SPONSORED RESEARCH ADMINISTRATION: A Guide to Effective Strategies and Recommended Practices

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ISBN: 0-931467-96-X   Annual Subscription Includes: Looseleaf volume Quarterly updates Searchable CD with all content in the guide Annual Subscription Price: NCURA Member: $298 Non-Member: $398 Pub code: LRAG

Sponsored research managers on campus have never confronted a more diverse and complicated array of challenges.

Published by NCURA and Atlantic Information Services, Inc., SPONSORED RESEARCH ADMINISTRATION: A Guide to Effective Strategies and Recommended Practices provides college and university research administrators — and others involved in sponsored programs on campus — with quick answers to your toughest questions and proven strategies you can test out on your own campus. It features principles and practices, sample policies and procedures, effective strategies to pursue, critical success factors, and pitfalls to avoid.

Written and reviewed by experts in the field for the benefit of managers at large and small institutions alike, the guide:

• Includes detailed treatments of all major areas in sponsored research
• Is designed, written, and reviewed by top campus research managers
• Provides exhaustive "how-to" information
• Is updated quarterly to keep the information comprehensive, reliable, and up-to-date
• Includes a searchable CD

(1) Chapters selected for inclusion — now and in future updates — cover issues that are of the highest priority for readers of the guide;
(2) Authors are hand-picked to write each chapter based on their rich, diverse experiences in the individual subject areas (see Table of Contents for individual authors); and
(3) All content is thoroughly peer-reviewed prior to publication by experienced university research administrators.

Written For

Managers at large and small institutions alike:

• Sponsored research administrators
• Campus business managers
• Faculty research leaders
• Departmental/school administrators who are involved in sponsored programs

Early Days of Research Administration • Today’s Challenges • Sharing Information, Gathering Feedback • Looking Ahead • Congressional Budget Process • Grant Award Life Cycle Flowchart • Federal Requirements Relating to Sponsored Research • Sources of Federal Funding • Federal Support to Higher Education Institutions • Growth of Sponsored Research Administration as a Profession • R&D Expenditures by Higher Education Institutions

What Is an Office of Sponsored Programs? • Models for Organizing an Office of Sponsored Programs • Skills Needed for Specific Sponsored Programs Staff • Organizing Work Flow • Major Risk Areas • Future Demand for Talent • Considerations for Small Institutions • Q&As • Discussion Topics

Principles of Communication • Delivering the Message: Selecting the Best Medium • Communicating with Differing Constituencies • Elements of Strong Communications • Ensuring Successful Communications • An Approach to Negotiations • Time Management Tips • Q&As • Discussion Topics

What Is ‘Information’? • Organization and Staffing • Resources Required • Security and Recovery • Internet and the Office of Sponsored Programs • Generating Reports • Risk Areas and Critical Success Factors in Implementing Information Systems • Special Issues for Small Institutions • Q&As • Discussion Topics

Why ERA? • Agency-Specific Grants Management Systems • Federal ERA Initiative • Grants.gov • E-Authentication • Other Data Sharing Opportunities • Research Business Models Subcommittee • Importance of Federal Grants Streamlining Initiative • Grants.gov Implementation • Institutional Response to Grants.gov • Q&As • Discussion Topics

Types of Funding Agreements • Overview of OMB Circulars • Ensuring Compliance with the Cost Principles • Pre-Award Requirements of A-110 • Post-Award Requirements of A-110 • After-the-Award and Other Provisions of A-110 • Ensuring Compliance with Administrative Circulars • Audit Requirements of A-133 • Auditor Requirements of A-133 • Ensuring Audit Readiness • Annual A-133 Compliance Supplement • Federal Audit Clearinghouse • NIH Award Oversight and Audits of Funding • Q&As • Discussion Topics

Why Research Compliance Is Important • Statement of Principles • Risks of Noncompliance • Benefits of an Effective Compliance Program • Compliance Program Considerations • Research Compliance Program Development • Compliance Awareness Program • Compliance Assessment Process • Financial Conflict of Interest Compliance Assistance from NIH • Responsible Conduct of Research Resources for Administrators

What Are F&A Costs? • The F&A Calculation • Recovering F&A Costs from Sponsors • Administrative and Clerical Costs • Avoiding F&A Costs • Impact of Cost Sharing on F&A Rate • Gift vs. Grant • The Research Dollar • Common Challenges in Managing a Service Center • HHS ‘Best Practices’ Manual • Trends in NIH Cost Reimbursements to Universities • Q&As • Discussion Topics

