Module 1: The Basics
Office of Research and Sponsored Programs
The University of Mississippi
100 Barr Hall ~ 662-915-7482
www.research.olemiss.edu
Updated August 2011
1
Overview of Research
Research is one of the 3 major functions of
colleges and universities in the U.S.
The other two are Instruction and Other
Activities, such as Public Service
Updated August 2011
2
Definition of Research
A systematic study directed toward increased
scientific knowledge or understanding of
the subject matter under investigation.
Updated August 2011
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UM’s Mission Statement
… the university’s primary functions are
the creation, dissemination, and
application of knowledge
The UM Mission specifically cites
teaching, research and service.
Updated August 2011
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KNOWLEDGE CREATION and
APPLICATION = RESEARCH
Updated August 2011
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At UM we have quite a few research centers ~
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Center for Advanced Infrastructure and Technology
Center for Applied Electromagnetic Systems Research
Center for Archaeological Research
Center for Community Earthquake Preparedness
Center for Educational Research and Evaluation
Center for Excellence in Teaching and Learning
Center for Health Behavior Research
Center for Marine Resources and Environmental Technology
Center for Mathematics and Science Education
Center for Pharmaceutical Marketing and Management
Center for Population Studies
Center for Speech and Hearing Research
Center for the Study of Southern Culture
Center for Water and Wetland Resources
Hearin Center for Enterprise Science
Jamie Whitten National Center for Physical Acoustics
Mississippi Center for Supercomputing Research
National Center for Computational Hydroscience and Engineering
National Center for Justice and the Rule of Law
National Center for Natural Products Research
National Center for Remote Sensing, Air and Space Law
Public Policy Research Center
Sarah Isom Center for Women’s Studies
Sino-U.S. Traditional Chinese Medicines Research Center
University of Mississippi Geoinformatics Center
Updated August 2011
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A number of institutes ~
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Barksdale Reading Institute
Croft Institute for International Studies
Institute for Advanced Education in Geospatial Sciences
Institute for Humanitarian Demining
Institute for Innovation in Mathematics Education
Institute on Education and Workforce Development
Lott Leadership Institute
McLean Institute for Community Development
Mississippi Hills Institute for Heritage Resource Management
Mississippi Law Research Institute
Mississippi Mineral Resources Institute
National Food Service Management Institute
National Institute for Undersea Science and Technology
Research Institute of Pharmaceutical Sciences
William Winter Institute for Racial Reconciliation and Civic Renewal
Several consortia and enterprises ~
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Mississippi Geographic Alliance
Mississippi Space Grant Consortium
North Mississippi Education Consortium
Updated August 2011
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Some community service centers ~
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Civil Legal Clinic
Mississippi Innocence Project
Mississippi Small Business Development Center
Psychological Services Center
Speech and Hearing Center
Research programs and initiatives ~
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Laboratory for Applied Drug Design and Synthesis
Intelligent Transportation Systems
Pharmaceutical Marketing and Management Research Program
And research support facilities ~
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Access Grid Node
Animal Care Facility
Insight Park
Mississippi Center for Supercomputing Research
Social Science Research Laboratory
University of Mississippi Field Station
Updated August 2011
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And…
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We have many, many researchers in our
academic departments who are not
associated with one of our centers or
institutes, but who are doing research
Updated August 2011
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Definition of Sponsored Program
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A project or program which receives funding
from outside of the University
Updated August 2011
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Why do we seek Sponsored Funds?
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To advance and disseminate knowledge
To train future scientists and teachers
To augment educational opportunities
To enhance outreach
To attract new faculty and students
To improve programs and upgrade facilities
Updated August 2011
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Why do Sponsors give us funds?
