Transcript Slide 1

CALS Research Division
New Faculty Orientation
Session II
October 27, 2008
Wisconsin Ag Experiment
Station and Formula Funding
Wisconsin Agricultural Experiment
Station/Formula Grant Information
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Formula Grant Call for Proposals:
http://www.cals.wisc.edu/research/waes/applying.html?0?Cp5
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Formula Grant Policies and Procedures:
http://www.cals.wisc.edu/research/waes/management.html?0?Cp5
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CRIS Reporting:
http://www.cals.wisc.edu/research/waes/cris.html?0?Cp5
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Multistate Information (NIMSS):
http://www.cals.wisc.edu/research/waes/about.html?4?Cp5
Wisconsin Agricultural Experiment State
(WAES)/Formula Grant Contacts
Angie Seitler, [email protected], 1-1432
 Operational/Policy Development, Financial, Implementation,
Oversight, Approval, Multistate
Jennifer Pang, [email protected], 0-2249
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Post-award/Financial
Casey Hillmer, [email protected], 2-2397
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CRIS Set-up/Annual Reports and Formula Grant Application
Submission
Cheryl Deering, [email protected], 2-2536
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Compliance
Introduction to
Research Administration
CALS Research Division Mission
The Division:
 facilitates research
 strives to help Investigators meet compliance
regulations
 fosters the ethical stewardship of research
funds and sponsor expectations
 has administrative responsibility for all aspects
of extramural research support within CALS
We Are Here to HELP You
CALS Research Division website:
 www.cals.wisc.edu/research
Who Should I Contact:
 All Staff Directory
 Proposal Development
 Other Functions
Roles and Responsibilities
Research and Sponsored Programs (RSP) –
promotes and facilitates research, education,
and outreach missions of the UW by
supporting and administering extramurally
sponsored programs.
CALS Research Division – responsible for
oversight, guidance, review, and interpretation
of all College proposals, agreements,
contracts, awards, etc.
Roles and Responsibilities
PIs:
 Conduct of research
 Budget/award management
 Effort reporting
 Regulatory compliance
 Technical reporting
 Invention disclosures
 Project closure
Roles and Responsibilities
PIs need to:
 Know the terms/conditions of award and
applicable University/State policies
 Determine allocability, allowability,
reasonableness, and applicability of costs
 Authorize accounts to be charged
 Provide written justifications (and associated
documentation) to initiate transactions
Roles and Responsibilities
PIs need to:
 Review and approve subcontractor
performance and invoices
 Notify appropriate entities of changes
 Review and approve financial status of project
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But, most importantly, know who to contact
for help
Important Reminders
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Applications are submitted by the UW on
behalf of the PI
Awards are accepted by the UW and assigned
to a PI
RSP is delegated signature authority
(authorized official) by the Board of Regents
for proposals, agreements, contracts, etc.
related to extramural support activities.
Principle Investigators (PIs) may not sign on
behalf of the Board of Regents.
Important Reminders
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Authorized official is held responsible by the
sponsor to assure that the institution will meet
the obligations
PIs are responsible and accountable to the
grantee for the proper conduct of the project or
activity (birth to death).
Each of us is a representative of the UW,
accountable to the State of Wisconsin, and
ultimately responsible for assuring efforts of
good stewardship
Tips for a Successful Submission
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Start in advance
see Lead Time guidelines
Notify Division of plans to submit
Work closely with Division staff
Submit to Division for initial review “at least a
week in advance” of submission deadline
Keep Division informed
Don’t hesitate to ask questions
Don’t hesitate to let us know how we can help
Tips for a Successful Submission
Submissions cannot proceed without full review
and approval. All proposals (pre- and full),
agreements, contracts, letters of intent with
obligations, etc. must route from PI to
Department/Center to College to RSP for full
review and approval before submission.
See CALS guidelines regarding applications
submitted outside CALS/UW channels.
Where Should You Begin?
Best recommendation:
Schedule a session with Division staff to talk
about procedures, discuss your needs, answer
your questions …
We Are Here to HELP You!
