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Introduction to CaltechResearch Administration
Urmila Bajaj, Director of Project [email protected]; x2585
David Mayo, Director of Sponsored [email protected]; x6219
Overview
Research at CaltechResearch Administration at CaltechPolicies Affecting the Administration of ResearchProposals at CaltechAwards at CaltechRoles and ResponsibilitiesConclusion
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Research at Caltech
Caltech’s Mission
To expand human knowledge and benefit society through research integrated with education. We investigate the most challenging, fundamental problems in science and technology in a singularly collegial, interdisciplinary atmosphere, while educating outstanding students to become creative members of society.
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Caltech Staffing
Professorial Faculty: ~300Other Faculty: ~320Postdocs: ~600Graduate Students: ~1,220 Undergraduates: ~910Staff: ~2,650JPL: ~5,200
Caltech Budget
Expenditures for FY2008:~$578M
Instruction/academic support: ~$235MResearch ~$231MOther ~$112M
JPL~$1,772M
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10 year with Inflation Chart
Award Funding by Sponsor Chart
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Proposal Submissions Chart
Success Rates Chart
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Research Administration at Caltech
Office of Research Administration
Richard SeligmanAssociate Vice President for
Research Administration
Urmila BajajDirector of Project Accounting
Mika WaltonAssistant to the AVP
David MayoDirector of Sponsored Research
Adilia KochDirector of Export Compliance
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Project Accounting
Financial tracking/reporting, incl. cost sharingCost transfersAccounts receivable (e.g., invoicing sponsors)Financial Closeout and AuditPayroll Distribution ConfirmationsFinancial Compliance (e.g., allowable costs)Collaborate on:
TrainingDevelopment and implementation of campus policies affecting research administration
Export Compliance
Overall Institute compliance with federal import and export regulationsAdvise Institute on…
Award terms that restrict Caltech researchImport/Export activities that require special approvalsEquipment and technologies that may be restrictedTravel that may require special approvalsVendors/Sponsors with whom we may not do business
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Office of Sponsored Research
Proposal review and submissionAward negotiation and executionAward account setup (PTA) Interpretation of award terms and federal policyModifications to existing awards (e.g., NCE)Collaborate on:
Institute complianceTrainingDevelopment and implementation of campus policies affecting research administration
Other units that directly support Caltech’s research administration enterprise…
Office of Technology Transfer (OTT)Office of General Counsel (OGC)Procurement ServicesProperty ServicesAudit Services and Institute Compliance (ASIC)Cost StudiesOffice of the ProvostEnvironmental Health and Safety (EHS)Divisions!!!
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Policies Affecting Research
Caltech Faculty Handbook, Chapter 7
Sponsored ResearchEligibility to be a PIFreedom to PublishOwnership of IPUse of FacilitiesGrant/Contract versus GiftRequirement for DAFInternal ApprovalsUse of Research Subjects
Also…Misconduct in ScienceClassified WorkConflict of InterestPatents & CopyrightsFaculty Consulting
http://provost.caltech.edu/faculty_handbook.html
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Other Caltech policies that may impact the administration of research
Cost Sharing on Sponsored ProjectsCost Transfers to Federally Funded AwardsExport Compliance PolicyFabrication PolicyPayroll Distribution Confirmation PolicySubcontracts and Subrecipient Monitoring PolicyTravel Policy
http://www.researchadministration.caltech.edu/policies
Federal
OMB Circulars (grants and cooperative agreements)A-21 – Cost Principles for Educational Institutions
A-110 – Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, andOther Non-Profit Organizations
A-133 – Audits of States, Local Governments, and Non-Profit Organizations
Federal Acquisition Regulations (contracts)
Individual Agency RegulationsSpecific Award Terms
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Circular A-21 “Cost Principles for Educational Institutions”
Allowable/UnallowableAllocable/ReasonableDirect/IndirectDetermination and application of indirect cost ratesDefinition of selected cost itemsCost Accounting Standards (e.g., consistent treatment)Examples of Major Projectshttp://www.whitehouse.gov/omb/circulars/a021/a21_2004.aspx
Circular A-110 “Uniform Administrative Requirements for Grants and Agreements…”
Standards forProposal Development and SubmissionAward AdministrationProperty ManagementProcurement System
Reporting (technical, financial; records retention)
TerminationCloseout
http://www.whitehouse.gov/omb/circulars/a110/a110.aspx
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Circular A-133 “Audits of States, Local Governments and Non-Profit Orgs.
