The following is an overview of a project management session given at the NCURA Region VI and VII Meeting in Seattle, WA by presenters Rashonda Harris, Director of Post-award Operations, Emory University and Derick Jones, Program Manager, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center.

At the Proposal Stage

It all beings when the Principal Investigator (PI) has an idea. Unit-level Research Administrators can assist with identifying an appropriate funding opportunity, timelines, budgets, justifications, sponsor portals, internal systems, IRB/IACUC protocols, sub-recipients, cost-share, Conflict of Interest/Commitment, F&A split, Export Controls, international travel, other required forms. Things to take into consideration include:

• Intellectual Property should be negotiated during the pre-award phase
• Risk analysis of sub-recipient(s) – if you think your sub might be high-risk (small business or foreign entity) contact your OSP
• Consider special circumstances for administrative and clerical support
• Ask, “Is the proposed work allowable at your specific institution?”
• Begin with the end in mind – be thinking about close-out as you are creating the proposal. Will there be equipment? If so, who will own this equipment after close-out? If the equipment needs to be shipped to another location, have those charges been included in the budget? Will a shipping license be required?
• Keep the lines of communication open between the PI and the central sponsored programs office

At Award Time

Once negotiations have completed, review and understand the Notice of Award and the Terms & Conditions approved by OSP. Review the award to determine:

• Has the budget been cut from what was proposed and can the scope of work be altered to match the dollars?
• Do we need to purchase equipment or establish Professional Services contracts?
• Will there be foreign collaborators or E-Verify registration required?
• What happens if the PI has left the institution? Do we transfer this award or create a subaward to the PI’s new institution or is there another PI that can take over the project?
• Is pre-award spending allowable and can the department assume the liability for any expenditures occurring before the award start date?
• Do we have the necessary OSHA and Safety Regulations in place to ensure a safe lab environment?
• Have all necessary accounts (cost-share, cost of education, Work In Progress) been set up?
• Have all regulatory compliance protocols (IRB, IACUC, IBS) been approved?

During the Project

It is important to keep in communication with the PI and with central OSP as the project proceeds. If a multi-year project, ensure the budget is being spent appropriately and in a timely fashion. Assist the PI with forecasting if need be. Additionally, consider:

• What might need sponsor pre-approval?
• Sub-recipient monitoring – Are they spending their money appropriately and in a timely manner? Are they providing all relevant data, invoices, and reports? If the PI has signed off on an invoice, s/he is verifying that the backup was sufficient. A PI can always stop payment on a sub’s invoices.
• Account monitoring and management – Are milestones being met, is reporting complete and on-time, is spending occurring in an appropriate and timely manner, and are all purchases allowable and consistent with the Statement of Work (SOW)?
• Is there a need for supplements, re-budgeting, changes in the scope of work, changes in PI, or a no-cost extension of time? Work through the OSP to seek sponsor approvals as required.

At Project Close-out

• Be wary of equipment and materials/supplies purchases in the last few months of the project period – this shouldn’t happen if activities are being monitored and moving along during the research project
• Ensure that all equipment has been properly accounted for, and returned if specified in the proposal or award terms and conditions
• Assist the PI as needed with providing the sponsor (and the central OSP) any final reports, including invention disclosures

In summary, a Research Administrator can provide project management advice to help a PI “begin with the end in mind.” This allows the PI and the Department to be proactive in ensuring a project has what it needs to meet all requirements and to avoid unnecessary risk in conducting sponsored research.