Finding Funding
Laurel Norris
[email protected]
0-1677
Finding Funding
CALS Resources:
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eCALS
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Research Division Funding Opportunities
UW Graduate School:
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Research Funding
Research and Sponsored Programs:
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Funding Resources
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IRIS – Illinois Research Information Service
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SPIN – Sponsored Projects Information Network
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COS – Community of Science
National Search Engines:
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grants.gov
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GrantsNet
WISPER
Julene Gaspard
[email protected]
0-2590
WISconsin Proposal Electronic
Routing (WISPER)
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Web-based system to route and manage proposal
submissions
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Virtually all proposals for funding must go through
WISPER
WISPER is NOT a system from which to create or submit
proposals
Log in:
 www.cals.wisc.edu/research > WISPER Quick
Link on right
 www.rsp.wisc.edu/wisper
Using WISPER
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Sign In > UW WISPER > My WISPER
 Inbox, Approvals, Records for Which I am PI
Create Records
 Add a deadline. If it is not absolute, let CALS know
 Use the Comments tab and General tab to include clear
instructions and critical information
PI Signature
 You sign the record and complete the compliance
Attachments
 Budget
 Budget Narrative
 Scope of Work
 Request for Proposals
Budget Building
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Resources for Budget Building
Personnel – Titles and Fringe rates
Subcontract vs. Procurement from a Vendor
What to look for in the RFP:
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Indirect costs: Sponsor’s policy must be written and
applied consistently
Matching/Cost Share – Call CALS
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Required vs. Voluntary
Other funding policies and restrictions
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Equipment, Tuition remission
WISPER Approvals vs. Routing
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Approval Requests allow others to view the record,
you remain the owner
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Send approval requests to Department Chair &
Administrator
Send approval requests to CALS for budget review,
advance account set up, other
Routing the record moves it out of your inbox into
another person’s inbox
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Route the record to CALS Research Division – Anytime –
The sooner, the better
WISPER Resources
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Your Department Administrator
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CALS Research Division: http://www.cals.wisc.edu/research/
 Preaward contacts:
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Julene Gaspard, 0-2590, [email protected]
Meredith Luschen, 1-1500, [email protected]
Becky Bound, 5-8443, [email protected]
eCALS newsletter- best practices
RSP website: http://www.rsp.wisc.edu/WISPER/
 Training/practice site, web manual
 WISPER 101 & 201 classes
Electronic Submission
Systems
Becky Bound
[email protected]
5-8443
Cayuse
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Web-based system purchased by UW for
Grants.gov submissions
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Currently supports 95% of applications that
require Grants.gov forms
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We use heavily for NIH and USDA submission,
also for other federal agencies
Using Cayuse
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Log in: http://www.rsp.wisc.edu/cayuse/index.html
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Important!
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Use your UW Net ID and password
Go to “Professional Profiles,” click on your name in the list
Under eRA Role, check the Principal Investigator box
Creating a proposal:
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Click on the
button
Enter required information to create the proposal
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Opportunity number, PI, etc
Navigating in Cayuse
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The lefthand list contains required forms. Each is a
link that will take you into that form and page.
Cayuse autofills, autopopulates, and autocalculates
Permissions
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Profile and Proposal
Routing and Submission
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Go to Routing and Approval
Make sure Carol Hillmer and Stephanie Gray are listed
Check the black box next to your name
Other Electronic Systems
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Fastlane: https://www.fastlane.nsf.gov/fastlane.jsp
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NSF system for proposal submission and award
Need to give SRO check/edit rights for proposal review, add
SRO submit rights when ready to submit – CALS will submit
Fastlane proposals
Contact Casey Hillmer, [email protected] for account
setup
eRA Commons: https://commons.era.nih.gov/commons/
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NIH system to track proposals and awards
Contact Casey Hillmer, [email protected] for account setup
Other Electronic Systems
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Grants.gov: http://grants.gov/
 Web portal, mandated for submission to federal agencies
 We use rarely because of Cayuse
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NSPIRES: http://nspires.nasaprs.com/external/
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Electronic system used by NASA
ProposalCENTRAL: https://proposalcentral.altum.com/
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Submission through all of these systems happens in
parallel to WISPER
Non-funded Agreements
Meredith Luschen
[email protected]
1-1500
Material Transfer Agreements
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MTAs are contracts defining the respective rights
and obligations of the Provider and the Recipient of
materials used in research
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Biological materials such as genetic constructs, plasmids,
proteins, DNA, cell lines, seed lines, plant germplasm,
organisms (mice)
Chemical compounds or polymers, potential new drugs
Software programs and tools
Incoming Material Transfer Agreement
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Materials provided TO a recipient scientist at UW-Madison
by any party, including (but not limited to) an academic or
non-profit institution, or a for-profit company
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Incoming from Educational & Non-Profit Sources
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Under UBMTA (Uniform Biological Material Transfer
Agreement) use the Implementing letter
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If UBMTA is not used, Simple Letter Agreement for Transfer of
Materials
Incoming from For-Profit Entities
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Industry/company for-profit providers usually utilize their own
MTA templates, delineating terms and conditions that protect and
advance their commercial interests
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UW-Madison accepts these as an initial negotiating point;
finalizing mutually agreeable terms can be a lengthy process
Outgoing Material Transfer Agreement
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Materials sent FROM a providing scientist at UWMadison to an off-campus recipient at another
academic or non-profit institution
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UBMTA ‘Implementing Letter’ or ‘Simple Letter of
Agreement’ used
Materials sent to a for-profit company/industry
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‘Simple Letter of Agreement’ is preferred template
Outgoing MTA if IP Assigned to WARF
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If material to be transferred is identified as
intellectual property that is part of a pending or
issued patent under WARF management, or is
assigned to WARF as a “biological material,” follow
WARF guidelines for required material transfer
agreement:
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http://www.warf.org/inventors/index.jsp?cid=17&scid=21
Confidentiality Agreements/Non-disclosure
Agreements
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For use when two parties wish to share information
for certain purposes that is confidential. Some
examples of its use:
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You are going to tour a for-profit facility to meet with
a potential collaborator
You are attending a conference where potentially
confidential information will be discussed
You have been invited to speak at a for profit board
meeting regarding the research you are doing.
