Office of Research and Sponsored Programs May 7 2014 CSU Org Chart University Org Chart Presidents Cabinet also includes Legal Counsel Patricia Bartscher Chief of Staff Shawn Whalen Executive Director University Corporation UCORP Jason Porth ID: 436189
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Slide1
OverviewOffice of Research and Sponsored Programs
May 7, 2014Slide2
CSU Org ChartSlide3
University Org Chart
President’s Cabinet also includes:
Legal Counsel, Patricia Bartscher
Chief of Staff, Shawn Whalen
Executive Director University Corporation (UCORP), Jason Porth
Elogeanne
Grossman, Executive AssistantSlide4
University Org Chart - AdvancementSlide5
University Org Chart – Student AffairsSlide6
University Org Chart – Academic AffairsSlide7
University Org Chart –Administration and FinanceSlide8
ORSP – Department 3080
An department within Academic Affairs that provides administrative support for faculty and other Principal Investigators. Responsibilities include:
- Pre Award: finding funding opportunities, submission of proposals and negotiation of contracts with external funders
- Post Award: financial and HR management for externally funded grants/contracts
- Training: PIs, staff, other units
Compliance Program: Conflict of Interest,
Subrecipeint
Monitoring, Cost Sharing, Responsible Conduct of Research (RCR)
Other Support: Rx for faculty, internal funding
Grant funded employees are hired in this department and the project is set up in the financial system in this departmentSlide9
ORSP – Department 3075
General Fund
ORSP’s “Central Office”
This department’s employees include the Grant Administrators, Grant Support Coordinators, HR Specialists and the staff of Human and Animal Protections
ORSP Central Office staff are located both in the Administration Building and in
Hensill
Hall, Room 301Slide10
What is Research Administration?
Pre Award, Post Award, Training, Compliance, Human and Animal Protections, Intellectual Property, Patents are all part of Research Administration
The accidental profession
NCURA and SRA are the two primary professional associations for Research Administrators
A hot field to be inSlide11
The ORSP Org Chart by TeamSlide12
The ORSP Org Chart, Continued
Support Staff
Institutional Review Board (IRB) for Human Subjects
Institutional Animal Care and Use Committee (IACUC) for Animal SubjectsSlide13
The ORSP Org Chart, ContinuedSlide14
Pre Award CycleSlide15
Fiscal Agent
Employees are SFSU employees, hired into the same classifications, and eligible for the same benefits, as any other SFSU temporary employee.
The University assumes all responsibility for payroll, labor relations, benefits, risk management, leave programs, tax withholding, recruitment, retention, raises, setting compensation.
In addition, the University assumes responsibility for implementing the specific provisions of the sponsored agreement.
The University is responsible for the overall financial management of grants and contracts, including compliance, audit, maintenance of financial systems and records, risk management, safety, etc.Slide16
Post Award CycleSlide17
Timing Really is Everything
Plan for years
Apply
Wait
Get rejected (we apply for 3-4 times the amount of money that we get)
Surprise! You got funded
You’re now 3 months behind scheduleSlide18
ORSP Relationship to Other UnitsSlide19
What’s a Grant? What’s a Contract?What’s a S
ponsored Program?
Grants – Includes a scope of work but the outcomes may be unknown (research).
Contracts – Includes a scope of work with defined deliverables; contracts are enforceable in law even if it not labelled as a contract (agreement, MOU).
Sponsored Program refers to any project that is externally funded (grants, contracts, MOUs).
External support may be for research, community service, student support, student and faculty training, additional instruction.
Sponsored programs are distinct from gifts or charitable donations.
S
ponsored programs come with programmatic, financial and compliance terms and conditions.Slide20
What’s a PI?
Principal Investigator, usually a probationary or tenured faculty member.
The University serves as the fiscal agent for all grants and contracts.
The PI is responsible for programmatic aspects.
Pis
are also responsible for managing their budget; spending funds in a responsible way in accordance with University policies and procedures and the funder’s terms and conditions; hiring and supervising staff.
A PI is responsible for program, people, and money.
