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Module 1: The Basics. Office of Research and Sponsored Programs The University of Mississippi 100 Barr Hall ~ 662-915-7482 www.research.olemiss.edu. 1. Overview of Research. Research is one of the 3 major functions of colleges and universities in the U.S.

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module 1 the basics

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
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

definition of research
Definition of Research

A systematic study directed toward increased scientific knowledge or understanding of the subject matter under investigation.

Updated August 2011

um s mission statement
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.

4

Updated August 2011

slide6
At UM we have quite a few research centers ~
  • 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

6

Updated August 2011

slide7
A number of institutes ~
  • 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 ~

  • Mississippi Geographic Alliance
  • Mississippi Space Grant Consortium
  • North Mississippi Education Consortium

7

Updated August 2011

slide8
Some community service centers ~
  • Civil Legal Clinic
  • Mississippi Innocence Project
  • Mississippi Small Business Development Center
  • Psychological Services Center
  • Speech and Hearing Center

Research programs and initiatives ~

  • Laboratory for Applied Drug Design and Synthesis
  • Intelligent Transportation Systems
  • Pharmaceutical Marketing and Management Research Program

And research support facilities ~

  • Access Grid Node
  • Animal Care Facility
  • Insight Park
  • Mississippi Center for Supercomputing Research
  • Social Science Research Laboratory
  • University of Mississippi Field Station

8

Updated August 2011

slide9
And…
  • 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

definition of sponsored program
Definition of Sponsored Program
  • A project or program which receives funding from outside of the University

Updated August 2011

why do we seek sponsored funds
Why do we seek Sponsored Funds?
  • 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

why do sponsors give us funds
Why do Sponsors give us funds?
  • 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

summary of sponsored programs activity fy 2011 oxford campus
Total number of proposals

Total amount requested

Total number of awards

Total amount received

[excluding financial aid]

385

$154,744,882

285

$78,854,346

Summary of Sponsored Programs Activity ~ FY 2011 ~ Oxford Campus

13

Updated August 2011

if you add the medical center
If you add the Medical Center:

Total Funding for 2011:

$163,849,407

15

Updated August 2011

what are sponsored programs activities
What are “sponsored programs activities?”
  • 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

16

Updated August 2011

sponsored activities have
Sponsored activities have:
  • 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

17

Updated August 2011

what are not sponsored programs
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”

18

Updated August 2011

why do we differentiate between sponsored programs and gifts
Why do we differentiate between sponsored programs and gifts?
  • Different rules, laws, regulations, etc.
  • Takes a different ‘expertise’ to handle them

19

Updated August 2011

slide20
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

Responsible for all

GIFTS

20

Updated August 2011

where does the money come from
Where does the money come from?
  • Federal agencies (including appropriations)
  • State agencies
  • State appropriations
  • Private foundations
  • Professional organizations
  • Individual donors
  • Corporate partners
  • Others, including the ORSP for special cases

21

Updated August 2011

what is the role of the orsp
What is the role of the ORSP?
  • Office of Research……
    • We help investigators find the means to support their research
    • We help them organize their proposal packages (budgets, certifications, etc.)
  • and Sponsored Programs
    • We help them manage their award once it gets here

22

Updated August 2011

how hard can that be
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

23

Updated August 2011

what kind of rules
What kind of rules?
  • Federal rules
  • State rules
  • Agency rules
  • Spending rules
  • Travel rules
  • Contracting rules
  • Protection of animals
  • Protection of human subjects
  • Etc. etc. etc.

24

Updated August 2011

so many rules
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

25

Updated August 2011

outside the orsp
Outside the ORSP
  • 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

26

Updated August 2011

inside the orsp
Inside the ORSP
  • Research Resources
    • Mr. Jason Hale, Director
  • Sponsored Programs Administration
    • Mr. Mickey McLaurin, Director
  • Research Integrity and Compliance
    • Dr. Tom Lombardo, Director
  • Technology Management
    • Dr. Walt Chambliss, Director

27

Updated August 2011

research resources
RESEARCH RESOURCES
  • 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
  • to identify & coordinate use of shared resources

Updated August 2011

sponsored programs administration
SPONSORED PROGRAMSADMINISTRATION

Pre-Award

  • 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

29

Updated August 2011

sponsored programs administration1
SPONSORED PROGRAMS ADMINISTRATION

Post-Award

  • 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

30

Updated August 2011

research integrity and compliance
RESEARCH INTEGRITY ANDCOMPLIANCE
  • Research integrity: i.e., prevention of misconduct
  • Human and animal rules and regulations
  • Export control
  • Facilities security
  • Biosafety concerns

31

Updated August 2011

technology management
TECHNOLOGY MANAGEMENT
  • Help investigators identify marketable products, technologies, or techniques
  • Assist with patenting and licensing of inventions
  • Assist with development of spin-off companies

32

Updated August 2011

slide33
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

33

Updated August 2011

other not so obvious benefits
Other “not so obvious” benefits:
  • 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
  • External funding and resourcesbuild the economy, attract industry growth, and help improve facilities

34

Updated August 2011

external funding
External funding…..
  • Provides employment opportunities, supports students (graduate and undergraduate), pays salaries, supports the economy through purchasing, etc.
  • Helps to offset the operational funds for the university through the generation of “indirect costs” or “F&A costs”

35

Updated August 2011

slide36
What about those “indirects”

or “F&A” costs?

