Transcript Medical University of South Carolina Research & Sponsored Programs FAQs of Grants Process November 1, 2006 Amy Boehm, MHA, CRA Susan A.

Medical University
of South Carolina
Research & Sponsored Programs
FAQs of Grants Process
November 1, 2006
Amy Boehm, MHA, CRA
Susan A. Greene, CRA
(With special thanks to New York University’s website, NIH website,
and Peggy Schachte, Director, MUSC Office of Research Development)
Who may submit proposals?
• Faculty
• Academic and Administrative
Directors (officials)
• Students/fellows
– Must have a mentor
• All others who obtain the written
permission of the Provost. An email
will suffice.
What is reviewed by
ORSP?
•Anything that is not EXCLUSIVELY patient
care
•See Attachment A – Board of Trustees Policy
•No submissions through Health Sciences
Foundation (one exception: Duke Endowment)
Types of Assistance:
• Is it a gift, or is it a grant?
• Grants (competitive discretionary)
• Contracts
– Cost reimbursement or fixed price
• Cooperative agreements
• Subgrant/subcontracts (flow through)
• Letter agreements
Getting Started:
•
•
•
•
•
Idea
Collaborators?
Conflict of Interest?
Is there a program announcement?
Have you contacted ORSP?
– Contact us early, contact us often!
Collaborator or Consultant?
Collaborator:
• Significant role
• Measurable effort
• Actively participates
in planning/execution
• Uses the resources
of their own entity
• Typically will coauthor with PI
Consultant:
• Not an employee
• Lends expert advise
• work is sporadic with
no attributable
effort
• Does not use their
institution’s time and
resources
• May or may not coauthor
Subaward or Vendor?
Subaward:
• Typically a Co-I on prime grant
• Performance measured against
whether objectives of program
are met
• Responsible for Programmatic
decision making
• Responsible for compliance
requirements of the program
• Potential for patent/copyright
• Typically publishes with PI
Vendor:
• Provides goods & services
• Provides similar good &
services to various purchasers
• Operates in a competitive
environment
• Ancillary to the operation of the
federal program
• Not subject to compliance
requirements of the program
• Would not publish with PI
Conflict of Interest
• Federal agencies and legislation encourages
the involvement of academic researchers with
industry and private entrepreneurial ventures.
• MUSC and agencies want to ensure the
design, conduct and reporting of sponsored
projects will not be biased by a significant
financial interest of the researcher involved
in such activities.
What is a Conflict of Interest?
When a researcher, or member of their
immediate family (child/spouse), or any
member of the research team (or their
family) receives, or is likely to receive
remuneration of at least $10,000 from
or holds a 5% ownership interest in a
company involved in research, training,
patient care and administrative
activities related to a sponsored
project
Disclosure
MUSC has a plan for
– managing
– reducing or
– eliminating
Conflict of Interest
Refer to MUSC’s policy at this link:
http://research.musc.edu/compliance/conflict.htm
Proposal
•
•
•
•
•
Research Plan
Budget Preparation
Subaward documents if applicable
Mandatory documents of the agency
Internal routing document
– Electronic proposal data sheet (ePDS)
– Previously known as “blue sheet”
• Authorized Official’s Signature
Budget Preparation
•
•
•
•
What is direct cost?
What is F&A (indirect) cost?
What is program income?
What is cost sharing?
Direct Cost
• Allowable direct charges to a program
– See Attachment B
• Allocable
• Reasonable
• Consistently charged by MUSC
F&A Cost
• Costs that have been incurred for common or joint
objectives
• Can’t be identified readily and specifically to a
particular project
• it would not be reasonable or accurate to direct
charge them
• Unlike circumstances – see Attachment C
• various F&A rates – see Attachment D
Program Income
• Income earned as a result of grant funded
activity
• Not to be confused with the grant awarded
dollars
• Must be used to advance the purposes of the
grant
– Deductive alternative
– Additive alternative (default if not specified)
– Matching alternative
Cost sharing
• Costs of a project not borne by the
award
• MUSC’s policy is to avoid it!
– Federal agencies documented that it will
not make your application more competitive
– The Feds do not want a “bidding war”
– Documentation of it increases the workload
– Adversely affects our F&A rate
Pre-award proposal stage:
• Department support in preparation
• PI responsible for content
• Institutional review
– Certify subaward information & adherence
to guidelines
– Signatures
– Electronic submissions
Pre-award approvals:
• Principal Investigator
– “I certify that the statements herein are true, complete and
accurate to the best of my knowledge. I am aware that any
false, fictitious, or fraudulent statements or claims may
subject me to criminal, civil, or administrative penalties. I
agree to accept responsibility for the scientific conduct of
the project and to provide the required progress reports if a
grant is awarded as a result of this application.”
• Department Head or Chair
– Other departments’ approval required for Co-investigators
with effort.
• ORSP – signing officials
Authorized Signing Officials
• Faculty cannot bind the University into an
agreement!
• ORSP for sponsored programs, data use
agreements, confidentiality agreements
– Dillard C. Marshall, Director
– R. Darren McCants, Associate Director
– Cynthia L. McDonald-corporate & MTAs
• University Counsel for Consulting agreements
Internal Submission
Deadlines
• Notify ORSP of intent to submit as early as
possible before the agency deadline
• ORSP must receive a completed proposal (all
forms, final budget, budget justification) at
least 72 hours in advance of the posted
deadline.