The amount of time that a PI spends on administrative tasks is estimated at 25%.Slide21
PIs and Department 3080
PIs drive external funding
PIs are our clients
PIs are directors of programs
PIs report to their department chair/dean
Department 3080 is a department with 150 directors (who don’t report to ORSP)Slide22
Working with ORSP and PIs
PIs are not administrators. They don’t get the emails that administrators get announcing new executive orders, changes in policies and procedures.
ORSP often has to interpret the new law, the new regulation, the new process for grant/contract purposes. The change may need to be:
adapted to fit our systems and processes
c
ommunicated, explained and interpreted to the PI
changed or rescinded because it is in conflict with existing funder guidelines and/or ORSP policy and procedure.
ORSP
is the face of administration to the PIs. To the PI, the change looks like ORSP initiated it, and we take the heat.Slide23
What are Direct Costs?Costs associated with a project that are easily allocated to the project.
Costs that are directly related to achieving the goals and objectives of that project.Slide24
`What are Indirect Costs?Costs associated with a project that are not easily allocated to the project.Slide25
What are Indirect Costs?
These are referred to variously as:
Indirect
C
osts (IDC),
Overhead
Facilities and Administration (F&A)
Our Negotiated Indirect Cost Rate Agreement (NICRA) is negotiated every 5 years with our cognizant agency, Dept. of Health and Human Services (DHHS)
Costs include existing buildings and equipment, operations and maintenance, library, general and department administration, etc.
All costs are included in the calculation of the IDC rates, i.e. whether the funding is federal, state or private.
There are different rates for organized Research, for Instruction and for Other Sponsored Programs (OSP).Slide26
What are Indirect Costs Spent On?
Internal funding opportunities
Bridge funding
ORSP budget
Research training including Research Rx for Faculty
Cost share for institutional grants
Animal facility
Support for the IRB
External review of proposal narratives
Statistical training and software
Support for departments that support ORSP, including HR, Fiscal Affairs, and Budget Administration
Return to Colleges – 20% to 25%Slide27
Volume of Grants & Contracts
125 Principal Investigators from different departments and colleges
3
50 active grants and contracts
$50 million in expenditures in Fiscal Year 2012Slide28
The Truth about External Funding
It’s competitive
Terms and conditions
Compliance
Additional audit and compliance issues
Begin and end dates
No cash
Use it or lose itSlide29
HR Volume
1200 employees per year – students, hourly & salaried staff, postdoctoral researchers and faculty additional pay
1/3 to 1/4 of employees will have some payroll change in any given month.
Faculty additional pay adds 100 employees to ORSP payroll, 3-4 times a year.
RRT – approximately 100 per semesterSlide30
Who are our Sponsors?
Federal – your tax payer dollars
T
he alphabet soup: National Institutes of Health (NIH), National Science Foundation (NSF), Department of Education, NOAA
State – more of your tax payer dollars
Local Government – even more of your tax payer dollars
Private – foundations and associations
Business
InternationalSlide31Slide32
Fun Facts about External Funding
Majority of costs are spent on salaries and benefits
At this University, most awards have a student support componentSlide33
What’s a Grant Administrator (GA)?
Pre Award - Responsible
for
researching
the application process, compiling application data, and coordinating
deadlines, and final submission.
Post Award -budget
and expense analysis, periodic invoicing, financial reporting, labor distribution
changes, reconciliations
, and
rebudgeting
; performs grant closeout functions required
by sponsors
including reconciliations, financial status reports, final invoices, purchase order liquidations, zeroing out budgets, and final reporting; reviews general ledger transactions to ensure accuracy and complete journal entries.
Train PIs who are not administrators
Portfolio of 50 awards, 20
Pis
, $number of dollars, multiple academic departments, colleges and type of programSlide34
What does an ORSP HR Specialist do?Pre Award
Determine classification and compensation for budgeting and planning purposes for grant funded staff, postdoctoral researchers, faculty, student assistants and Special Consultants.
Determine benefits eligibility and benefit costs
Provide guidance and training to faculty on recruitment and retention in post award
Process re-appointments and other employee changes.
Maintain ORSP Job and ORSP Person within HRMS.
