sponsored programs administration pre- award training october, 2005

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


Mike Anderson


Steve Baggett


Karen Watkins-Hollowell


New Position - Vacant


April Spraggins

Sponsored Program AdministrationOrganizational Model - Pre-Award Unit

Student Support

3 student assistants


Denise Reid


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


Agency Info

Administrative Info



Budget



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


Agency Info

Administrative Info



Budget




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


Agency Info

Administrative Info



Budget



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

sponsored programs administration pre- award training october, 2005

Documents

awards slide

passion of researcher

award presenters

proposal process

organizational policies

line of support

grant expense

larger proposal