Research Service Coordinator Basic Orientation Information

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Research Service CoordinatorBasic Orientation
Information

• Office of Research Training Compliance
• March 2009

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• Getting Started
• Software Applications
• Awards
• Procedures and Workflow
• Reports and Forms
• Training
• Reference Materials
• Who to contact

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Getting Started
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Office of the Chief Research Officer
Carol Sigelman Acting Chief Research Officer
Jackie Bendall Director ORTC
Laura Walker Information Specialist
Kris Moen Dir Finance and Administration
Caroline James Administrative Coordinator
Robert Donnally Managing Director RSO
David Lerch Dir Technology Transfer
Hal Gollos Managing Director RSA
Res. Training Compl. Administrators
RSC Team Leaders
Pre-Award Managers
Payroll/ Personnel
Executive Coordinator
Research Service Coordinators
School Research Administrators
Pre-Award Support
Document Imaging Specialist
Executive Aides Rice Hall K St Ross Hall
Post-Award Managers
Sr. Application Specialist
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Team Leader Biostatistics Center Claudia
Gray-Onque
Team Leader SEAS Robert Pitysingh
Team Leader School of Public Health Tracy Clark
Team Leader Columbian College Kari Aldridge
Team Leader GSEHD Alma Starks
Team Leader School of Medicine Flora Celebrado
RSC Biostatistics Shannon Knudsen
RSC SEAS Stephen Petix
RSC School of Public Health Dagmar Christensen
RSC Columbian College Dan Harter
RSC GSEHD Rachma Saukani
RSC School of Medicine Ted McKoy
RSC Biostatistics Marco Hernandez
RSC SEAS David Petrey
RSC School of Public Health Myrna Alonzo
RSC Columbian College Kathy McManus
RSC GSEHD Nasra Abdi
RSC School of Medicine Georgette Yakalis
SRA SEAS Candy Butler
RSC School of Public Health Begai Johnson
RSC Columbian College Jamie Tang
SRA GSEHD Katie Henke
RSC School of Medicine Sarah Fayle
SRA SEAS Edward Donis
RSC Columbian College Veronica Terrell
SRA GSEHD Christine Wise
SRA Columbian College Vacant
SRA SEAS Brian Mattes
SRA Columbian College Carolyn Harvey
SRA GSEHD Vacant
SRA SEAS Ayesha Waqas
SRA Columbian College Marilyn Villanueva
SRA Columbian College Lani Le
SRA Columbian College Gary Reynolds
SRA FLOATER Vacant
SRA Columbian College David Razmgar
Dagmar Christensen supports SPH and School of
Medicine
2033 K Street Ross Hall Foggy
Bottom Campus Virginia
Gary Reynolds is a CCAS team member but not an
OCRO employee
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Commonly Used Acronyms

• BPR Budget Performance Report
• CCAS Columbian College of Arts and Sciences
• CIS Change in Status (form)
• DCF Departmental Correction Form
• GCAS Grants and Contracts Accounting Services
• GSEHD Graduate School of Education and Human
  Development
• IP GW Inter-departmental charging system
  (through Oracle)
• OCRO Office of the Chief Research Officer
• P-Card Procurement Card
• PI Principal Investigator
• PO Purchase Order
• RSC Research Service Coordinator
• SEAS School of Engineering and Applied Science
• SPH School of Public Health
• SRA School Research Administrator
• Click here to access a more complete list of
  Commonly Used Acronyms

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Research Service Operations - Team Roles

