Sponsored Projects Administration in LS

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Sponsored ProjectsAdministration in LSAThe
University of Michigan
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Overall Program Objective

• Increase your awareness and understanding of
  sponsored projects administration at UM
• Introduce you to the terms used in sponsored
  projects
• Review LSA Specific Policies and Procedures for
  Sponsored Projects

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Learning Objectives

• After this program you will
• Understand the breadth and volume of research at
  UM and LSA
• Know the structure for sponsored projects and the
  roles and responsibilities of central
  administration and LSA
• Understand the life cycle of sponsored projects
  at UM, including
• Pre-proposal Identification of Funding and
  Project Resources
• Proposal Development and Submission
• Award Acceptance
• Project Set-up and administration
• Project Close Out and Final Report
• Know how to put together a proposal in LSA and
  route it through the LSA and UM system
• Understand the elements of the Proposal Approval
  Form

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Research at UM

• Research Expenditures
• Funding Sources
• Reasons for Our Successes

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Research Expenditures 1992-2003
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What is a Sponsored Project?

• An externally funded research or other scholarly
  activity that has a defined scope of work or set
  of objectives which provides a basis for sponsor
  expectations.
• Pre-defined outcomes are expected
• Research
• Artistic Performances
• Humanities Projects
• Faculty and Student Training/Educational Projects

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What is a Sponsored Project?

• GRANTS
• CONTRACTS
• COOPERATIVE AGREEMENTS
• NOT GIFTS
• Gifts are funds from a private source that do not
  provide a benefit to the donor, including results
  from a defined project.
• Sponsors get nothing in return
• Few strings attached

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UM Research Expenditures
By Sponsor, FY2002
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LSA Research Expenditures
By Sponsor, FY2002
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Research as a Fraction of UM Budget
FY 2002
Research 656.0M
33.6
66.4
All Other 1.29B
Total 1.95B
(excludes Hospitals and Health Centers)
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Research in LSA
FY 2000 47,820,594 FY 2001 50,662,256 FY
2002 54,215,482
FY 2003 61,642,886
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UM Research

• UM is one of the top research universities in the
  world
• Why UM is so successful?
• Many quality schools and units
• Growing interdisciplinary nature of research
• UM spends significant internal funds on research
• The research support environment is excellent!!
  (facilities, administrative support, etc.)

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University Administration of Research Several
University of Michigan offices and units play key
roles in the administrative aspects of research.
Office of the Vice President for Research (OVPR)
Office of the Executive Vice President for
Finance
Division of Research Development Administration
(DRDA)
Financial Operations,Sponsored Programs
Office of Technology TransferMED SCHOOL MAIN
OFFICE
Contract Administration
Schools, Colleges, Institutes and Centers Unit
Department Level Administration
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University Administration of Research OVPR

• Guides research policy
• Promotes responsible conduct and administration
  of sponsored projects
• Facilitates interdisciplinary research
• Supports Incubator Units
• Oversees seven research units - UMTRI,
  Gerontology
• Faculty Project Support - Seed Funding
• Supports integration of research and teaching
• Facilitates Technology transfer to society
  through industry

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University Administration of ResearchDRDA
Services

• Funding Services and Resources
• Advise on Proposal Development
• Process and submit proposals
• Negotiate awards
• Provide some support in project administration
• Process Project changes
• Research Administration Training

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University Administration of Research Office of
Technology Transfer

• Supports the commercialization of ideas created
  at the University of Michigan and encourages
  economic development and entrepreneurship within
  the community
• OTT Services
• Disclosure Facilitation
• Patenting and Other
• Licensing
• Legal Support
• Decision Support

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University Administration of Research Financial
Operations

• Sponsored Programs Office
• Contract Administration
• Cost Reimbursement Office

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University Administration of Research Sponsored
Programs Office

• Establishing Project Grants
• Inputting budget data
• Monitoring expenditures
• Responding to departmental requests
• Reviewing for compliance e.g. A-21
• Invoicing sponsors
• Submitting financial reports
• Closing out projects

