s) draft the request and sign.

To the department (or equivalent) for consideration, recommendation, and signature.

To the college (or equivalent) for consideration, recommendation, and signature.

To the Office of the VP for Research and Graduate Studies for final determination.

http://www.cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMQA2ADUA

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Who may submit a proposal at MSU?

Regular faculty members and fixed-term faculty employees of the University with a rank of assistant professor and higher, may be identified as the sole or *co-principal investigator on proposals seeking support for a sponsored research, education, or service project.

Individuals holding other appointment titles, such as, research associates, specialists, postdoctoral fellows, or visiting, adjunct and clinical faculty, normally may submit proposals only as co-investigators/key personnel with a regular MSU faculty member. Upon approval by the appropriate department chairperson, college-level research associate dean, and the Office of the Vice President for Research and Graduate Studies (OVPRGS), these non-regular faculty may serve as principal investigators or co-principal investigators.

https://www.cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMQA2ADkA

*Principal Investigators & Co-Principal Investigators have equivalent responsibility for the proposal/project.72

Essentials of Research AdministrationCore 1

TOPIC 3The Research Policy Landscape

Presented by:Katie Cook, Director, OSP

Laura Johnston, Training Manager & Administrator, SPA

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Productivity

Wise investment of sponsor funds

Transparency

Public Benefit

Stewardship/integrity/compliance

Advancement of knowledge (Federal)

Economic development (State)

Sharing of information, protection of property and full recovery of costs (MSU)

Why are there policies?

74

Federal law, regulations, policy, guidance

MSU policy

State law, policy, guidance

Sponsor terms and conditions - Incorporated in award document

Layers of Regulations and Policies

75

Apply to federal awards

Often apply to non-federal awards

Can apply to all institutional activities

Federal Regulations

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Uniform Guidance (2 CFR 200) - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards

Describes F&A rate calculation

Defines allowable and unallowable costs

Describes federal and recipient audit responsibilities

Describes recipient’s responsibilities for subrecipients

Requires annual audits (generally accepted government auditing standards for entire operation)

And much more…

Office of Management & Budget

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MSU Faculty Handbook: http://www.hr.msu.edu/documents/facacadhandbooks/facultyhandbook/index.htm

Section VI. Research & Creative Endeavor

MSU Conflict of Interest Policy:

www.coi.msu.edu

MSU Manual of Business Procedures:

http://ctlr.msu.edu/combp/HTTOC.aspx

MSU Policy

*** KNOW MSU Policies ***

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MSU Federal Cost Policy:http://www.cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMQAzADQA

MSU Researcher Guide:https://ora.msu.edu/research

MSU Deadline Policy:https://cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMwAwADEA

MSU Policy (continued)

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MSU Proposal Deadline Policy: 10-6-3-1

Ten business days:

Notification of proposal (including

solicitation number when

applicable) should be sent to OSP.

Six businessdays:

Final budget should be

provided to OSP for review

Threebusiness days:

Final proposal and eTransmittal

should be provided to OSP for submission. If not, the proposal

is considered to be a “late” proposal.

One business day:

“Late” proposal becomes an “at-risk”

proposal/ needs Associate Research

Dean Approval before OSP review and submission of

proposal.

One business day:

OSP has committed to submit most

“on-time” proposals one day

before the deadline.

To view the published policy:https://cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMwAwADEA

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Potential Timeline to Support Proposal Deadline Policy

10 business days before:

Start draft eTransmittal

Provide solicitation to OSP

8 business days before:

Draft Budget and related narrative to OSP if review

wanted/needed

6 business days before:

Send Final Budget to OSPAdministratively complete

proposal Route eTransmittal (if concerned

about completion prior to three days)

Before 3 business days:

Final Proposal

Fully routed eTransmittal(in OSP’s queue)

1 business day before (or earlier):

OSP submits proposalSponsor Deadline

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Read the Award THOROUGHLY

Understand the Terms– FARs: Federal Acquisition Regulations incorporated?

https://www.acquisition.gov/far/loadmainre.html

– Review the Agency Grant Policy Manual or the Standard Terms that are incorporated

Use Reliable Advisors

Ask Questions

Sponsor Terms - The Award

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Essentials of Research AdministrationCore 1

TOPIC 4Award Process

Presented by:Twila Fisher Reighley

Assistant Vice President of Research and Graduate Studies84

Agenda

Award Funding Types

Award Process Overview

Negotiations

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Award Funding Types

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Types of Funding Types of Awards (Award Mechanism)

Who Processes

Gifts Gifts Primarily University Advancement (if research gifts, OSP/CGA also)

Sponsored Projects (Sponsored Programs)

Grants OSP

Cooperative Agreements OSP

Contracts (including Testing) OSP and Business-CONNECT (B-C)

FY11-FY14 Award Funding by Type

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NOTES: Award dollars consistent with the June 2014 Board of Trustees Report. Award Type distribution based on large sample.

