grants and contracts: who, what, when, where, why, how… louise nuttle, ph.d. director, sponsored...

Grants and Contracts:Grants and Contracts:Who, What, When, Where, Why, Who, What, When, Where, Why, How…How…

Louise Nuttle, Ph.D.Louise Nuttle, Ph.D.

Director, Sponsored ProgramsDirector, Sponsored Programs

Donna Szabo, J.D.Donna Szabo, J.D.

Associate Director for Contract ManagementAssociate Director for Contract Management

What, Where…What, Where…

Office of Research and SponsoredOffice of Research and SponsoredPrograms Administration Programs Administration

(aka (aka ORSPAORSPA))

Ada Earnest HouseAda Earnest House

http://www.etsu.edu/research/orspa.htmPhone: 9-6000Phone: 9-6000

Fax: 9-6050Fax: 9-6050Email: Email: [email protected]

Who…Who…

Louise NuttleLouise NuttleDirectorDirector9-60499-6049

Donna SzaboDonna SzaboAssoc DirectorAssoc DirectorContract ManagementContract Management9-60459-6045

Mary JamesMary JamesGrants and ContractsGrants and ContractsSpecialistSpecialist9-60489-6048

Cynthia HardinCynthia HardinAssoc DirectorAssoc Director

Sponsored ProgramsSponsored Programs

9-60519-6051

Carole ThomasonCarole ThomasonIT CoordinatorIT Coordinator

9-60599-6059

Joanna SimmonsJoanna SimmonsInformation Research Information Research TechnicianTechnician 9-60529-6052

To promote and support scholarly activities...by administering external support for research, instruction, and service programs, and providing professional development opportunities for faculty, staff and students.

MissionMission

What…

Sponsored programs are any projects supported by extramural funds received by the University as a result of some formal communication such as a letter, application, or written proposal signed and submitted by an authorized University official.

What…What…

GrantsGrants andand ContractsContracts

What…What…

Grant...Grant... A grant is an award of funds or A grant is an award of funds or

property, based on an approved property, based on an approved budget or formula,. budget or formula,.

Ideas originate from and are defined Ideas originate from and are defined by the applicant. by the applicant.

Generally, the scope of work Generally, the scope of work supported by a grant is more flexible supported by a grant is more flexible than that supported by a contract.than that supported by a contract.

What…What…

Contract...Contract...

A contract is a formal, legal agreement A contract is a formal, legal agreement between two or more parties. between two or more parties.

Contracts between universities and other Contracts between universities and other parties are generally agreements to parties are generally agreements to perform a service or deliver products or perform a service or deliver products or goods within a specified period of time for goods within a specified period of time for an agreed-to price. an agreed-to price.

Scope and deliverables are set by sponsor.Scope and deliverables are set by sponsor.

What (not)…

Gifts...Gifts... Donor specifies the general program or research Donor specifies the general program or research

the money is given to supportthe money is given to support No defined budget No defined budget No formal reports on how the money was spent or No formal reports on how the money was spent or

the research the money supported.the research the money supported.

The Chief Development Officer is authorized by the President to accept gifts on behalf of the University, subject to review and confirmation by

the President.

Other “Whats”…Other “Whats”…

Compliance:Compliance: Adherence to the rules Adherence to the rules and regulations set forth by the…and regulations set forth by the…

Compliance...Compliance...

Human Subject ProtectionHuman Subject Protection Animal Care and UseAnimal Care and Use Radiation SafetyRadiation Safety BiosafetyBiosafety Conflict of InterestConflict of Interest Export ControlsExport Controls Intellectual Property ProtectionIntellectual Property Protection

When…

Basically, when you find yourself involved in:

A grant proposal (including consortium proposals, i.e. subawards)

A sponsored agreement (contract) or a research agreement (e.g. MTA, Confidentiality Agreement)

An amendment, revision, extension, rebudget of an existing sponsored program

Why...Why...

All awards - grant or contract - are All awards - grant or contract - are made to the Universitymade to the University,, notnot to the to the PI, to the department, or to the PI, to the department, or to the college.college.

HOW????

Proposal Routing and Submission

Contract Routing and Execution

Post-Award Modifications

Proposal

Grant Contract

Concept

Proposal Development

Project Management / Closeout

Institutional Review / Approval

Submission

Award

Sponsor Identification

The Proposal Lifecycle:

Concept




Submission

Award



ORSPA

• COS

• Foundation Directory Online

• Listserves and Auto-Alerts

• ORSPA Website

Contact:Carole Thomason

Concept




Submission

Award



ORSPA

• Sponsor Guidelines and Forms

• Budget Development

• Inter-Institutional Consortia

Contact:Cynthia HardinMary James

Concept




Submission

Award



ORSPA

• Internal Routing Form

• Indirect Cost Reduction Req

• Conflict of Interest

• Principal Investigator

• Department

• College

• ORSPA

• (VP and/or President)

• IRB

• UACAC

• Biosafety Committee

• Radiation Safety Contact:Mary JamesJoanna Simmons

The Internal Routing Form

PI

Dept Chair

Dean*

ORSPA

Sponsor

* Usually includes finance office review

(directly or via PI)

Proposal Routing:

Concept




Submission

Award



ORSPA

• Grants.gov

• NSF FastLane

• Inter-Institutional ApplicationsORSPA

• “Just-In-Time” information

• Budget Negotiations

Contact:Louise Nuttle


Concept




Submission

Award



ORSPA

• Proposal Tracking

• Account Request

• Compliance Review

Contact:Mary James

Concept


Project Management /

Closeout


Submission

Award



ORSPA

• Rebudgeting

• No-Cost Extensions

• Amendments

• Subaward agreements

• Change in PI or other Key

Personnel

Contact:Louise NuttleCynthia HardinDonna Szabo

Post-Award RequestsPost-Award Requests

Request to RebudgetRequest to Rebudget Request for No-Cost ExtensionRequest for No-Cost Extension Request for Subaward AgreementRequest for Subaward Agreement Request to Change PIRequest to Change PI

Proposal

Grant Contract


Review and Negotiation of

Terms

Business Plan

The Contract Lifecycle:

Technical Plan

Compliance Review/Approval

Internal Routing and Approval

CONTRACT

Budget Review

Execution



Terms

Business Plan


Technical Plan



CONTRACT

Budget Review

Execution

Contact:Donna Szabo



Terms

Business Plan


Technical Plan



CONTRACT

Budget Review

Execution




Terms

Business Plan


Technical Plan



CONTRACT

Budget Review

Execution

** Internal Routing Form

PI

Dept Chair

Dean *

ORSPA

Sponsor * Usually involves

finance office review

Routing Sponsored and other Research-Related Agreements:

Questions???

grants and contracts: who, what, when, where, why, how… louise nuttle, ph.d. director, sponsored...

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