Auditor standards (how & what to audit)Auditee standards (what to track and to provide)Subrecipient monitoring standards
http://www.whitehouse.gov/omb/circulars_a133_a133/
Proposals at Caltech
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Lifecycle of a Proposal/Award
Pre-Award Post-AwardDevelopment
Agency
Review
(6-9 mos)
Project Period
1stBudgetPeriod
2ndBudgetPeriod
3rdBudgetPeriod
NoCost
Extension
Revised Budget
Submit Renewal /
Competing-Continuation
Closeout
Final Reports
Submit Proposal
Pre-Award CostsAward
Award
Apply
Find/ExploreAdminister/Monitor(Project Accounting)
Perform(Principal Investigator)
Technical Close(Principal Investigator)
Financial Close(Project Accounting)
Progress Report
Progress Report
Proposal Process
PI prepares proposal, assisted by division staffOSR reviews proposal for:
Consistency with sponsor formatting requirementsBudget was prepared using correct rates and represents all of the anticipated project costsCommitments are consistent with Caltech policies
OSR submits proposal on behalf of CaltechSponsor reviews proposal and, if successful…
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Proposal Process (cont.)
OSR receives award from sponsor and reviews for consistency with Caltech policies; if necessary, OSR negotiates terms of award, coordinating with appropriate Institute personnelOSR executes award on behalf of CaltechDivision submits PTA setup requestOSR establishes PTA and distributes notice to campus that award is active in the financial system
Policies that apply to the proposal process
Faculty Handbook, Chapter 7 Cost Sharing on Sponsored ProjectsFabrication PolicyExport Compliance PolicyInstitutional Base Salary PolicySubcontracts and Subrecipient Monitoring PolicyOMB Circular A-21OMB Circular A-110
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Most common award negotiation issues
Restrictions on publicationRestriction on inclusion of foreign nationalsOwnership of intellectual propertyPayment termsInsurance and indemnification requirements
Awards at Caltech
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Lifecycle of a Proposal/Award
Pre-Award Post-AwardDevelopment
Agency
Review
(6-9 mos)
Project Period
1stBudgetPeriod
2ndBudgetPeriod
3rdBudgetPeriod
NoCost
Extension
Revised Budget
Submit Renewal /
Competing-Continuation
Closeout
Final Reports
Submit Proposal
Pre-Award CostsAward
Award
Apply
Find/ExploreAdminister/Monitor(Project Accounting)
Perform(Principal Investigator)
Technical Close(Principal Investigator)
Financial Close(Project Accounting)
Progress Report
Progress Report
Acceptance of the award means...
Caltech has a fiduciary obligation to manage the funds in a responsible manner; the sponsor often sets the minimum standards for what “responsible” means
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Policies that apply to the administration of awards
Business Expense GuidelinesCost Sharing on Sponsored ProjectsCost Transfers to Federally Funded AwardsFabrication PolicyExport Compliance PolicyPayroll Distribution Confirmation PolicySubcontracts and Subrecipient Monitoring PolicyTravel Policy
Policies that apply to the administration of awards (cont.)
OMB Circular A-21OMB Circular A-110OMB Circular A-133Award terms and conditionsFederal, state and local laws
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What must Caltech do to administer a federal award?
Financial OversightCosts are allowable/allocable/reasonable and appropriately documentedSubawardee performance is acceptableCost transfers are timelyProgram Income is tracked and reportedCost sharing is tracked and reportedPIs’ committed effort is trackedFinancial reporting is accurate and timelyAward closeout timely
What must Caltech do to administer a federal award? (cont.)
Programmatic OversightProposed goals and objectives are adhered toTechnical reports are submitted in a timely mannerProgram officer is made aware of key events in the progress of the researchInventions resulting from the project are disclosed in a timely manner
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What can be charged to a federal award?
Any cost that is allowable and allocable andreasonable.
Allowable – means that the cost is not specifically disallowed somewhere (the key is knowing all of the places one must look where it might be prohibited…)Allocable – means that the cost benefits and furthers the goals and objectives of the awardReasonable – means that, given a similar situation, a reasonable person would make the same decision to charge that cost
Roles and Responsibilities
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The PI’s responsibilities…
Proposal SubmissionProject is consistent with Caltech’s missionPersonnel, space and other resources are securedCommitments of cost sharing are securedInternal approvals have been secured
Award ManagementAdhering to all terms and conditions of the award, as well as all other policies that may apply
The Division
Provides administrative support to assist the PI in the day-to-day fulfillment of his responsibilities.The Chair’s signature on the DAF affirms that all of the PI’s responsibilities will be fulfilled
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Research Administration
Quality control and consistency across campus with regard to financial complianceInteracting with sponsor in financial mattersInterfacing directly with auditorsProviding assistance to Division personnel, and directly to PI
Conclusion