What are defined as gifts at MSU?

Gifts are:

• Voluntary transfer of funds or property

• By a person or organization to MSU without compensation

• May be for a stated purpose, but no contractual requirements are imposed

• Do not include award or income from a governmental entity (i.e. federal, state, local government)

When giving a gift, a donor will NOT:

• Exercise control over the funds;

• Specify (more than generally) how the funds may be spent;

• Receive a direct tangible benefit from the gift (deliverable)

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What is a Sponsored Project?*

A sponsored project is:

• Funded by an external entity

• For a specific scope of work and/or purpose

• Generally benefits the public and/or sponsor.

The funding generally:

• Results from a proposal submitted by a faculty member and

• May address the specific need/mission of the sponsor.

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*Sponsored projects are also called sponsored programs.

What is a Sponsored Project? (continued)

A sponsored project may be funded through :

• Grant

• Cooperative agreement

• Contract

The sponsor may:

• Exercise control over the funds

• Specify how the funds may be spent

• Receive a direct, tangible benefit from the project (deliverable)

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All of the above funding mechanisms are binding agreements

Who Funds Sponsored Projects?

Federal government (NIH, NSF, USDA, DOE, USAID DOD)*

State and local governments (State of Michigan, Ingham County)

Foundations (Gates Foundation)

Non-profit organizations (American Cancer Society)

Industry (Ford Motor Company)

Foreign Organizations

*National Institutes of Health (NIH), National Science Foundation (NSF), United States Department of Agriculture (USDA), Department of Energy (DOE), U.S. Agency for International Development (USAID), Department of Defense (DOD)

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Characteristics/Indicators of a Sponsored Project Agreement:

An exchange of something of value.

The agreement is between the institution (MSU) and the sponsor.

The agreement is legally binding.

If signatures are required, authorized officials of both parties must sign.

Even if a signature is not required, MSU accepts the terms of the agreement once payment is accepted (and in some cases, when work starts).

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Grants*

Transfer a thing of value to a recipient to fulfill a public purpose of:

• support or

• stimulation

Substantial involvement of sponsor is not expected.

Example: NIH Grant to study a virus.

* Federal definition

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Cooperative Agreements

Transfer a thing of value to a recipient to fulfill a public purpose of:

• support or

• stimulation

Substantial involvement of Sponsor is expected.

Example: Department of Energy (DOE) Cooperative Agreement for FRIB

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Contracts The principal purpose is to acquire property or services

Major involvement of Sponsor is expected.

Sponsor directs the project with the terms of the contract.

Example: Funding from JPL/NASA* to build an instrument to go to Mars.

*Jet Propulsion Lab (JPL), National Aeronautics

and Space Administration (NASA)

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When Would a Contract be Considered a “Testing” or “Fee-for-Service” Agreement?*

MSU faculty work with industry partners to test

company innovations.

MSU researchers perform testing using sponsor-

created protocols.

Revenue is generally received as testing is

performed or when testing is completed.

Testing is pre-defined based on standard methods

•Does not include analysis or interpretation.

•Usually is funded through contracts and/or purchase orders.

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*Criteria is based on historical practice. It is anticipated that an update to the Manual of Business Procedures (MBP), Section 315: Gifts, Grants, and Contracts will be released in the foreseeable future.

Sponsor Restrictions/Involvement in Project

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Gifts Grants CooperativeAgreements

Contract

Spo

nso

r R

est

rict

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s/In

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Less

Mo

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1) eTransmittal approved and

proposal submitted

2) Stars Aligned3) Award

notification

5) Award reviewed

4) Determinefunding type

6) Negotiation

7) Work with appropriate parties

to resolve any award issues

8) All approvals in place including any compliance issues

resolved

9) Award accepted/ executed by both

parties

10) Assign project account number

11) Accepted by Board of Trustees

Sponsored Project Award Process Overview

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Award Process Overview

eTransmittal approved and proposal

submitted

Stars Aligned = decision by external entity to

fund

Award notification/notice of

intent to fund

Determination of funding type & award

mechanism

Process varies by type and mechanism

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Award Process Overview (continued)

Award reviewed by Office of Sponsored

Programs (OSP) or by Business-CONNECT (B-C)

if funds are from industry only

Negotiation (or confirmation)

OSP (BC) works with appropriate parties (at MSU and/or external entity) to resolve any

award issues

All approvals in place including any

compliance issues resolved

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Award Process Overview (continued)

Award accepted/executed by

both parties

Transferred to Contract and Grant

Administration (CGA) to assign project account number

Accepted by Board of Trustees

Avoid Delays in Award Processing Time

Complete proposals as per OSP Proposal

Preparation Guidelines

Forward award documents to OSP (or

B-C when industry only) immediately upon

receipt

Ascertain that all required approvals are

in place

Recognize that OSP should negotiate

directly with sponsor (unauthorized individuals

negotiating deals can create delays).

