Strategy: Strengthen research at all levels by facilitating the application for and management of grants of all sizes across disciplines

Point People: Barry Klein and Neal Van Alfen

Narrative Summary of Implementation Efforts:

Facilitation of the application for and management of contracts and grants of all sizes across disciplines continues to remain a high priority for the campus.  Research funding has surpassed half a billion dollars for the second year in a row.  For FY 2005-06 awards exceeded $543 million.  To support this momentum, there have been a number of significant new developments on campus, supporting research at all levels. 

To meet the increasing needs of the growing UC Davis’s research enterprise, the Office of Research consolidated locations of its administrative units at the Davis campus to 1850 Research Park Drive, Davis.  When space became available at this site, the decision was made to bring together services to better leverage the effectiveness of operations.  This move unites services provided by Vice Chancellor’s office, Sponsored Programs, and the Interdisciplinary Research Support (IRS) unit with those of the Technology and Industry Alliances unit already located in this building.

The Interdisciplinary Research Support unit has become a significant campus resource.  This year, IRS-assisted proposals were awarded $34 million from various funding agencies.  The Office of Research led the national effort in creating the Laboratory ManagementTM Institute, the first comprehensive laboratory leadership and management institute of its kind. The Limited Submissions process has been re-engineered to maximize the number of opportunities for submissions and generate the most competitive proposals. This past year, over 225 research funding opportunity announcements were made. Office of Research in conjunction with the School of Medicine established a clinical trials assessment committee to promote and facilitate clinical trials.

Advances and Ongoing Programs Consistent with Strategy:

• A two-day workshop on proposal development targeted to Humanities and Social Sciences, jointly sponsored by the Office of the Vice Provost–Academic Personnel and Office of Research.
• The proposal tracking module, the first phase of the Electronic Research Administration (ERA) system, has been implemented. 
• Development of a campus-wide Research Administration certificate series program 
• A Research Administration Breakfast Club meets monthly as an open forum meeting for anyone on campus involved in research administration.
• A comprehensive staff training program has been designed and will be developed in FY 2006-07.  Programs, including support for the Certified Research Administrator exam, will be offered.
• NCURA (National Council of University Research Administrators) Research Video Workshops, sponsored by the Office of Research and Accounting and Financial Services.
• The Technology and Industry Alliances (TIA) unit, headed by Associate Vice Chancellor Alan Bennett, formed in the summer of 2005, has undergone an Administrative Unit Review (Chaired by Dean Lavernia).  The AUR report was very supportive of the TIA efforts so far and has offered some constructive suggestions on how to improve operations.  With the AUR in hand, we are currently doing an internal self-assessment to improve TIA operations and services.
• Establishment of efficiency and effectiveness measures for deciding when to patent new technologies — creation of technology marketing team and qualifying process for Record of Inventions (ROIs) enabling efficient use of resources.
• Development of electronic roadmap for start-up companies for faculty that delineates policy and guidelines for new ventures involving faculty members and UC Davis technology.
• Boilerplate agreement for Industry Affiliates Program.
• Master agreements established with a number of companies, including Genentech.
• Monthly meetings between Sponsored Programs and Technology Transfer Services staff to promote coordination and collaboration on industry research agreements and material transfer agreements.
• Move of the contract and grant function formally handled by Business Contracts to Sponsored Programs (SP) and consolidation of University Extension awards processing into SPO was completed in 2005-06.  Ed Caswell–Chen and Deborah McCook became voluntary/adjunct members of the SP staff and are included in training activities.
• Weekly staff training sessions in SP.
• Each SP staff member now belongs to a professional association and attends annual external meetings.
• A University Research Compliance Task Force established.
• The Responsible Conduct of Research (RCR) programs are being developed for students, staff, and faculty.
• The Laboratory Management Institute (LMI) is being offered to postdoctoral scholars and, through UNEX, to the public.
• The Interdisciplinary Research Support (IRS), under the leadership of Dr. Billy Sanders has become a significant campus resource that is in high demand, providing faculty with the needed and desired support for the preparation of major grant/contract applications.  This year IRS-assisted proposals were awarded $34 million from various funding agencies.
• Comprehensive list of UC Davis centers and institutes and other research units is available on the Office of Research website (http://www.research.ucdavis.edu).
• Over the past year, the Office of Research worked closely with the Academic Senate concerning an ORU policy revision.  With significant input and help from former Chair Dan Simmons, we were able to agree on an “interim working policy” regarding the criteria to be used concerning new ORU proposals and ORU evaluation during their formative years.  The Office of Research will be working closely with the new Academic Senate Chair and the Senate Committee on Research to finalize the revision on the entire ORU policy.
  

Short Statement of Plans for 2006-07: 

• Provide additional avenues for faculty to develop inter- and multi-disciplinary research endeavors to promote campus research strengths and expertise.
• Implement a comprehensive research compliance and integrity program with an emphasis on faculty and laboratory management training in the successful research operation within the University of California, state and federal regulations.
• Expand the electronic research administration by including the Program Development module/system with continuous faculty and staff training and timed roll-out of the module.
• Increase the development of partnerships between the campus research community and industry, national laboratories, academia, foundations, and local, state and federal agencies.
• Hire an Office of Research Training Officer and develop a career ladder for department research administrators.

Evaluation of Metrics:

In addition to the existing Strategic Plan metrics, other new metrics will be used:

• Increase in the number of material transfer agreements processed by the Technology Transfer Services and increased efficiency of review and approval of MTA’s.
• Development of cost/benefit ratio analysis for decision-making in patenting technologies.
• Reduction of the time-frame for negotiation of privately-funded research support, especially in the area of clinical trials.

Existing metrics: 

• Increase in the number of applications and awards for single- and multi-investigator grants.
• Responsiveness to user feedback surveys and improvement in areas where needed (e.g., rapid internal processing of proposals, proactive search for and timely dissemination of information about funding opportunities, improved responsiveness to limited submission funding opportunities).
• Mobilization of the expertise and experience of senior faculty to mentor new investigators.
• Development of training opportunities to facilitate more effective fiscal management of grants