INTRODUCTION TO RESEARCH
ADMINISTRATION
Graduate School Advisory Council
April 29, 2011
Randall Draper, Ph.D.
Director
Office of Contracts and Grants
Office of the Vice Chancellor for Research
What is a sponsored project?
How do Investigators get funded?
How much support for research and sponsored
projects does UCB receive annually?
How are sponsored programs managed at UCB?
What challenges are faced in the everyday
management of sponsored programs?
• The proposal responds to a RFA, RFP, or other
formal solicitation and the project is initiated by
notice of award.
• The Statement of Work specifies programmatic
objectives to be accomplished within a delimited
period of time and budget.
• These awards require deliverables or detailed
technical reports.
• These awards require separate accounting
procedures and detailed financial reports.
• These awards include provisions for audit by the
sponsor.
• These awards involve the disposition of property,
whether tangible or intangible, that may result from
the project.
• These awards require regulatory oversight in areas
such as animal care, human subjects, bio-safety, or
financial conflict of interest.
See APS Sponsored Project Revenues at:
https://www.cusys.edu/policies/Fiscal/Rev_Sponsored-Project-Revenue.pdf
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GIFTS
o Private Purpose
o Discretionary/No Strings Attached (Courtesies)
o CU Foundation

GRANTS
o Public Purpose
o Always Restricted/Always Strings (Provisions)
o Assistance
o OCG

CONTRACTS/SUBCONTRACTS
o Government Purpose
o Restricted and Binding (Terms and Conditions)
o Procurement
o OCG
 Federal
Government
 State Government
 Local Government
 Local/State Foundations
 Regional/National Foundation
 Non-Profits Institutions
 Industry
 Other Institutions (Subcontracts)
 Individuals
AWARDS AND EXPENDITURES THROUGH
FY 2010
Number of Proposals:
Value of Proposals:
2,147
$1,534,368,406
Number of Awards:
Value of Awards:
1,930
$454,386,815
Number of Active Projects
Cumulative Obligations:
Over 3000
Over $1.5B
Expenditures:
$330,945,670
Cost Recovery:
$73,192,374
Fiscal Years
2005
2006
2007
2008
2009
2010
NSF
46.7
40.0
43.9
48.0
60.3
77.9
NASA
44.5
48.4
46.9
54.4
73.6
111.3
DHHS
39.3
43.3
40.3
42.6
46.3
69.5
Commerce
26.5
31.9
33.2
38.1
36.5
77.2
Defense
11.4
13.3
10.0
17.9
12.5
15.8
All Others
21.4
16.8
20.4
21.0
23.9
23.8
Sub-Total
189.7
193.7
194.7
222.0
253.1
375.5
Flow Thru*
39.2
26.0
31.2
22.3
28.9
33.1
All Fed
228.9
219.7
225.9
244.3
282.0
408.6
Non-Fed*
28.7
36.8
40.2
35.7
57.7
45.8
Total
257.6
256.5
266.1
280.0
339.7
454.4
*JPL, NREL, STSI, Other Universities
* State of Colorado, Industry, Miscellaneous
FISCAL YEARS
2005
2006
2007
2008
2009
2010
Federal
$190
$194
$195
$222
$253
$375
Federal Flow
Through
$39
$26
$31
$22
$29
$33
Non-Federal
$29
$37
$40
$36
$58
$46
$258
$257
$266
$280
$340
$454
Fiscal Year
2006
2007
2008
2009
2010
2011
Estimated
Proposals
969
1,099
1,459
1,307
1,534
1,928
Awards
256.5
266.2
280.0
339.7
454.4
345
Expenses
259.0
258.7
258.7
282.5
330.9
386
Cost
Recovery
51.4
53.6
56.2
62.0
73.2
80
AWARDS BY MAJOR RESEARCH UNITS ($M)
Fiscal
Years
2006
2007
2008
2009
2010
5 Year
Average
Business
3.1
3.0
2.4
3.6
4.4
3.3
Education
4.9
3.2
5.3
6.3
7.9
5.5
Arts &
Sciences
64.8
(25%)
68.0
(26%)
70.1
(25%)
79.5
(23%)
93.0
(20%)
75.1
Engineering
34.8
(14%)
40.3
(15%)
42.9
(15%)
57.7
(17%)
65.8
(14%)
48.3
Institutes
144.2
(56%)
144.9
(54%)
152.3
(54%)
187.2
(55.1)
273.0
(60%)
180.3
4.6
6.7
7.1
5.4
10.3
6.8
256.4
266.1
280.1
339.7
454.4
319.3
Others
Total
The mission of the Office of Contracts and Grants is to
help UCB faculty, staff, and students obtain and
manage external funding, while protecting the
University’s interests. OCG reviews and approves the
submission of sponsored project proposals; negotiates
grant and contract awards; monitors the implementation
of projects for compliance with sponsor regulations;
reviews, initiates, and enforces policies and procedures;
provides training to faculty and staff; and serves as the
University’s official liaison with sponsors and regulatory
agencies.
TO SERVE AND PROTECT!
Office of Contracts and Grants
Organizational Chart
April 2011
PRE-AWARD
Joyce Kroll
Assistant Director (1.0)
Lisa Tedesco
Proposal
Analyst (.75)
Joan Eaton
Proposal
Analyst (1.0)
Anselmo
Serralheiro
Proposal
Analyst (1.0)
Stefan Reiss
Proposal
Analyst (1.0)
Chandra Tjandrasa
Program
Assistant (1.0)
Randy Draper
Director (1.0)
Kathy Lorenzi
Associate
Director (1.0)
DATA
MANAGEMENT
Jennifer Ward
Assistant Director (1.0)
Roger McCormick
Coordinator (1.0)
Jan Farrar
Reports
Administrator(1.0)
Lyn Milliken
Data
Supervisor (1.0)
SUBCONTRACT
MANAGEMENT
POST-AWARD
Ted Jobe
Property/Travel
Specialist (1.0)
Betsy Williams (1.0)
Miranda Lowe (.5)
Temporary
Johanna Eagan
Award Processing
Work Leader (1.0)
Patti Young
Sr. Contract /Grant
Administrator(1.0)
Amanda Todd
Award
Processor (1.0)
James Uhes
Contract/Grant
Administrator (1.0)
Meagan Taylor
Award
Processor (1.0)
Rachelle Richmond
Contract/Grant
Administrator (1.0)
Rosie Allen
Award
Processor (1.0)
Lori Lafon
Contract/Grant
Administrator (1.0)
Brian Rogers
Proposal
Analyst (1.0)
Loretta Negrete
Contract/Grant
Administrator Ret.
Steve Sheldon
Proposal
Analyst (1.0)
Virginia Hart
Contract/Grant
Administrator Ret.
Juliana Zuccaro
Proposal
Analyst (1.0)
Denitta Ward
Subcontract Manager
(1.0)
Mindy Vallejos
Subcontract
Administrator
(1.0)
PRE-AWARD
• Understand the rules, regulations, and culture of the
sponsoring agencies and the federal cost principles.
• Review Proposal Guidelines.
• Help prepare Proposals/develop Budgets.
• Provide liaison to Sponsors, Partners, Colleagues.
• Sign, package, submit Proposals.
• Revise Budgets; resolve problems.
POST-AWARD
• Understand the Federal cost and management
•
•
•
•
•
•
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principles.
Understand the Federal Acquisition Regulations.
Review Grant and Contract terms and conditions.
Negotiate, approve, and process Awards.
Assist with the project planning and start-up, including
Subcontracting.
Provide liaison to Sponsors, Partners, and
Colleagues.
Coordinate with Sponsored Project Accounting.
Administer Awards.
OTHER SERVICES
 Assist with Project Management = Solve Problems
 Manage Federal Property
 Advise Standing Committees
 Maintain Data Bases/Prepare Reports
 Provide Training to the UCB Research Community
 Monitor Compliance Regulations, modify Policy and Procedures
appropriately
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BA Required; Masters Preferred
1 to 2 Years On the Job Training
History of Higher Education
Understanding of Research and Research Administration
Disciplinary Awareness
Sponsor Rules, Regulations, Procedures, Culture
OMB Circulars A-21, A-110, A-133
Federal Acquisition Regulations (FAR)
State Statutes, Policies, Guidelines
University Laws, Policies, Procedures
Electronic Research Administration
Experience
 Manage
the Financial aspects of an Award after
it is received.
 Maintain systems to ensure compliance with the
University, State, Federal, and Agency Rules
and Regulations.
 Consult/Advise/Train/Assist with the Financial
Administration of Projects.
 Provide general financial accounting for
restricted funds.
 Monitor Compliance Regulations, modify Policy
and Procedures appropriately.
 Identify
Funding/Collaboration Opportunities.
 Notify OCG re: Proposal . . . EARLY.
 Prepare Proposal.
 Obtain all Approvals(C/S, Space, Released
Time, etc.).
 Review and Accept the Terms of the Award.
 Implement the S.O.W. according to the Award
Terms.

