1. 1 Finance & Administration Advisory Meeting August 13, 2013 Healey Library, 11B

2. 2 1.Responses to small group discussions 2.ORSP Update ◦ FY13 Progress Report/ Accomplishments ◦ FY14 Focus Areas

3. 3 1.Responses to small group discussions

4. 4 1. Presentation on what ORSP does – more information 2. Better understanding of ORSP functions 3. Gain better understanding of office’s process – pre award, post-award 4. Know staff better and who to go to 5. Define responsibility for ORSP vs. depts. 6. Pre-award and post award difference 7. Regular updates at F&A meetings 8. Awareness of how grant process works (reported from 2 groups) 9. More response/notification/feedback on setting up grant project IDs.(2groups) 10. Policy and guidelines on research dollars are becoming more strict than University rules --difficult to get award processed 11. Provide better coverage when ORSP employee is out of the office 12. Improved reporting on how much funding applied for, and amount awarded 13. Post-award support 14. Notifications, beyond the PI, of awards received and actions needed 15. Training for PI and holding them accountable regarding rules 16. Mandated PI training before submissions 17. Training on international requirements 18. Training/training and more training – Pre, post awards and compliance 19. More education forums on ORSP business

5. 5 1. ORSP ◦ Organization ◦ Purpose 2. Roles and Responsibilities clarification 3. Communication improvements 4. Training needs

6. 6 ORSP Org/Purpose. Want to know staff better - who to go to?  Introduction of management team:  Shemetra Owens – compliance  Pam Villafuerte – post award  Becky Hanson– billing/AR  Org Chart  umb.edu/research/orsp umb.edu/research/orsp  Purpose evolving with sophistication of staffing

7. 7

8. 8 ORSP Staffing – services have drastically increased with an 8.5% decrease in budgeted FTEs Summer 2011Summer 2013 PreAward4.5 + 1.0 open5.5 Research Compliance1.5 + 2.0 open3.0 PostAward4.5 + 1.0 open Management1.0 Admin2.01.0 Total 13.5 + 4.0 = 17.5 15 + 1 = 16

9. 9 Pre-Award Services: Paula, Maggie, Shala, Vishal, Jeff, Michael Assist with identifying funding opportunities Subscriptions to: COS database; SPIN database; NIH weekly opportunities; Grants Advisor Plus. ORSP E-newsletter in development. Proposal Development Laura Hayman (AVP for Research) workshops; support for grant writing trainings; Budget development/ Proper fringe, indirect costs Training offered Award/subaward negotiation and modifications Main communication with sponsors

10. 10 Post Award Services: Pam, Ed, Abdoulaye, Byron (PT) Becky, Shandell, Open Project/Account set-up in PeopleSoft Process improvements implemented Institutional (PI/College/Dept) Reporting Another major FY14 project (started in FY13) in effect Financial reporting to sponsor Federal – great Project/account close-out; Record Retention Major FY14 project (started in FY13) in effect Billing/Collections Major remaining improvement area; hired Hanson; open position posted

11. 11 Research Compliance and Training: Shemetra, Kristen, Kim Coordination of human and animal subject research – IRB and IACUC approval prior to conducting research Good oversight; training and outreach in process since Jan 2012 Effort Certification (ECRT) Worst to first; New round of training Conflict of Interest Management and Oversight; Export Controls; Cost Sharing; Subrecipient Monitoring

12. 12 Research Compliance and Training: Shemetra, Kristen, Kim Institute Policies and Procedures Current: IRB, COI, ECRT; overall strategic training plan being developed for Faculty and Administrators Funding Opportunities New faculty and as needed - Evolving Roles and Responsibilities Need to be identified with HR Proposal Preparation Budgeting workshops; 1:1; Hayman programs Award Financial Oversight Workshop offered

13. 13 Clarification on Roles and Responsibilities - Define responsibility of ORSP vs. departments  Smaller institutions have varied structures and resources and therefore R&Rs will vary.  ORSP to have R&R discussions with college leadership and identify common expectations.

14. 14 Communication Improvements ◦ Regular updates at F&A meetings ◦ Finding the correct audiences ◦ Will have more A&F presence ◦ Greater opportunities at workshops and trainings and college/department/unit mtgs ◦ Improved reporting on funding applied for, and amount awarded – external funding metrics

15. 15 Trainings –any? more? mandate! ◦ Grant process ◦ Pre, post awards and compliance ◦ Mandated PI training before submissions ◦ Training for PI and holding them accountable regarding rules New Training Program started along with participating in the Controller’s Internal Controls trainings.

