1 Finance & Administration Advisory Meeting August 13, 2013 Healey Library, 11B.

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Office of Research and Sponsored Programs

(ORSP)

Finance & Administration Advisory MeetingAugust 13, 2013

Healey Library, 11B

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AGENDA

1. Responses to small group discussions

2. ORSP Update◦ FY13 Progress Report/

Accomplishments

◦ FY14 Focus Areas

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AGENDA


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Small Group Discussions- ORSP items1. Presentation on what ORSP does – more information 2. Better understanding of ORSP functions 3. Gain better understanding of office’s process – pre award, post-award4. Know staff better and who to go to5. Define responsibility for ORSP vs. depts.6. Pre-award and post award difference7. Regular updates at F&A meetings8. Awareness of how grant process works (reported from 2 groups)9. More response/notification/feedback on setting up grant project IDs.(2groups)10. Policy and guidelines on research dollars are becoming more strict than

University rules --difficult to get award processed11. Provide better coverage when ORSP employee is out of the office12. Improved reporting on how much funding applied for, and amount awarded13. Post-award support14. Notifications, beyond the PI, of awards received and actions needed15. Training for PI and holding them accountable regarding rules16. Mandated PI training before submissions17. Training on international requirements18. Training/training and more training – Pre, post awards and compliance19. More education forums on ORSP business

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Small Group Discussions – Categories

1. ORSP ◦ Organization◦ Purpose

2. Roles and Responsibilities clarification

3. Communication improvements4. Training needs

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Small Group Discussions – Category 1

ORSP Org/Purpose. Want to know staff better - who to go to?

Introduction of management team: Shemetra Owens – compliance Pam Villafuerte – post award Becky Hanson– billing/AR

Org Chart umb.edu/research/orsp Purpose evolving with sophistication of

staffing

http://www.umb.edu/research/orsp

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Organization Chart – Summer 2013

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ORSP Staffing – services have drastically increased with an 8.5% decrease in

budgeted FTEs

Summer 2011 Summer 2013

PreAward 4.5 + 1.0 open 5.5

Research Compliance 1.5 + 2.0 open 3.0

PostAward 4.5 + 1.0 open 4.5+ 1.0 open

Management 1.0 1.0

Admin 2.0 1.0

Total13.5 + 4.0 =

17.515 + 1 =

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Purpose of an ORSP?Pre-Award Services: Paula, Maggie, Shala, Vishal, Jeff, Michael

Assist with identifying funding opportunities

Subscriptions to: COS database; SPIN database; NIH weekly opportunities; Grants Advisor Plus. ORSP E-newsletter in development.

Proposal Development Laura Hayman (AVP for Research)workshops; support for grant writing trainings;

Budget development/ Proper fringe, indirect costs

Training offered

Award/subaward negotiation and modifications

Main communication with sponsors

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Purpose of an ORSP?Post Award Services:Pam, Ed, Abdoulaye, Byron (PT)Becky, Shandell, OpenProject/Account set-up in PeopleSoft

Process improvementsimplemented

Institutional (PI/College/Dept) Reporting

Another major FY14 project (started in FY13) in effect

Financial reporting to sponsor

Federal – great

Project/account close-out; Record Retention

Major FY14 project (started in FY13) in effect

Billing/Collections Major remaining improvement area; hired Hanson; open position posted

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Purpose of an ORSP?Research Compliance and Training:Shemetra, Kristen, Kim

Coordination of human and animal subject research – IRB and IACUC approval prior to conducting research

Good oversight; training and outreach in process since Jan 2012

Effort Certification (ECRT) Worst to first; New round of training

Conflict of Interest Management and Oversight; Export Controls; Cost Sharing; Subrecipient Monitoring

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Purpose of an ORSP?Research Compliance and Training:Shemetra, Kristen, Kim

Institute Policies and Procedures

Current: IRB, COI, ECRT; overall strategic training plan being developed for Faculty and Administrators

Funding Opportunities New faculty and as needed - Evolving

Roles and Responsibilities Need to be identified with HR

Proposal Preparation Budgeting workshops; 1:1; Hayman programs

Award Financial Oversight Workshop offered

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Clarification on Roles and Responsibilities - Define responsibility of ORSP vs. departments

Smaller institutions have varied structures and resources and therefore R&Rs will vary.

ORSP to have R&R discussions with college leadership and identify common expectations.

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Communication Improvements◦Regular updates at F&A meetings◦Finding the correct audiences◦Will have more A&F presence ◦Greater opportunities at workshops and

trainings and college/department/unit mtgs

◦Improved reporting on funding applied for, and amount awarded – external funding metrics

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Trainings –any? more? mandate!◦Grant process◦Pre, post awards and compliance◦Mandated PI training before submissions◦Training for PI and holding them

accountable regarding rulesNew Training Program started along with participating in the Controller’s Internal Controls trainings.