Key Terms • Institutional Concerns over Data Rights • Data Rights in Federal Awards • ‘Work for Hire’ • Joint Ownership of Data • Protection of Proprietary and Confidential Data • ‘Sensitive but Unclassified’ Information • Material Transfer Agreements • Protecting Intellectual Property • Patent Protection • The Bayh-Dole Act • IP Rights in Nongovernmental Agreements • Copyrightable Technology • IP Concerns in Small Business Awards • CREATE Act • Intellectual Property Plans • Special Issues for Small Institutions • Resource for Sample Intellectual Property Policies, Agreements, Data • Q&As • Discussion Topics

Organizational, Staffing, and Communication Issues • Resources Required • Human Subjects Research • Clinical Trials • HIPAA Compliance • Human Embryonic Stem Cell Research • Subawards Administration • Effort Reporting • Other NIH-Specific Issues • Interface with Technology Transfer and Corporate Alliances Offices • Collaborative/Cross-Disciplinary Projects • Affiliated Hospital Issues • Conflicts of Interest in Academia-Industry Biomedical Research • Resources for ‘Managing the Research Enterprise’ • HIPAA Checklists • Trends in NIH Sponsored Funding to Medical Schools • Q&As • Discussion Topics

Focus on Undergraduate Instruction • Institutional ‘Cultural’ Challenges • Resource Challenges • Using Faculty Inducements or Incentives • Setting Resource Priorities • Offices of Sponsored Programs at PUIs • Staffing an Office of Sponsored Programs • Is PUI Research an Oxymoron? • Sources of Research Funding for Smaller Institutions • Establishing Technology Transfer Operations at PUIs • Benchmarking the Small Sponsored Programs Office • Q&As • Discussion Topics

Organization and Staffing • Proposal Development • Proposal Assistance • Proposal Review and Approval • Proposal Submission • Negotiation and Subawards • Award Acceptance • Issues and Factors Critical for Success • Special Issues for Predominantly Undergraduate Institutions • Overview of Multiple PI Option for Applications • Trends in NIH and NSF Proposal Success Rates • Q&As • Discussion Topics

What Is a ‘Contract’? • Staffing and Communications • Contracts at the Proposal Stage • Contracts and the Federal Acquisition Regulation • Contracts at the Negotiation/Execution Stage • Contracts After the Award • Stop-Work Order • Contracts with the Private Sector • Special Issues for Small Institutions • Q&As • Discussion Topics

Common Models for Providing Legal Counsel to Institutions • Overview of the Law of Sponsored Research • Laws Governing Types of Federal Funding Agreements • Major Federal Statutes and Regulations Governing Sponsored Research • Federal Contract and Grants Administration Requirements • Federal Grant Policy Manuals and Guidance Documents • Institutional Policies • Sponsorship of Research by Industry • The Role of University Counsel • Q&As • Discussion Topics

Key Terms • Overview of Audits • Preparing for an Audit • Start of the Audit • Conduct of the Audit • Final Audit Report and Follow-Up • Importance of Offices of Inspector General Audit Reports and Priorities • Q&As • Discussion Topics

Organization and Staffing Considerations • Communication Issues • Resources Required • Award Terms and Conditions • Allowable Costs • Prior Approvals • Effort Certification • Equipment • Cost Transfers • Application of F&A Costs • Cost Sharing • Program Income • Subrecipient Payments and Monitoring • Award Reporting and Closeout • Incoming and Outgoing Investigators • Special Issues for Smaller Institutions • Risk Areas and Critical Success Factors • Compliance with Requirements Relating to Program Income • Overview of Effort Reporting • Snapshot of Faculty Burden Survey Results • Q&As • Discussion Topics

Regulatory Framework • Safeguarding Exclusions Specific to Universities • Deemed Exports • Commerce’s Export Administration Regulations • State’s International Traffic in Arms Regulations • Treasury’s Office of Foreign Assets Control • Licensing Issues • Role of Technology Control Plans • Recommended Practices for Compliance • Q&As • Discussion Topics

Building Toward Successful International Research Collaborations • Developing an International Perspective • Knowledge-Based Resources • Special Issues • Web Resources • Compliance with Certain U.S. Laws that Affect Universities Engaged in Academic Activities Abroad

Research Collaborations • Key Terms • Resources Required for Administering Subawards • Proposal Preparation and Submission • Subaward Agreements • National Subaward Model Agreement Form • Subrecipient Monitoring • Subaward Closeout • Q&As • Discussion Topics

What Is Assessment? • Preparing for Assessment • Forms of Assessment • Focus Groups • Surveys • Metrics • Self-Audits • Self-Studies • External Evaluations • Quality Improvement Programs • Responding to Assessment Results • Q&As • Discussion Topics

Index