• Team Leaders Team Leaders oversee the Research
  Service Coordinators and School Research
  Administrators for the respective Schools and
  Colleges. These Team Leaders play a vital role in
  improving communications providing leadership to
  the OCRO team supporting the respective Schools
  and Colleges and facilitating prioritization of
  support and process improvement in OCRO research
  services. Team Leaders also maintain a research
  portfolio of their own.
• Research Service Coordinators RSCs are the
  Principal Investigators primary point-of-contact
  for handling cradle-to-grave responsibilities
  associated with sponsored research
  administration. Working under the guidance of a
  Team Leader RSCs are proactively involved in
  anticipating requirements addressing potential
  issues before they develop into problems and
  supporting Principal Investigators Chairs and
  Deans in their collective efforts to verify that
  GW achieves its objective for each sponsored
  program within their assigned portfolios. Among
  other things RSCs provide assistance to
  Principal Investigators and staff in reviewing
  sponsor solicitation requirements preparing
  proposal budgets reviewing and submitting
  proposals packages explaining award
  requirements reviewing and approving various
  award expenditures submitting appropriate
  reports assisting in the award close-out and 
  resolving any program or close-out issues
  including supporting post-award audits.
• School Research Administrators SRAs (or Grant
  Management Coordinators) are part of the
  respective teams providing a variety of
  financial administrative and general support to
  certain Schools and Colleges.

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Selected Definitions

• RFA Request For Applications generally issued
  by a federal sponsor a foundation or a
  not-for-profit agency usually results in a grant
  or cooperative agreement.
• RFP Request For Proposals generally issued by
  a federal or a corporate sponsor results in a
  contract.
• RFQ Request For Quotation generally issued by
  a federal or a corporate sponsor results in a
  contract.
• BAA Broad Agency Announcement a general
  announcement of program areas of interest to a
  sponsor usually issued by branches of the
  Department of Defense i.e. the Army Research
  Office BAA Office of Naval Research BAA. 
• Program Announcement may be issued by a federal
  or foundation sponsor describes a specific
  program to deal with an issue that the sponsor
  wishes to address.  The announcement will often
  contain eligibility criteria specific
  guidelines and review criteria.  PAs such as
  those published by the National Science
  Foundation usually result in grants.

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Selected Definitions

• Awards/Agreements
• Grants A Grant is a type of assistance award and
  a legal instrument which permits an executive
  agency of the Federal government to transfer
  money property services or other things of
  value to a grantee when no substantial
  involvement is anticipated between the agency and
  the recipient during the performance of the
  contemplated activity.
• Contract A Contract is an exchange of promises
  that gives rise to legally enforceable rights and
  duties. Funding is provided in exchange for a
  particular product (services reports or
  materials) required by the sponsor (procurement).
  A legally binding contract has three major
  elements offer (what is going to be done i.e.
  the statement of work) acceptance (a formal
  acceptance including specific names of
  responsible parties) and consideration in the
  form of payment (the amount agreed upon for the
  specific outcomes as defined in the SOW). In the
  case of a research contract the sponsor agrees
  to finance the award to allow the PI to conduct
  and complete the research on behalf of the
  University under written terms and conditions.
• Cooperative Agreements A Cooperative Agreement
  is a type of federal assistance essentially a
  variation of a discretionary grant which is
  awarded by the Department when it anticipates
  having substantial involvement with the grantee
  during the performance of a funded project.
  Substantial agency involvement may be necessary
  when an activity is technically or managerially
  complex requires extensive or close coordination
  with other federally supported work or helps
  assure suitability or acceptability of certain
  aspects of the supported activity.

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Selected Definitions

• Cost-Sharing
• Mandatory a firm requirement documented in
  writing from the sponsor for cost sharing
  outlined and required by legislation or the
  funding agency in order to receive funds.
• Committed not required but offered by the
  applicant to further demonstrate the
  institutions dedication to the program. This
  becomes a binding commitment to the funding
  agency and part of the awards terms and
  conditions. Examples include unfunded program
  staff time and unfunded changes to scope of work
  that are performed.
• Voluntary Uncommitted unexpected program
  expenses that were necessary to complete the
  programs work (cost overruns)may involve time
  and effort beyond the proposed budget supplying
  more program materials that are needed or extra
  participant fees due to replacing lost study
  subjects. Does not have to be tracked in the
  financial accounting system.

