February 8, 2007 Research Administration: University of Michigan Business & Finance Forum Marvin G. Parnes Associate Vice President for Research & Executive Director of Research Administration

2 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 Research Several University of Michigan offices and units play key roles in the administrative aspects of research. Office of Technology Transfer MED 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 Centers Unit & Department Level Administration

4 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

5 University Administration of Research University Administration of Research DRDA Services Funding Services and Resources Proposal Preparation Process and submit proposals Negotiate awards Administer Projects

6 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 Research Office of Technology Transfer

7 University Administration of Research Financial Operations Sponsored Programs Office Contract Administration Cost Reimbursement Office

8 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

9 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

10 University Administration of Research Cost 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

11 University Administration of Research Unit Level Research Administration Proposal Preparation Award Administration Accounting Project Initiation Budgets and Accounting

12 University Administration of Research These 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

13 External Entities Affecting Research Administration at UM: Federal, State and Local Governments The OMB “Office of Management and Budget” Sponsor Agencies

14 Two Sponsored Project Models Competitive Funding Model Competitive Funding Model * Most common type of project * Peer Reviewed Proposals * Pre-Award is significant portion of admin work Industry Sponsor Model Industry Sponsor Model * Usually non-competitive * Negotiation of agreement and project set-up is bulk of admin work

15 The Life Cycle of a Sponsored Project Idea!! Identify Funding Proposal Development & Routing Proposal Submission Award Acceptance Project Initiation Conduct Research Close-out Final Report UM

16 Idea!! Identify Funding Proposal Development & Routing Proposal Submission Award Acceptance Project Initiation Conduct Research Close-out Final Report DRDA FinOps UM The Life Cycle of a Sponsored Project

17 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 Funding Resources: Databases (COS, PRISM, etc.) Internal Funding resources alert systems DRDA assistance Workshops

18 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

19 Developing the Budget Indirect Cost Rates Federal 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 Sponsors on campus: 56% off campus: 30% State of Michigan……………20% Clinical Trials………………..25%

20 Routing the Proposal What 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

21 Submitting 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

22 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 Certification SAS 112, Circular A-133 and Meeting with John Mattie from PWC Division of Cost Allocation Best Practices Manual DHHS Office of Grants Policy – Grants Policy Statement 2007 NIH Salary Limitation Cap and Continuing Resolution F&A Rate Survey and Thursday Morning COGR Session Deemed Export Advisory Committee Holds First Regional Meeting Proposed DFARS Export Control Rule Revision in Process within DOD AAAS Survey on Effects of Intellectual Property on Conduct of Research Supreme Court Decision on Invalidating Validly of Licensed Patents Patent Reform Likely to Move Forward in New Congress Increasing Attention on Role of University Technology Transfer in Global Health NIH Update OHRP Revising Guidance Documents NSF Proposer Survey Underway OMB Issues Final Guidance on Guidance Trafficking in Persons Cost Sharing in Funding Announcement EPA Follow-up on Hazardous Waste Proposal