Transcript Office of Research ARRA Statistics and Systems

INTRODUCTION TO
RESEARCH ADMINISTRATION
Office of Sponsored Programs
and Research
November xx, 2013
Intro to
Research
Administration
What Is a Sponsored Project?
Adapted from Univ of Pittsburgh
A sponsored project is any research, scholarly or public service
activity proposed by University faculty, staff or students and
funded by an external source. The entity providing the funds
is the sponsor. Sponsored projects have a specific scope of
work, a time frame and a project budget.
 Sponsored projects usually require financial and/or
scientific/milestone progress reports.
 Sponsored project agreements may impose terms that
require legal liability.
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Team Members
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Dr. Rebecca Bullard –Dillard, School of Graduate Studies and Research
Nancy Riggs, Grant Development Coordinator
George Gillespie, IRB, Compliance, technology transfer, compliance/training
coordinator-e.g. conflict of interest
Penny Locklear, Grants and Contract Accounting, Post Award
Cliff Sharpe , Graduate Assistant
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The Office of Sponsored
Research and Programs
has a responsibility to the PI, University and the
sponsor to make sure the project is conducted in
accordance with all applicable regulations.
Sometimes that puts us in the middle of some
sticky situations as we try to balance everyone’s
needs.
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Core Service #1:
Information Services
• Links to searchable funding databases are on OSRP
web site
• Dissemination of information on funding sources and
programs, agency policies, and other research- and
sponsored project-related topics.
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Status of Sponsored Programs
• 25 Research Awards in place FY 13
• Federal, Foundation and State Agencies
• $3.2M in Awards
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Core Service #2:
Project and Proposal
Development Assistance
• Provide resource materials and
workshops on grants and contracts
administration.
• Give advice and guidance on proposal
preparation if requested.
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Core Service #3:
Grants and Contracts Administration
• Provide clarification of sponsors' proposal guidelines
and university requirements for sponsored funding.
• Review grant proposals for accuracy of institutional
information and allowability of budget components
and rates such as fringe benefits and indirect costs.
• Provide final pre-submission proposal review,
compliance verification, and institutional signature by
OSRP. Neither PI nor department chair can sign on
behalf of the institution.
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Core Service #3:
Grants and Contracts Administration
• Negotiation and acceptance of grant and contract
awards.
• Consult with other functional administrative
offices, such as Cost Accounting, Technology
Transfer (OSRP) and General Counsel, Intellectual
Property Administration (non-disclosure, patents)
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What is a Sponsored Project?
• Sponsored projects are awarded to the UNCP,
not to the Principal Investigator or University
department.
– Compliance issues are important.
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Type of Sponsors
• Federal Agencies
• Other Government Agencies
• Commercial/Corporate Philanthropic
Organizations
• National foundations (Ford, Kellogg, Robert
Wood Johnson); Local: Brady Foundation
• Voluntary Health Organizations are
organizations that are disease or advocacyrelated (American Cancer Society, Lupus
Foundation, March of Dimes, National Cystic
Fibrosis, American Heart Association)
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Award Mechanisms
• Grant
• Contract
• Cooperative Agreement
• Subaward
• Gift
• Other types
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Proposal Review and
Submission Process
Team effort among department
administrator, PI and OSRP
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Preparing a Grant Application
• Read the sponsor’s guidelines. The
guidelines will tell you everything you
need to know about the preparation of
the proposal: required forms, format,
type size, etc.
• If the proposal will be submitted
electronically, download the application
package and instructions.
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Parts of Proposal
 Budget and budget justification
 Abstract
 Narrative (done by PI)
 Subaward documents if applicable
 Completed face/cover page
 Checklist page if applicable
 Any other documents required by sponsor that OSRP
needs to review and/or sign
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Deadlines
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Compliance
For the conduct of research at the University,
compliance involves adherence to a system of
policies and regulations that prescribe standards
for the use of federal grant money, and impose
penalties or sanctions for any misbehaviors or
non-compliance.
_PRIOR PERMISSION FROM OSRP
Sponsor
Do This
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Compliance—Financial Conflict of
Interest
– PI and other key personal certify/disclose any
conflict of interest as their obligation. May
need to be managed as conflict
– Strict limitations on definition of “significant
financial interest” and amount of outside
income
– Contact OSRP prior to contacting Program
Officer so we can document changes in scope,
personnel, budget category of where funds
come from
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Compliance—Use of Animals
and Humans
• Federal regulations govern the use of
human subjects, animal use, use of
hazardous materials, radiation safety
and human stem cell research.
• Involves principles of informed consent
for humans
• Assures minimization of animal pain and
distress in experimental procedures
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Compliance—Use of Animals
and Humans (cont.)
• Assures institutional & employee health
and safety
• Must have prior approval from
appropriate University committee before
beginning the research but approvals can
be pending at time of proposal
submission
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Compliance (cont.)
Use of human subjects requires approval from
• Institutional Review Board (IRB)
• IRB approvals need to be updated every year
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Negotiation of Award Terms
Sometimes terms of award must be
negotiated prior to acceptance of the
award. These negotiations are done by
OSRP on behalf of the University. We may
need to consult PI, department
administrator, Office of General Counsel
and other central offices during this
process. PI should not negotiate these
terms.
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Award Receipt and
Administration
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Award Receipt and
Administration
Congratulations. Your research has been funded.
Now what?
• Celebrate!
• You will be contacted by our activation team as
to what is needed to activate project
• Send requested paperwork to OSRP. Account
activation checklist on our web site:
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Award Receipt and
Administration (cont.)
Grant Accounting is responsible for
monitoring post-award expenditures,
invoicing and financial compliance.
However, OSRP is responsible for some
administrative functions while the project
is ongoing.
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Award Receipt and
Administration (cont.)
A subaward is a legally binding agreement with another
institution for that institution to perform a substantive
portion of the research plan. A subaward involves
collaboration and intellectual contribution from
personnel at subaward site. A subaward agreement is
written under the authority and is consistent with terms
of prime award. Subawards can’t be made to individuals.
OSPR authorizes issuance of subawards.
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Award Receipt and
Administration (cont.)
Progress Reports/Multi-year awards:
• Often require a technical progress report and/or a
budget report before the next year’s funding is issued
• Submit to OSRP a form, budget for the new year,
sponsor forms that require an institutional signature
• Can be paper or electronic depending on sponsor’s
requirement—internal deadlines apply
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Award Receipt and
Administration (cont.)
No-cost extensions (NCEs)
Extends period of performance past original termination
date without additional funds
• Can be granted internally or externally, depending on
sponsor’s requirements
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Award Receipt and
Administration (cont.)
Project termination and closeout:
• OSPR and/or Grants Accounting may need to
sign certain documents, i.e. final technical
report, final expenditure report, final invention
report, relinquishing statement and
equipment/asset inventory statement. Terms
of award will state what is needed for closeout.
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Need More Information?
Office of Sponsored Research Research
and Programs web site
http://www.uncp.edu/osrp
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Questions?
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