1. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals NCURA Region VI & VII Meeting Research Administration: Striving for Gold at the Summit April 22 – 25, 2007 Park City, Utah “What is Research Administration? A Primer for IT Professionals”

2. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Speakers Kevon Balls Project Director University of Utah Administrative Computing Services kballs@acs.utah.edu Terri Pianka Manager University of Utah College of Nursing terri.pianka@nurs.utah.edu

3. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals University of Utah ~ $300 million externally sponsored research and development 29,000 students 15,000 faculty and staff 1,297 research labs; 48 instruction labs

4. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Topics of Discussion I. What is Research Administration? II. Common Terms III. Organizational Components and Service Highlights IV. Lifecycle of a Sponsored Project V. Pre- and Post-Award Processes VI. Technical Systems

5. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals What is Research Administration? “ Research administration is the support required for success on research programs.” Research Administration and Management, Kulakowski and Chronister, 2006 Researcher Research Administrator InstitutionSponsor

6. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Sponsored projects Programs and projects financed by Federal and non-Federal agencies and organizations, with obligated deliverables in return Includes contracts, grants, cooperative agreements, and other types of agreements Activities include research, sponsored instructions, health service projects, community service projects, and clinical trials

7. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Contract A bilateral agreement that outlines the performance of work and compensation the institution will receive for that work Very specific as to scope of work Outlines ownership of inventions, publication rights, and disclosure rights

8. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Departmental Administrator – DA Assists research with the day to day functions of running a research lab Assists with the preparation of grants applications or review of contracts Assists with financial administrative duties Electronic Research Administration – eRA Paperless research administration All processes are conducted electronically

9. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Facilities & Administration – F&A Also referred to as overhead costs Costs incurred for common or joint objectives that cannot be readily attributed to a particular sponsored project Includes depreciation and use allowances, general administration and general expenses, sponsored projects administration expenses, operation and maintenance expenses, library expenses, departmental administration expenses, and student administration and services

10. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Financial Status Report – FSR Line item report sent to the sponsoring agency detailing how their money was spent and how much has been spent Fiscal Year – FY A one year accounting period for an institution Generally runs Jul 1 to Jun 30 for educational institutions Runs Oct 1 to Sep 30 for federal gov’t

11. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Grant A unilateral agreement where a sponsor provides funding for a research or service project Less specific as to scope of work Allows more flexibility on use of funds Grants.gov Central source for all federal agencies Find federal grant opportunities Apply to federal agencies

12. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Intellectual Property - IP “In law, intellectual property (IP) is an umbrella term for various legal entitlements which attach to certain names, written and recorded media, and inventions. The holders of these legal entitlements are generally entitled to exercise various exclusive rights in relation to the subject matter of the IP. The term intellectual property reflects the idea that this subject matter is the product of the mind or the intellect, though the term is a matter of some controversy.” Wikipedia, http://en.wikipedia.org/wiki/Intellectual_property

13. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Principal Investigator or Project Director – PI or PD Conducts the research or oversees the service for which sponsor funding was provided Manages the technical and programmatic aspects of a project Manages physical and logistical aspects of a project Exercises fiscal control of the project

14. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Assures regulatory compliance for the project Completes all technical reports and closing reports Discloses intellectual property Program Announcement – PA A formal announcement by a sponsor of a funding program Program has broad guidelines

15. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Common Terms Request for Application or Proposal – RFA or RFP An announcement by sponsor of specific funding opportunity Generally narrow in scope Sponsored Projects Officer or Administrator – SPO or SPA Works in Sponsored Projects Office Liaison between institution and sponsor

16. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Research Administration Offices Conflict of Interest - CoI Institutional Review Board – IRB Institutional Animal Care & Use Committee – IACUC Radiological Health or Radiological Safety Office - RSO Research Integrity

17. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Office of Sponsored Projects (Programs) – OSP or Office of Sponsored Research – OSR Grants & Contracts Accounting - GCA Research Education

18. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Conflict of Interest Federal government requires disclosure prior to submission of a grant application Many researchers transfer technology to private companies for use by the population Committee reviews private interests against research to be performed Determines whether or not a management plan is required

19. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Institutional Review Board Responsible to ensure that research is conducted ethically, that participants’ rights are protected, that risks are minimized, and there are benefits to participants and/or society Committee that reviews all research projects that involve any human subjects, including surveys Audits all studies to ensure protocol being followed Any institution conducting research involving human subjects MUST have oversight by an IRB Reports to Department of Health and Human Services

20. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Institutional Animal Care & Use Committee Responsible for the oversight of research involving vertebrate animals Provide guidance for the care and use of laboratory animals Committee reviews and approves applications for the use of animals Animal safety officers regularly visit labs and check on the animals Reports to U.S. Department of Agriculture

21. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Radiological Health Oversee the use of radiation on humans, animals or in the laboratory Provide training and authorize people to use radiation or order radiologic materials Committee reviews applications for the use of radiologic materials Inspect facilities on campus Reports to U.S. Nuclear Regulatory Commission

22. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Research Integrity Educates faculty and staff on the proper conduct of research Investigates allegations of research misconduct Coordinates the education of students regarding ethics in their field of study Reports to Dept. of Health and Human Services

23. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Office of Sponsored Projects, Programs or Research Identifies and matches funding opportunities to faculty and resources Reviews all proposals prior to submission for accuracy, correctness, legal sufficiency and in consideration of agency funding requirements, institutional and sponsor policies and practice Assists faculty in preparing grant applications

24. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Negotiates the terms and conditions of grant awards and contracts with sponsors Acts as the institution’s authorized representative and signatory for all sponsored projects and programs Coordinates activity with other research administration units at the institution Manages projects and programs as needed to meet institution obligations to sponsors

25. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Maintain a sponsored project database for proposals, awards, and other relevant information to provide institution management Some offices perform the post-award accounting function, or Sends award information to accounting office for the establishment of spending accounts

26. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Conducts or participates in training for institution researchers and staff regarding the policies, compliance issues, procedures, proposal improvement and agency specific issues Reports to Vice-President for Research or Institutional Advancement

27. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Grants & Contracts Accounting or Research Accounting Reviews all expenditures on sponsored projects for adherence and appropriateness to federal and agency guidelines Some perform all post-award negotiations with sponsoring agencies Files financial reports with sponsoring agencies per their guidelines

28. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Maintains financial database for faculty and staff Reports to PIs on the financial status of their projects Often tracks institutional assets (computer equipment, lab equipment), especially those purchased with sponsor funds Reports to Vice-President for Research or Vice- President for Financial Services

29. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Organizational Components Research Education Facilitates a trained workforce in research administration supporting the mission of the institution Provides coordinated education and training programs which assist faculty and staff in the management of research activities Promotes compliance and research integrity at the institution Reports to Vice-President for Research Sometimes located within OSP

30. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Lifecycle of a Sponsored Project PI wants to submit a proposal PI and staff prepare applications and institutional documents OSP forms IRB applications IACUC applications PI submits documents for institutional approvals and forward to OSP for review OSP reviews application, makes appropriate revisions and submits to sponsor Sponsor sends award letter or declination letter to PI and OSP OSP verifies all approvals have been received then sets up spending account for PI PI performs research or service and submits financial and technical reports through post-award office PI and post-award office close out project once completed

31. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes PI prepares application package and internal approval forms and delivers to OSP. This includes: Original signature page or electronic file Research or Work Plan Budget and budget justification Certification or assurance pages Approval forms with Chair and Deans signatures CoI Number

32. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes If applicable, also submit: Sponsor and program guidelines or applicable web address. Copies of relevant compliance documentation. PI may work collaboratively with OSP to develop their proposal

33. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes Internal routing form: Summarizes content of the proposal/contract application for deans, chairs and OSP Alerts PI to other regulatory issues and offices Contents General Information Compliance Questions University Resources Signatures

34. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes PI Signature “I certify that the statements herein are true, complete and accurate to the best of my knowledge, and accept the obligation to comply with Public Health Services terms and conditions if a grant is awarded as a result of this application. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties.”

35. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes Dean and Department Chair Signatures: Verify applicant is eligible to be PI Verify PI has the knowledge, time and ability to complete the scope of work Responsible if Principal Investigator is not able, capable, or willing Confirm resources, space, equipment, and support Conflict of Interest Cost Sharing or Matching Over-Expenditures / Non-Payment

36. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes OSP Reviews application or contract for: Compliance with sponsoring agency’s policies and guidelines Compliance with institution policies and guidelines Appropriateness of budget Calculations Conforms to agency requirements Verify for allowable costs, salary cap, appropriate charges, and appropriate F&A costs

37. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes Appropriate application forms that are correctly completed All required information has been provided by PI After review and/or negotiation is completed, OSP will provide institutional signature or complete electronic submission This signature legally binds the institution

38. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes OSP and PI submit proposal Electronically Uploads and electronically signs application, or PI uploads application and OSP electronically signs, or PI uploads application and submits directly Paper OSP signs sponsor cover page or “face page” Returns to PI who sends to sponsor, or Mails application to sponsor

39. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Pre-Award Processes Contract – OSP negotiates terms with sponsor Application reviewed by sponsor Can take 2 weeks to 10 months While application is being reviewed or negotiation is taking place PI will process applications to other research administration offices such as IRB, IACUC Forwards those approvals to OSP once received

40. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Post-Award Processes Congratulations! PI receives award letter OSP or Post-Award Office or Grants & Contracts Accounting Reviews terms and negotiates with sponsor if necessary Verifies dates of performance for the award Gets final approval from PI to accept award Establishes internal account for spending and reporting purposes

41. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Post-Award Processes Grants & Contracts Accounting Reviews all expenditures being charged to award Adherence to agency spending policies Adherence to institution spending policies Sufficient funds exist Performs billing and receivables function with sponsoring agency Submits FSR to sponsor Verifies technical report has been submitted by PI

42. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Post-Award Processes OSP or Post-Award Office or Grants & Contracts Accounting Performs close-out functions Final technical and financial reports Property status reports Intellectual property reports Closes internal spending account

43. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Technical Systems PeopleSoft – owned by Oracle Enterprise Service Automation – grants and project administration Financial Management – asset and financial management, government portal Campus Solutions – student administration Human Capital Management – human resources and payroll

44. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Technical Systems Banner – owned by Sungard Higher Education Advancement Finance Financial Aid Human Resources Performance Reporting Student

45. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Technical Systems InfoEd Pre & Post Award – proposal development and tracking, project management, time & effort Compliance Systems – IRB, IACUC, radiation safety Clinical Trials – data collection, tracking adverse events, regulatory compliance Tech Transfer – inventors, patents, key dates, expenses and royalties

46. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Technical Systems iRIS – integrated Research Information System Study Management Review Board Management Compliance Management Grant & Contract Management Financial Management

47. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Technical Systems ClickCommerce – eResearch Portal Software IRB CoI IACUC Grants & Contracts Management SF424 eSubmission Level of Effort Management Clinical Trials Management

48. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Technical Systems Many institutions use a variety of software platforms University of Utah PeopleSoft – Student services, financial aid, human resources, financial management, grants eProposal – web-based proposal submission site ERICA – Electronic Research Integrity & Compliance Administration for CoI and IRB IACUC – Word documents submitted electronically

49. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Technical Systems Challenges Can make process more confusing and difficult for PIs and their staff Difficult for PI hardware to perform properly across a variety of applications Often does not support non-Windows based systems

50. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Technical Systems What would be ideal? One system to manage all functions Transparent portal PI can access all eRA needs and applications at one site Must work across a variety of platforms

51. April 23, 2007 1:30pm What is Research Administration? A Primer for IT Professionals Thank you! Questions?