Module 1: The Basics

1. 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

2. 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

3. Definition of Research A systematic study directed toward increased scientific knowledge or understanding of the subject matter under investigation. Updated August 2011

4. 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

5. KNOWLEDGE CREATION and APPLICATION = RESEARCH 5 Updated August 2011

6. 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

7. 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

8. 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

9. 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

10. Definition of Sponsored Program • A project or program which receives funding from outside of the University Updated August 2011

11. 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

12. 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

13. 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

14. TEN YEAR PERSPECTIVE: 2002-2011TOTAL DOLLARS ($M) AWARDED Updated August 2011

15. If you add the Medical Center: Total Funding for 2011: $163,849,407 15 Updated August 2011

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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

28. 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

29. 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

30. 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

31. 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

32. 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

33. 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

34. 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

35. 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

36. What about those “indirects” or “F&A” costs? Updated August 2011

37. 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

38. 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

39. Our F&A rate for research:43% on campus, 26% off campus ~ compared to: 39 Updated August 2011

40. What goes into the rate determination? Four basic things: 40 Updated August 2011

41. 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

42. 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

43. 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

44. 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

45. 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

46. 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

47. 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

48. 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

49. 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

50. 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