1 John Carfora, Ed.D. Cand. Director, Research Administration, Boston College Denise Wallen, Ph.D....

1

John Carfora, Ed.D. Cand. Director, Research Administration, Boston College

Denise Wallen, Ph.D. Director, Research Development Services, The University of New Mexico

EARMA, Paris, France, June 2006

Fundamentals of Sponsored Research Administration:The American Experience

2

Management for research is “the provision of a nourishing climate, sound policies, supporting services of various kinds, financial systems, and organizational arrangement that will help research flourish in a university.”

(Raymond J. Woodrow, Management for Research In U.S. Universities, 1978)

3

Julie Norris (2006) Recognizing the difference between “management of” and “management for” research highlights the elements of a successful modern sponsored programs administration office.

FlexibilityResponsivenessPatienceKnowledgeAttention to detailCommunication skillsTimelinessPro-activity

4

Organizational Models

What is the Sponsored Research Office (SRO)?? Various nomenclatures -- SRO, Office of

Sponsored Programs, Office for Research Administration, Office of Grants & Contracts,

Role to is support the research mission of the institution -- stewardship, management, oversight

Two core central administration areas: pre-award and post-award.

5

Pre-Award Functions

Funding identification assistance and proposal submission

Award acceptance and ensuring compliance with sponsor and institutional policies

Mediating award process with sponsor to ensure university research policies are adhered to and terms and conditions are acceptable

Research development and proposal development

Electronic grants administration/information system support

6

Post Award Functions

Monitoring expenses: allowable, allocable and reasonable

Reporting project expenses

Invoicing sponsor

Collecting income and posting

Monitoring spending against budget

Completing the final financial report

Closing-out award

Reporting to university management

7

OSP Interactions across University Campus

Central Office has interactions with business office, research administrators at the college/division and department levels, university development office and foundation

College level research administrators obtain signatureapprovals, monitor accounts, work with department staff

Department level research administrators have day-to-daymanagement of the award, work closely with PI in proposalpreparation (budget, assurances), work with Central office; post award transactions; cost-transfers, etc.

These interactions present:Challenges of working togetherClarifying roles and responsibilitiesDefining interrelationships among key players

8

OSP Organizational Models

Four General Paradigms (Elizabeth Mora, Harvard, 2006)

Traditional Model

Hybrid Model

Integrated Model

Fully Integrated Model

9

10

11

12

13

Staff Skills Requirement

General staff competencies:knowledge of sponsor policies & regulationsfinancial or accounting skillsknowledge of institution’s financial & grants

management systemscommunication skillsattention to detail

Pre-Award Experience: bachelor or advanced degree - liberal arts, law,

business years of experience vary with level - e.g 5-10+ -Senior

Post-Award Experience:accounting, audit, insurance, banking background

14

Sample work flow in OSP

Organized around sponsor (NSF) - allows for high degree of specialization but has PI working with multiple administrators

Organized around PI department -- allows for mixed portfolio which is of greater interest.

Balancing portfolios to accommodate workflow

Complexity of awardSponsor difficultyExpertise of college/dept staff and PIDifficulty of portfolio (e.g. industry sponsored awards)Volume of portfolio

15

Risk Areas for the Institution

Transactional Risk: Allowable cost; allocable to the award

Specific-sponsor Risk: Compliance with specific agency-imposed conditions

Institutional Risk: Ensuring basic compliance with internal controls, understanding of responsibilities by all parties

16

Sample Staff & PI Training

Need: To assure quality and state-of-art knowledge. Remain current in rapidly changing world.