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To Advance Agency Mission
To provide opportunities to expand and
disseminate knowledge
To train future scientists and teachers
To promote educational opportunities
To enhance outreach and enrichment
To improve resources and infrastructure
Updated August 2011
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Summary of Sponsored Programs
Activity ~ FY 2011 ~ Oxford Campus
Total number of proposals
385
Total amount requested
$154,744,882
Total number of awards
285
Total amount received
$78,854,346
[excluding financial aid]
Updated August 2011
13
TEN YEAR PERSPECTIVE: 2002-2011
TOTAL DOLLARS ($M) AWARDED
$101.9
110
100
90
$78.4
80
70
$82.9
$75.8
$78.8
$67.9
$65.3
$63.1
$63.6
$60.4
60
50
40
30
20
10
0
FY02
FY03
FY04
FY05
FY06
FY07
Updated August 2011
FY08
FY09
FY10
FY11
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If you add the Medical Center:
Total Funding for 2011:
$163,849,407
Updated August 2011
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What are “sponsored programs
activities?”
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Research grants, contracts, or agreements
Training and education awards
Public service and other awards
Includes federal, state, other (private,
foundations, etc.)
Includes some construction funds that come
to UM in one of these forms
Updated August 2011
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Sponsored activities have:
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A well-defined scope of work, providing the
basis for sponsor expectations
Specific deliverables
An itemized budget
An expectation that there will be a return of
unexpended funds to the sponsor
And other things as required by sponsor
Updated August 2011
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What are not Sponsored Programs?
GIFTS
These are funds designated by an individual
organization with usually no financial or
programmatic reports required –
i.e., “no strings attached”
Updated August 2011
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Why do we differentiate between
sponsored programs and gifts?
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Different rules, laws, regulations, etc.
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Takes a different ‘expertise’ to handle them
Updated August 2011
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OFFICE OF RESEARCH
AND SPONSORED
PROGRAMS
Responsible for
authorization of
university commitments to
and commitments on all
SPONSORED
PROGRAMS
University Development
and/or
The UM Foundation
and / or
The UM Research
Foundation
Updated August 2011
Responsible for all
GIFTS
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Where does the money come from?
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Federal agencies (including appropriations)
State agencies
State appropriations
Private foundations
Professional organizations
Individual donors
Corporate partners
Others, including the ORSP for special cases
Updated August 2011
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What is the role of the ORSP?
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Office of Research……
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We help investigators find the means to support
their research
We help them organize their proposal packages
(budgets, certifications, etc.)
and Sponsored Programs
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We help them manage their award once it gets
here
Updated August 2011
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HOW HARD CAN THAT BE?
As one famous person once said:
“It takes a village”
There are many, many rules we are required
to abide by, and which require us to
formulate and implement our own policies
and procedures for compliance
Updated August 2011
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What kind of rules?
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Federal rules
State rules
Agency rules
Spending rules
Travel rules
Contracting rules
Protection of animals
Protection of human subjects
Etc. etc. etc.
Updated August 2011
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SO MANY RULES…..
The investigator can’t possibly keep up
with all the rules and regulations…..
AND STILL DO GOOD RESEARCH
So we help…..and it takes a
whole bunch of us to do it
Updated August 2011
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Outside the ORSP
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The Accounting Department
 Provide post-award fiscal management
 Ensure fiscal compliance
 Prepare our F&A rate proposal
Procurement
 Purchasing rules
Human Resources
 Personnel
Equal Employment Opportunity
International Programs
Departmental Administrators
Updated August 2011
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Inside the ORSP
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Research Resources
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Sponsored Programs Administration
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Mr. Mickey McLaurin, Director
Research Integrity and Compliance
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Mr. Jason Hale, Director
Dr. Tom Lombardo, Director
Technology Management
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Dr. Walt Chambliss, Director
Updated August 2011
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RESEARCH RESOURCES
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to motivate and enable university faculty and
staff to become more engaged in research,
creative, and scholarly activities
to help faculty and staff develop ideas into
meaningful and clearly defined projects
to help faculty and staff identify potential
collaborators
to help identify appropriate funding sources
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to identify & coordinate use of shared resources
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Updated August 2011
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SPONSORED PROGRAMS
ADMINISTRATION
Pre-Award
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Collect and disseminate information about
funding opportunities
Assist with proposal and budget development
Assist with proposal submission
Provide follow-up consultation on proposals that
are turned down
Updated August 2011
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SPONSORED PROGRAMS
ADMINISTRATION
Post-Award
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Assist with proposal and budget development
Review and negotiate awards
Provide training for investigators and
administrators
Negotiate and design subcontracts
Coordinate all reporting, except fiscal reporting
Work with Accounting on fiscal matters
Updated August 2011
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RESEARCH INTEGRITY AND
COMPLIANCE
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Research integrity: i.e., prevention of
misconduct
Human and animal rules and regulations
Export control
Facilities security
Biosafety concerns
Updated August 2011
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TECHNOLOGY MANAGEMENT
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Help investigators identify marketable
products, technologies, or techniques
Assist with patenting and licensing of
inventions
Assist with development of spin-off
companies
Updated August 2011
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We have substantial infrastructure
in place to assist investigators
who conduct research
FOR WHAT PURPOSE ????