Other Types of Agreements
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Collaboration Agreement
Equipment Loan Agreement
Equipment Gift Agreement
Secrecy Agreement
Memorandum of Understanding
Non Use Agreement
Compliance
Cheryl Deering
[email protected]
2-2536
Compliance and the WISPER Record
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Animal Welfare
Environment Health & Safety
1) Biosafety
2) Chemical
3) Radiation
Human Subjects
Human Pluripotent Stem Cell
Continual Management of
Protocols
Renewal
Dates
Amendments
Certifications/OAR/COI
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Human Subjects
Human Pluripotent Stem Cell
Animal Use
Outside Activity Report (OAR)
Conflict of Interest (COI)
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Disclosures
JUST IN TIME
Award Setup
Ginger Freitag
[email protected]
0-1648
Congratulations! Your proposal
is selected for funding.
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Forward copies of any communications regarding
the award to CALS Research Division
Read the Terms and Conditions of the award
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Monitor award progress in WISPER
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If you agree to them, add your signature as PI to the
award section in WISPER
Approval Tab: RSP will request “Set Up Projects”
approval from CALS
Status: Will show 4.5 or 5
RSP must accept the award – they are the only office
authorized to do so
Award Setup: CALS Checklist
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Compliance
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Protocols, Outside Activities Report, Effort
Training
Any changes from proposed budget, project
dates
Effort commitments
Subaccounts or Expanded Edits?
Award Setup: Finalized
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CALS has signed off
RSP has signed off
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WISPER record: SPO Action Tab
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Status will show “6-Completed”
Project Number will be assigned
Process shifts from WISPER to WISDM
Award Setup: Account in Advance
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An option if:
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Contract negotiations are prolonged
The award is committed but delayed
Be mindful of start date/allowability of preaward costs
Department Administrator requests through the
Approvals Tab in the WISPER record
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Attach written documentation from the Sponsor
(Attachments Tab):
 Award Amount, Project Dates, Contact Info
Effort Certification
Laurel Norris
[email protected]
0-1677
Effort Certification
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Effort training and certification is a requirement for
anyone working on a sponsored project
Effort commitments often specified in a proposal or
award, paid or unpaid
Certification provides an assurance to sponsors that:
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Consequences for non-compliance
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Salaries charged to a sponsored project are appropriate
Faculty and staff have met their commitments
No proposal submissions
No award set-up
ECRT: UW effort certification program
Post Award Accounting
Sandy Fowler
[email protected]
2-3947
Post Award Accounting
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When does post award accounting start?
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During the proposal stage
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What is post award accounting at CALS?
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Pre-spending
Project start and end date
Requesting what you really need: supplies, enough salary, equipment
No cost extensions, re-budgets, transfers, exceptional purchase request
Effort reporting
Review of unallowable and allowable cost per OMB Circular A-21 guidelines
Close out
What is post award accounting at dept level?
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Knowing and understanding your agreement
Getting expenditures charged to the correct project
Reconciliation of charges, correcting mistakes immediately
Technical reporting. RSP responsible for financial reporting
Post Award Accounting
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What are your award resources?
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CALS Research Division, http://www.cals.wisc.edu/research/
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Award/Gift Management links
Staff & Directory, Other Functions link/tab
Research and Sponsored Programs, http://www.rsp.wisc.edu/index.html
Federal Demonstration Partnership, http://thefdp.org/; RSP’s page
http://www.rsp.wisc.edu/awardmgt/fdpnondefense.html
Sponsor specific websites
What are your tools?
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WISDM, http://www.bussvc.wisc.edu/acct/sfs/wisdm.html
Project Accounting SnapShot, https://admin.engr.wisc.edu/SnapShot/tutorial/,
contact Becky Torrisi, [email protected], College of Engineering
FAST (Finance/Accounting Snapshot Tool,
https://fast.med.wisc.edu/login/login.php, contact Warren Emery,
[email protected]