Timely communication and collaboration

Plan for negotiations to take time

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Negotiations and Common Contractual Issues

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Negotiations

Goal to obtain an executed agreement

Allow for changesNegotiations take

time

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Delays resulting

from:

Differing expectations

Increasing regulatory

requirements

Increasing desire to

increase net returns or

reduce risk on both sides

Increasing knowledge of potential

risks on both sides

Retirements: impact to

experience level in

negotiators (sponsor &

MSU)

Negotiations Take Teamwork to be Successful

OSP

(or B-C)

Provost Dean/ Chair

PI

Research Admin.

CGA

Other

MSUT

VPRGSCTSI

ExportControls

Regulatory Affairs

General Counsel

Risk Manage-

ment

Purchasing

Controller

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Negotiations Take Teamwork to be Successful (detail)

Office of the Provost

Dean/Chair

Principal Investigator (PI)

Research Administrator (College, Department, or Project level)

Risk Management and Insurance

Purchasing

Controller’s Office

Contract and Grant Administration (CGA)

Michigan State University Technologies (MSUT)

Vice President for Research and Graduate Studies (VPRGS)

Clinical and Translational Sciences Institute (CTSI)

Office of Export Controls and Trade Sanctions (ECTS)

Office of Regulatory Affairs (ORA)

Office of the General Counsel (OGC)

Other

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Office of Sponsored Programs (OSP)* reviews awards and facilitates communicationsamong MSU personnel as necessary, in order to negotiate and accept awards on behalf of MSU. Other advisors, players, and decision-makers in the MSU Team are:

*Business-CONNECT (B-C), serves the role described above for OSP if the negotiation is with industry and no federal funds are involved, e.g., direct award from Pfizer with no Federal funds would be handled by B-C. On the other hand, OSP handles award if U.S. Air Force has a contract with Boeing and Boeing sub-contracts to MSU for a portion of the work.

Contractual Language

Just a few words can have big

impacts.

Some award terms are generally

prohibited.

Other language may be accepted on a

case-by-case basis.

Facts and circumstances

can have differing impacts.

Graduate students versus employees.

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Intellectual property claim in Stanford v. Roche. Court gave

the language “do hereby assign” as taking precedence

over “agree to assign”.

Contractual Language and Other Matters that May Extend Negotiations and Delay Signature

Publication/ Dissemination

Restrictions

Intellectual Property

Ownership Rights

Export Controls and Related Restrictions

Participation Restrictions

Non-Compete Clauses

Governing Law Payment TermsApproval of Deliverables

Penalties ArbitrationTime and

Material or Labor Hour Contracts

Other

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Contact Information:Twila Fisher ReighleyAssistant Vice President of Research and Graduate Studiesreighley@osp.msu.edu517-884-4163

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Thank you for participating!

Questions?

Presented by: MaryJo Banasik, JD, CRA

Research Administration ManagerCollege of Veterinary Medicine

TOPIC 5Allocating F & A Credit

Essentials of Research AdministrationCore 1

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What is F & A Credit?

F & A is the acronym for Facilities and Administration. A common name for this is indirect costs.

At MSU, 10% of the total F & A recovered is returned to the colleges and 10% is returned to the departments. Each are split according to the credit on the eTransmittal.

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University Guidance on F & A Allocation

• In 2009, the Provost’s office issued a memo based on the recommendations of a task force charged with developing a university-wide policy on F & A allocation.

The memo is available on the OSP website:

https://www.osp.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD

0AMQA2ADUA#GeneralInformation

(Scroll to the bottom of the page IDC Provost Memo)

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The Recommended Formula

IDC Task Force developed a distribution formula that was incorporated into the eTransmittal which performs the calculation.

College Credit

10% of the F & A total is allocated to the colleges by academic appointment of the participating faculty.

Unit Credit

10% of F & A credit is allocated to the units using a combination of academic appointment, post-award grant administration, and space considerations.

The remaining 80% of F & A is retained by central administration.

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Example of Relative Commitment Calculation

Faculty A, Faculty B, and Faculty C are working together on a research proposal for a two year project.

Their effort in person months according to the budget justification is as follows:

Relative Commitment =

Year 1 Year 2 Total Effort eTransmittal Credit

Faculty A 2.4 2.4 4.8 4.8/9.6 = 50%

Faculty B 1.2 1.2 2.4 2.4/9.6 = 25%

Faculty C 1.2 1.2 2.4 2.4/9.6 = 25%

Combined Total Effort: 9.6

The relative commitment calculation is a starting point for determining the overhead split. Ultimately, the final numbers are at the discretion of the PI. However, credit that is disproportionate to the relative commitment of faculty on the proposal may cause delays during the review and approval process if units or colleges do not agree with the split.

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Enter Credit on the eTransmittal

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Don’t forget to select a space profile if applicable.

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The Post-Award/Bookkeeping Unit Matters!

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The F & A Credit Allocation Translates to Real Dollars

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Questions?

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