To create, disseminate, and apply
knowledge, in concert with
the UM Mission
Updated August 2011
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Other “not so obvious” benefits:
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Advances knowledge in the discipline,
enhances teaching, fulfills our role to develop
and disseminate knowledge, builds national
and international reputation, contributes to
the welfare of society
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External funding and resources build the
economy, attract industry growth, and help
improve facilities
Updated August 2011
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External funding…..
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Provides employment opportunities, supports
students (graduate and undergraduate), pays
salaries, supports the economy through
purchasing, etc.
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Helps to offset the operational funds for the
university through the generation of “indirect
costs” or “F&A costs”
Updated August 2011
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What about those “indirects”
or “F&A” costs?
Updated August 2011
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A research budget has two
components:
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Direct costs: Those things that can be
readily identified as being specific to the
project, like salaries, fringe benefits, supplies,
contractual expenses, equipment, and travel
Indirect costs: Those things that cannot be
readily identified as being specific to the
project, like utilities, custodial services,
accounting services, etc.
Updated August 2011
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Indirect or “F&A” costs
F&A costs
 Those expenditures that colleges and
universities incur in support of an institution’s
major, mission-related functions or activities
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We can allocate such costs to research
grants based on a determined percentage of
the “direct costs”
Updated August 2011
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Our F&A rate for research:
43% on campus, 26% off campus ~ compared to:
ON-CAMPUS
OFF-CAMPUS
MSU
44.5%
26%
USM
46.5%
28%
U of Georgia
48.5%
26%
U of Alabama
46%
26%
U of Arkansas
44%
25%
U of Michigan
55.5%
26%
MIT
60.5%
5%
Updated August 2011
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What goes into the rate determination?
Four basic things:
Updated August 2011
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Depreciation and use allowances
Includes:
 Cost of buildings
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Capital improvements to land and buildings
Equipment
Most buildings don’t serve a single function
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Usable square feet per function
Excludes common areas
Updated August 2011
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Operation and maintenance expenses
Includes:
 Custodial
 Grounds
 Utilities
 Maintenance of buildings
 Disaster preparedness
 Environmental health and safety
 Hazardous waste disposal
 Facility planning and management
 Property insurance
Updated August 2011
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Library expenses
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Includes all costs pertaining to the operation
of the central libraries
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Based on three primary categories of users:
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Full-time students
Professional employees
Others
Updated August 2011
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Administrative expenses
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General
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Departmental
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Deans’ offices, academic departments, clerical and
administrative personnel, organized research units
Student administrative services
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Chancellor’s office, accounting office, purchasing, budget
office, human resources, risk management, university
attorney, management information (IT)
Dean of students, admissions, bursar, counseling,
placement office, student health center, student advisors,
offices of commencement and convocation
Sponsored research offices
Updated August 2011
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Who says what we can charge?
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Either:
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Department of Health and Human Services (UM)
or
Office of Naval Research
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Determined by the predominance of an
institution’s federal funding
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Our rate is negotiated about every 3-4 years
Updated August 2011
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THEORETICALLY:
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If our rate is 43%; and
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We brought in $78,854,346 last year; then:
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You’d think we would recover F&A of:
$23,711,447
Updated August 2011
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MTDC ~ Modified Total Direct Costs:
describes what we’re allowed to charge F&A on
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INCLUDES:
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Salaries and wages
Fringe benefits
Materials and supplies
Services
Travel
EXCLUDES:
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Updated August 2011
Equipment
Capital expenditures
Tuition remission
Rental charges
Scholarships and
fellowships
Costs exceeding $25,000
for each subgrant or
subcontract
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PLUS:
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We won’t actually realize the F&A from FY11
awards until sometime down the line.
