Transcript Document

CALS New Chair Orientation
Grants & Contracts
Carol Hillmer
Assistant Dean
CALS Research Division
October 7, 2004
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Research and Sponsored
Programs (RSP)
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The Office of Research and Sponsored
Programs (RSP) promotes and facilitates
research, education, and outreach missions of
the University of Wisconsin-Madison by
supporting and administering extramurally
sponsored programs.
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RSP continued
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Kim Moreland, Director, RSP
“NEW”
Diane Barrett, Assistant Director, Pre-Award Services
Robert Andresen, Assistant Director, Post-Award
Services
Team Two (Pre-Award): Stephanie Gray (Team
Leader), Daniel Olson, and David Ngo
Post-Award: Federal and Non-Federal
Directory: http://www.rsp.wisc.edu/html/directory.html
Website: http://www.rsp.wisc.edu/index.html
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CALS Research Division
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Responsible for providing oversight, guidance,
review, and interpretation of all College proposals,
agreements, contracts, awards, etc.
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Works closely and Departments/Centers/PIs and RSP
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Directory: http://www.cals.wisc.edu/research/directory.html
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Staffing/Responsibilities
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Departments/Centers
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We need your help:
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Review/knowledge of the science
Review/approval of the submissions
Emphasis on responsible grant and contract
management
Encouragement to submit in advance
Realization that actions of one could impact the
entire University
Communications with our office
Ask – we’re part of your Team too
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Research Division Website
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http://www.cals.wisc.edu/research/index.html
Accreditation
ARS
Animal Use
Budget Building
CRIS
Compliance
Definitions
Forms
Development
Hatch, McIntire-Stennis, Animal Health, Multi-State
“How To”
Human Subjects
Indirect Costs
Opportunities
Policies/Procedures Training
WDGF
Please encourage use of the website.
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Responsibilities
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RSP is delegated signature authority
(authorized official) by the Board of Regents
for proposals, agreements, contracts, etc.
related to extramural support activities of the
University
Principle Investigators may not sign on-behalf
of the Board of Regents
Principle Investigators may not submit
proposals, agreements, etc. without full
campus approval
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Responsibilities continued
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All proposals (pre- and full), agreements,
contracts, letters of intent, obligations, etc.
must route from Principle Investigator to
Department/Center to College to RSP for full
approval before submission
CALS Research Division will not approve
requests that are unclear, inaccurate, or
incomplete
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Responsibilities continued
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Principal Investigator is responsible and
accountable to the grantee for the proper
conduct of the project or activity
Authorized official (RSP) is held responsible
by the sponsor to assure that the institution
will meet the obligations
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Responsibilities continued
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Each of us is a representative of the UW,
accountable to the State of Wisconsin, and
ultimately responsible for assuring efforts of
good stewardship
Key to successful submissions and award
management is COMMUNICATIONS and
TIMELINESS – keep Departments/Centers,
College, and RSP in the loop
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Responsibilities continued
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Applications are submitted by the
University of Wisconsin-Madison on
behalf of the Principal Investigator
Going around the system only creates
problems, complications, and delays
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Timeline recommendations
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Start in advance (well in advance) of
submission deadlines
Notify CALS Research Division of
upcoming submissions
Submit paperwork for initial review at
least a week in advance of submission
deadline
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Who to contact
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Carol Hillmer [email protected]
Proposals to NIH, USAID, commodity boards
Agreements, contracts, task orders, cooperative
agreements, memorandums, gifts-in-kind,
Post-award issues
Jody Bleck [email protected]
Proposals to USDA, NSF, NASA, DOE, DOD, EPA,
and most other federal and non-federal agencies
Unrestricted gifts
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Transmittal Form
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Campus Extramural Support Transmittal Form
http://www.rsp.wisc.edu/forms/tform2003-2.pdf
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The Extramural Support Transmittal Form is
an internal campus routing form used to
expedite review and to request approval of
project proposals and agreements between
the University and sponsoring entities.
PI must sign
Chair/Chair designee must sign
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PALS
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RSP’s Pre-Award Login System
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Proposals are logged in when received at RSP
Actions/status information is accessible via
https://www.rsp.wisc.edu/services/admin/pals/c_slookup.cfm
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Query by PI Name, UDDS, Agency, etc.