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University Administration of Research Contract
Administration

• Review contract terms and conditions
• Review and sign contracts and grants for
  sponsored activity. Work with DRDA
• Develop and administer subcontracts
• Monitor subcontracts payments, close-outs, etc.
• Process and approve forms to pay independent
  consultants

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University Administration of ResearchCost
Reimbursement Office

• Monitor establishment of project / grants for
  proper class coding
• Review financial transactions for coding to
  proper cost pools
• Prepare indirect cost proposal for University
• Monitor costing principles to ensure compliance
  with University stated practices

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University Administration of Research Unit Level
Research Administration
Proposal Development
Project InitiationBudgets and Accounting
Award AdministrationAccounting
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Unit Level Research Administrator Responsibilities

Units w/ Larger Research Programs
Units w/ Small Research Programs
May divide work by pre-award and post-award
administration More structure, support and
hierarchy
May have single administrator doing full
spectrum Jack of all trades
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LSA Sponsored Projects Administration

• Smaller Research Programs e.g. Linguistics and
  Statistics
• Usually more consolidation of duties in a Key
  Administrator
• Key Administrator is responsible for budget
• Key Admin prepares PAF
• Key Admin is responsible for all post award

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LSA Sponsored Projects Administration

• Larger Research Programse.g. Psychology and
  Physics
• Usually more structure and separation of duties
• Research Admin TeamBusiness Manager
  Accountants

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LSA Sponsored Projects Administration
Research Institutese.g. International
Institute Research Admin TeamBusiness Manager
Center Managers
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LSA Sponsored Projects Administration

• LSA Deans Office
• Advises faculty and research administrators on
  research policies, processes and approve PAFs
• Acts as liaison to Central Administration on
  behalf of the LSA research community
• Negotiates cost sharing, providing a portion of
  the negotiated funds
• Sets policy and oversees cost sharing process
• Facilitates interdepartmental research
• Works with an advisory committee of research
  administrators across the divisions

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University Administration of Research These
University committees and units provide ethical
and safety oversight of research activities at
the University
Institutional Review Boards (IRBs) 4 Medical
School IRBs, Behavioral Sciences IRB, Health
Sciences IRB, Flint and Dearborn IRBs
University Committee on Use and Care of Animals
(UCUCA)
Conflicts of Interest Committees(Med School and
OVPR)
Occupational Safety and Environmental Health
(OSEH)
Institutional Biosafety Committee
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University Administration of Research

• Institutional Review Boards (IRBs) 4 Medical
  School IRBs, Behavioral Sciences IRB, Health
  Sciences IRB, Dearborn IRB, Flint IRB
• Review all research projects involving Human
  Subjects to ensure
• Safety of human subjects
• Reasonable risks are taken
• Privacy of subjects and confidentiality of data
• Additional safety measure are taken for
  vulnerable groups

http//www.irb.research.umich.edu/
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University Administration of Research

• University Committee on Use and Care of Animals
  (UCUCA)
• Reviews all research projects involving
  vertebrate animals
• Ensure appropriate use of animal subjects as in
  accordance with PHS policy, Animal Welfare Act
  and UM Policy
• Reviews concerns involving the humane care and
  use of laboratory animals

http//www.ulam.umich.edu/UCUCA.html
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University Administration of Research

• Conflicts of Interest Committees
• Review all research projects involving potential
  conflicts of interest to ensure
• That the conflict will not compromise the
  integrity of the research or undermine the
  investigators obligations to the University, to
  the sponsor, or to students, and
• That if the project proceeds, the conflict can be
  satisfactorily managed with appropriate
  administrative oversight.

http//www.research.umich.edu/policies/um/conflict
_procedures.html
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University Administration of Research
Institutional Biosafety Committee Review all
research projects involving use of recombinant
DNA to ensure adherence to federal NIH guidelines
on research using recombinant DNA molecules.
http//www.research.umich.edu/policies/UM/committe
es/BRRC/BRRC.html
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University Administration of Research

