the office of grant and contract administration functions and workflow of the office of grant &...

The Office of Grant and Contract Administration

Functions and Workflow of the Office of Grant &

Contract Administration

Presentation to the Research Council 11/3/06

2The Office of Grant and Contract Administration

Mission of OGCA

OGCA is dedicated to faculty service in the identification of funding sources, proposal development and submission, and the administration of awards through project closeout. OGCA maintains an open-door philosophy. Since OGCA is both a service-oriented office and a clearinghouse for assuring adherence to University- and sponsor-imposed standards and policies, staff must carefully balance these roles.


Organization Chart

OGCA Organizational Chart with names 3-05

Office of Grant & Contract Administration

Organization Chart As of October 2006

(proposals) Clerk IV

Admin. Asst. I Margo Zobka Clerk IV- awards Marguerite Gargiulo (awards

Clerk III-awards Mary Wilson

Clerk III-props Kathy Griffin.

Clerk III-props. Leasa Brown

Typist II-reception Andy Steinberg

Clerk II-reproduction Leslie Burke

Student Courier

Director Carol Sprague

Director of Systems Div. Leanne Every

Pre Award Research Administrator (proposals) Marcia Day

Database Manager Wayne Gelineau

Systems Analyst Dan Harper

Grant/Contract Administrator (awards) Theresa Girardi

Associate Director Jennifer Donais

Grant/Contract Administrator (awards) Andrew Coté

Pre-Award Research Administrator (proposals) Jenn Dier

Grant/Contract Administrator (awards) Nancy Stewart

Proposal Development Administrator Kimberley Broderick Pre-Award Research Admin. (proposals) John Fillio

Pre-Award Research Administrator (proposals) To Be Named

Pre-Award Research Administrator (proposals) To Be Named


Pre-award Staff Job Responsibilities Pre award staff are responsible for keeping apprised of sponsor policies, procedures

and changes affecting proposal development and submission Learning and providing assistance to faculty in all of the various electronic

submission systems and their unique requirements Proposal development assistance to the PIs Proposal review Coordination of proposal to review committees for compliance issues (IRB, IACUC,

biohazards, rDNA, etc.) Subcontractor documentation Coordination of submission process Revised budget and budget impact statement review Just In Time (JIT) request coordination with sponsoring agencies Pre-award desk audit request coordination with sponsoring agencies Participation in training events Participation in web tool development Membership and occasional travel to professional society meetings (Society of

Research Administrators (SRA) or National Council of Research Administrators (NCURA)


Proposal Flow Chart

PI works with OGCA for identification of funding

sources and other proposal development

questions

PI completes proposaland routes the proposal

and IPF through therequired signature

process

Proposal logged in at OGCA reception desk,

checked for completeness, initial data entryinto database.

Provide PI with receipt & OGCA #

Proposal Clerk for file preparation, data entry of staff

assignment, proposallocation and recording

of due date

Pre-award Research Admin. for guideline

review/interpretation, proposal review,corrections, and

setting up for submissionand signature process

Proposal Clerk forcorrections,

cover letter generation,mailing label or

preparation for electronicsubmission

Director for finalapproval & signature

and/or electronic submissionto sponsoring agency

Reprographics Clerk xerox, packaging and

mailing hard copy submission. Internal Distribution Copies.

Data entry for Proposal submission log

Proposal Clerk for Data verification/changes

follow up Correspondence and

IPF signatures

Filing cabinet toawait sponsor reply


Governing Rules for Proposal Process

Trustee Policy T94-034 (Appendix ) University Policies i.e. personnel, conflict of interest, travel,

cost accounting for administrative costs and cost sharing, equipment fabrication, PI/Co-PI Policy, etc.

OMB A-21 http://www.whitehouse.gov/omb/circulars/a021/a021.html

Specific sponsor guidelines, RFP Terms


What does OGCA Review?

Review of proposal guidelines to insure proposal compliance. Determine if the RFP or proposal guidelines contain terms and conditions that must be addressed at proposal stage. Evaluate whether the proposal is hard copy submission, electronic submission or both. Determine if there are any special budget restrictions or cost share requirements.

Technical review for commitments on behalf of other individuals/institutions and whether we have appropriate documentation, compliance issues (i.e. animal care, human subjects, bio-hazardous materials, recombinant DNA), commitments beyond the end of the proposal period, cost share not identified in the budget, conflict of interest situations or nepotism issues, space/facilities concerns

Budget Review: Are costs reasonable, allowable (per UMass policy, OMB A-21 and the sponsors specific guidelines) and allocable to the project? Have appropriate salary and fringe benefit rates been applied, is the % of effort reasonable, have reasonable COLA’s been factored in, is the appropriate indirect cost rate used, does the budget add up, is there a proper budget justification in place, is there cost share and is it required, appropriate, within the same period of the proposal performance period, and allowable? Is there a subcontract and do we have the subcontractor’s, statement of work, budget, institutional sign off and all certifications as required by the sponsor?

