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Faculty Research Grants Management Orientation

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Title: Faculty Research Grants Management Orientation


1
(No Transcript)
2
Navigating Research Administration at Washington
University
  • SPONSORED BY
  • The Office of the Vice Chancellor for Research
  • and Your Central Research Administration
    Partners
  • Grants Contracts,
  • Research Education,
  • Research Office, and
  • Sponsored Projects Accounting

3
Navigating Research Administration at Washington
University
  • PRESENTERS
  • Denise McCartney, Associate Vice Chancellor for
    Research Administration
  • Cynthia White, Director, Research Office (Hilltop
    Campus)
  • Joe Gindhart, Director, Sponsored Projects
    Accounting
  • Jacqueline Judie, Research Education Coordinator
  • John Michnowicz, Director, Grants Contracts
    (Medical School Campus)

4
Agenda
  • Welcome and introduction of presenters
  • Course objectives - Why are we here?
  • Research Mission
  • Roles and responsibilities
  • Proposal preparation, award process, research
    project management and award closure
  • The WU way, research administration
    infrastructure and available resources (Research
    Support Services and Office)
  • Questions and answers
  • Evaluation and adjournment

5
Why Are We Here?
  • To clarify and discuss
  • The investigators role in managing research
    programs
  • The Universitys role in managing research
    programs
  • Key policies and regulations affecting your
    grants
  • Support available to you

6
Research Mission
  • A message from Ted Cicero, Vice Chancellor of
    Research
  • Research is one of Washington Universitys core
    missions.
  • The Office of the Vice Chancellor for Research
    exists to promote and support WUSTL
    investigators.
  • Each individual conducting research shall uphold
    the highest standards of ethical and professional
    conduct.
  • We are committed to providing information, tools
    and services to help further that standard.
  • http//vcresearch.wustl.edu/

7
WU Supports Investigators by
  • Providing investigators with opportunities to
    conduct research
  • Promoting the ethical conduct of research
  • Implementing policies, procedures and systems
    that support compliance with sponsors policies
    and University-wide research policies to maintain
    the integrity of the University

8
WU Supports Investigators by
  • Providing multiple resources at the school,
    department and central levels to support
    investigators in the design, conduct and
    reporting phases of research
  • Providing resources, organizational support and
    oversight necessary to help ensure that protocols
    are submitted in accordance with sponsors
    regulations and University policies
  • Establishing guidelines for the publication of
    results

9
School and/or Department Supports Investigators
by
  • Providing investigators with established
    departmental procedures
  • Providing the appropriate resources and
    environment to enable research to be conducted
    according to the terms of the award agreement,
    regulations, policies and procedures
  • Allocating department space to faculty

10
School and/or Department Supports Investigators
by
  • Holding investigators responsible for the
    accurate and timely submission of all technical
    /progress reports
  • Establishing a culture of compliance and
    dedicating department resources to ensure
    research is conducted according to regulations,
    policies and procedures

11
Department Administrators Supports Investigators
by
  • Assisting investigators in ensuring proposals
    meet all applicable regulations and policies
  • Coordinating with central administration
    personnel for interpretation of agency
    guidelines, policies and procedures
  • Assisting in obtaining appropriate internal
    approvals
  • Assisting in reviewing award terms and conditions

12
Department Administrators Supports Investigators
by
  • Assisting investigators in complying with and
    implementing terms and conditions
  • Assisting investigators in coordinating
    financial, personnel and related non-scientific
    aspects of the research program in accordance
    with regulations, policies and procedures
  • Assisting investigators in monitoring funding and
    notifying investigators of possible cost overruns

13
Central Administration Office Supports
Investigators by
  • Providing systems and support for faculty to
    search for funding
  • Providing support services for proposal
    submission
  • Assisting investigators in the commercialization
    of research results for public benefit
  • Providing research compliance education, training
    and tools

14
Investigators Support WU by
  • Their commitment to
  • Conduct research responsibly and ethically
  • Comply with federal laws and regulations
  • Follow University policies and procedures
  • Protect human and animal subjects
  • Act as stewards of public funds

