February 8, 2007

Research Administration: Research Administration:

University of MichiganUniversity of Michigan

Business & Finance Forum

Marvin G. ParnesAssociate Vice President for Research &

Executive Director of Research Administration

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What is a Sponsored Project?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.

•Research•Artistic Performances•Humanities Projects•Faculty and Student Training/Educational Projects

University Administration of ResearchUniversity Administration of Research

Several University of Michigan offices and units play key roles in the administrative aspects of research.

Office of Technology TransferMED SCHOOL & MAIN OFFICE

Office of the Vice President for Research

(OVPR)

Division of Research Development

& Administration (DRDA)

Financial Operations,Sponsored Programs

Contract Administration

Office of the Vice President

for Finance

Schools, Colleges, Institutes and Schools, Colleges, Institutes and CentersCenters

Unit & Department Level Administration

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University Administration of ResearchUniversity 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 ResearchUniversity Administration of Research

DRDA Services

• Funding Services and Resources

• Proposal Preparation

• Process and submit proposals

• Negotiate awards• Administer Projects

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•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

University Administration of ResearchUniversity Administration of Research

Office of Technology TransferOffice of Technology Transfer

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University Administration of ResearchUniversity Administration of Research

Financial Operations

•Sponsored Programs Office

•Contract Administration

•Cost Reimbursement Office

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University Administration of ResearchUniversity Administration of Research Sponsored Programs OfficeSponsored 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 ResearchUniversity Administration of Research

Contract AdministrationContract 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 ResearchUniversity Administration of Research

Cost Reimbursement OfficeCost 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 ResearchUniversity Administration of ResearchUnit Level Research AdministrationUnit Level Research Administration

Proposal Preparation

Award AdministrationAccounting

Project InitiationBudgets and Accounting

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University Administration of ResearchUniversity Administration of ResearchThese University committees and units provide ethical and safety oversight of research activities at the University

Institutional Review Boards (IRBs) Medical School IRBs - 4 Behavioral Sciences IRB, Health Sciences IRB, Dearborn IRB

Occupational Safety and Environmental Health (OSEH)

University Committee on Use and Care of Animals (UCUCA)

Conflicts of Interest Committees(Med School and OVPR)

Institutional Biosafety Committee

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External EntitiesExternal EntitiesAffecting Research Administration at UM:Affecting Research Administration at UM:

Federal, State and Local Governments

The OMB“Office of Management and Budget”

Sponsor Agencies

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Two Sponsored Project Models

Competitive Funding ModelCompetitive Funding Model* Most common type of project* Peer Reviewed Proposals* Pre-Award is significant portion of admin work

Industry Sponsor ModelIndustry Sponsor Model * Usually non-competitive

* Negotiation of agreement and project set-up is bulk of admin work

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The Life Cycle of aThe Life Cycle of aSponsored ProjectSponsored Project

Idea!!Identify Funding

ProposalDevelopment & Routing

ProposalSubmission

AwardAcceptance

ProjectInitiation

ConductResearch

Close-outFinal Report

UM

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Idea!!Identify Funding

ProposalDevelopment & Routing

ProposalSubmission

AwardAcceptance

ProjectInitiation

ConductResearch

Close-outFinal Report

DRDADRDAFinOpsFinOpsUM

The Life Cycle of aThe Life Cycle of aSponsored ProjectSponsored Project

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The Life Cycle of a Sponsored Project

Finding Potential FundingVeteran Researchers are skilled at this and know the

sources. Less experienced faculty may require support and assistance

Funding Resources: 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 Preparation

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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Developing the BudgetDeveloping the Budget

Indirect Cost RatesFederal Research: on campus: 51.0% off campus: 26.0%Instruction ………………………54.0%Other Sponsored Activity……..30.0%

Foundations & Public Charities 20% or sponsor's published rate

Industrial Sponsorson campus: 56% off campus: 30%State of Michigan……………20%

Clinical Trials………………..25%

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Routing the ProposalRouting the ProposalWhat basic path does a proposal follow?

The PI Team

Dean/Department Head

DRDA

Sponsor

Writes proposal, prepares budget, secures space approval, seeks compliance

approvals, certifies regarding conflicts of interest and signs Proposal Approval Form

Reviews mission relevance of proposed project, resource commitments, space

availability and potential conflicts of interest

Verifies PAF and budget, confirms certifications, endorses for the University

and submits to sponsor

Conducts peer review of proposal’s scientific or scholarly merit and determines budget and terms. Turns down or awards

proposal for funding

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Submitting the Proposal to DRDASubmitting 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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Table of Contents for February 2007 COGR Update Treasury Department Continues Work on Tax-Exempt Bond/Bayh-Dole Issue“Effort” Paper – Compensation, Effort Commitments and CertificationSAS 112, Circular A-133 and Meeting with John Mattie from PWCDivision of Cost Allocation Best Practices ManualDHHS Office of Grants Policy – Grants Policy Statement2007 NIH Salary Limitation Cap and Continuing ResolutionF&A Rate Survey and Thursday Morning COGR SessionDeemed Export Advisory Committee Holds First Regional MeetingProposed DFARS Export Control Rule Revision in Process within DODAAAS Survey on Effects of Intellectual Property on Conduct of ResearchSupreme Court Decision on Invalidating Validly of Licensed PatentsPatent Reform Likely to Move Forward in New CongressIncreasing Attention on Role of University Technology Transfer in Global HealthNIH UpdateOHRP Revising Guidance DocumentsNSF Proposer Survey UnderwayOMB Issues Final Guidance on GuidanceTrafficking in PersonsCost Sharing in Funding AnnouncementEPA Follow-up on Hazardous Waste Proposal