Research administration for ucb

Research Administration at UC Berkeley Elise Mills, Engineering Research Support Organization Kimberly Page, Contracts and Grants Accounting Joyce So, Sponsored Projects Office March 2017 PCARI International Seminar-Workshop

The University of California Facts at a glance • • • • • •

One of the largest university systems in the world Governed by The Regents of the University of California Annual Resources: $31.2B 10 campuses, 5 medical centers Students: 251,714 Faculty: 21,200

UC’s Fundamental Missions • We teach • We do research • We provide public service

Teach

Research

Public Service

Some definitions • Research is defined as investigation or experimentation aimed at the discovery and interpretation of facts, the revision of accepted theories or laws in the light of new facts, or the practical application of such new or revised theories or laws. • Sponsored Research refers to research activities supported all or in part by extramural agencies and organizations.

Some more definitions • Research Administration includes: – the development, review, and submission of project proposals to extramural sponsors – negotiation of the terms and conditions of resulting awards and contracts – ensuring compliance with governmental/sponsor and institutional policies from the proposal stage through award closeout – administrative and financial management of sponsor and institutional resources to ensure research goals are achieved and pertinent regulations are followed

UC Delegation of Authority & Systemwide Policy Guidance • The Regents set forth University policies (i.e. for Research administration, policies are set forth in a system-wide Contract and Grant Manual, and Accounting Manual)

• The President of the UC delegates certain authority to execute and implement these policies to individual campuses

• Individual campuses, including Berkeley, have delegated authority from the Regents to accept or execute grants and contracts for research and public services

Research Administration at Berkeley

Ensure Compliance

Facilitate Research

Purpose: • Ensure compliance • Facilitate research Interconnected Compliance Elements: Financial • How is money managed and spent?

• What controls are used to manage awards?

Legal • What regulations, policies and laws apply to the organization?

• What are the proposal requirements; what specific terms & conditions govern the award?

• What if university rules differ from sponsor rules?

Legal Framework of Research Compliance Through the Office of the Vice Chancellor for Research, the conduct of research is governed by multiple rules and policies: • The U.S. government (federal) • The California government (state) • The UC Office of the President • The Academic Senate of UC (UC faculty) • The Academic Senate of Berkeley campus (Berkeley faculty) • Research Administration of UC Berkeley campus

Financial Framework of Research Compliance US Government’s Office of Management and Budget Uniform Guidance (2 CFR 200) • Pre and Post Award Requirements • Cost Principles • Audit requirements

University of California Contract and Grant Manual • Provides guidance on policies for the solicitation, acceptance or execution, and administration of awards from extramural sponsors • Applies to all University campuses, organizations, and components within the jurisdiction of The Regents of the University of California

Individual agency requirements

Organizational Actors in Research Administration • Principal Investigators • Departmental Research Administration (e.g.

Engineering Research Support Organization, ERSO) • Research Administration and Compliance/Vice Chancellor for Research (e.g. Sponsored Projects Office, Conflict of Interest, Office of Animal Care and Use, Office of Protection of Human Subjects) • Contracts and Grants Accounting

PI

Dept Admin

CGA

RAC

The Role of Principal Investigator (PI) • The PI (faculty), the most important person in research, carries out the systematic investigation • The PI is the individual with the primary responsibility for the design, execution, and management of a research project

The Role of Principal Investigator (PI) • The PI conceives ideas for research activities (proposals and projects) and is the individual responsible for making decisions throughout the process of the research project to bring about results which could include: new technology/IP; creation of knowledge in the form of new ideas/methods; or the proof of truths or refutation of lies • At Berkeley, the role of PI is generally limited to members in the academic senate and members with certain academic/research appointments

The Role of Departmental Research Administration • At the local level Research Administration is actively done to facilitate research and ensure compliance by staff partnering with the PI • In facilitating research we seek to identify areas and practices that could be streamlined or optimized to lessen the administrative burden for PI’s yet still meet compliance requirements (use of appropriate technology can help)

The Role of Contracts and Grants Accounting (CGA) • Sets up and maintains award record in Enterprise system (PeopleSoft) • Creates and submits invoices to sponsors • Creates and submits financial reports to sponsors and UC System • Completes award closeout tasks at end of award • Monitors AR and generates AR reports • Collections • Effort reporting • Audit support

Office of the Vice Chancellor for Research (VCRO) Vice Chancellor for Research

(Other Research Units)

Sponsored Projects Office

Office of Animal Care and Use

Research Administration and Compliance

Office for the Protection of Human Subjects

Conflict of Interest

Export Control

Responsible Conduct of Research

The Role of Sponsored Projects Office (SPO) • Proposal review for compliance with institutional and sponsor policy/requirements and federal and state regulations (when applicable) • Institutional authorization/submission of proposals • Pre-award compliance review and update • Contract and grant award negotiation and acceptance • Sub-award risk analysis, issuance and monitoring • Sponsor interface on contract and grant closeout by relevant offices

• Interpretation and explanation of award conditions and requirements

Research Administration & Compliance: Conflict of Interest (COI) Committee • COI is a situation when an investigator’s outside financial interest(s)/obligation(s) have the potential to bias a research project or cause harm to human subjects participating in a research project.