Some agencies and private companies don’t
allow us to charge full F&A (e.g., USDA often
allows only 10%)
When we’re required to provide “cost share”
on a project, sometimes the agency allows us
to use our F&A as cost share
Updated August 2011
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So, after all exclusions, about
$11 million was recovered in F&A
for the university in 2011
WHERE’D IT ALL GO ????
Updated August 2011
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How the funds are distributed is an
“institutional decision”
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In general, recovered funds are distributed in
this way:
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55% goes to:
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45% goes to:
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The investigator, department, and dean
General university operations; and
To the ORSP
To pay for all those things we just covered!
Updated August 2011
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In FY11, recovered F&A from our sponsored
programs for the Oxford campus enabled the
ORSP to:
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Fund our Faculty Travel Support program for
approximately
Help deans attract new faculty with start-up and
other support
Support of new Faculty Research Fellows
Provide summer salary support for faculty
Support the connectivity needs of the research
(Internet 2)
Updated August 2011
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In FY11, recovered F&A from our sponsored
programs for the Oxford campus ALSO enabled
the ORSP to:
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Assist the University Libraries in providing
valuable research tools, including the Early
English Books Online and the Web of
Knowledge
Contribute cash cost share for sponsored
projects
Maintain the Community of Science membership
Updated August 2011
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In FY11, recovered F&A from our sponsored
programs for the Oxford campus ALSO enabled
the ORSP to:
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Provide other types of research support, such as:
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Campus-wide Site Licenses
Patent expenses
Interuniversity workshops and conferences on campus
Sigma Xi research symposium and social
Graduate Student Council Research Awards
Membership fees such as: ORAU; Sea Grant Consortium;
Southern Growth Policies Board; SURA; Mississippi
Research Consortium; AURP; AAUS
Updated August 2011
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A few words about research
dissemination, or getting the results of
our research out for the public good
The university is committed to:
 Bringing new knowledge into use by the
public
 Ensuring that knowledge and technology
having commercial value is commercialized
 Ensuring that it is treated as a financial asset
of the inventor and the university
Updated August 2011
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We do this by:
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Encouraging research, scholarship, and a
spirit of entrepreneurship
Providing incentives and assistance to
inventors
Safeguarding innovative technology from
unauthorized use
Providing a framework to determine the
commercial value of new technologies
Updated August 2011
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We help with:
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Filing research disclosures
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Establishing a record of invention
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Filing for patents and licensing
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Managing royalties and licensing fees
Updated August 2011
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We have a very liberal “revenue
sharing” policy:
Generally:
 The first income generated reimburses outof-pocket expenses for patenting and
licensing
Updated August 2011
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Thereafter:
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30% to inventor
10% to the inventor’s research
15% to the Inventor(s) Department or Center
5% to the Inventor(s) Dean’s Office
Updated August 2011
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How are we doing?
FY 2005 – Licensing Income = $3.2 million
FY 2006 – Licensing Income = $1.1 million
FY 2007 – Licensing Income = $1.5 million
FY 2008 – Licensing Income = $1.5 million
FY 2009 – Licensing Income = $81,000
FY 2010 – Licensing Income = $110,883
Updated August 2011
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Research Park
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The next step in our commitment to transfer
the results of our research to the public good
First building to be occupied by October,
2011
Updated August 2011
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Research Park Mission
1. To drive technology transfer and economic
development by accelerating the creation
and growth of new commercial enterprises
2. To attract technology-based businesses and
government research laboratories that wish
to locate in an environment rich in
collaborative research and innovation
Updated August 2011
61
Four initial clusters
Based on existing research expertise:
 Health care
 Information management
 Defense/security
 Remote sensing technologies
Updated August 2011
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Resources
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UM Mission and Goals
www.olemiss.edu/depts/chancellor/MissionandGoals
ORSP Web Site
www.olemiss.edu/depts/research
NCURA: National Council of University Research
Administrators
www.ncura.edu
SRA: Society of Research Administrators
www.srainternational.org/sra03/index
Research Administrators Certification Council
www.cra-cert.org/
Updated August 2011
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