orientation to research faculty faculty orientation to research september 16, 2011 johnson hall 102...

Orientation to ResearchFaculty

Faculty Orientation to Research

September 16, 2011Johnson Hall 102

University of Washington


WELCOME

Mary Lidstrom, PhDVice Provost for Research

Jungers Professor of Chemical EngineeringProfessor of Microbiology


UW FACULTY & POST DOCS

• 2nd annual faculty orientation• 851 new faculty & post docs in 2009-2010

– Transfers from other institutions– First faculty position– Training for a career in science &

scholarly activities


WORLD LEADERS IN RESEARCH

At the UW, innovation and discovery have come naturally to us for the past 150 years. We are

part of a remarkably progressive, open-minded culture that will continue to shape the way the

rest of the world thinks and works.


WE ARE:

• World leaders in research

• One of the most successful public research university in the nation in attracting support for our research

• Innovative & collaborative

• Impacting our community, nation and the world


UW OF THE 21st CENTURY• 2Y2D – Two Years to Two Decades Initiative• Our shared future depends on choices we

make today. • If we manage change rather than letting

change manage us, the UW will emerge from the current economic crisis strong and well-positioned for the future.

• Driven by our strategic priorities: quality, mission, solving society’s biggest problems


WHAT WILL THE FUTURE LOOK LIKE?

More competitive, collaborative, technology-reliant, nimble, and diversified.


HOW DO WE GET THERE?• Sustainable Academic Business Plan

– Align our activities with our strategic priorities

– Position the UW for the future• Long-term goals

– Sustain, Compete, Transform• Near-term goals

– Decrease costs– Increase revenues– Invest in people– Invest in infrastructure


ROLE OF RESEARCH• UW highly competitive for external

research funds: $1.5B last year• Supports both graduate and

undergraduate students in experiential learning

• Major economic driver for the state• Enables high-level discovery that

contributes to our knowledge base and our reputationKEY TO OUR COMPETITIVENESS


WE ARE HERE TO HELP

• Offices presenting today are part of the central oversight and support for your research enterprise.

• We will work with you to ensure your projects meet sponsor requirements, state & federal law, and UW policy.


CENTRAL RESEARCH SUPPORT • Preparing and submitting proposals

– Office of Sponsored Programs (OSP)– Approval support offices

• Human Subjects Division (HSD)• Office of Animal Welfare (OAW)• Environmental Health & Safety (EH&S)• Clinical Research Budgeting and Billing (CRBB)• Office of Research –Significant Financial Interest (COI)

• Obtaining and managing awards– Office of Sponsored Programs (OSP)– Grant and Contract Accounting (GCA)

• Commercialization– Center for Commercialization (C4C)


TODAY’S SPEAKERS

• Office of Sponsored Programs - Lynne Chronister

• Grant & Contract Accounting - Tami Sadusky• Office of Research Information Services - Patti

McClure


RESOURCES AVAILABLE• A resource table is location in the lobby.

Please collect materials you feel can assist you in creating successful research projects.

• This PowerPoint deck and video webcast will be posted on the OSP website next week.

• Evaluation form – please tell us how we did!


OFFICE OF SPONSORED PROGRAMS (OSP)

Lynne Chronister, Assistant Vice Provost for Research & Director OSP


SUCCESSFUL ACQUISITION & MANAGEMENT OF GRANTS REQUIRES MANY PARTNERS

• Individual faculty, and their departmental and Dean’s office support staff

• Office of Research – all components• Grant and Contract Accounting• Management Accounting & Analysis• Human Resources• Purchasing• Facilities Management• Environmental Health & Safety• Animal Welfare


OSP MISSION The Office of Sponsored Programs, a unit in

the Office of Research, supports and advises the entire academic community in reviewing and submitting proposals for externally funded sponsored projects and collaborations.

We review, negotiate, approve, and provide

administrative oversight related to proposals and establishment of awards on behalf of the University of Washington in accordance with all applicable policies, and regulations.


OSP RESPONSIBILITIESHow Do We Support You?

• Review and approve proposals• Submit electronic proposals• Negotiate and sign awards and subcontracts• Liaison with sponsor for award life• Coordinate close-out of awards• Implement Grant & Contract policies

(financial, legal, and regulatory)• Provide customer support to UW faculty and

staff


OSP STRUCTUREEach unit on campus assigned to Team A,

Team B or Team C (also reviews all clinical trials).