NCURA - professional development training thru conferences, workshops, teleconferences, web casts

Fundamentals (Spon. Programs)Pre- & Post-Award ConferencesExport Control, Security

Mandatory Grants Management Trainingpre- & post-award, audit,face-to-face, web-based

Compliance TrainingIRB, IAUCUC, HIPAA

17

Electronic Research AdministrationSearching for fundingElectronic proposal submissionReporting

Proposal development and writing workshops

Monthly Topical Training and Networking e.g. Research Administrators Network

18

Working with University Development Offices

Different culture of Sponsored Research Office (SRO) and University Development Office

Gift vs. Grant vs. Contract

Foundation grants often require long-term relationship building

Need to coordinate between offices to assure success

Need to share funding report information

Value of coordinating training and outreach efforts

19

Related Activities

Integration of research and economic development

Federal relations and establishing priorities for funding

Relations with peer institutions

Infrastructure support for multidisciplinary teaming and project development

20

Working in the International Domain

Richey’s List:

Adapted from two John B. Richey articles:

Crafting Contracts for International Projects. SRA Journal. Vol 25, Number 3, Winter, 1993.

Budgeting for International Projects: In-Country Business Operations and Long-Term Residential Assignments.SRA Journal, Vol 25, Number 4, Spring, 1994.

21

Check-ListCheck-List

• Who are the “parties” to the general agreement? Considerations: national sovereignty; power-sharing, etc.

• Statement-of-Work

• Principals and Scientific/Program Direction

• Contract Employees / Independent Contractors

• Who are the “parties” to the general agreement? Considerations: national sovereignty; power-sharing, etc.

• Statement-of-Work

• Principals and Scientific/Program Direction

• Contract Employees / Independent Contractors

22

Check-ListCheck-List

• Subcontracts (remember that period during which funds may be spent can differ from the work period).

• Cost Considerations:– Fees for Extraordinary Service– Settling-in Costs– Make Ready Costs– Saturday/Sunday Pay– Hardship Pay– Cost-of-Living (COL) Adjustments– Dependent Travel– Education Allowances

• Subcontracts (remember that period during which funds may be spent can differ from the work period).

• Cost Considerations:– Fees for Extraordinary Service– Settling-in Costs– Make Ready Costs– Saturday/Sunday Pay– Hardship Pay– Cost-of-Living (COL) Adjustments– Dependent Travel– Education Allowances

23

Check-List (Continued)Check-List (Continued)

– Medical Evacuations– Evacuations During Civil Disturbances– Insurance– Payment

• Letter-of-Credit• Payment in US Dollars / Other Currency

– Tax Considerations– Accounting and Auditing– Reports and Reporting– Warranties (nothing is warranted)– Termination– Arbitration and Applicable Law

– Medical Evacuations– Evacuations During Civil Disturbances– Insurance– Payment

• Letter-of-Credit• Payment in US Dollars / Other Currency

– Tax Considerations– Accounting and Auditing– Reports and Reporting– Warranties (nothing is warranted)– Termination– Arbitration and Applicable Law

24

Check-List (Continued)Check-List (Continued)

– Property– Intellectual Property– Force Majeure– Publications– Facilities– Transportation of Personal Items (freight forwarder

service company fees)– Storage Costs of Items Not Shipped– Expediter Costs for Clearing Shipments– Home Leave per Institutional Policy– Rest and Recuperation Leave

– Property– Intellectual Property– Force Majeure– Publications– Facilities– Transportation of Personal Items (freight forwarder

service company fees)– Storage Costs of Items Not Shipped– Expediter Costs for Clearing Shipments– Home Leave per Institutional Policy– Rest and Recuperation Leave

25

Check-List (Continued)Check-List (Continued)

• Temporary Residences• Maintenance Agreements• Insurance (Driving/Auto, Household, Liability)• License and Fees (Driving. Work Permit, etc)• Spare Parts/Componentrs (Computers, Autos, etc)• Medical Examinationsand Vaccinations• Orientation to Country & Culture• Language Training• Currency Exchanges & Banking Charges

• Temporary Residences• Maintenance Agreements• Insurance (Driving/Auto, Household, Liability)• License and Fees (Driving. Work Permit, etc)• Spare Parts/Componentrs (Computers, Autos, etc)• Medical Examinationsand Vaccinations• Orientation to Country & Culture• Language Training• Currency Exchanges & Banking Charges

