sponsored programs administration pre- award training october, 2005
TRANSCRIPT
Sponsored Programs Administration Pre- Award Training
October, 2005
Why are we here?
Learn more about what goes on the grant admin world
Get some tips and tools on how better to do our jobs
Understand who I need to work with at SPA, when and how
Specific Tasks
How do we manage the proposal process?
How do I find a sponsor?
How should we construct our budgets?
What do I need to do once we receive an award?
The SPA Office
Organizational chart
Realignment of resources
Director for Pre-Award Services – Carole Bach
Director of Research Admin – Marlene Erno (Institutional Support) and Gail Ryan (Operations)
Other Presenters
Vance Briceland, Information Officer
Gail Ryan, Director of Post-Award Services and friends
Post Award Presenters
Associate Vice Presidentfor Sponsored Program
Administration
James D. Barbret
Administrative Support
Deletta VernierRosalind Stokely
Sponsored Program AdministrationOrganizational Model - Management Level
DirectorPost-Award Service
Gail Ryan
DirectorInstitutional Support/Costing
Marlene Erno
DirectorPre-Award Services
Carole Bach
Information TechnologyF. Berger M. DuncanM. Burns R. SadasivanJ. McBride R. Wright
Student Support
1 student assistant
DirectorPre-Award Services
Carole Bach
Administrative Support
Amanda Reese(FAB Location)
New Position - Vacant(Scott Hall Location)
Senior Grant Officer
Tamara Heaton-Bauer
Senior Grant Officer
Mike Anderson
Senior Grant Officer
Steve Baggett
Senior Grant Officer
Karen Watkins-Hollowell
Senior Grant Officer
New Position - Vacant
Senior Grant Officer
April Spraggins
Sponsored Program AdministrationOrganizational Model - Pre-Award Unit
Student Support
3 student assistants
Senior Grant Officer
Denise Reid
Senior Grant Officer
Sheila Bowen
What is SPA’s mission?
Ensure consistency, reasonableness, allocability and compliance with institutional and agency policies Protect integrity of institution in its management of sponsored programs Provide the fiduciary review and management (Stewardship) of sponsor’s funds
Definitions
Reasonableness Nature of goods or services acquired reflect the
action that a prudent person would have taken under the same exact circumstances
The expense is necessary for the grant’s performance, the recipient followed organizational policies
Acted with due prudence in carrying out their responsibilities
Definitions
Allocability Cost incurred solely for purposes of the grant Expense is clearly identified with the project
Conformance Reasonable and Necessary In conformance with limitations/exclusions
Consistency Treated in the same manner across all proposals
and awards
What is College/Dept’s role?
Proper Budgeting Development and Management
Adhere and ensure compliance with unit’s policies
Provide day-to-day management of sponsor funds
Provide first line of support and communication to faculty and program staff
The Grant Life Cycle
From when faculty has idea until the final report has been submitted … and, then some
Extremely variable in timeframe, process, requirements
Need to pay attention at all stages
Where do ideas come from?
The “When I was a child …” model
The “I had a family member …” model
The “I had a college professor …” model
Why is this important? – The passion of researcher
Find the money!
There are many sources for money
Identifying the right match(es) for their work
Role of Vance Briceland – Information Officer
Sponsor Missions
Governmental Sponsors exist to fulfill legislated or mandated goals
Foundation fund projects which support initiative identified in their charters
Not-for Profits support special purposes, e.g American Cancer Society, etc
When do we submit?
RFP’s, RFA’s and Program announcements
Regular scheduled cycles – NIH, foundations, organizations
As part of larger proposal – “we, the subcontractor”
Proposals with no deadlines
Pre-Proposals
How long does it take to build a proposal?
Should the question be “how long should it take?”Break proposal into manageable componentsManage each piece individuallyAllow time for adequate reviews (internal and external) The answer - ????
Am I in the game?
Acknowledgement from sponsor
Assignment to study section (NIH)
Peer review by sponsor
3 6 9 months
Did I really get an answer? Positive feedback vs. award
The tentative process
Receiving Award
Needs to be handled by SPA Pre-Award
SPA Starts wheels turning
Need to begin communication with college/departments
Need to make sure there is a proposal and it matches the award
Award activation
The award has been accepted by the PI
The award has been accepted by WSU
SPA started the process:Do we have all the “right” pieces Does it need a new index?Established on BANNER
SPA has executed a subcontract
Award Life Cycle for SPA
Monitor the award from budgetary perspective
Pay subcontractor, monitor invoices
Manage revenue: Create invoices Make LOC draws Account receivable follow-up
Track other award conditions – reporting, etc.