Subcontracts Team manages all outgoing subcontracts and required reporting

Team Structure: – Administrator– Grant & Contract Coordinator– Program Coordinator

Business Sections• Face Page• List of Personnel• Biosketches• Budget• Budget Justification• Checklist• Required Additional Information

Scope of Work• Description of the Research• (The Science)

Final Version by Day – 7

Draft Version by Day – 7

Final Version by Day - 3


PROPOSAL BUSINESS PROCESS

1. Identify sponsor & complete application. Hints: read & follow instructions, contact your OSP admin if you have questions

2. Fill in SAGE eGC1, attach application & route for

internal approvals3. Review & approve by OSP

OSP will work with PI & Dept to ensure the best application can be submitted to the sponsor

4. Submit application per sponsor instructionso Application is submitted by OSP/PIo Via electronic, paper, web formats


AWARD BUSINESS PROCESS

• Sponsor may notify PI or OSP that application is fundable or PI/OSP may need to search award data bases.

• Award documents arrive

• OSP negotiates & accepts award (exceptions)

• OSP creates eFA and sends to GCA


• Advanced Budgets (if allowed by sponsor)

• Modification to an award (PI, dates, re-budgeting, etc.) must be processed by OSP and may require sponsor approval

• No-Cost Extensions• Sub-Awards are made through OSP

ADMINISTRATIVE BUSINESS PROCESS


SPONSORED PROGRAMPOLICY

GIMs (Grant Information Memoranda)• Provide policy and guidance on submitting and

managing awards

• Linked from the OSP Home page

• Currently “Under Construction”


• Contact your OSP Administrator early in the process with questions.

• What does the PI sign?Nothing that will create liability or

commitment

• What does OSP sign?Anything that commits the institution

OSP HINTS


Facilities and Administrative (F&A) Rates

Location Dates Negotiated Rates

On-campus FY 2010 - 2012FY 2013 – 2014

54% 54.5%

Off-campus FY 2010 - 2014 26%

South Lake Union

FY 2010FY 2011FY 2012FY 2013FY 2014

66% 68% 72% 73%74%

Regional Primate Center

FY 2010 - 2014 42% (A)/78% (A+B)/

83% (A+B+C)Applied Physics Lab FY 2010 - 2014 17%Other Sponsored Activity

FY 2010 – 2014 33.8% (on-campus)26% (off-campus)

Vessel FY 2010 - 2014 25% (S&W)

Instruction FY 2010 - 2014 53.0% (on-campus)26% (off-campus)


• Grants Information Memoranda (GIM)• OSP Web Page • Researcher’s Guide

• Monthly Research Administration Meetings (MRAM)o Subscribe to List Serve - get meeting announcements & email

updateso MRAM Web siteo Monthly in-person updates to campus

OSP RESOURCES


GRANT AND CONTRACT ACCOUNTING Division of Research Accounting & Analysis within Finance & Facilities

Tami Sadusky, Executive DirectorGrant and Contract Accounting / Equipment Inventory Office


Finance & FacilitiesRESEARCH ACCOUNTING

& ANALYSIS (RAA)RAA Mission: We help people who change the world


GCA RESPONSIBILITIESWhat do we do?

• Set up grant and contract budgets in the University’s Financial Accounting System (FAS)

• Prepare and submit required invoices and financial reports to sponsoring agencies

• Manage grant and contract cash transactions and payments

• Provide oversight and guidance on compliance issues• Coordinate financial close-out of budgets• Work with Internal Audit on all grant related audits• Provide customer support to UW faculty and staff


GCA Structure• ‘Streams’ of Fiscal Analysts handle core

processes:– Budget set up – Invoicing– Reporting – Closing

• Cash Team handles grant related cash transactions and applications

• Grant Analysts handle all campus communication including outreach and training

• Complex Grant Analysts handle complex grants and contracts


POST AWARD PROCESS

Academic Dept/Office of Sponsored Programs

Proposal & Award Process

Assignment of Budget Numbers

Receipt and processing of eFA (Electronic Funding Action)

Active Grant PeriodExpenditure Allowability Payment

requests to sponsorsInterim Fiscal Reporting

Closing

Fiscal ReportingAudits

External to Grant and Contract Accounting


SPONSORED PROJECT LIFECYCLESteps Responsible PartyIdentify funding PIPrepare proposal PI & Department StaffReview and submit proposal PI & Office of Sponsored

Program (OSP)Negotiate and accept award OSPSet up budget Grant & Contract Accounting (GCA)Perform work PI Financial management PI, Department Staff, GCATechnical reporting PI Monitor activity PI & Department StaffInvoice and collect payments GCA Monitor accounts receivable GCA & Department StaffClose-out award PI, Department Staff, GCA & OSP


THE BUDGET• Provides the framework for financial

compliance• GCA creates a budget number for an award to

accumulate costs associated with the project.• The budget is allocated in the financial

accounting system (FAS):– Direct costs– Facilities and Administration (F&A or

indirect costs)


DIRECT COSTS

Costs that can be specifically identified to the work performed under a sponsored project and which may be directly charged to those agreements.

