Transcript Sponsored Programs Administration Training

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
Sponsored Program Administration
Organizational Model - Management Level
Associate Vice President
for Sponsored Program
Administration
James D. Barbret
Information
F. Berger
M. Burns
J. McBride
Administrative Support
Deletta Vernier
Rosalind Stokely
Technology
M. Duncan
R. Sadasivan
R. Wright
Student Support
1 student assistant
Director
Pre-Award Services
Director
Post-Award Service
Director
Institutional Support/Costing
Carole Bach
Gail Ryan
Marlene Erno
Sponsored Program Administration
Organizational Model - Pre-Award Unit
Director
Pre-Award Services
Carole Bach
Administrative Support
Amanda Reese
(FAB Location)
New Position - Vacant
(Scott Hall Location)
Student Support
3 student assistants
Senior Grant Officer
Senior Grant Officer
Senior Grant Officer
Senior Grant Officer
Mike Anderson
Sheila Bowen
April Spraggins
New Position - Vacant
Senior Grant Officer
Senior Grant Officer
Senior Grant Officer
Senior Grant Officer
Steve Baggett
Tamara Heaton-Bauer
Denise Reid
Karen WatkinsHollowell
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
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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

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Cost incurred solely for purposes of the grant
Expense is clearly identified with the project
Conformance
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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
components
Manage each piece individually
Allow 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:
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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 property
 Fixed Asset/Property

Award Life Cycle for Dept
Complete the project
Submit non-financial progress reports
Monitor budget activities
Timely Personnel charges
 Setting 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 Components
What 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 project
Can use named and unnamed
individuals
Identify role for each individual – PI,
Research Asst. etc
Identify level of effort for each individual
Any 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 project
Identify 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
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=(% Effort for academic year x 9 + % effort for summer
month x # summer months)/12
Calculation
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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 room
Will there be any need to modify/renovate
any of this space?
Will there be any work completed at offcampus 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 Budget
Step 1 – Review Sponsor/Program
Guidelines
What restrictions are invoked?
 Any cost sharing requirement?
 Ask SPA
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Step 2 – Finalize Personnel Component
Is there a salary cap? Current salary cap for
NIH is $180,100
 Convert effort to dollars
 Apply applicable fringe benefit rates for staff
 Add amounts for any consultants
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Developing the Budget
Step 3 – Finalize Subcontract Component
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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
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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 Budget
Step 5 – Finalize Equipment
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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
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Tangible Property
Supplies for labs, equipment less than $5,000
Step 7 – Patient Care Costs
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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 Costs
Other services
 Unique project needs
 Non-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 subsistence
 Considered other costs

Developing the Budget
Step 10 – Training Costs for Training
Grants Only
Tuition and Stipends for trainees
 Stipends set by grantor
 Institutional allowances – used for travel and
other allowable costs, i.e. health insurance
 Not 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
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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
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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
requesting
Should relate back to the work outlined
in the technical proposal
Make sure justification matches budget
as related to % effort, itemization of
costs
At 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
Research
50.5%*
Instructional
50.5% *
Other
40.0%*
Clinical Trials
*based on Modified Total Direct Costs
off-campus
26%*
26%*
26%*
26%*
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 Costs
Rate Application
Indirect Cost Rates can be set by
Program Activity
Normally, Federal pays full load for
Research
Normally, State and local government
pay reduced rates
Normally, industry should pay full load
Normally, foundations pay reduced rate
Indirect Costs
Waivers 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 Costs
The 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%
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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
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INDIRECT WAIVERS
In the waiver situation; We will follow
Executive Order 86-2:
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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 Issues
Internal Review Board (IRB)
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For Human and Animal Research Protocols
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HIC (Human Investigation Committee)
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AIC (Animal Investigation Committee)
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4 IRBS, 2 – Medicine, 1- Pediatric, 1- Behavioral
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 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
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, 2000
Mandated for all Key Personnel on NIH
Awards
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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
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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)
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Certification of Training
Certification of Training only needs to be
done on Non Competing Application if a
key personnel changes or is added
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The 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.
2.
3.
4.
5.
6.
History & Background of Ethics in Animal
Subject Research
Maintaining Public Trust
Federal Regulations and Regulatory and
Accreditation Agencies
Roles and Responsibilities of Players in the
Research Process
The Process of Using Animals in Research
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
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AIC approvals are good for 3 years
 HIC approvals are good for 1 year
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Completing The FES
Form for External Support
Summarizes the data for ease in review
Completes certifications by PI and other key
personnel
Make sure compliance issues have been
addressed in the areas of:
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Conflict of interest
HIC/AIC Approval
•Compliance training
Identifies cost sharing commitments
Provides for endorsement of department (s) /
colleges (s)
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/training
Clinical Trials – Proposals/Awards associated with
investigational components of drug discovery utilizing
human subjects; does not include activity prior to the
introduction of humans subjects
Other 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
proposal
 you agree to supply resources as noted
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As dean:
you support the PI in these efforts;
 you agree to supply resources as noted
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Completing The FES
What resources did I agree to?
As chair/dean:
Any cost sharing (dollars) resources
 Space to complete tasks
 Any required renovation to space
 Any other “noted” commitment
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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 SPA
Can be a bottleneck if the award is not sent to
us directly
Simple grant document – award from NIH
Complex contract – work with industry
Review 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 process
Do we have detail budget that matches?
Do we have all the pieces we need?
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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