Never a Dull Moment Addressing Issues at a Predominantly Undergraduate Institution

1. Never a Dull Moment�Addressing Issues at a Predominantly Undergraduate Institution NCURA 50th Annual Meeting Monday, November 3, 2008

2. � NCURA 2008 Today�s Presenters Ken Clark Director, Grants & Contracts Lewis-Clark State College Franc Lemire Director, Research Administration Worcester Polytechnic Institute 2

3. � NCURA 2008 Today�s Topics Motivating and Training Faculty Maximizing Resource Allocation by Defining Pre- and Post-Award Roles Addressing Professional Development Needs Identifying Institutional Strengths Capturing and Coordinating Information Budgetary and Financial Considerations Thinking Big: Posturing for Negotiation Attention to Details and Compliance Risks Dealing with a Potpourri of Potential Problems 3

4. � NCURA 2008 �but before we begin� 4

5. � NCURA 2008 We Need To Understand How PUIs Differ from Larger Institutions� �Typical� PUI Commitment to teaching and service Small graduate school No or few Ph.D.s conferred Basic or minimal research infrastructure Tenure policies reflect teaching/service Other policies (and lack thereof) reflect collegial environment Research administrators wear may hats �Typical� Research-Intensive University Commitment to discovery Large, well-established graduate school Ph.D.�s granted Extensive (and expensive) research infrastructure Tenure policies reflect research expectations Other policies based on best practices & promote a culture of compliance Specialized research administration functions 5

6. � NCURA 2008 Motivating and Training Faculty At a PUI faculty prefer teaching vs. research Many faculty already feel underpaid and overworked Many faculty want grants to add to their salary Some faculty don�t want to write the grant � or even participate in writing it Reasons? It isn�t what faculty agreed to when they arrived Infrastructure doesn�t exist to support faculty efforts Many already have tenure, so where�s the incentive to add research to their workload? 6

7. � NCURA 2008 Motivating and Training Faculty Motivating faculty often requires a calculated change in institutional culture Senior administration must be supportive, encouraging, convincing, and patient An infrastructure should be created to enhance the grant writing experience Incentives that recognize and reward success must be initiated Realizable goals should be agreed to between administration and faculty Can you think of others? 7

8. � NCURA 2008 Motivating and Training Faculty Financial Incentives Internal Grant Competitions Travel to Sponsors Emergency Funds Non-Financial Incentives Mentoring for Junior & �Re-Emerging� Faculty Recognition Activities (e.g., in publications and on the web, award ceremonies/dinners, etc.) Proposal Writing Workshops 8

9. � NCURA 2008 Maximizing Resource Allocation by Defining Pre- and Post-Award Roles At some PUI�s, a clear division of responsibility is often non-existent Clear lines of responsibility, policies, procedures are critical � without those, you risk constant tension between pre-and post-award functions, personnel Administration must understand need to clearly describe roles, policies, procedures Activities of pre- and post-award staff should complement each other and add value to the process Redundancies should be avoided, except in cases when additional control is required 9

10. � NCURA 2008 Addressing Professional Development Needs Although each institution is different, professional development is essential to all of us Networking is the most important method of increasing the �human� resources available to you Become involved as much as possible in NCURA activities, especially by giving presentations � use invitations to participate or speak as a way of arguing to have conference travel approved Attend regional NCURA conferences and workshops to become more involved And at the very least� 10

11. � NCURA 2008 Addressing Professional Development Needs Focus on some or all of these essential resources: A Guide to Managing Federal Grants for Colleges and Universities Sponsored Research Administration: A Guide to Effective Strategies and Recommended Practices Federal Grants News for Colleges and Universities Report on Research Compliance Other resources: Thompson Interactive Audio Conferences PUI Neighborhood Listserv Other NCURA Neighborhoods and Listservs 11

12. � NCURA 2008 Identifying Institutional Strengths Work with faculty members to learn where your small institution might find its �niche� (area of expertise) and use this knowledge to build upon existing individual strengths Compare faculty interests with technical funding trends and steer funding opportunity information as it becomes available If needed, schedule meetings with faculty to bring together potential collaborators Use senior administration as a way to encourage faculty to participate 12

13. � NCURA 2008 Identifying Institutional Strengths Survey your faculty to determine if inter-disciplinary interests exist and who at your institution can put them to use Example: At one institution, the Biology Department and Nutrition Department combined forces to create the �Center for Health & Hygiene� to perform research on sanitation and creating sterile conditions in health care settings Example: Another institution created a new �life sciences� focus area by nurturing the relationship between biologists, biomedical engineers, chemists, and chemical engineers 13

