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Overview Office of Research and Sponsored Programs May 7, 2014.

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1 Overview Office of Research and Sponsored Programs May 7, 2014

2 CSU Org Chart Governor Jerry Brown California State University (CSU) Chancellor Timothy White and the Board of Trustees Presidents of the 23 CSU Campuses: CSU BakersfieldCSU Channel Islands CSU ChicoCSU Dominguez Hills CSU East BayCSU Fresno CSU FullertonHumboldt State University CSU Long BeachCSU Los Angeles Maritime AcademyCalifornia CSU Monterey Bay CSU NorthridgeCal Poly Pomona CSU SacramentoCSU San Bernadino San Diego State UniversitySan Francisco State University San Jose State UniversityCal Poly San Luis Obispo CSU San MarcosSonoma State University CSU Stanislaus

3 University Org Chart President Leslie Wong VP Academic Affairs Sue Rosser VP Finance and Administration Ronald Cortez VP Student Affairs Luoluo Hong VP Advancement Robert Nava President’s Cabinet also includes: Legal Counsel, Patricia Bartscher Chief of Staff, Shawn Whalen Executive Director University Corporation (UCORP), Jason Porth Elogeanne Grossman, Executive Assistant

4 University Org Chart - Advancement VP University Advancement Advancement Services Alumni RelationsAthleticsCommunications Development: Corporate Partnerships Foundation Relations Government & Community Relations

5 University Org Chart – Student Affairs VP Student Affairs Dean of Students Disability Programs Enrollment Management Emergency Preparedness Financial AidRegistrar Student Health Services Testing University Police

6 University Org Chart – Academic Affairs Provost and VP for Academic Affairs Sue Rosser Deans of Six Colleges Dean of College of Extended Learning (CEL) Dean of Faculty Affairs Dean of Undergraduate Studies Dean of Graduate Studies AVPs: Research and Sponsored Programs Office of International Programs Academic Planning and Assessment Academic Resources Library

7 University Org Chart –Administration and Finance VP Administration and Finance Budget Administration, incl. Labor Cost Distribution (LCD) Division of Information Technology (DoIT)Fiscal Affairs Accounting, incl. Trust & Special Projects Accounting (TSPA) Accounts Payable Fiscal Services Hospitality Tax Services Procurement Card Travel Bursar’s OfficeFiscal Affairs Business SystemsOne CardProcurement and Contracts Human Resources, Safety and Risk Management Internal AuditPhysical Planning and Development

8 ORSP – Department 3080 An department within Academic Affairs that provides administrative support for faculty and other Principal Investigators. Responsibilities include: - Pre Award: finding funding opportunities, submission of proposals and negotiation of contracts with external funders - Post Award: financial and HR management for externally funded grants/contracts - Training: PIs, staff, other units -Compliance Program: Conflict of Interest, Subrecipeint Monitoring, Cost Sharing, Responsible Conduct of Research (RCR) -Other Support: Rx for faculty, internal funding Grant funded employees are hired in this department and the project is set up in the financial system in this department

9 ORSP – Department 3075 General Fund ORSP’s “Central Office” This department’s employees include the Grant Administrators, Grant Support Coordinators, HR Specialists and the staff of Human and Animal Protections ORSP Central Office staff are located both in the Administration Building and in Hensill Hall, Room 301

10 What is Research Administration? Pre Award, Post Award, Training, Compliance, Human and Animal Protections, Intellectual Property, Patents are all part of Research Administration The accidental profession NCURA and SRA are the two primary professional associations for Research Administrators A hot field to be in

