Research Administration:
University of Michigan
Business & Finance Forum
Marvin G. Parnes
Associate Vice President for Research &
Executive Director of Research Administration
February 8, 2007
What is a Sponsored Project?
An externally funded research or other scholarly
activity that has a defined scope of work or set of
objectives which provides a basis for sponsor
expectations.
•Research
•Artistic Performances
•Humanities Projects
•Faculty and Student Training/Educational Projects
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University Administration of Research
Several University of Michigan offices and units play key roles in the
administrative aspects of research.
Office of the Vice President
for Research (OVPR)
Office of the Vice President
for Finance
Division of Research Development
& Administration (DRDA)
Financial Operations,
Sponsored Programs
Office of Technology Transfer
Contract Administration
MED SCHOOL & MAIN OFFICE
Schools, Colleges, Institutes and Centers
Unit & Department Level Administration
University Administration of Research
OVPR
•Guides research policy
•Promotes responsible conduct and administration
of sponsored projects
•Facilitates interdisciplinary research
•Supports Incubator Units
•Oversees seven research units - UMTRI, Gerontology…
•Faculty Project Support - Seed Funding
•Supports integration of research and teaching
•Facilitates Technology transfer to society through
industry
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University Administration of Research
DRDA Services
• Funding Services and Resources
• Proposal Preparation
• Process and submit proposals
• Negotiate awards
• Administer Projects
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University Administration of Research
Office of Technology Transfer
•Supports the commercialization of ideas created at the
University of Michigan and encourages economic
development and entrepreneurship within the
community
•OTT Services
•Disclosure Facilitation
•Patenting and Other
•Licensing
•Legal Support
•Decision Support
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University Administration of Research
Financial Operations
•Sponsored Programs Office
•Contract Administration
•Cost Reimbursement Office
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University Administration of Research
Sponsored Programs Office
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Establishing Project Grants
Inputting budget data
Monitoring expenditures
Responding to departmental requests
Reviewing for compliance – e.g. A-21
Invoicing sponsors
Submitting financial reports
Closing out projects
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University Administration of Research
Contract Administration
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Review contract terms and conditions
Review and sign contracts and grants
for sponsored activity. Work with DRDA
Develop and administer subcontracts
Monitor subcontracts – payments,
close-outs, etc.
Process and approve forms to pay
independent consultants
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University Administration of Research
Cost Reimbursement Office
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Monitor establishment of project / grants for
proper class coding
Review financial transactions for coding to
proper cost pools
Prepare indirect cost proposal for University
Monitor costing principles to ensure compliance
with University stated practices
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University Administration of Research
Unit Level Research Administration
Proposal Preparation
Project Initiation
Budgets and Accounting
Award Administration
Accounting
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University Administration of Research
These University committees and units provide ethical and safety
oversight of research activities at the University
Institutional Review Boards (IRBs)
Medical School IRBs - 4 Behavioral Sciences IRB, Health Sciences IRB, Dearborn IRB
University Committee
on Use and Care of Animals (UCUCA)
Conflicts of Interest Committees
(Med School and OVPR)
Occupational Safety and Environmental Health
(OSEH)
Institutional Biosafety Committee
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External Entities
Affecting Research Administration at UM:
Sponsor Agencies
Federal, State and Local Governments
The OMB
“Office of Management and Budget”
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Two Sponsored Project Models
Competitive Funding Model
* Most common type of project
* Peer Reviewed Proposals
* Pre-Award is significant portion of
admin work
Industry Sponsor Model
* Usually non-competitive
* Negotiation of agreement and project
set-up is bulk of admin work
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The Life Cycle of a
Sponsored Project
Idea!!
Identify Funding
Close-out
Final Report
Proposal
Development & Routing
Conduct
Research
Project
Initiation
Proposal
Submission
Award
Acceptance
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The Life Cycle of a
Sponsored Project
Idea!!
Identify Funding
Close-out
Final Report
Proposal
Development & Routing
FinOps
DRDA
Proposal
Submission
Conduct
Research
Project
Initiation
Award
Acceptance
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The Life Cycle of a Sponsored Project
Finding Potential Funding
Veteran Researchers are skilled at this and know the
sources. Less experienced faculty may require
support and assistance
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Funding Resources:
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Databases (COS, PRISM, etc.)
Internal Funding resources
E-mail alert systems
DRDA assistance
Workshops
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The Life Cycle of a Sponsored Project
Proposal Preparation
Obtain and follow sponsor guidelines
Write proposal narrative
Develop budget
Obtain institutional approvals
Fill out University forms
Submit to DRDA for final review, endorsement
and delivery to sponsor agency
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Developing the Budget
Indirect Cost Rates
Federal Research:
on campus: 51.0%
off campus: 26.0%
Instruction ………………………54.0%
Other Sponsored Activity……..30.0%
Foundations & Public Charities 20% or sponsor's published rate
Industrial Sponsors
on campus: 56%
off campus: 30%
State of Michigan……………20%
Clinical Trials………………..25%
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Routing the Proposal
What basic path does a proposal follow?
The PI Team
Writes proposal, prepares budget, secures
space approval, seeks compliance
approvals, certifies regarding conflicts of
interest and signs Proposal Approval Form
Dean/Department
Head
Reviews mission relevance of proposed
project, resource commitments, space
availability and potential conflicts of interest
DRDA
Verifies PAF and budget, confirms
certifications, endorses for the University
and submits to sponsor
Sponsor
Conducts peer review of proposal’s
scientific or scholarly merit and determines
budget and terms. Turns down or awards
proposal for funding
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Submitting the Proposal to DRDA
WHAT DOES DRDA DO?
•Checks proposal to ensure all pieces are present
and in order
•Checks budget for accuracy
•Checks that PAF, budget, text and forms comply
with sponsor and UM policies and rules
•Obtains necessary signatures (central
administration)
•Makes copies for sponsor, PI, PI unit and DRDA
•Sends to sponsor via appropriate carrier to to
ensure timely delivery
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Table of Contents for February 2007 COGR Update
Treasury Department Continues Work on Tax-Exempt Bond/Bayh-Dole Issue
“Effort” Paper – Compensation, Effort Commitments and Certification
SAS 112, Circular A-133 and Meeting with John Mattie from PWC
Division of Cost Allocation Best Practices Manual
DHHS Office of Grants Policy – Grants Policy Statement
2007 NIH Salary Limitation Cap and Continuing Resolution
F&A Rate Survey and Thursday Morning COGR Session
Deemed Export Advisory Committee Holds First Regional Meeting
Proposed DFARS Export Control Rule Revision in Process within DOD
AAAS Survey on Effects of Intellectual Property on Conduct of Research
Supreme Court Decision on Invalidating Validly of Licensed Patents
Patent Reform Likely to Move Forward in New Congress
Increasing Attention on Role of University Technology Transfer in Global Health
NIH Update
OHRP Revising Guidance Documents
NSF Proposer Survey Underway
OMB Issues Final Guidance on Guidance
Trafficking in Persons
Cost Sharing in Funding Announcement
EPA Follow-up on Hazardous Waste Proposal
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