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Selected Definitions

• Cost Transfers
• After the fact re-allocations of costs either
  labor or non-labor to a sponsored project.
  Information must be included on the CIS or DCF
  form as to why the cost transfer is occurring.
• Policy http//my.gwu.edu/files/policies/CostTran
  sfersSponsoredAgreementsFINAL.pdf

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Selected Definitions

• Award Agreement Types
• Prime Award A Prime award is a Grant
  Cooperative Agreement or Contract issued by the
  sponsor directly to the University.
• Subaward A Subaward means an award of
  financial assistance in the form of money or
  property in lieu of money made under an award by
  a recipient to an eligible subrecipient or by a
  subrecipient to a lower tier subrecipient. The
  term includes financial assistance when provided
  by any legal agreement even if the agreement is
  called a contract but does not include
  procurement of goods and services (service
  agreements or consultants).
• Subcontract A Subcontract is a formal
  contractual document in which the organization
  that receives the award directly from the sponsor
  (the Prime Contractor) parcels out a portion of
  the work of a larger contract to another party
  (the Subcontractor or Subrecipient).
  (Templates are available on the OCRO G\\ drive)
• Independent Contractor Agreement  Independent
  Contractors are proposed to help carry out the
  objectives of a PIs sponsored project.
   Independent Contractors (ICs) have unique
  expertise provide professional advice and
  guidance or provide a distinct service or
  product.  The work is usually performed off
  University premises and often offered to many
  different buyers within normal business
  operations.  ICs are not employees of the
  University and may not use GW resources to
  perform their services.  Formerly these
  agreements were called Consulting/Services
  Agreements.  (Templates are available on the OCRO
  G\\ drive) 

• Click here to access a more complete list of
  Research Definitions

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Software ApplicationsTools of the Trade
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Banner

• Banner is the enterprise system at GW that
  maintains advancement financial aid human
  resources student and student accounts data.
  The GWeb Information System is the name for
  Banners self-service products for which login
  to Banner production is not necessary. For
  research Banner is used to check employment
  status as well as salary effort distribution
  home org and history of pay distribution. You
  can always access the GWeb Information System
  from myGW portal or at https//banweb.gwu.edu/Bann
  erApp/ProdCartridge/twbkwbis.P_WWWLogin.
• Additionally staff in sponsored research may use
  Banner to review student tuition accounts and
  ensure that they are registered for classes.
  Tuition information can be extracted which may be
  used for various forms and reports.

(Additional online training modules are available
for Banner.)
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Banner
http//www.gwu.edu/banner/
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Oracle (EAS)

• Oracle is the underlying infrastructure for our
  Enterprise Accounting System (EAS). EAS
  maintains all University financial transactions.
• You will use EAS for all award management to run
  all award reports including Award Status reports
  and Suspense reports as well as to complete
  requisitions.
• Oracle may also be used to complete any award
  modifications that as an RSC you may be
  responsible for. Global changes may need to be
  completed by OCROs Application Specialist or
  other staff member.
• http//eas.gwu.edu/home/index.cfm

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GWDOCUMENTS

• GWDOCUMENTS is GWs enterprise document
  repository. It provides university departments
  with the capability of storing and retrieving
  documents in a consistent format and yet flexible
  to meet each departments individual business
  requirements.
• For research purposes it is used to store award
  management documents proposals award letters
  sub-agreements etc.
• Before you can access GWDOCUMENTS you will need
  to complete the request for access form found
  at
• http//www.gwu.edu/gwco/accessforms/DOCUMENTUM.pd
  f

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Document and Content Management System (DCMS)

• DCMS is a web-based electronic document
  repository. You will find staffing documentation
  including Hire Forms I-9 Certification forms
  Position Action Requests Position Requisition
  forms or Change in Status forms among other
  required award documents.
• DCMS is only accessed via a secure connection.

http//dcms.gwu.edu8888/dcms/index.do
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Awards
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Project Task Award (PTA)

• 21213 1 CCLS20445F

PROJECT
TASK
AWARD
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Deciphering Award Numbering

• ECNS20347N

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• Billing Distribution Rule
• E Bill based on events either deliverables or
  dates
• C Bill based on costs incurred
• I Internal award do not bill
• Revenue Distribution Rule
• E Revenue is recognized as events occur
• C Revenue is recognized as costs are incurred
• X Internal Award - no revenue is recognized
• The only possible combinations are CC EC EE and
  IX

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• Award Funding Code
• L external award funded by Letter of Credit
• N external award not funded by Letter of Credit
• X internal award funded by GW
• C clearing or suspense award not funded
• Sponsored Project Code
• S
• The fourth letter in the award number will always
  be an S for Sponsored Projects.