11 The ORSP Org Chart by Team College of Science and Engineering (CoSE) Team Susan Pelton, Manager, Post Award Jackie White, Manager, Pre Award Grant Administrators and Grant Support Coordinators Jenny ChauAsha Smith Candy MouCecelia Li Raman PaulPat Hanson Chao GuanRobert Garcia ORSP HR Specialists Kari Wong and Cherrell Escort Central Office Team Health and Social Sciences, Business, Creative and Liberal Arts, Ethnic Studies, Graduate College of Education Michelle Gagnon, Manager, Post Award Jackie White, Manager, Pre Award Grant Administrators and Grant Support Coordinators Karen LeeJulie Paez Rick BondPat Hanson Josh CalderPat Hanson ORSP HR Specialists Jocelyn Tolentino and Allan Calabio

12 The ORSP Org Chart, Continued Alison Ng, Compliance Manager Human and Animal Subjects Protection Liz Miller, Protocol Analyst Pablo, Student Assistant Sarah, Student Assistant Research Compliance Vacant Position, Compliance Specialist Vacant Position, Compliance Assistant Support Staff Institutional Review Board (IRB) for Human Subjects Institutional Animal Care and Use Committee (IACUC) for Animal Subjects

13 The ORSP Org Chart, Continued Paul Barrows, Funding Information Specialist and Tech Guru Website Design and Maintenance Funding Information/SPIN Training On line form maintenance Weekly Funding Announcements

14 PI spends years, months, several weeks preparing and publishing Funding opportunity identified PI submits on line checklist to ORSP PI works with GA on budget and application forms PI works on project narrative, may include external peer review and editing PI submits protocol to IRB or IACUC/Just in Time (JIT) Project and budget approved by Dean and VP Finance & Admin ORSP submits proposal Everybody waits while proposal is reviewed, usually peer review Everybody waits while proposal is reviewed, usually peer review Award letter or contract received Pre Award Cycle

15 Fiscal Agent Employees are SFSU employees, hired into the same classifications, and eligible for the same benefits, as any other SFSU temporary employee. The University assumes all responsibility for payroll, labor relations, benefits, risk management, leave programs, tax withholding, recruitment, retention, raises, setting compensation. In addition, the University assumes responsibility for implementing the specific provisions of the sponsored agreement. The University is responsible for the overall financial management of grants and contracts, including compliance, audit, maintenance of financial systems and records, risk management, safety, etc.

16 Award notification received Create budget and re-budget costs, Project set up in financial system, may include the funded project and a cost share project Recruitment begins Project activities begin Spending mechanisms activated GA and PI meet regularly for program and financial review, re-budgeting, no cost time extension budget projections Communicates with funder if necessary GA reviews each transaction for compliance with funder terms and conditions, University policy and procedure Project Expenditure Invoice funder Invoice funder Submit progress report Project outcomes used to successfully apply for new funding Post Award Cycle

17 Timing Really is Everything Plan for years Apply Wait Get rejected (we apply for 3-4 times the amount of money that we get) Surprise! You got funded You’re now 3 months behind schedule

18 ORSP Relationship to Other Units

19 What’s a Grant? What’s a Contract? What’s a Sponsored Program? Grants – Includes a scope of work but the outcomes may be unknown (research). Contracts – Includes a scope of work with defined deliverables; contracts are enforceable in law even if it not labelled as a contract (agreement, MOU). Sponsored Program refers to any project that is externally funded (grants, contracts, MOUs). External support may be for research, community service, student support, student and faculty training, additional instruction. Sponsored programs are distinct from gifts or charitable donations. Sponsored programs come with programmatic, financial and compliance terms and conditions.

20 What’s a PI? Principal Investigator, usually a probationary or tenured faculty member. The University serves as the fiscal agent for all grants and contracts. The PI is responsible for programmatic aspects. Pis are also responsible for managing their budget; spending funds in a responsible way in accordance with University policies and procedures and the funder’s terms and conditions; hiring and supervising staff. A PI is responsible for program, people, and money. The amount of time that a PI spends on administrative tasks is estimated at 25%.