14. � NCURA 2008 Capturing and Coordinating Information What constitutes �good� information and why is it so important to capture and coordinate it? Good information should help you to achieve objectives Good information, when properly accumulated and presented, should be used to drive decision making Good information in policy and procedural documents should have the effect of streamlining and encouraging compliance Good information is determined by each institution � here are some examples� 14

15. � NCURA 2008 Capturing and Coordinating Information Example: Do you know who your sponsor really is? Don�t rely on your faculty member or her/his technical contact for sponsor information! Contact the organization that is providing the award and speak with a contracting or other business official If you find that your sponsor�s award IS federal, ask that they flow down all required clauses to ensure they are appropriate for your institution If necessary, request a copy of your sponsor�s prime award Be sure to notify your institution�s accounting office of subawards that must be included in the A-133 Schedule of Federal Awards 15

16. � NCURA 2008 Capturing and Coordinating Information Example: Are you providing meaningful reports with the proposal and award data collected? Numbers and dollar amounts of proposals and awards are fine, but� Data should be used as a management tool on which to base both short term (operational) and long term (strategic) decisions Identify and report on the factors that �should� drive management decisions Here are some examples� 16

17. � NCURA 2008 Capturing and Coordinating Information Decisions, decisions, decisions� Who is and isn�t participating? What long term trends can be documented that will point to where improvements are needed? Which departments require the most cost sharing? Is your institution putting its cost sharing dollars into strategically important areas? Is the submission of a proposal �additive� or �deductive� when compared with strategic goals (i.e., would your institution support the program using its own funds)? 17

18. � NCURA 2008 Capturing and Coordinating Information Example: Do the policies and procedures at your institution promote effective communications between and among departments? Have they been measured against federal, state and local requirements? Are they consistent with best practices at other institutions? Do they help to streamline processes so that faculty members are willing to use them? Are they �comfortably� achievable? 18

19. � NCURA 2008 Budgetary and Financial Considerations Ensure that budget preparation during the pre-award stage is coordinated with the post-award office responsible for grants fiscal management Create an advance approval process for differing types and levels of cost sharing Review body of project description and budget justification for hidden cost sharing that can and will become mandatory in the event of an award Question both included costs as well as potentially missing costs in budgets 19

20. � NCURA 2008 Budgetary and Financial Considerations Assess the �fit and finish� of the budget in terms of whether it aligns well with the SOW and justification Have a keen eye for recognizing� Potential or actual COI Hidden costs not documented in the budget (e.g., installation of equipment, use of service centers or specialized service facilities, etc.) Unanticipated �out year� increases Inconsistencies with collaborating institution budgets Ask questions! 20

21. � NCURA 2008 Thinking Big: Posturing for Negotiation In dealing with sponsors, especially corporations, recognize that PUIs are no different than larger institutions Develop a position statement that prescribes the conditions under which external sponsorship is normally accepted Model this document after those used by much larger institutions that already have best practices in place When asked to accept something less, understand your institutional limitations Obtain buy-in by both PI and senior administrators when departing from accepted practices 21

22. � NCURA 2008 Thinking Big: Posturing for Negotiation Be proactive, but� Weigh each situation on its own merit and consider factors such as: Type of activity (e.g., research or testing) vs. likelihood for IP Is there an alumni connection or future funding possibility? Are you achieving the desired result (i.e., fair to both sides)? Is the result manageable for all concerned? Don�t set a precedent that may come back to haunt your institution in the future Avoid �most favored sponsor� treatment that could be measured against what your institution charges the federal government for similar work 22

23. � NCURA 2008 Attention to Details and Compliance Risks Slow down and check every detail on each RFP and compare the proposal to ensure compliance with guidelines, submission date and time, accurate information, etc. Allow for inevitable �dead time,� when systems crash, your PI doesn�t respond to messages, waiting for cost sharing approval, etc. Contact collaborating institutions early and often to obtain all of their required documentation (LOI, SOW, budget, justification, F&A rate agreement) 23

24. � NCURA 2008 Attention to Details and Compliance Risks Some Helpful Tips: Create a Proposal Check List to follow at each step of the submission process Identify potential problem areas, such as current and pending support, institutional endorsement letters, etc. and focus on these first Use a shared file for electronic submissions in case your own computer decides to crash Meet with PIs to review award terms and conditions in advance of program commencement Can you think of others? 24

25. � NCURA 2008 Dealing with a Potpourri of �What If�s?� What if� Your institution actually receives that large award you�ve been praying for? A faculty member commits misconduct? One of your subrecipient organizations is found to have material findings in its A-133 audit? A corporate sponsor�s proprietary information is inadvertently published on your institution�s web site? You run into a faculty member while on vacation and you know the individual is supposed to be devoting 100% effort at the time? Your institution receives an award that contains export control and publishing restrictions? 25

26. Thank you! Are there any questions?