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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
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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)
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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
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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.
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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
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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
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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
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OSP Organizational Models
Four General Paradigms (Elizabeth Mora, Harvard, 2006)
Traditional Model
Hybrid Model
Integrated Model
Fully Integrated Model
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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
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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
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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
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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
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Electronic Research AdministrationSearching for fundingElectronic proposal submissionReporting
Proposal development and writing workshops
Monthly Topical Training and Networking e.g. Research Administrators Network
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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
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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
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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.
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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
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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
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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
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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
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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
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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
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Summary and ConclusionSummary and Conclusion
Expectations and Realities: A DiscussionExpectations and Realities: A Discussion
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• 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
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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.
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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