Research Administration

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Research Administration For Scientists
COMP 290-083 Tim Quigg Associate Chair for
Administration and Finance Department of Computer
Science UNC-Chapel Hill
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TNTs From Last Week

• TNT 1 Learn as much as you can about the
  agency, the program and the program officer.
• TNT 2 Prepare a written proposal development
  timeline and follow it.
• TNT 3 Agencies fund people, not just ideas.
• TNT 4 Quality Trumps Quantity Every Time.
• TNT 5 Budget should be the right size,
  neither too large nor too small.
• TNT 6 Criticism from the right sources can be
  helpful.

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TNT 7 When the time comes to push the button,
dont be afraid even if the proposal isnt
perfect.

• If you wait to have children till you can
  afford them, you never will have them
• Likewise, if you wait till a proposal is
  perfect, youll never submit one
• And, if you never submit one you dramatically
  reduce your chances of getting one funded!

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TNT 7 When the time comes to push the button,
dont be afraid even if the proposal isnt
perfect.

• Dont push the river. It will flow by itself.

• Be patient, many funding agencies take about
  six months to complete process
• It is considered inappropriate to contact the
  program officer while a proposal is under review
• Successful proposals usually get a call from
  the program officer

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TNT 7 When the time comes to push the button,
dont be afraid even if the proposal isnt
perfect.

• Rejections usually come by snail mail or email

• If the time frame listed in the program
  announcement has passed, it is acceptable to
  inquire of the program officer to see if the
  timeline for the review process has been revised

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TNT 8 Treat every rejected proposal as an
opportunity to learn.

• Many good, fundable proposals are not funded
  because the agency ran out of money
• Request a copy of the reviewers comments
  (and numeric score where applicable)

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TNT 8 Treat every rejected proposal as an
opportunity to learn.

• Accept the comments as valuable input
• The reviewer may not have understood your
  point.
• But whose job is it to make them understand?
• Obviously its yours!
• How can you more clearly communicate your
  message?
• They may have found holes in your
  presentation.
• How can you improve the description of the
  science?

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TNT 8 Treat every rejected proposal as an
opportunity to learn.
Remember Proposal writing is an iterative
process. Many successful proposals were not
funded on their first submission!
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TNT 9 Dont give up! Proposal writing is a
learned skill.
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When did the federal government
become involved in
funding university research?
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History External Support for University
Research in U.S.

• Before WWII

• Mainly internal sources
• Notable exception Agriculture
• Morrill Act of 1862 Land-Grant Colleges
• 30,000 acres of federal land/congressional
  representative to each State

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History External Support for University
Research in U.S.

• Sold to provide an endowment for

• at least one college where the leading object
  shall be, without excluding other scientific and
  classical studies and including military
  tactics, to teach such branches of learning as
  are related to agriculture and the mechanic
  arts

• Kentucky (50/acre) Cornell (5.50/acre)

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History External Support for University
Research in U.S.

• Second Morrill Act of 1890

• In order to get , State had to show that race
  was not a criterion for admission to land-grant
  institution or
• Designate a separate land-grant college for
  blacks
• 1890 land-grants created all over the
  then- segregated South

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History External Support for University
Research in U.S.

• Hatch Act of 1887 Agriculture Experiment
  Station
• Annual appropriation State match required

• Smith-Lever Act of 1914 Cooperative
  Extension Service
• Annual appropriation State match required
• Current federal from various acts 550
  million annually

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History External Support for University
Research in U.S.

• During WWII

• University scientists mobilized to apply
  expertise to war effort

• National Defense Research Council
• Formed by FDR in June, 1940
• Forum for bringing university/industry/
  government scientists together
• 18 month head-start on Pearl Harbor

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History External Support for University
Research in U.S.

• Office of Scientific Research and Defense
  (OSRD)
• May 1941
• Dr. Vannevar Bush, Director

• Mission to explore a possible government role
  to encourage future scientific progress.
• Civilian, not military, control

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History External Support for University
Research in U.S.

• OSRD contracted work to other institutions
• Large rocket lab at Carnegie Institute of
  Technology
• Radiation lab at MIT

• Bushs final report The Endless Frontier
• Two principles for expanding R D in U.S.
  universities
• Federal government as patron of science
• Government support should ensure a free rein of
  investigation by scientists into topics and
  methods of their choice

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History External Support for University
Research in U.S.

• This report lead to the establishment of
  National Science Foundation (NSF) in 1950
• Independent government agency
• National Science Board
• 24 members plus director
• Appointed by President
• Responsible for promoting science and
  engineering
• 3.3 billion/year
• 20,000 active research and education projects
• NSF approximately 3 of all federal RD
  expenditures

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Federal Assistance
Types of Support

• Mandatory block grants, formula-driven
• Discretionary competitively awarded

• Modes of Support
• Grants assistance
• Contracts procurement/acquisition
• Cooperative Agreements assistance but with
  strings attached

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Grants

• Broad Agency Announcements (BAA), Program
  Solicitation

• Financial Assistance Award
• Made for stated purpose (proposal/award)
• Made for stated period of time (project period)
• Made to an organization in the name of a
  Principal Investigator (PI)
• No substantial programmatic involvement by
  awarding agency
• Funding may be annual, multi-year or for entire
  budget period
• Minimum of limiting conditions

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Contracts

• RFP and IFB

• Mutually binding legal relationship that binds
  the seller to deliver certain specified goods or
  services (deliverables) in exchange for certain
  specified consideration (e.g., money)
• Terms are usually detailed and specific
• Activities frequently dictated by sponsor
  (buyer)
• Less latitude to modify scope of work and
  line-item expenditures
• Funding may be incremental, tied to work
  components, final payment (e.g. 10) may be held
  till acceptance of deliverables
• Process governed by the FAR (Federal
  Acquisition Regulation)

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Contract Types

• Cost-Reimbursement (CRC)

• Pays allowable costs to extent provided
• Contractor must have adequate accounting system
  to track applicable costs
• Contains limitation of costs clause (LOC)
  government will only pay estimated costs

• Variations include
• Cost-sharing (CSC)
• Cost-plus-incentive fee (CPIF)
• Cost-plus-fixed fee (CPFF)

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Contract Types

• Fixed Price (FPC)
• Price-based, not cost-based
• Price defined in contract (by unit or
  deliverable)
• May be firm or adjustable (Economic
  circumstances, profit, etc.)

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Cooperative Agreements

• Financial Assistance Award
• Similar to grant except
• There is substantial programmatic involvement
  by awarding agency.
• Principal purpose is to transfer money or
  something of value to recipient in order to
  accomplish a public purpose.

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Cooperative Agreements

• Agencies have substantial freedom to structure
  the terms and conditions (TCs)
• Agencies must issue CA regulations
• Often differ from standard assistance
  regulations and may even resemble acquisition
  regulations

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3 Ps Patron (Grant) Partner (Co-op
Agreement) Purchaser (Contract)