More Award Life Cycle for SPA
Financial Close-out:Final invoice or FSR Indirect Cost reconciliation
Other close out activities: Intellectual propertyFixed Asset/Property
Award Life Cycle for Dept
Complete the project
Submit non-financial progress reports
Monitor budget activitiesTimely Personnel chargesSetting up blank orders or PO’s Appropriateness of charges
The Standard Proposal Components
Agency Info
Administrative Info
Personnel and Subcontractors
Facilities and Resources
Budget
Protocols (Human Subjects, Animals)
The Science and Abstract
Agency Information
Who is the sponsor of the work?
Who is the prime sponsor of the work? Is this a subcontract?
Is the proposal in response to an RFP or program announcement?
Who is the Principal Investigator and what role do the play
Administrative ComponentsWhat is title of program? And, in how many characters may I use to create the title?Where does it need to be sent?When is this proposal due?How many copies and in what format?How much $$ can we ask for?What is allowed what isn’t?What type of work is being proposed:
Research Instruction Other Sponsored Activity Student Service Clinical Trials Fellowship
The Standard Proposal Components
Agency Info
Administrative Info
Personnel and Subcontractors
Facilities and Resources
Budget
Protocols (Human Subjects, Animals)
The Science and Abstract
Personnel, Consultants & Subcontractors
Need to identify all WSU employees that will be involved on projectCan use named and unnamed individualsIdentify role for each individual – PI, Research Asst. etcIdentify level of effort for each individualAny intent to cost share any effort? Is there a requirement?
Am I a consultant or employee?
No WSU employee should be noted as a consultant or subcontractor
IRS has specific rules as to who is consultant and who is employee
Do not confuse with the legal mechanism by which we pay to drive role definition
If person controls work arrangement, they are a consultant
Are they a consultant or a subcontractor?
Are they providing a service beyond expertise, creation of item to be analyzed?
Are they supplying their own facilities and resources?
Are they part of an organization that does task as part of their normal business?
If these are true = subcontractor
What do we need from subcontractor?
A proposal – nice but we won’t get one
Statement of work to be included/merged into science
Proposed budget for work they are proposing
Statement of intent to subcontract
Effort Allocations for Personnel
Identify each person’s expected level of effort for projectIdentify the time period for level of effort, be specific to their appointment type For academic appt, break into AY (9 months) and Summer (3 months)For fiscal year appointment, use 12 month period
Calculating Effort
Effort the same over 12 months = % Effort
Effort different for academic year & summer =(% Effort for academic year x 9 + % effort for summer
month x # summer months)/12
Calculation 12 month = % Effort * 12 month salary or 9 month salary
x 1.33 Two line entry for 9 month & Summer
The Standard Proposal Components
Agency Info
Administrative Info
Personnel and Subcontractors
Facilities and Resources
Budget
Protocols (Human Subjects, Animals)
The Science and Abstract
Facilities and Resources
Where will the majority of the work take place? Bldg and roomWill there be any need to modify/renovate any of this space? Will there be any work completed at off-campus facilities? How much? Will there be any specialized WSU facilities or Service Center used to conduct of work? If so, to what extent would they be used?
Developing the BudgetStep 1 – Review Sponsor/Program Guidelines
What restrictions are invoked?Any cost sharing requirement?Ask SPA
Step 2 – Finalize Personnel Component Is there a salary cap? Current salary cap for
NIH is $180,100Convert effort to dollarsApply applicable fringe benefit rates for staffAdd amounts for any consultants
Developing the BudgetStep 3 – Finalize Subcontract Component
Identify direct vs. indirect portions of budget 8% F & A Costs allowed for International subcontractors
on NIH Add total budget for subcontractors as direct costs in
your proposal
Step 4 – Finalize Travel Component Identify any planned trips Identify foreign vs. domestic Estimate cost of each trip, including actual travel,
lodging, meals/per diem, registration Follow WSU Travel Policies
Developing the BudgetStep 5 – Finalize Equipment
What is equipment? $5,000 or more and a useful life of more than 2 years by WSU policy
Does Sponsor have rules?
Step 6 – Supplies Tangible Property Supplies for labs, equipment less than $5,000
Step 7 – Patient Care Costs Inpatient Costs Outpatient costs, some of which get billed to 3rd party
payers, must be Medicare rate for federal government Services able to be purchased with purchase requisition
are not patient care costs
Developing the Budget
Step 8 – Other CostsOther servicesUnique project needsNon-Tangible items needed for the project but
you can’t see, touch or store it.
