Society of Research Administrators

BODY OF KNOWLEDGE

RESEARCH ADMINISTRATION

Links to Primary and Secondary Sources

Preface

The Society of Research Administrators Body of Knowledge is intended to assist Research Administrators in improving and learning about this profession. The links provided should assist RA's, both Senior and Junior, in performing their jobs in a productive and meaningful manner, providing them (RA's) with the tools and references necessary to grow professionally.

[NOTE: This page is a work in process. If you know of links that would be useful to add, please contact Bill Sellers at william.sellers@ucop.edu. Please send a brief description of the target, where you think it fits into the Body of Knowledge, and the URL.]

I. PROJECT DEVELOPMENT AND ADMINISTRATION

A. Collection and Dissemination of Information

1. Marketing - Internal and External
   • a. Identification of funding opportunities
     • Sample list of resources: SRA [requires user name and PIN!]
     • Sample list of resources: Univ. of Washington
     • Sample list of private organizations: National Research Administrators Resources Network
     • Sample list of RFPs: NIH
     • Sample service provider: InfoEd
     • Sample campus dissemination: Univ. of Calif., Berkeley
   • b. Identification of internal capabilities
     • Sample keyword thesaurus: SPIN
     • Sample list of faculty Interests: Optical Sciences, Univ. of Ariz.
     • Sample faculty database: Univ. of Washington
2. Resource Documents, Application Materials and Information
   • Sample agency proposal guide: National Science Foundation
   • Sample application form service: Univ. of Texas
   • Sample application form download: Indiana Univ.
   • Sample application form download: Baylor College of Medicine
3. Dissemination of Information/Publications
   • Sample campus newsletter: Univ. of Calif., Berkeley
4. Liaison
   • a. Internally
   • b. Funding Sources
   • c. Cooperative arrangements
5. Public Relations
6. Agency Structure and Practice

B. Proposal Development

1. Proposal Writing
   • Sample tips: Georgia Southern University
   • Sample guide: Penn State University
   • Sample guide: Univ. of Montana
   • Sample proposal writing course: The Foundation Center
2. Budget Preparation
   • Sample guide: Penn State
   • Sample guide: Univ. of Montana
3. Documentation to Meet Sponsor Requirements
   • Sample university policy: Univ. of Calif.
4. Internal Proposal Processing
   • Sample university policy: Univ. of California
5. Negotiation Techniques
   • Sample guide (for software contracts): Sybex

C. Administration of Awards

• Overview: COGR Good Practices Principle, via SRA [requires user name and PIN!]

1. Monitoring Activity
2. Reports on Progress and Financial Status
3. Continuation Funding
4. Close Out
5. Changes in Project Status
   • Sample university policy: Penn State

D. Ethics and Professionalism

• Overview: COGR Good Practices Principle, via SRA [requires user name and PIN!]

1. Conflict of Interest
   • Overview: SRA [requires user name and PIN!]
   • Sample Policies: AUTM
2. Bioethics
   • Court decisions: Medical College of Wisconsin Bioethics Online Service
3. Human Subjects
   • Underlying statute: Sec. 474a. of the National Research Act, P.L. 93-348
   • Basic regulation: HHS
   • Sample university policy: Univ. of California
   • Overview of human subject protection procedures: COGR Good Practices Principle, via SRA [requires user name and PIN!]
   • Sample professional association principles: American Psychological Association
4. Animal Care
   • Underlying statute: Health Research Extension Act of 1985, P.L. 99-158 (11/20/85)
   • Underlying statute: Laboratory Animal Welfare Act (7 USC CHAPTER 54)
   • Basic regulation: PHS Policy on Humane Care and Use of Laboratory Animals
   • Sample university policy: Univ. of California
   • Sample university policy: Univ. of Texas Health Science Ctr.
   • Overview of animal care procedures: COGR Good Practices Principle, via SRA [requires user name and PIN!]
5. Professional

E. Intellectual Property

• Overview: COGR Good Practices Principle, via SRA [requires user name and PIN!]

1. Patents and Trademarks
   • Overview of patent law: COGR Guide to Bayh-Dole Act, via SRA [requires user name and PIN!]
   • Patent law materials: Legal Information Institute, Cornell Univ. Law School
   • Trademark law materials: Legal Information Institute, Cornell Univ. Law School
   • Overview of trademarks and service marks: Paper by R. Lawrence Sahr, Attorney
   • Sample guidance on protecting technology: Paper by R. Lawrence Sahr, Attorney
   • Sample university policy: Univ. of California
2. Copyrights
   • Copyright law materials: Legal Information Institute, Cornell Univ. Law School
   • Sample legal primer: Based on Multimedia Law Handbook
3. Licensing
   • Overview of university licensing programs: COGR Q&A, via SRA [requires user name and PIN!]
4. Commercialization
   • Overview of technology transfer: COGR Q&A, via SRA [requires user name and PIN!]
   • Definition of right of publicity: Legal Information Institute, Cornell Univ. Law School
5. Data
   • Overview of policy considerations: COGR Guide, via SRA [requires user name and PIN!]
6. Proprietary Information
   • Overview of trade secrets: the Seamless Web
7. University-Industry Research Relationships
   • Overview: COGR Guide, via SRA [requires user name and PIN!]