• Investigators at UC Berkeley are subject to UC system wide policies, as well as specific State of California law and federal regulations on COI. • RAC provides the operational support required to implement and administer COI Committee decisions

Research Administration & Compliance: Other Compliance Offices • Office for Animal Care and Use (OACU) - Supports Animal Care and Use Committee (ACUC) which ensures the University’s compliance with federal regulations in relations to the uses of live vertebrate animals in research, teaching and education

• Office for the Protection of Human Subjects (OPHS) - Supports the Committee for the Protection of Human Subjects (CPHS) which ensures the protection of the rights and welfare of all human participants in research conducted by University faculty, staff and students

Research Administration Award Cycle Proposal (Pre-Award)

Award Negotiation

Award Closeout

Award

Fund Management

Award Setup (Post Award)

Pre-Award

PI Identifies opportunity

PI partners with RA to prepare proposal

RA prepares costing details

PI prepares technical content and research plan

Key: PI – Principal Investigator RA – Departmental Research Administrator

Pre-Award (Continued)

SPO conducts institutional review for compliance

SPO provide institutional authorization to submit

Sponsor conducts proposal review and selection

Sponsor notifies SPO of its decisions and provides agreement to SPO if funded

Key: SPO – Sponsored Project Office

Award Negotiation

SPO reviews and negotiates award terms and conditions

SPO coordinates with other compliance offices (e.g.

OACU) to ensure compliance

SPO accepts award and issues award notice

PI, RA and CGA receive award notice

Key: CGA – Contracts and Grants Accounting

Award Setup

PI, RA and CGA receives award notice

Department RA prepares budget

CGA reviews and approves budget

PI/RA receives notification that award is set up

PI/RA is authorized to spend

Award Fund Management and Closeout

RA/PI initiates spending

RA/PI review expenses on regular basis

CGA invoices sponsor for expenses

PI submits technical reports/CGA submits financial reports

CGA/RA closeout award

Post Award: RA Responsibilities Review Award & Budget

Monitor Expenditures

• Budget posted in ledger • Allocate budget as needed (Co-PIs, subawardees or cost share)

• Personnel, purchases, travel & reimbursements • Ensure expenses are reasonable, allocable & allowable

Financial Reporting • Prepare reports • Conduct financial analysis • Develop projections • Develop sponsor specific reports • Discuss with Faculty

Award CloseOut • Maintain all award required documents • Prepare financial close-out activities

Post Award: Contracts and Grants Accounting Responsibilities Set up award record • Record award and modifications in grant management system • Approve budget upload • Notify PI award is ready to spend

Invoicing • Generate invoices from Contracts and Grants system • Review invoices to ensure accuracy • Provide supporting General Ledger reports if required

Financial Reporting • Create and submit interim and final financial reports reflecting expenditures recorded on the General Ledger

Financial Management Support • Reconciliations • Facilities and Admin cost adjustments • Review late payroll cost transfers • Meet with PIs/RAs to coordinate financial reporting support

Post Award: Contracts and Grants Accounting Responsibilities Accounts Receivable

Effort Reporting

• Monitor, track and report on AR activities • Pursue collections • Apply payments to awards

• Coordinate ER reporting process biannually • Maintain Effort Reporting System

Audit Support

Award Close-Out

• Coordinate internal

• Notify PI/RA of awards due to expire • Coordinate overall closeout process to ensure timely closeouts • Create and submit final invoices and reports • Closeout award record in grant management system

and external audits of contract and grant expenses • Prepare reports for external auditors and UC Office of the President

Post Award: SPO Responsibilities Post Award (NonFinancial Related) Support

• Review, negotiate and accept award modifications • Review and submit prior approval request per terms and conditions

Subaward Setup & Monitoring

• Validate subawardee eligibility • Conduct subaward risk analysis • Prepare, issue and negotiate subaward • Performs annual compliance review of subaward and monitor subawardee

Award Close-Out

• Coordinate with relevant campus offices on close-out reports

• Sponsor Interface on C&G closeout activities (nonfinancial)

Policies and Procedures Interpretation • Interpret terms and conditions • Provide guidance and updates on applicable regulations, laws and policies

Research Administration Education and Resources • National Council of University Research Administrators (NCURA) • Society of Research Administrators International (SRA) • Research Administrators Certification Council (RACC)

• UC Berkeley Training – Research Administration Professional Development Program • UC Office of the President – Intellectual Property Training, Non-profit Training • Responsible Conduct of Research Training • Research Administration Compliance Forum

Useful Links • http://ucop.edu/research-policy-analysiscoordination/resources-tools/contract-and-grantmanual/index.html • http://www.erso.berkeley.edu/erso/ • http://controller.berkeley.edu/contracts-and-grantsaccounting • www.spo.berkeley.edu • http://vcresearch.berkeley.edu/research-office

Questions?