Step 9 – Participant Costs For training programs outside of WSU courses Travel and subsistenceConsidered other costs
Developing the Budget
Step 10 – Training Costs for Training Grants Only
Tuition and Stipends for traineesStipends set by grantor Institutional allowances – used for travel and
other allowable costs, i.e. health insuranceNot Employees
Cost Sharing on Grants
Whenever we have a legitimate cost for which the sponsor doesn’t pay, we have cost sharing
Cost sharing is a real cost to the University
Therefore, as good business people, we should minimize cost sharing
Cost Sharing on Grants
Cost sharing may be mandated by sponsor/program guidelines
When cost sharing is mandatory, we should be careful to meet, not exceed, the requirement
Construct a full budget, then determine what should be cost shared
Cost Sharing Types
Mandatory – When agency states in their guidelines that the University must contribute funds to the project Cash match – University Expenses 3rd Party – Cost sharing commitment met by
someone else outside the University
Voluntary – When the PI includes items in the budget that are not reimbursed by the grant Salary cap is considered voluntary –These include
NIH’s current salary cap as well as some private agencies that have there own salary caps
Budget Justifications
Justifies WHY they need the funding requestingShould relate back to the work outlined in the technical proposalMake sure justification matches budget as related to % effort, itemization of costsAt the proposal stage: WSU requires the justification required by the agency
Indirect Costs
Really, they aren’t all that bad
Reimbursement for costs unable to be allocated to individual project
Utilities, building/equipment depreciation
Administrative costs – central and department
Indirect Costs(Facilities and Administrative F & A)
Rates are structured by activity and location Current rates:
on-campus off-campus
Research 50.5%* 26%*Instructional 50.5% * 26%*Other 40.0%* 26%*Clinical Trials 26%**based on Modified Total Direct Costs
What is MTDC?
There are certain items that are excluded from Facilities & Administrative charges
They are Rent, equipment, tuition, patient care costs, stipends, scholarships and the amount of the subcontract over $25,000
By subtracting these items from the total direct costs you arrive at Modified Total Direct Costs which is used to calculate F&A amount
Indirect CostsRate Application
Indirect Cost Rates can be set by Program ActivityNormally, Federal pays full load for ResearchNormally, State and local government pay reduced ratesNormally, industry should pay full loadNormally, foundations pay reduced rate
Indirect CostsWaivers vs. Reductions
A sponsor may restrict the level of indirect cost we can recover
When sponsor mandated, this is reduction
Sometimes, we “offer/propose” a reduced rate
This is a waiver
Indirect CostsThe Good Part
A portion of the indirect cost collected is directly returned to the PI, Dept, College
Current rate of return:PI – 7%Dept – 11.5%College – 7.5%
Enforcement of waiver penalty already in place
Indirect Reductions
If Agency only allows a reduced indirect costs, you should increase direct costs by: Including items normally covered by
indirect costs, i.e. secretarial support, office supplies and computer supplies
Acceptable unless written otherwise in Agency Guidelines
INDIRECT WAIVERS
In the waiver situation; We will follow Executive Order 86-2: The General fund piece (54%) and the Research
Facilities Fund piece (7%) and OVPR Operations piece (3%) of the indirect cost will be paid from indirect cost of PI/Department or College
Actually amount will be calculated on actual expenses on a yearly basis or the end of the grant which ever comes first
This will be done by JV from the designated account
The Standard Proposal Components
Agency Info
Administrative Info
Personnel and Subcontractors
Facilities and Resources
Budget
Protocols (Human Subjects, Animals)
The Science and Abstract
Compliance IssuesInternal Review Board (IRB)For Human and Animal Research Protocols
HIC (Human Investigation Committee) 4 IRBS, 2 – Medicine, 1- Pediatric, 1- Behavioral
AIC (Animal Investigation Committee) 1 IRB
Research Protocols – set of documents submitted to one of the IRBs for approval to use either humans or animals in a specific research project
PROTOCOLS
IRB Approval must match the funding agency and the title of the related grant proposal or award
1 project – 1 protocol
1 project – Multiple protocols
Multiple projects – 1 protocol
When to Submit HIC Protocol
Agency DependentPart of “Just in Time Processing” of NIH Grant Application processCan be submitted at any time after the grant application has been submittedRecommendation: At the time that the PI has received a favorable priority score
When to Submit AIC Protocol
Agency Dependent
Part of “Just in Time Processing” of NIH Grant Application process
Can be submitted at any time after the grant application has been submitted
Recommendation: At the time that the PI has received a favorable priority score
Human Research Participants On-Line Training Program
Implemented October 1, 2000Mandated for all Key Personnel on NIH Awards All people listed on page 2 of the application must
complete Key Investigators who do not come in contract
with human participants still must complete the training program
HIC training is now mandated for all investigators and key personnel prior to IRB approval is granted
On-Line Training Program
Mandatory Modules Basics of Research History & Ethical Foundation of Biomedical