Budget projections for salary and benefit costs.Slide35
Pre Award / Proposal DevelopmentBudgeting for Salaries and Benefits
Faculty – Reimbursed Release Time and Additional Pay
Staff – hourly and salaried
Students
Postdoctoral Researchers (Research Fellow)
Special Consultants
Honoraria
Independent ContractorsSlide36
What does an ORSP HR Specialist do?Post Award
Provide guidance and training to faculty on all HR issues.
Post jobs and make job offers
Orient new employees
Serve as the point of contact for employees and faculty on retention, payroll, benefits, leave eligibility and employee relations issues.
Process re-appointments and other employee changes.
Process employee separations
Process RRT
Maintain ORSP Job and ORSP Person within HRMSSlide37
Technology – Human Resources
HR system was modified to accommodate ORSP needs.
This system links to the finance system in order to provide the ORSP HR Team, the GA and the PI with information about begin and end dates, the source of funds, name of the grant, the PI name.
Implemented Job Earnings Distribution (JED) in order to charge grants appropriately. Using position number didn’t work because of the volume of transactions and frequency of changes in funding.
ETRACs routed to a GA and the PI
We work with the HR Tech Team to update and maintain the system, as well as test the system when upgrades and changes are implemented centrally.Slide38
Technology – Finance
HR system was modified to accommodate ORSP needs.
The Oracle Business Intelligence (BI) tool implemented with custom ORSP reports.
Implemented CSU Sponsored Programs (CSUSP) to store information unique to grants and contracts administration.
Work with the Business Systems team in Fiscal Affairs to maintain and test the system when upgrades and changes are implemented centrally.Slide39
We Know Something about Everything
Human Resources – payroll, benefits, labor relations, compensation and classification, volunteer status
Finance – finance reporting, budgeting, labor cost distribution, accounts receivable, accounts payable, Procurement, contract negotiation, salary and benefit costs, p-card, travel, taxes for salaries and wages, stipends, foreign payments, risk management, property management
Technology – adapt university systems to meet the needs of research administration
The academic world – academic salaries and benefits, academic workload, student employment and student financial aidSlide40
What is Reimbursed Release Time?
Please refer to
ORSP_Salary&Benefit_Costs
trainingSlide41
Compliance Team
Major financial compliance issues
- Time and Effort Reporting
- Cost Share
-
Subrecipient
Monitoring
- Conflict of Interest
- Cost Transfers over 90 Days
Audit preparation
Spot Audits
Human and Animal Subjects Protections
Responsible Conduct of ResearchSlide42
What’s an OMB Circular?
Office of Budget & Management
A-21, A-110 and A-133
Allowable, allocable, reasonable and consistent.
HR Provisions - Administrative staff and definition of major program, visa costs, time and effort reporting, recruitment costs, legal costs, salary cap, etc.
Grant Administrator reviews each and every transaction against the terms and conditions of the award
Federal regulations apply to all grants and contracts.Slide43
Human Subjects in Research
Review is required for any research that:
is a systematic investigation leading to generalizable knowledge
is conducted by University faculty, staff, students
is performed on the premises of the University (even if conducted by persons not affiliated with SFSU)
Institutional Review Board (IRB) is appointed by the Academic Senate and comprised of faculty, community members, non-scientific and scientific backgrounds.
Office reviews new
research protocols and
continuing review of projects
Responds
to participant inquiries
Provides technical assistance and protocol coaching
Just-In-Time: Staff will review ASAPSlide44
Animal Subjects in Research
Institutional Animal Care and Use Committee (IACUC) is appointed by the President or designee and comprised of veterinarian, faculty members, non-affiliated and non-scientific members
Federal regulations are more extensive and detailed, review often takes 1-2 months
Research locations include SF State’s Animal Facility, other organizations or field sitesSlide45
The ORSP Website
Find Funding (including internal funding)
Apply for a Grant
Human & Animal Protections
Manage My Award
Spend Grant Funds
Hire/Pay People
Analyze Data/Design a Study
Compliance Program
Forms and Policy Libraries
FAQs
Staff DirectorySlide46
Reference Documents
Negotiated Indirect Cost Rate Agreement (NICRA)
Benefits Matrix
Sample grant budget
Grant files – award letter, terms and conditions
OMB Circulars
HR Training for internal staff: (
ORSP_Salary&Benefit_Costs
)
Pre Award files
Post Award files
Personnel files