• Occupational Safety and Environmental Health
• Review all research projects to ensure safety of
  staff
• Review and develop lab safety plans
• Regulate use of radioisotopes
• Regulate use of hazardous materials/chemicals
• Train staff on proper handling of materials and
  other occupational safety matters

http//www.umich.edu/oseh/
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External Entities Affecting Research
Administration at UM
Sponsor Agencies
Federal, State and Local Governments
The OMB Office of Management and Budget
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Break
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Two Sponsored Project Models
Competitive Funding Model - Grants Most common
type of project Peer Reviewed Proposals
Proposal Development is significant portion of
pre-award admin work Industry Sponsor Model -
Contracts Usually non-competitive
Negotiation of agreement and project set-up is
bulk of admin work
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The Life Cycle of aSponsored Project
Idea!! Identify Funding
Close-out Final Report
Proposal Development Routing
UM
Conduct Research
Proposal Submission
Award Acceptance
Project Initiation
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The Life Cycle of aSponsored Project
Idea!! Identify Funding
Close-out Final Report
Proposal Development Routing
FinOps
DRDA
UM
Proposal Submission
Conduct Research
Award Acceptance
Project Initiation
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The Life Cycle of a Sponsored Project Finding
Potential Funding

• Veteran Researchers are skilled at this and know
  the sources. Less experienced faculty may
  require support and assistance
• Resources for Finding Funding
• Databases (COS, PRISM, etc.)
• Internal Funding resources
• E-mail alert systems
• DRDA assistance
• Workshops

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The Life Cycle of a Sponsored Project Proposal
Development

• STEPS
• Obtain and follow sponsor guidelines
• Write proposal narrative
• Develop budget
• Obtain institutional approvals
• Fill out University forms
• Submit to DRDA for final review, endorsement and
  delivery to sponsor agency

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The Life Cycle of a Sponsored ProjectProposal
Development
Elements of a Proposal

• cover page
• abstract or project summary
• the proposal narrative
• bibliography/proposal reference section
• curriculum vitae, bio-sketches
• a budget and budget justification
• research resources
• appendices as required or as permitted

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Proposal Development A Research Administrator
might

• Help develop and review the budget
• Type and format the proposal to meet sponsor
  guidelines
• Request Cost-Sharing, if applicable
• Put the elements of the proposal together in a
  single package
• Pull together the bio-sketches of key
  participants
• Obtain signatures/information from other
  participating institutions
• Route proposal and PAF for signatures

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The Research Administrators Role The
Administrative Shell

• Completed and signed PAF
• Budget and Budget Justification
• Sponsors Cover page
• Sponsors checklist page
• Abstract or draft of the proposal text.
• Sponsor Guidelines
• NO SHELLS IN LSA

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Developing the Proposal Budget

• Two primary sections
• Direct Costs
• Indirect Costs

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OMB Circular A-21 Principles for Determining
Costs Applicable to Grants, Contracts, and Other
Agreements with Educational Institution
Defines what charges are allowable and
unallowable on federally sponsored
projects Allowable CostsA-21 defines what
allowable costs are to be considered direct and
indirect costs
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OMB Circular A-21
Cost Principles Sponsored Project Costs Must
Be Allowable Reasonable Allocable (directly to
the project) Consistently treated across the
University
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Developing the Budget

• Typical Direct Costs
• Salaries and wages
• Fringe Benefits
• Equipment and Supplies
• Consultants
• Subcontracts

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Developing the Budget

• Modified Total Direct Costs

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Developing the Budget

• Indirect Costs
• (aka Facilities Administrative Costs)

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Developing the Budget

• Indirect Cost Rates
• Federal Research
• on campus 53.0 off campus 26.0
• Instruction 54.0
• Other Sponsored Activity..30.0
• Foundations Public Charities 20 or sponsor's
  published rate
• Industrial Sponsors
• on campus 58 off campus 30
• State of Michigan20
• Clinical Trials..25

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Developing the BudgetCost Sharing

• What is Cost Sharing??
• Cost sharing is the financial support contributed
  by universities to sponsored projects.
• Voluntary vs. Mandatory Cost Sharing
• The Research Administrators Role
• Obtaining signatures, coordinating multi-unit
  funding, etc.