Updated August 2011

a research budget has two components
A research budget has two components:
  • 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.

37

Updated August 2011

indirect or f a costs
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
  • We can allocate such costs to research grants based on a determined percentage of the “direct costs”

38

Updated August 2011

what goes into the rate determination
What goes into the rate determination?

Four basic things:

40

Updated August 2011

depreciation and use allowances
Depreciation and use allowances

Includes:

  • Cost of buildings
    • Capital improvements to land and buildings
    • Equipment
  • Most buildings don’t serve a single function
    • Usable square feet per function
    • Excludes common areas

41

Updated August 2011

operation and maintenance expenses
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

42

Updated August 2011

library expenses
Library expenses
  • Includes all costs pertaining to the operation of the central libraries
  • Based on three primary categories of users:
    • Full-time students
    • Professional employees
    • Others

43

Updated August 2011

administrative expenses
Administrative expenses
  • General
    • Chancellor’s office, accounting office, purchasing, budget office, human resources, risk management, university attorney, management information (IT)
  • Departmental
    • Deans’ offices, academic departments, clerical and administrative personnel, organized research units
  • Student administrative services
    • Dean of students, admissions, bursar, counseling, placement office, student health center, student advisors, offices of commencement and convocation
  • Sponsored research offices

44

Updated August 2011

who says what we can charge
Who says what we can charge?
  • Either:
    • Department of Health and Human Services (UM) or
    • Office of Naval Research
  • Determined by the predominance of an institution’s federal funding
  • Our rate is negotiated about every 3-4 years

45

Updated August 2011

theoretically
THEORETICALLY:
  • If our rate is 43%; and
  • We brought in $78,854,346 last year; then:
  • You’d think we would recover F&A of:

$23,711,447

46

Updated August 2011

mtdc modified total direct costs describes what we re allowed to charge f a on
INCLUDES:

Salaries and wages

Fringe benefits

Materials and supplies

Services

Travel

EXCLUDES:

Equipment

Capital expenditures

Tuition remission

Rental charges

Scholarships and fellowships

Costs exceeding $25,000 for each subgrant or subcontract

MTDC ~ Modified Total Direct Costs:describes what we’re allowed to charge F&A on

47

Updated August 2011

slide48
PLUS:
  • 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

48

Updated August 2011

slide49
So, after all exclusions, about

$11 million was recovered in F&A

for the university in 2011

WHERE’D IT ALL GO ????

49

Updated August 2011

slide50
How the funds are distributed is an “institutional decision”
  • In general, recovered funds are distributed in this way:
    • 55% goes to:
      • The investigator, department, and dean
    • 45% goes to:
      • General university operations; and
      • To the ORSP
  • To pay for all those things we just covered!

50

Updated August 2011

in fy11 recovered f a from our sponsored programs for the oxford campus enabled the orsp to
In FY11, recovered F&A from our sponsored programs for the Oxford campus enabled the ORSP to:
  • 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)

51

Updated August 2011

in fy11 recovered f a from our sponsored programs for the oxford campus also enabled the orsp to
In FY11, recovered F&A from our sponsored programs for the Oxford campus ALSO enabled the ORSP to:
  • 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

52

Updated August 2011

in fy11 recovered f a from our sponsored programs for the oxford campus also enabled the orsp to1
In FY11, recovered F&A from our sponsored programs for the Oxford campus ALSO enabled the ORSP to:
  • Provide other types of research support, such as:
    • 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

53

Updated August 2011

slide54
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

54

Updated August 2011

we do this by
We do this by:
  • 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

55

Updated August 2011

we help with
We help with:
  • Filing research disclosures
  • Establishing a record of invention
  • Filing for patents and licensing
  • Managing royalties and licensing fees

56

Updated August 2011

we have a very liberal revenue sharing policy
We have a very liberal “revenue sharing” policy:

Generally:

  • The first income generated reimburses out-of-pocket expenses for patenting and licensing

57

Updated August 2011

slide58
Thereafter:
  • 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

58

Updated August 2011

how are we doing
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

59

Updated August 2011

research park
Research Park
  • 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

60

Updated August 2011

research park mission
Research Park Mission
  • To drive technology transfer and economic development by accelerating the creation and growth of new commercial enterprises
  • To attract technology-based businesses and government research laboratories that wish to locate in an environment rich in collaborative research and innovation

61

Updated August 2011

four initial clusters
Four initial clusters

Based on existing research expertise:

  • Health care
  • Information management
  • Defense/security
  • Remote sensing technologies

62

Updated August 2011

resources
Resources
  • UM Mission and Goalswww.olemiss.edu/depts/chancellor/MissionandGoals
  • ORSP Web Sitewww.olemiss.edu/depts/research
  • NCURA: National Council of University Research Administratorswww.ncura.edu
  • SRA: Society of Research Administratorswww.srainternational.org/sra03/index
  • Research Administrators Certification Council

www.cra-cert.org/

63

Updated August 2011