Research Compliance with WSU Continuum of Approval Obtaining Informed consent Roles and Responsibilities
Web site: www.hic.wayne.edu
On-Line Training Program
Each Module can be taken individually
After Each person has completed the mandatory modules, they receive an email from the Office of the Vice President about completing the training program
SPA can verify that the training is complete via the database
Certification of Training
NIH requires a Certification of Training on all new awards for all key personnel If a key personnel is international or does
not work for a University in the United States they must take the WSU training
If a key personnel is at another University in the US; we must have documentation that the training was completed at the other institution (this is submitted to NIH)
Certification of Training
Certification of Training only needs to be done on Non Competing Application if a key personnel changes or is addedThe documentation needs are the same
Certification requires a Pre-Award Signature and must be submitted before NIH will make the award
AIC Training
Effective January 1, 2003 all investigators and key personnel on AIC protocols must take the AIC on-line training course before protocol approval is given
There is no sponsor mandate at this time to document the training
AIC Training Modules
1. History & Background of Ethics in Animal Subject Research
2. Maintaining Public Trust3. Federal Regulations and Regulatory and
Accreditation Agencies4. Roles and Responsibilities of Players in the
Research Process5. The Process of Using Animals in Research6. The Continuum of Approval
IRB and Account Numbers
In order to get an account number established the following must be correct: If applicable, the HIC Training must been
completed by all KEY personnel IRB approval must be approved and valid
AIC approvals are good for 3 yearsHIC approvals are good for 1 year
Completing The FES
Summarizes the data for ease in reviewCompletes certifications by PI and other key personnelMake sure compliance issues have been addressed in the areas of:
Conflict of interest •Compliance training HIC/AIC Approval
Identifies cost sharing commitmentsProvides for endorsement of department (s) / colleges (s)
Form for External Support
Activity Types
Research – Proposals/Awards associated with investigation, analysis and discover ; the nature of which is scientific mechanical or similar
Student Services – Proposals/Awards associated with support of special student programs, i.e. Upward Bound
Instruction – Proposals/Awards associated with instructional and degree activities of the institution; includes development as well as delivery of course information; includes training activities of health professionals
Activity Types
Fellowship – Proposals/Awards associated with the awarding of funds to named individuals to further their professional education/trainingClinical Trials – Proposals/Awards associated with investigational components of drug discovery utilizing human subjects; does not include activity prior to the introduction of humans subjectsOther Sponsored Activity – Proposals/Awards associated with activities not falling under other categories; 1)conferences, symposia and workshops; 2)preservation/maintenance of collection or archives; 3) individual travel awards; and 4) general support to the university
Completing The FES
What did I agree to?As chair:
you support the PI in these efforts;you acknowledge the scientific merit of the
proposalyou agree to supply resources as noted
As dean: you support the PI in these efforts;you agree to supply resources as noted
Completing The FES
What resources did I agree to?
As chair/dean:Any cost sharing (dollars) resourcesSpace to complete tasksAny required renovation to space Any other “noted” commitment
Completing The FES
Signatures of all parties
Co-PI’s and associated chair and deans
SPA back to PI for submission
Copy and Submit
Make appropriate copies
Get package ready …..
Is it US Mail or shipper?
Submit!!
The submission process
What, Where, When and How
What – are the requirements for Institutional Approval
Where – mailing address vs. shipping (FedEx) address
When – is there a deadline? 3:00 at sponsor’s office; postmark vs. receipt
How – Electronic vs. hard copy, how many copies
Award Acceptance
Always Handled by SPACan be a bottleneck if the award is not sent to us directlySimple grant document – award from NIHComplex contract – work with industryReview of terms and conditions to ensure compliance with institutional policies
Signatures – PI, institutional official
Negotiating Awards
Handled by SPA
Informal vs. formal
Budget changes/modifications
Date changes
Work with PI to refine scope (if necessary)
Do we ever reject?
Who Signs?
Grants vs. contracts
Institutional Official – SPA Pre-Award Director or AVP
Financial Official – SPA Post Award Director or AVP
Maybe PI
Award Acceptance
Standard Terms and Conditions
Publication Rights
Title to Inventions
Indemnification
Insurance
Is the agreement acceptable?
Award Acceptance
When does Pre become Post?Somewhere in the acceptance processDo we have detail budget that matches?Do we have all the pieces we need? FES A copy of the proposal sent to the agency Detail budget justification IRB Approval
Internal Tentative
The tentative process
If award is pending, but no document received – FAR Form Required
If award is pending, but we have received Award document – Internal Tentative
What is the real potential of the award?
What is the risk to WSU?
To determine the proper tentative see attached documents