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Developing the BudgetCost Sharing in LSA

• Requesting Cost Sharing in LSA
• If requested, PI must complete a Cost Sharing
  Request Form

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Routing the Proposal

• What basic path does a proposal follow?

Writes proposal, prepares budget, secures space
approval, seeks compliance approvals, certifies
regarding conflicts of interest and signs
Proposal Approval Form
The PI/Research Administrator Team
Reviews mission relevance of proposed project,
resource commitments, space availability and
potential conflicts of interest
Dean/Department Head
Verifies PAF and budget, confirms certifications,
endorses for the University and submits to
sponsor
DRDA
Conducts peer review of proposals scientific or
scholarly merit and determines budget and terms.
Turns down or awards proposal for funding
Sponsor
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Routing the Proposal in LSA

• LSA Sponsored Research Checklist

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The PAF

• What is the PAF ??
• Proposal Approval Form
• All Sponsored Projects must be routed with an
  accompanying PAF.
• Basic Purposes Ensures that all research
  policies (internal and external) have been
  addressed in the development of the proposal
  Ensures proper people have reviewed and approved
  the project Provides an official record for
  all UM proposals

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Completing the PAF
PAF

• Sponsor Information
• Project Title
• Key Terms
• Key Personnel
• Administrative Contact

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Completing the PAF

• CRITICAL ITEMS - Show Stoppers
• 6a. Human Use, Animal use, DNA, Classified
  Research, etc.
• 6b. Conflict of Interest
• 6c. Other critical items
• 7. Space
• 8. Budget and Budget Period
• 9. Cost Sharing
• 10. Signatures

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The PAF Supplement

• Page 4, the PAF Supplement is required in LSA for
  all
• Multi-department
• Multi-College Projects

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Before Sendingthe Proposal to DRDA

• LSA Rules
• Deans Office requires full proposal (well
  developed draft is fine) when obtaining
  signatures
• LSA Departments approve space - not the Deans
  Office
• LSA proposals must include a checklist
• LSA requires proposals four working days before
  deadline
• LSA requires use of a 7471 at the time of award
• LSA requires the use of PAF page 4 if working
  with other colleges/units

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Before Sendingthe Proposal to DRDA

• LSA Review
• Checks for missing information, signatures, etc.
• Makes sure commitments are not inadvertently put
  in proposal that are not accounted for on the PAF
• Makes sure the appointments are correctly stated
  in the proposal
• Verifies Cost Sharing between OVPR, COLLEGES AND
  DEPARTMENTS

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Sending the Proposal to DRDA

• WHAT DOES DRDA DO?
• Checks proposal to ensure all pieces are present
  and in order
• Checks budget for accuracy
• Checks that PAF, budget, text and forms comply
  with sponsor and UM policies and rules
• Obtains necessary signatures (central
  administration)
• Makes copies for sponsor, PI, PI unit and DRDA
• Sends to sponsor via appropriate carrier to to
  ensure timely delivery

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Sending the Proposal to DRDA

• Deadlines
• When does it need to get to DRDA?
• For Full Service
• 5 Working days are normally
• required
• DRDA can only provide Limited Service for
  proposals arriving within two days of the sponsor
  deadline

If the proposal is running late, please notify
all signers along the way of the timeline
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Electronic Proposal Submission
NSF Fastlane System NIH Commons Grants.gov What
the future may bring
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Project Administration
OK, I have the money so now what do I
do?? Come Back for Session Two!
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Keep in Mind

• DRDA is available for consultation and assistance
  throughout the life of the project- Project
  changes (new PI, budget change, etc.)- No cost
  time extensions- Other forms of assistance
• If in doubt, ask somebody!

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Web Resources

• www.research.umich.edu
• Forms
• UM, Federal and Sponsor Policies
• Funding Information
• Proposal Processing
• Project Administration
• News and Information
• Training Opportunities

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QUESTIONS
?