16. TrainingTitleDayDateTimeLocation September Trainings Research ComplianceAnimal Care & UseTues9/17/131-2pmQuinn, ORSP Conference Room Grant Development Finding Funding OpportunitiesTues9/16/1310-11:30amQuinn, ORSP Conference Room Research ComplianceCost Sharing BasicsThurs9/19/1310-11:30am Quinn, Chancellor's Conference Room Grant Development Budgeting & Award Financial ManagementThurs9/19/131:30-3:30pm Quinn, Chancellor's Conference Room Research Compliance Human Subject Research, Guidelines & PoliciesThurs9/19/131-2pmQuinn, ORSP Conference Room October Trainings Research ComplianceFinancial Conflict of InterestTues10/15/131-2pmQuinn, ORSP Conference Room Grant Development Budgeting & Award Financial ManagementThurs10/17/1310-12pm Quinn, Chancellor's Conference Room Research ComplianceCost Sharing BasicsTues10/22/1310-11:30am Quinn, Chancellor's Conference Room November Trainings Research Compliance Effort Reporting & the ECRT SystemWed11/20/1310-11amHealey, Lower Level P1 December Trainings Grant Development Finding Funding OpportunitiesTues12/16/1310-11amQuinn, ORSP Conference Room

17. GRANTS/RESEARCH ADMINISTRATION  Export Control  Cash Management & Billing  Sponsored Programs 101- staff; faculty  Onboarding for New Faculty – Sponsored Programs 101 *PROPOSAL DEVELOPMENT  NSF CAREER program  NSF Graduate Research Fellowships  NIH grants  Rhodes Scholars  Goldwater Scholars  Marshall Scholars  Fulbright Fellowships  grant-writing workshops for faculty  grant-writing workshops for research staff  grant-writing workshops for doctoral students  grant-writing workshops for post-docs  information sessions on S&T and Creative Funds in the President’s Office  information sessions on UMass Boston internal grant program

18. 18 1.Responses to small group discussions 2.ORSP Update ◦ FY13 Progress Report/ Accomplishments ◦ FY14 Focus Areas

19. 19 1.Staffing  Reorg complete  Retain/Recruit 2.ECRT – worst to FIRST 3.Conflict of Interest rollout 4.Internal Controls – update and contribute to presentations 5.“Cleanup to Closeout” project kickoff

20. 20 6.Cash management solved 7.Improved data input and output 8.Standardize annual review of institutional review committees (IRB, IACUC; IBC). Defined structure; mandated training for new members, and annual evaluations of all members. 9.Enhanced training program with new sessions:  Budgeting and Financial Management of Grants  Funding Opportunities  ORSP Internal Controls

21. 21 1.Responses to small group discussions 2.ORSP Update ◦ FY13 Progress Report/ Accomplishments ◦ FY14 Focus Areas

22. 22 1.Continue and complete the “Cleanup to Closeout” Project Goal: close 2,165 awards (~2,600 projects) by 6/30/14  A/R collections; Write Offs 7/5/13 Status: 170 awards = 210 projects are CLOSED (8%)

23. 23 DATA Count @ START Count @ 5/16/13 Count @ 6/5/13 Count @ 7/5/13 Change from START “Clean” – awards ready to be closed 994954909 871(123) “Dirty”- awards with issues (billing, AR, DR) 1,171 1,1361124(47) “Closed – pending” - awards evaluated for closeout and submitted to the controller0040 40 “Closed” awards run through all the steps of the close-out process 04080130 Total 2,1652165

24. 24 2.Efficiencies  Consolidate forms to supports data collection (updated Proposal Routing form in September 2013) 3.Training  Grow the ORSP training program; identify areas of priority  Policies & Procedures – review, identify areas of priority, create/update, publish and train

25. 25 4.Reviewing the creation of institute Core Facilities  Vivarium  DNA Sequencing  DF/HCC Center for Personalized Cancer Therapy (CPCT)  Others (centers with service function; research marketing)?

26. 26 5.Communications  identify target audiences  ORSP Advisory Committee; F&A meetings; ORSP Brown Bag lunch; newsletters; funding opportunities; training program 6.Improved reporting/metrics

27. 27 7.Proposal Development program  Runs the internal grant program (Healey, Proposal Development, Public Service, Doctoral Dissertation)  Increase (# and quality) proposals/awards  Faculty Interests database search  Funding Opportunity dissemination  Mentoring  Grant writing – Training, workshops, reviews

28. 28  Changes made to support mission  Continually review operations to explore new ways – consistency, teamwork and communication are essential  Successes can allow for more long term/strategic planning  Partnership – success can only be achieved through effective relationships, good communication and understanding of issues

29. 29 Matthew Meyer Director Shemetra Owens Compliance Manager Pam Villafuerte-Langford Post Award Manager Becky Hanson Billing, A/R and Financial Analysis Manager