- Salaries, Wages, and Fringe Benefits

- Supplies and Materials- Equipment


FACILITIES & ADMINISTRATION COSTS

Cost that cannot be specifically identified to a sponsored project are normally considered administrative costs,

infrastructure costs or costs that benefit multiple projects

– Administrative and Clerical salaries– Basic local phone service– Office supplies– Routine copying charges


POLICIES Federal, State, University & Sponsor

Award Terms

Departmental Policies

University Policies & Procedures

Sponsor Policies

Federal Policies and Governmental Law

Accounting & Financial

Policies

NIH - GPS

A-21, A-110,FARs

Learn How to Apply the Policies


PI / DEPARTMENT RESPONSIBILITIES

• Assistance in grant and contract reporting/closings

• Separation of (high risk) duties, such as payroll or petty cash

• Deficit resolution• Program Income• Cost Sharing/Faculty Effort Reporting• Unexpended balances• Records retention• Faculty Effort Certifications (FECs)• Address problems related to fiscal

activities promptly


HINTS• Take a proactive approach to grant

management• It’s critical that all parties work together• Adhere to University, State, Federal and

Sponsor policies and regulations• Establish proper financial accountability

structure• Ensure proper financial management with

attention to data integrity


GCA RESOURCES• GCA Web Page

http://f2.washington.edu/fm/gca/

• GCA email/phone:[email protected] 206-616-9995

• Grant Trackerhttp://www.washington.edu/research/gca/budget/

granttracker.html • Researcher’s Guide http://www.washington.edu/research/guide/index.php • Monthly Research Administration Meetings

(MRAM)http://f2.washington.edu/fm/gca/mram • Grants Information Memoranda (GIMs)http://www.washington.edu/research/?page=osppolicy


Office of research information services (ORIS)

Patti McClure – Training & Communications Manager


ORIS MISSIONFacilitate your success as researchers by-•Automating processes to reduce the burden of administrative work•Proactively guiding you through required compliance activities


What IT Research Services does ORIS currently provide?


System to Administer Grants ElectronicallySAGE

Use SAGE to: • Prepare, submit, and track your grant

proposals• Route your eGC1 to the appropriate

parties for online review and approval • Build your budget using a worksheet

customized to comply with Research and UW Accounting Rules


www.sage.uw.edu


www.research.uw.edu


Enterprise Data & ReportingGoal: Provide you with access to business intelligence for strategic planning and assessment.

Current State: •Integrating research data into the Enterprise Data Warehouse (EDW) •Working to promote data management and governance


Compliance InitiativesGoal: Implement system solutions to support your work on compliance related activities.

Current State:Actively engaging w/ all compliance and administrative offices (EH&S, OAW, HSD, OSP, and GCA) to assess needs and identify where we can automate and integrate processes


ORIS VISION

Deliver personalized, integrated system for researchers to manage research administration and compliance activities throughout the lifecycle of a sponsored project.


CONTACTS & QUESTIONS

• Email: [email protected]• Telephone: 685-8335• Questions?


Research Brown bag series

Lynne Chronister, Assistant Vice Provost for Research & Director OSP


OVERVIEWTrack I – ComplianceTrack II – Building Your Research

Program• Provide ongoing learning opportunities

throughout the year• Comprehensive, practical information• Opt-In to those sessions that interest you• Format based on feedback from last year’s

faculty orientation workshop, FCR, & RC&I


Track I - COMPLIANCE1. Office of Animal Welfare2. Environmental Health & Safety3. Financial Conflict of Interest and Outside

Work Review4. Faculty Effort Certification, Cost Share and

Financial Compliance5. Human Subjects Division6. Export Control, Data Security and Dual Use7. Subcontracts and Internal Audit


Track II – BUILD YOUR RESEARCH

PROGRAM1. Basic Grantsmanship and Proposal

Development2. Corporate & Foundation Relations and

Working with Industry3. Budgeting Demystified4. Building your Research Program, Data

Sharing, and Centers & Institutes5. Gifts, Grants and Contracts, and Record

RetentionCon’t.


Track II – BUILD YOUR RESEARCH

PROGRAM6. FDA Approvals, IND, IDE and Clinical

Trials7. Interdisciplinary Research and eScience8. Translational and Transformative

Research9. Technology Transfer/Center for

Commercialization


ATTENDANCE OPTIONS• In Person – we strongly encourage you to

register• Live Webcast – from your office, home or

laptop – watch the brown bag session and send in questions electronically

• Archived Webcast – watch a recording of the brown bag session from the web. Sessions will be posted the week following the session.


SPEAKERS• Managers and Directors• Faculty Members• Subject Matter Experts


WEBSITE• For a list of brown bag sessions,

instructors and dates, see the Faculty Brown Bag Sessions for Research webpage

• Contact for Questions:– Gretchen Davis-Richey

• [email protected]• 206-616-7289 (voice)


Research integrity conferenceEthical Considerations in Research Collaborations


THANK YOU

orientation to research faculty faculty orientation to research september 16, 2011 johnson hall 102...

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