Departments will eventually be involved
through transmittal entry which will capture
data and allow for tracking from
Department/Center issuance to College to RSP
to Sponsor
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Information Searches
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Other search tools:
http://www.cals.wisc.edu/research/infosearches.html
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Award search
Regent action search
Proposal search
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Links
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Search our website
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Personnel Issues
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Principal Investigator (anyone showing effort)
must be payrolled OR cost shared on federal
grants – effort must be shown and the level
must be reasonable
Principal Investigator is responsible and
accountable to the grantee for the proper
conduct of the project or activity and for
overall award management
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Personnel Issues continued
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Administrative/Clerical support salaries are
normally not allowable costs on grants – they
are a component of our Indirect Cost Rate
(F&A)
Cost Sharing
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Mandatory versus Voluntary
Must be documentable
Personnel Activity Reports
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Effort cannot exceed 100%
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Budget Building
Completely review solicitation and
agency/sponsor guidelines regarding
allowable budget items
 Work with Carol or Jody prior to submission
 Be aware of Cost Principles and Cost
Accounting Standards – see OMB:
A-21 – http://www.cals.wisc.edu/research/meanings.html
A-110 – http://www.cals.wisc.edu/research/meanings.html
 Training session will be scheduled
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Indirect Costs (F&A)
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Costs that are incurred by a grantee for
common or joint objectives and that,
therefore, cannot be identified specifically
with a particular project or program. These
costs were previously known as "indirect
costs," and, in most instances, will be referred
to in this document as "F&A costs."
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http://www.cals.wisc.edu/research/indirects.html
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Waivers are NOT granted
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Agreements
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Material Transfer Agreement (MTA)
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Incoming
Outgoing – UBMTA
Confidentiality Disclosure Agreement (CDA)
Memorandum of Understanding/ Agreement
(MOU/MOA)
Standard Research Agreement (SRA)
http://www.rsp.wisc.edu/html/standardra.html
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Agreements continued
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Training Agreements
Product Evaluation, Testing, Data Use, Loan,
Etc.
Facilities Use Agreements – contact Dave
Hogg
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Gifts
A gift is a gift is a gift is a gift …
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General/unrestricted support for broadly defined
activities
Fiscal/technical reports are not required
All rights to patents, copyrights, or other
intellectual property reside with the University
No stipulations in regarding to publication/
dissemination of data/information
No time limit on the expenditure of funds
Irrevocable
UW-Madison vs Foundation vs Trust
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Awards
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Awards are accepted by the University of
Wisconsin-Madison and assigned to a
Principal Investigator
Terms and conditions may need to be
negotiated and must be fully accepted
prior to an award number being issued
Protocol approvals must be approved prior
to an award number being issued
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Account Numbers in Advance
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When approved, Departments/Centers
are responsible for incurred costs when
an award is not received
90 day pre-spending is not allowable by
all agencies/sponsors
Some awards are effective upon date of
last signature
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Awards continued
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Research, work, trials, etc. may not
begin until the award has been
accepted
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Grant versus Fee for Service
Negotiations take time when no
standard language is involved – intent is
to protect the UW and the PI
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Financial Issues
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Cost principles and Cost accounting standards
see OMB circulars:
A-21 –
http://www.cals.wisc.edu/research/meanings.html
A-110 –
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http://www.cals.wisc.edu/research/meanings.html
Disallowances occur and are the responsibility
of the Department/Center
Terms and conditions
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Financial Issues continued
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Unallowable expenditures:
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Administrative & clerical salaries
Local telephone service
Office supplies
Postage
Dues & memberships
Subscriptions, books, & periodicals
General purpose equipment (i.e., computers, copy
machines, etc.)
General computer services, networking costs, &
other DoIT services
Staff recruitment & relocation
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Financial Issues continued
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Do not payroll individuals on awards on which
they are not associated/working
 Payrolling on a grant account as a “holding
place” until a new award or continuation
funding is received is not allowable
 Establish advance accounts or utilize
unrestricted funding (i.e., 101s, 133 gifts,
etc.)
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Financial Issues continued
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Special invoicing terms/conditions
Departments/Centers do NOT have
delegated authority to issue invoices
Special reporting terms/details
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Gifts-in-Kind
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Gifts-in-Kind (non-monetary gifts)
require formal acceptance by the Board
of Regents
http://www.rsp.wisc.edu/html/giftinkind.html
Route transmittal form through
Department/Center, College, and RSP for
review and approval
Attach letter from donor
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Equipment Loans
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Risk Management has a property
program which manages equipment
located at off-campus facilities or
loaned to another institution
For information refer to their website:
http://www.bussvc.wisc.edu/risk_mgt/property_program.html
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For form to authorize equipment loans:
http://www.bussvc.wisc.edu/acct/propcont/propform.html
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Helpful Websites
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CALS Research Division
http://www.cals.wisc.edu/research
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Research & Sponsored Programs
http://www.rsp.wisc.edu
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Questions???
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How can we help?
What can we clarify?
Need us to meet with departments,
centers, individuals?
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