21 PIs and Department 3080 PIs drive external funding PIs are our clients PIs are directors of programs PIs report to their department chair/dean Department 3080 is a department with 150 directors (who don’t report to ORSP)

22 Working with ORSP and PIs PIs are not administrators. They don’t get the emails that administrators get announcing new executive orders, changes in policies and procedures. ORSP often has to interpret the new law, the new regulation, the new process for grant/contract purposes. The change may need to be: 1.adapted to fit our systems and processes 2.communicated, explained and interpreted to the PI 3.changed or rescinded because it is in conflict with existing funder guidelines and/or ORSP policy and procedure. ORSP is the face of administration to the PIs. To the PI, the change looks like ORSP initiated it, and we take the heat.

23 What are Direct Costs? Costs associated with a project that are easily allocated to the project. Costs that are directly related to achieving the goals and objectives of that project.

24 `What are Indirect Costs? Costs associated with a project that are not easily allocated to the project.

25 What are Indirect Costs? These are referred to variously as: Indirect Costs (IDC), Overhead Facilities and Administration (F&A) Our Negotiated Indirect Cost Rate Agreement (NICRA) is negotiated every 5 years with our cognizant agency, Dept. of Health and Human Services (DHHS) Costs include existing buildings and equipment, operations and maintenance, library, general and department administration, etc. All costs are included in the calculation of the IDC rates, i.e. whether the funding is federal, state or private. There are different rates for organized Research, for Instruction and for Other Sponsored Programs (OSP).

26 What are Indirect Costs Spent On? Internal funding opportunities Bridge funding ORSP budget Research training including Research Rx for Faculty Cost share for institutional grants Animal facility Support for the IRB External review of proposal narratives Statistical training and software Support for departments that support ORSP, including HR, Fiscal Affairs, and Budget Administration Return to Colleges – 20% to 25%

27 Volume of Grants & Contracts 125 Principal Investigators from different departments and colleges 350 active grants and contracts $50 million in expenditures in Fiscal Year 2012

28 The Truth about External Funding It’s competitive Terms and conditions Compliance Additional audit and compliance issues Begin and end dates No cash Use it or lose it

29 HR Volume 1200 employees per year – students, hourly & salaried staff, postdoctoral researchers and faculty additional pay 1/3 to 1/4 of employees will have some payroll change in any given month. Faculty additional pay adds 100 employees to ORSP payroll, 3-4 times a year. RRT – approximately 100 per semester

30 Who are our Sponsors? Federal – your tax payer dollars The alphabet soup: National Institutes of Health (NIH), National Science Foundation (NSF), Department of Education, NOAA State – more of your tax payer dollars Local Government – even more of your tax payer dollars Private – foundations and associations Business International


32 Fun Facts about External Funding Majority of costs are spent on salaries and benefits At this University, most awards have a student support component

33 What’s a Grant Administrator (GA)? Pre Award - Responsible for researching the application process, compiling application data, and coordinating deadlines, and final submission. Post Award -budget and expense analysis, periodic invoicing, financial reporting, labor distribution changes, reconciliations, and rebudgeting; performs grant closeout functions required by sponsors including reconciliations, financial status reports, final invoices, purchase order liquidations, zeroing out budgets, and final reporting; reviews general ledger transactions to ensure accuracy and complete journal entries. Train PIs who are not administrators Portfolio of 50 awards, 20 Pis, $number of dollars, multiple academic departments, colleges and type of program

34 What does an ORSP HR Specialist do? Pre Award Determine classification and compensation for budgeting and planning purposes for grant funded staff, postdoctoral researchers, faculty, student assistants and Special Consultants. Determine benefits eligibility and benefit costs Provide guidance and training to faculty on recruitment and retention in post award Process re-appointments and other employee changes. Maintain ORSP Job and ORSP Person within HRMS. Budget projections for salary and benefit costs.