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• University vs. Medical Center Award Code
• 0 Award existed prior to Oracle implementation
• 2 University Award
• 5 A test award
• 9 Medical Center Award
• Federal Funding Code
• A No longer in use no current meaning
• B No longer in use no current meaning
• F Federal Funding either prime or pass-through
• N Non-Federal Funding

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Putting it together

• IXXS Internal Cost Share
• IXCI Clearing Account (holding costs)
• CC_ _ Cost Reimbursable
• _ _NS Not Letter of Credit (LOC)
• _ _LS Letter of Credit (LOC)
• EE_ _ Fixed Price
• EC_ _ Event Costs

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University Funding Source Segments
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Award Types

• SP1 Research/Federal
• SP2 Training Grants
• SP3 Other Sponsored Projects
• SP4 Clearing and Indirect Projects
• SP5 Program Income
• SP6 Clinical Trials
• SP7 Symposium Conferences Seminars

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Research Sponsor Codes

• AD Pharmaceutical Studies
• AF Foundation
• AG Federal Government Research
• AI International Research
• AP Private or Commercial
• AN Non-Profit
• AT Foreign Government
• AU Program Income
• AW General Center
• AS Research/State Local Government

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Procedures and Workflow
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Pre-Award Forms and Responsibilities

• The RSC is responsible for reading and reviewing
  all pre-award forms submitted by the PI as well
  as the RFP/RFA/etc. The RSC can also assist in
  budget preparation and a review of the guidelines
  with PIs to point out any obstacles to be dealt
  with early in the process (cost sharing
  requirements consortia or subcontract
  documentation etc.).
•  
• Where appropriate the RSC can provide applicable
  Facilities and Administration rates Fringe
  Benefit rates or other applicable rates as well
  as other basic information needed in the
  proposal.
• Additionally the RSC can explain whether advance
  coordination with other organizations such as
  OHRCTT for any compliance reviews would be
  appropriate given the nature and purpose of the
  proposed research endeavor.

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Pre-Award Forms and Responsibilities

• Internal Approval Forms
• Proposal Routing and Approval Form
• Routing Form for Non-Competing Continuations
• Conflict of Interest Disclosure Form
• Additional Investigator Information and Approvals
  Form
• Cost Sharing and Facilities Requirements Approval
  Form
• Allocation Form -Multiple Investigators and/or
  Units
• Checklist for Direct Charging on Sponsored
  Projects
• Checklist Instructions

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Proposal Submissions Workflow
Principle Investigator (PI) informs OCRO of RFP
and initiates documentation
PI submits proposal to RSC
Research Service Coordinator (RSC) completes
First Review of Proposal

• Route to Dean for signature
• Submit to Anne Hirshfield (if voluntary
  cost-sharing)
• Return to RSC

Proposal inaccurate/incomplete
Pre-Award Specialist completes Second Review of
Proposal
Proposal Complete
Proposal inaccurate/incomplete
Managing Director Research Support and Analysis
completes Third and Final Review
After Final Approval returned to Pre-Award
Specialist for Electronic Submission
Paper proposal submissions are routed to the
department for mailing

• PI initiates/informs RSC of RFP (Request for
  Proposal) and in turn RSC sends RFP information
  to the Pre-Award Specialist and Contracts Manager)

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Subawards (Proposal Stage)

• At the time of proposal submission the PI should
  include
• The Subaward Checklist
• Subrecipients work statement budget budget
  justification and letter of intent signed by the
  subrecipients authorized official.
• http//www.gwu.edu/research/forms/SubAchecklist.p
  df
• Documentation for the estimated costs to perform
  the research proposed to ensure that they are
  reasonable. This is documented on the Cost
  Analysis Form.
• http//www.gwu.edu/research/forms/FairReasonCostA
  nalPACntrct.pdf
• Additional documentation may be requested in
  accordance with the sponsors solicitation or
  proposal guidelines.
• GCAS requirements
• These requirements are listed on the Checklist
  and should be included prior to the release of
  the agreement.