• The completed proposal must have all
department head approvals.
Other Pre-award Special Reviews
• Required “Just-in-time” or good score
– IRB
– IACUC
– IBC
• Human subjects research training
• Confirmation of no technical, budgetary,
or effort overlap
Post-award Stage - ORSP
ORSP coordinates with Department to:
• ORSP negotiates terms
• Accepts terms
• Disseminate award documents
• Issue subawards
• Monitors flowdown clauses
• Administrative requirements
• Sponsor interface with administrators
Post-award Stage - OCGA
Coordinates with Department to:
• OCGA assigns a UDAK account
• Financial compliance
– Cost accounting standards
– Files disclosure statement
• Financial reporting
• Monitors financial aspects of subawards
• Certifies that subawardees meet applicable
audit requirements
Post Award Stage - PI
• Monitors technical performance
• Submits progress reports
• Initiates prior approval actions if/when
necessary
• Has fiduciary responsibility for the
grant
• Oversight of OCGA and department
actions by reviewing reports
Post-award Hot Topics
• Cost transfers – red flag for auditors!
• Effort reporting
• Significant change in effort
– May increase effort
– 25% decrease should be reported
• False Claims Act
Why Electronic submissions?
• Eliminates paper
• Eventual efficiencies may shorten
review cycle
• Electronic validations improve quality
• Reduction of scan/print/data-entry
• Consistent grant image
Evolution to Electronic Grant
Submissions
• System requirements
• Software requirements
– PureEdge viewer downloaded free
– PDF generation software
– MAC users need PC emulation software
• Registration requirements
– MUSC is already registered with numerous
granting agencies.
– Some PI registration is required in advance
New Terminology
Electronic Submissions
• NIH Term (old term)
– Percent effort
– PA and/or RFA
– Principal Investigator (PI)
– Authorized Signing Official
(SO)
– Other Support
– Competing Continuation
– Revision or Amendment
– Competing Supplement
• Electronic Submissions Term (new
term)
– Person months – calendar months
– Funding Opportunity Announcement
(FOA)
– PI/PD: combined term Principal
Investigator/Project Director
– Authorized Organizational
Representative (AOR)
– Current & Pending Support
– Renewal
– Resubmission (equivalent to
Revision)
– Revision (somewhat equivalent to a
Competing Supplement
New Terminology
Electronic Submissions
• NIH Term (old term)
• Electronic Submissions
Term (new term)
– Literature Cited (Part G of
PHS 398 Research Plan)
– Bibliography & References
Cited
– Consortium Budget
– Subaward Budget
– PA/RFA (Program
Announcement/Request for
Application)
– Project Description
– FOA (Funding Opportunity
Announcement)
– Summary/Abstract
AND
– Narrative
Introducing Grants.gov
What is it? What’s it for?
• GRANTS.GOV is
– the single cross-agency, web-based US
Government portal for accessing federal
grant programs
• GRANTS.GOV provides:
– information on all federal grant
opportunities
– a mechanism to obtain the forms related to
a specific opportunity
– a mechanism to transmit the forms to the
sponsoring agency
Find/Apply for Grants
• Go to: http://grants1.nih.gov/grants/oer.htm
• Search by Key word
OR
• Select Grants – OER Home Page
– Select Funding Opportunities (RFAs, PAs)
– Search by Keyword or PA/RFA number
– Select “Apply for Grant Electronically”
http://grants1.nih.gov/grants/oer.htm
Click on any of these to sort
Sorted by PA number
Click on the PA number of
the desired program
Click on this link to go directly
to Grants.gov download page
Click here to
download
application
Enter your email address here
Click on hyperlinks to download
instructions and application
NIH’s New Investigator
Initiative
• Key to innovation and creativity
• In 2005, NAS report calling for new ways to
mentor and support early career investigators
from post-doc to independent research
careers
• Maintain momentum in science
• See this link:
http://grants1.nih.gov/grants/new_investigators/index.htm
NIH Loan Repayment Program
for Clinical Researchers
• Educational loan debt equal to or in
excess of 20% of base salary
• Pays up to $35K on educational loans
• Contracted to engage in patientoriented clinical research
• Commitment of 50% effort or 20 hours
• See this link for eligibility criteria:
http://www.lrp.nih.gov/
More Links to Bookmark
NIH career development awards:
http://grants.nih.gov/training/careerdevelopmentawards.htm
NIH Roadmap:
http://nihroadmap.nih.gov/
Grant writing tips:
http://grants.nih.gov/grants/resources.htm
NIH eRA tutorials (Commons, SF424)
http://era.nih.gov/virtualschool/external/classroom.htm
Multiple PI model is being tested:
http://grants.nih.gov/grants/multi_pi/index.htm
Your ORSP
Administrators
can provide
assistance!
Non-corporate:
Rebecca Antley
Ted Blevins
Amy Boehm
Valerie Chestnut
Susan A. Greene
Corporate & MTAs:
Cynthia McDonald
Sandra Petit
Contact us early!
Contact us often!