Comply with all Regulations.

Supervise Project Personnel.

Manage the Project Budgets.

Authorize Expenditures.

Prepare Technical Reports.

Work w/ SPA for Financial Reports.

Work w/ OCG for Property and Invention Reports.
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Training Programs
o Introduction to Sponsored Projects
Administration
o Preparing/Submitting Proposals
o Contracts and Subcontracts
o Property and Travel
o Post-Award Administration
o Compliance Issues
Brown Bag Lunches/Drop-In Discussions
Department Administrator Breakfasts
Newer Faculty Receptions/Meetings
Department Meetings
Office of the Vice Chancellor for Research
o Cost Sharing/F&A Waivers
o Export Laws
o Conflict of Interest
o IRB/IACUC
Office of Technology Transfer
University Counsel
Internal Audit
Risk Management
University Controller/Accounting and Business Support
Procurement Service Center
CU Foundation
Colorado Renewable Energy Colaboratory, etc.
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Personnel Recruitment, Training, Retention

Efficient and timely processing of awards

Efficient and timely processing of subcontracts

Building a research administration infrastructure in the
departments

Improving data processing and reporting

Increasing overall office automation (eRA)

Supporting all the departments and disciplines,
including the Arts, Humanities, and Social Sciences

Meeting the expectations of the faculty

Grants.gov and Electronic Research Administration

Increasing number of Compliance Regulations (Laws,
Statues, Policies)

Increasing number of Troublesome Clauses

Larger, More Complicated Projects

New Centers, Institutes, Consortia

Faculty Transfers

ARRA, Continuing Resolution, Tighter Federal Budgets
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Increasing Private Funding
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Over-Expenditures and Under-Expenditures
“Deal Killers”
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Publication/Disclosure
Intellectual Property
Performance Penalties
State of Colorado
Provisions
“Annoying Clauses”
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o Indemnification

o Liability/Insurance

o State Law

Unreasonable
Invoicing/Payment Terms
Unreasonable Reporting
Requirements
Key Personnel
Technical Direction
Unfair Termination
Export
o etc. etc. etc.
THANK YOU!
QUESTIONS/COMMENTS?
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