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Subaward Forms

• Cost Analysis form (PDF)
• Sample Letter of Intent (PDF)
• Certification of Subaward Memo (used by RSCs
  only)

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Subawards (Award Received)

• The sponsors award letter will generally
  indicate whether the proposed subrecipient is a
  line item within the budget. The RSC will then
  communicate with the PI to obtain the necessary
  information (Period of Performance Reporting
  Requirements Billing Requirements etc.)
  required to draft the Subrecipient Agreement from
  the template.
• The workflow on the nextdetails the
  process for an Independent Contractor Agreement.
  A similar process is completed for all
  subrecipients.

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Independent Contractor Agreement Workflow
Requisition generated by initiator via Oracle
workflow
RSC inserts PO into ICA that was drafted at
time of request for requisition
RSC submits to Post Award Manager for approval
Denied for corrections/agreement
Approved
Procurement issues PO and e-mail is sent to
initiator and RSC to confirm
Post Award Mgr delivers ICA to the Executive
Coordinator (EC) for mailing to contractor
Approved
RSC approves or denies requisition
Denied for corrections/ agreement adjustments
IC receives and approves agreement signs and
returns to the Executive Coordinator (EC)
Denied for corrections to Payment Request/invoice
Contractor receives mailed payment.
EC scans document into GWdocuments e-mails
scanned file to RSC and creates red ICA folder
RSC will submit to Procurement for payment
Approved
PI receives invoice and approves with signature
PI submits approved invoices to SRA. SRA
completes Payment Request and submits to RSC with
invoice.
Procurement receives payment request and invoice
and completes documentation for contractor payment
RSC e-mails PI scanned copy of fully executed ICA
Denied for corrections
IC begins submitting invoices to PI for approval
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Post-Award Responsibilities

• Hiring Research Staff
• At the Proposal stage the PI identifies the
  project staff needed for completing the project
  objectives along with schedule personnel level
  of effort and related program information. Upon
  award the RSC reviews with the PI the actual
  personnel needed including identifying the need
  for hiring additional research staff along with
  outlining relevant actions to make this happen.
  The RSC and SRA provide assistance to the PI in
  reviewing and processing proposed hiring actions.
• It is very important that before the interview
  process begins - the PI consults with their RSC
  to start the paperwork necessary for both Human
  Resources and the Equal Employment Office. If
  this paperwork process is not completed correctly
  in advance of the interview process hiring
  cannot be completed on the award. HR will not
  process hiring paperwork retroactively!

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Reports and Forms
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Budget Performance Report (BPR)

• This report enables users to review summary
  account information by organization and funding
  source. The report lists actual (for the period
  and the year) YTD encumbrances YTD actual
  encumbrances prior YTD actual the selected
  budget and YTD available amounts for each
  account. Subtotals are displayed for Revenues
  Faculty Salaries Staff and Other Salaries
  Compensation Other Operating Expenses and Total
  Expenses. In addition for funding sources
  starting with an E (Endowments) an R (R
  funds) or an L (Loan funds) a fund balance
  section is generated to show the Opening Net
  Assets balance at the beginning of the fiscal
  year YTD Revenues YTD Expenses and the
  resulting Closing Net Assets balance as of the
  period for which the BPR was run.

A BPR is run at least monthly and should be
forwarded to the PI to monitor funds expenditures
on the awards you manage.
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Sample BPR
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Change in Status (CIS) Form

• CIS forms are used for individuals who have
  already been hired by GW and who need to have
• salary redistributed to another source other
  than the department and onto the grant
• a salary increased in the system
• a change in labor or a significant change in
  effort that will need to be reported to the
  sponsor
• a change to their sabbatical (faculty) or Leave
  Without Pay (faculty or staff) status
• an end date of employment extended or
• The CIS Online Termination form should be used to
  process terminations in the system (see
  Termination Form) it is not the same as this
  regular CIS form.
• NOTES
• for faculty with a 9-month appt who will be
  funded by a sponsor for work performed during the
  summer a Hire form should be used not the CIS
  form
• Two versions of the CIS form exist PDF and XLS.
  The Excel version is the preferred version in the
  OCRO.