26

Check-List (Continued)Check-List (Continued)

• Airport and Travel Taxes or Fees• Indirect Costs• Severability• Notices• Confidentiality• Modifications• Assignments• Publicity• Independent Contractors• Export Controls• Other Important Factors & Considerations

• Airport and Travel Taxes or Fees• Indirect Costs• Severability• Notices• Confidentiality• Modifications• Assignments• Publicity• Independent Contractors• Export Controls• Other Important Factors & Considerations

27

Summary and ConclusionSummary and Conclusion

Expectations and Realities: A DiscussionExpectations and Realities: A Discussion

28

• Richey, John B. (1993). Crafting Contracts for International Projects. SRA Journal, Vol 25, No. 3, Winter.

• Eckert, Janice L. (1996). Preparing to Manage an International Project. SRA Journal, Vol. 28, No. 1-2, Summer/Fall.

• Richey, John B. (1994). Budgeting for International Projects: In-Country Business Operations and Long-Term Residential Assignments. SRA Journal, Vol 25, No. 4, Spring.

• McConnaughay, Philip J. (2002) The Scope of Autonomy in International Contracts and its Relation to Economic Regulation and Development. Columbia Journal of Transnational Law, Vol. 39.

• Hatley, Josephine B. (1999). Entering the New era: International Research Administration Asian Development bank Technical Assistance Proposal and Contract. SRA Journal, Vol. 31, No. 2, Summer/Fall.

• Richey, John B. (1993). Crafting Contracts for International Projects. SRA Journal, Vol 25, No. 3, Winter.

• Eckert, Janice L. (1996). Preparing to Manage an International Project. SRA Journal, Vol. 28, No. 1-2, Summer/Fall.

• Richey, John B. (1994). Budgeting for International Projects: In-Country Business Operations and Long-Term Residential Assignments. SRA Journal, Vol 25, No. 4, Spring.

• McConnaughay, Philip J. (2002) The Scope of Autonomy in International Contracts and its Relation to Economic Regulation and Development. Columbia Journal of Transnational Law, Vol. 39.

• Hatley, Josephine B. (1999). Entering the New era: International Research Administration Asian Development bank Technical Assistance Proposal and Contract. SRA Journal, Vol. 31, No. 2, Summer/Fall.

Resources & Web Resources

29

Selected Resources & Web ResourcesSelected Resources & Web Resources

• Office of Inspector General, USAID. (June 2003). Guidelines for Financial Audits Contracted by Foreign Recipients.

• Argon, J.K. (1994). Subcontracting With Private Funds. Washington, DC: National Council of University Research Administrators.

• Erickson, S. (1994). Subagreements Under Federal Prime Awards. Washington, DC: National Council of University Research Administrators.

• Office of Inspector General, USAID. (June 2003). Guidelines for Financial Audits Contracted by Foreign Recipients.

• Argon, J.K. (1994). Subcontracting With Private Funds. Washington, DC: National Council of University Research Administrators.

• Erickson, S. (1994). Subagreements Under Federal Prime Awards. Washington, DC: National Council of University Research Administrators.

30

On-Line ResourcesOn-Line Resources

• Grants to Foreign Institutions, International Organizations, and Domestic Grants with Foreign Components (see link for handy chart, Exhibit 2)

http://grants1.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part12.htm#_Toc54600260

• Public Policy Requirements and Objectives (located under Part II Terms-General, see Public Policy Requirements)

http://grants2.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part4.htm

• Grants to Foreign Institutions, International Organizations, and Domestic Grants with Foreign Components (see link for handy chart, Exhibit 2)

http://grants1.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part12.htm#_Toc54600260

• Public Policy Requirements and Objectives (located under Part II Terms-General, see Public Policy Requirements)

http://grants2.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part4.htm