35 Pre Award / Proposal Development Budgeting for Salaries and Benefits Faculty – Reimbursed Release Time and Additional Pay Staff – hourly and salaried Students Postdoctoral Researchers (Research Fellow) Special Consultants Honoraria Independent Contractors

36 What does an ORSP HR Specialist do? Post Award Provide guidance and training to faculty on all HR issues. Post jobs and make job offers Orient new employees Serve as the point of contact for employees and faculty on retention, payroll, benefits, leave eligibility and employee relations issues. Process re-appointments and other employee changes. Process employee separations Process RRT Maintain ORSP Job and ORSP Person within HRMS

37 Technology – Human Resources HR system was modified to accommodate ORSP needs. This system links to the finance system in order to provide the ORSP HR Team, the GA and the PI with information about begin and end dates, the source of funds, name of the grant, the PI name. Implemented Job Earnings Distribution (JED) in order to charge grants appropriately. Using position number didn’t work because of the volume of transactions and frequency of changes in funding. ETRACs routed to a GA and the PI We work with the HR Tech Team to update and maintain the system, as well as test the system when upgrades and changes are implemented centrally.

38 Technology – Finance HR system was modified to accommodate ORSP needs. The Oracle Business Intelligence (BI) tool implemented with custom ORSP reports. Implemented CSU Sponsored Programs (CSUSP) to store information unique to grants and contracts administration. Work with the Business Systems team in Fiscal Affairs to maintain and test the system when upgrades and changes are implemented centrally.

39 We Know Something about Everything Human Resources – payroll, benefits, labor relations, compensation and classification, volunteer status Finance – finance reporting, budgeting, labor cost distribution, accounts receivable, accounts payable, Procurement, contract negotiation, salary and benefit costs, p-card, travel, taxes for salaries and wages, stipends, foreign payments, risk management, property management Technology – adapt university systems to meet the needs of research administration The academic world – academic salaries and benefits, academic workload, student employment and student financial aid

40 What is Reimbursed Release Time? Please refer to ORSP_Salary&Benefit_Costs training

41 Compliance Team Major financial compliance issues - Time and Effort Reporting - Cost Share - Subrecipient Monitoring - Conflict of Interest - Cost Transfers over 90 Days Audit preparation Spot Audits Human and Animal Subjects Protections Responsible Conduct of Research

42 What’s an OMB Circular? Office of Budget & Management A-21, A-110 and A-133 Allowable, allocable, reasonable and consistent. HR Provisions - Administrative staff and definition of major program, visa costs, time and effort reporting, recruitment costs, legal costs, salary cap, etc. Grant Administrator reviews each and every transaction against the terms and conditions of the award Federal regulations apply to all grants and contracts.

43 Human Subjects in Research Review is required for any research that: – is a systematic investigation leading to generalizable knowledge – is conducted by University faculty, staff, students – is performed on the premises of the University (even if conducted by persons not affiliated with SFSU) Institutional Review Board (IRB) is appointed by the Academic Senate and comprised of faculty, community members, non- scientific and scientific backgrounds. Office reviews new research protocols and continuing review of projects – Responds to participant inquiries – Provides technical assistance and protocol coaching Just-In-Time: Staff will review ASAP

44 Animal Subjects in Research Institutional Animal Care and Use Committee (IACUC) is appointed by the President or designee and comprised of veterinarian, faculty members, non-affiliated and non-scientific members Federal regulations are more extensive and detailed, review often takes 1-2 months Research locations include SF State’s Animal Facility, other organizations or field sites

45 The ORSP Website Find Funding (including internal funding) Apply for a Grant Human & Animal Protections Manage My Award Spend Grant Funds Hire/Pay People Analyze Data/Design a Study Compliance Program Forms and Policy Libraries FAQs Staff Directory

46 Reference Documents Negotiated Indirect Cost Rate Agreement (NICRA) Benefits Matrix Sample grant budget Grant files – award letter, terms and conditions OMB Circulars HR Training for internal staff: (ORSP_Salary&Benefit_Costs) Pre Award files Post Award files Personnel files

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