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Change in Status - Sample Form
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Change In Status Termination Form

• CIS Termination Forms are completed and Submitted
  online through an electronic workflow process.
• https//my.gwu.edu/mod/cis/dsp_main_menu.cfm
• Online termination is completed in a timely
  manner and reduces the probability of terminated
  employees receiving overpayments in salary due to
  slow paper terminations processing
• The workflow delivers email notifications at each
  stage of the termination process increasing
  awareness and automatically providing
  documentation for terminations
• You only need to enter eight data items relative
  to the terminating employee workflow provides
  the rest reducing the probability of data entry
  and other errors
• Expedite approval of forms or easy access to make
  changes if desired
• More secure environment
• Track the status of terminations.

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CIS Termination Sample Form
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Departmental Correction Form (DCF)

• The DCF form is used to transfer charges/expenses
  across accounts varying from departments to
  grant awards. The Cost Transfer Policy requires
  that if the date of the charge is more than 90
  days after the error a 90-day memo will need to
  be attached.
• http//www.gwu.edu/gwco/AcctsPay/corrections.pdf

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Sample DCF
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Requisitions

• Requisition forms are used to process payments to
  vendors for the supplies equipment or services
  being ordered or received. The PI typically
  gives the SRA an invoice from which they prepare
  the requisition.
• Before any supplier or individual can receive
  payment from GW they must register as a
  GW-approved supplier. This process includes
  completing a Supplier Registration Form
  supplying GW with their appropriate
  tax-identification number and subscribing to
  GWs Suppliers Code of Conduct.
• The online Requisition form is accessible through
  Oracle.
• http//eas.gwu.edu/home/support/documentation/Purc
  haseRequisitions_V1-0.pdf

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TrainingSoftware and Form Specific Training
OptionsFiscal Responsibility Training Options
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Software-Specific Training Sessions

• A VPN/secure connection (erp_dev or erp_core) is
  necessary to access these applications web
  sites.
• BANNER
• http//www.gwu.edu/banner/services/trainhome.htm
• DCMS
• http//dcms.gwu.edu8888/dcms/index.do
• To learn about DCMS refer to the Desk Procedure
  on the OCRO G drive (G\OCRO\Desk
  Procedures\DCMSDP) or in the Desk Procedures
  binder.
• GWdocuments
• https//gwdocuments.gwu.edu9999/GWdocuments/gwdo
  c/help/en/Help_GWdocuments.htmSearch

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Software-Specific Training Sessions

• KRONOS/Time Reporting System (TRS)
  http//www.gwu.edu/payroll/time.html
• ORACLE/EAS http//eas.gwu.edu/home/support/traini
  ng/training.cfm
• PATHWAY
• https//pwnet.procard.com/georgewashingtonu/defau
  lt.asp
• P-CARD (Purchasing Card) http//www.gwu.edu/
  supchn/pcard.htm

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Form-Specific Training Sessions

• Change In Status (CIS) Form
• http//www.gwu.edu/research/traininginfo1.htm
• Change In Status Termination Form
  https//my.gwu.edu/files/cis/CIS_paper_1.pdf
• Hire Form http//www.gwu.edu/hrs/pdf_files/Employ
  eeHire.pdf
• Requisition
• http//eas.gwu.edu/home/support/documentation/Purc
  haseRequisitions_V1-0.pdf

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Fiscal Responsibility Training

• All PIs are required to complete an online or
  in-person training session on Fiscal
  Responsibility. This session is available for
  you to access as well.
• Fiscal Responsibility
• http//www.gwu.edu/research/traininginfo.htm

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We hope that you found this orientation session
helpful for more detailed information on any of
the topics covered in this presentation please
contact ORTC to set up an appointment.
Office of Research Training and Compliance Jackie
Bendall Director ext. 4-7991