Determine if the proposal is complete and in compliance with the sponsor guidelines.

Verify that the IPF reflects the correct due date, sponsor address, compliance fields filled in correctly, all Co-PI’s identified and signed off as appropriate, verify that the space committed in the proposal is approved, review specifically the answers to conflict of interest and lobbying to make sure that all disclosures are made.

Review of system requirements and proposal procedures of all electronic submission portals

Determine what certifications if any must accompany the proposal


How Does OGCA Ensure That Deadlines Are Met? Through the OGCA staff-developed Jordan database, our

programmer has developed many tools to assist OGCA’s staff in monitoring workflow and file management/movement. Deadline lists are uploaded on all staff computers every day upon initial log in. (See next page for a sample deadline list.) In addition to the deadline list, a “hotsheet” is also generated daily to keep track, in real time, of where a deadline proposal is in the process.


Sample Deadline Report


Sample Hotsheet


Grant & Contract Administrator Responsibilities (Post award)

Pre-establishment of accounts Knowledge of University policies, State Law, OMB A-110 and sponsor policies which affect the

negotiation and acceptability of terms and conditions to the University of Massachusetts Award review and negotiation of terms and conditions Initiation of MOU process, Principal Investigator Award Agreement, other required award

documentation Preparation of award budget and project characteristics for data entry into Jordan/GAMS system for

“pull through” to Peoplesoft Preparation of the award package for Director’s acceptance and signature Liaison with the Controller’s Office accountants Post award actions such as no cost extensions of time and re-budgeting requests requiring sponsor

approval Participation in large Center administration with departmental staff Coordination of final reporting requirements (technical, patent, financial, property) Membership and occasional travel to professional society meetings [Society of Research

Administrators (SRA) or National Council of Research Administrators (NCURA)] Assistance with web tool design Assistance with training programs


Award Flow Chart

Award received by OGCA

Receptionist identifiesfile award is associated with and logs (“cybers”)it to appropriate G&C

Administrator

Award to reprographic/mail clerk

for pulling file and distributing mail and file

to G&C Admin.

G&C Admin. conductsinitial review of award

(amount, period, budget)& prepares for GAMS

Entry; determines docs/required (MOU, PIAA, etc)

Award Clerk for PI notification, form

requests, data entry intoJordan/GAMS, file prep.

for submission to the Controller’s office

G&C Admin. final negotiation & contractmark up. Verification

of information on forms for the Controller’s Office

Director for awardacceptance & signature.

On-line approval ofGAMS award for “pull thru”

to PeopleSoft

Award clerk for final“Red Folder” set up

For Controller’s Office

Student Courier fordelivery to Controller’s

Office for accountNumber generation

(“speedtype”)

Award clerk receivesred folder back with acct.#. Data entry and dataverification in Jordan

Reprographics clerkfor file organization

& hard filing intofinal public record

document

Filing cabinet ORto G&C Admin.

for subcontract issuanceas appropriate


Governing Rules For Awards

Trustee Policy T94-034 (Appendix ) University Policies State Law Sponsor Policies OMB A-110 for Federal Funded Projects FAR and DFAR for DOD funded projects Code of Federal Regulations for other Federal

awards Agreement Terms and Conditions


Terms OGCA Negotiates

IP terms in coordination with Commercial Ventures-Intellectual Property (CVIP)

Reporting schedules Publication Publicity Payment terms Governing law Indemnification Confidentiality clauses Personnel related terms Termination Ownership of research results Etc.


Reports and Electronic Reporting Aides

Monthly Cumulative Report of Sponsored Activities Annual Report of Sponsored Activities JOL – Jordan-On-Line – an online reporting system to allow

academic and administrative offices to generate reports with regards to sponsored project activities

Proposal and Award Status – allows faculty and any PI assigned contact to check the status of their proposal or award on line.


Training

GAMS training Grants.gov training Business manager training in areas of need Community of Science Registration and use for

funding opportunity searches Will be participating in a new brown bag lunch

series starting in January on various topics we hope will help faculty and their support staff

the office of grant and contract administration functions and workflow of the office of grant &...

Documents

proposal compliance

proposal period

proposal location

proposal stage

review of proposal guidelines

proposal performance

ogca review

submission learning