II. LEGAL REQUIREMENTS AND SPONSOR INTERFACE

A. Regulations and Statutes

1. Overview of Regulatory and Legislative Process
   • Sample overview: Univ. of California
2. Governmental Relations
3. Mandated Requirements

B. Compliance - Federal/Sponsors and General Management Practices

1. Representations and Certifications
   • Sample university guidance: Univ. of California
2. Federal Management Requirements
   • a. Federal Acquisition Regulations (FAR)
     • Full-text version of entire FAR, mainatined by Govcon [Note: If asked, enter "guest" for user name and "guest" for password. Caution: data may not be current.]
   • b. Federal Acquisition Regulation Supplements
     • Listing of Department of Defense FAR Supplement (DFARS) Clauses, maintained by Internet Law Library.
     • Listing of Department of NASA FAR Supplement (NFS) Clauses, maintained by Internet Law Library.
     • Listing of Department of Energy FAR Supplement (DEAR) Clauses, maintained by DOE.
   • c. OMB Circulars
     • A-21, Cost Principles for Educational Institutions
     • A-87, Cost Principles for State, Local, and Indian Tribal Governments
     • A-102, Grants and Agreements with State and Local Governments
     • A-110, Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organziations
     • A-122, Cost Principles for Nonprofit Organizations
     • A-133, Audits of Institutions of Higher Education and Other Nonprofit Institutions
   • d. Federal Agency Grant Requirements
     • Public Health Service Grants Policy Statement
     • National Science Foundation Grant Policy Manual
     • Federal Demonstration Project General Terms and Conditions
3. Institutional Committees
   • a. Institutional Review Board
   • b. Institutional Animal Care and Use Committee
   • c. Other
4. Federal Disclosure Requirements
5. Institutional and Sponsor Publication Requirements
   • First Amendment law materials: Legal Information Institute, Cornell Univ. Law School
   • Sample university policy: Univ. of California
6. Federal Labor Standards
   • Sample university policy: Univ. of California

C. Federal/Sponsor Appeal Procedures

• Appeal procedures under HHS awards: DHHS Web Server
• Appeal procedures under GSA contracts: "Doing Business with GSA" Booklet

D. Legal Authority

1. Delegations of Authority
   • Sample university policy: Univ. of California

III. FINANCIAL MANAGEMENT

A. Budgeting/Accounting

• Overview of fiscal administration: COGR Good Practices Principle, via SRA [requires user name and PIN!]

1. Accounting systems
   • a. Determining allowability of costs
     • Sample university policy: Penn State
     • Sample university policy: Univ. of California
   • b. Allocating costs
     • Sample university policy, PI responsibilities: Arizona State Univ.
2. Management information systems
   • a. Sponsor documents
   • b. Internal documents
     • Sample university policy: Univ. of California
3. Special projects
   • a. Effort reporting
   • b. Service centers
   • c. Program income
     • Sample university policy: Penn State
   • Internal controls
     • Sample university policy: Univ. of California
   • Gifts vs. grants
     • Sample university policy: Univ. of California

B. Costs

1. Direct Costs
   • Sample university policy: Univ. of California
2. Indirect Costs (overhead)
   • Sample university policy: Univ. of California
   • Sample university policy: Penn State
3. Indirect Cost Rates
   • a. Development
   • b. Negotiation
4. Cost Sharing and Matching
   • Sample university policy: Univ. of California

C. Sponsor Financial Reporting

D. Audit

• Overview of audits: COGR Good Practices Principle, via SRA [requires user name and PIN!]
• Overview of general management reviews: COGR Good Practices Principle, via SRA [requires user name and PIN!]

1. Types
2. Internal and External Requirements
   • Sample university policy: Univ. of California

IV. GENERAL MANAGEMENT

A. Facility Management

• Overview of property management: COGR Good Practices Principle, via SRA [requires user name and PIN!]

1. Specialized Facilities
2. Property Utility and Equipment Management
   • a. Inventory control
     • Sample university policy: Univ. of California
   • b. Sale/disposal of equipment and property
     • Sample university policy: Univ. of California
   • c. Lease vs. purchase
     • Sample university policy: Univ. of California
   • d. Capital expenditures
   • e. Sharing/pooling
   • f. Central Services
3. Safety and Health Requirements and Procedures
   • Overview of safety and health procedures: COGR Good Practices Principle, via SRA [requires user name and PIN!]
   • Sample university policy: Univ. of California
4. Hazardous and Nonhazardous Materials
5. Security
   • Sample university policy: Univ. of California
6. Renovation and Construction - Differentiation & Impact Analysis
7. Biohazards
   • Overview: COGR Good Practices Principle, via SRA [requires user name and PIN!]
8. Other

B. Contracts and Purchasing

• Overview of procurement: COGR Good Practices Principle, via SRA [requires user name and PIN!]

1. Basic Legal Concepts
   • Overview of U.S. contract law: Legal Information Institute, Cornell Univ. Law School
   • Title 41 U.S. Code, Public Contracts: Legal Information Institute, Cornell Univ. Law School
2. Management of Contracts and Purchasing
   • a. General
     • Sample university policy: Univ. of California
   • b. Consulting Agreements
     • Sample university policy: Penn State
3. Termination and Appeals
   • Discussion of contract term, termination, & extension issues: ARL/Cause/Educom Coalition for Networked Information
   • Appeal procedures under HHS awards: DHHS Web Server
   • Appeal procedures under GSA contracts: "Doing Business with GSA" Booklet

C. Records Management

• Overview: COGR Good Practices Principle, via SRA [requires user name and PIN!]
• Sample university policy: Univ. of California

D. Human Resource Management

• Overview: COGR Good Practices Principle, via SRA [requires user name and PIN!]

1. Employee/Labor Relations
   • Exploring the definition of an employee: Data Transfer Group's Nelson on Labor Law
2. Career Development/Training
   • Sample Training Software for Project Management/Tracking: Stanford
3. Staffing
   • Sample university policy: New Mexico State University
4. Affirmative Action/Equal Employment Opportunity
   • Employment discrimination law materials: Legal Information Institute, Cornell Univ. Law School
   • Sample university policy: Univ. of California