ORSP Upcoming TrainingsTraining Title Day Date Time Location

September Trainings

Research Compliance Animal Care & Use Tues 9/17/13 1-2pm

Quinn, ORSP Conference Room

Grant DevelopmentFinding Funding Opportunities Tues 9/16/13 10-11:30am


Research Compliance Cost Sharing Basics Thurs 9/19/13 10-11:30am

Quinn, Chancellor's Conference Room

Grant DevelopmentBudgeting & Award Financial Management Thurs 9/19/13 1:30-3:30pm


Research Compliance

Human Subject Research, Guidelines & Policies Thurs 9/19/13 1-2pm


October Trainings

Research Compliance Financial Conflict of Interest Tues 10/15/13 1-2pm


Grant DevelopmentBudgeting & Award Financial Management Thurs 10/17/13 10-12pm


Research Compliance Cost Sharing Basics Tues 10/22/13 10-11:30am


November Trainings

Research Compliance

Effort Reporting & the ECRT System Wed 11/20/13 10-11am Healey, Lower Level P1

December Trainings

Grant DevelopmentFinding Funding Opportunities Tues 12/16/13 10-11am


ORSP Planned New FY14 TrainingsGRANTS/RESEARCH ADMINISTRATION Export Control Cash Management & Billing Sponsored Programs 101- staff; faculty Onboarding for New Faculty – Sponsored Programs 101

*PROPOSAL DEVELOPMENT NSF CAREER program NSF Graduate Research Fellowships NIH grants Rhodes Scholars Goldwater Scholars Marshall Scholars Fulbright Fellowships grant-writing workshops for faculty grant-writing workshops for research staff grant-writing workshops for doctoral students grant-writing workshops for post-docs information sessions on S&T and Creative Funds in the President’s Office information sessions on UMass Boston internal grant program

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AGENDA



Accomplishments


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FY13 Progress Report/Accomplishments

1. Staffing Reorg complete Retain/Recruit

2. ECRT – worst to FIRST3. Conflict of Interest rollout4. Internal Controls – update and contribute

to presentations5. “Cleanup to Closeout” project kickoff

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6. Cash management solved7. Improved data input and output8. Standardize annual review of institutional

review committees (IRB, IACUC; IBC). Defined structure; mandated training for new members, and annual evaluations of all members.

9. Enhanced training program with new sessions: Budgeting and Financial Management of

Grants Funding Opportunities ORSP Internal Controls

FY13 Progress Report/Accomplishments

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AGENDA



Accomplishments


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2014 Focus Areas

1. Continue and complete the “Cleanup to Closeout” ProjectGoal: close 2,165 awards (~2,600 projects) by 6/30/14 A/R collections; Write Offs7/5/13 Status: 170 awards = 210 projects are CLOSED (8%)

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Cleanup to Closeout Project

DATACount @ START

Count @ 5/16/13

Count @ 6/5/13

Count @ 7/5/13

Change from

START

“Clean” – awards ready to be closed

994 954 909

871 (123)

“Dirty”- awards with issues (billing, AR, DR)

1,171 1,171 1,136 1124 (47)

“Closed – pending” - awards evaluated for closeout and submitted to the controller 0 0 40

40 40

“Closed” awards run through all the steps of the close-out process

0 40 80 130 130

Total

2,165 2165 2165 2165

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2014 Focus Areas2. Efficiencies Consolidate forms to supports data

collection (updated Proposal Routing form in September 2013)

3. Training Grow the ORSP training program;

identify areas of priority Policies & Procedures – review,

identify areas of priority, create/update, publish and train

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2014 Focus Areas

4. Reviewing the creation of institute Core Facilities

Vivarium DNA Sequencing DF/HCC Center for Personalized

Cancer Therapy (CPCT) Others (centers with service function;

research marketing)?

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2014 Focus Areas5. Communications

identify target audiences ORSP Advisory Committee; F&A meetings;

ORSP Brown Bag lunch; newsletters; funding opportunities; training program

6. Improved reporting/metrics

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2014 Focus Areas7. Proposal Development program

Runs the internal grant program (Healey, Proposal Development, Public Service, Doctoral Dissertation)

Increase (# and quality) proposals/awards Faculty Interests database search Funding Opportunity dissemination Mentoring Grant writing – Training, workshops, reviews

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Summary Changes made to support mission Continually review operations to explore new ways

– consistency, teamwork and communication are essential

Successes can allow for more long term/strategic planning

Partnership – success can only be achieved through effective relationships, good communication and understanding of issues

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Questions/Contacts

Matthew MeyerDirector

Shemetra OwensCompliance Manager

Pam Villafuerte-LangfordPost Award Manager

Becky HansonBilling, A/R and Financial Analysis Manager

1 Finance & Administration Advisory Meeting August 13, 2013 Healey Library, 11B.

Documents

Transcript of 1 Finance & Administration Advisory Meeting August 13, 2013 Healey Library, 11B.