15
Investigator Commitments
  • Are described more completely in
  • Code of Conduct
  • http//codeofconduct.wustl.edu/
  • Roles and Responsibility document
  • http//roles.wustl.edu/

16
Investigator Commitments Cont.
  • Are described more completely in
  • WU Research polices and procedures
  • http//research.wustl.edu/MainPoliciesProcedures.h
    tm
  • Sponsoring agencies, federal regulations, state
    laws

17
Key Strategies to Meeting Commitments
  • Understand your responsibilities
  • Work with your school or department grant
    administrator
  • Work with the research support service
    organizations
  • Use available resources
  • ASK QUESTIONS

18
Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
19
Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
20
Proposal Preparation
  • Identify potential sources of funding
  • Review sponsor submission guidelines
  • Discuss proposal with your Research Administrator
  • Develop research plan
  • Craft the proposal

21
Proposal Preparation Cont.
  • Negotiate with collaborators
  • Prepare the budget
  • Submit protocols and compliance documents
  • Submit entire proposal package

22
RESEARCH PROPOSAL PREPARATION
This is a suggested timeline with major
milestones outlined.
Key Partners Mentors, Collaborators Dept Chairs
Senior Faculty
Continuous ongoing feedback
Review concept and science and provide feedback
to investigator Dept Chairs approval is required
Review draft budget and draft proposal
application and provide feedback to investigator
PI
Develop research concept. Discuss
and Circulate.
Develop science based on feedback and discuss
project with RA.
Review guidelines and compliance
requirements. Develop budget with RA.
Complete proposal.
Investigator Submits Final Proposal to Sponsor
Submit proposal to GC/RO. Complete all protocols
and compliance requirements with the assistance
of RA.
Sponsors Funding Decision
4 Weeks
1 Week
2 Months
6 Months
Help investigator develop budget and seek
commitments, resources and required approvals.
Complete admin. part of proposal.
Help investigator complete all protocols and
compliance requirements.
Review funding alerts and announcements for
possible support for investigator.
Discuss upcoming research project with
investigator - notify GC/RO of intent to submit.
RA
Reviews proposal, certifies compliance
requirements and provides institutional signature
Review the budget
Not Funded
Consult with RA and investigator to develop
timeline that addresses proposal development,
resources, protocols, required approvals, and
budget.
Funded
Investigator makes submission- No go
decision
NOTE Planning and communication are key to
working with Central Admin Offices
Central Admin Staff GC and RO
Investigator reviews Summary Statement Investigato
r decides whether to resubmit
Central Admin. Staff negotiates award
Investigator manages research project
Investigator decides whether to revise
Revise proposal for resubmission /address
reviewers concerns from Summary Statement
PI Investigator or Principal Investigator GC
Grants Contracts Office (Medical School
Campus) RA Department/Grants/Division/Research
Administrators
RO Research Office (Hilltop Campus)
23
Identify Potential Funding Sources
  • Register in funding databases
  • http//www.cos.com
  • http//www.grants.gov
  • http//www.grantsnet.org
  • http//privatefundingsources.wustl.edu
  • Set up effective electronic funding alerts that
    target your specific interests

24
Identify Potential Funding Sources Cont.
  • Work with the Funding Resources Coordinator to
    explore all federal and private sources
  • Explore internal sources of funding
  • Explore young investigator funding sources and
    network with peers who have successfully applied
    for these grants
  • Consider becoming a subcontractor on someone
    elses grant

25
Proposal PreparationDeveloping the Budget
  • General Budgeting Guidelines
  • Average R01 budget of direct costs
  • 70 for personnel costs
  • 30 for non-personnel costs (e.g., supplies)
  • Be realistic about your project period
  • If it takes four years, propose four years
  • Research should dictate the budget, not the
    reverse

26
Proposal PreparationDeveloping the Budget
  • Budgeting General Guidelines Cont.
  • Think through the complete research project and
    include ALL costs in the proposed budget
  • (e.g., radioactive waste)
  • Involve your RA early in the budget process
  • Identify responsibilities and assign ownership
  • Cover Facilities and Administrative Cost (FA)
    and verify that it is calculated correctly

27
Committees that Review Compliance Issues and
Protocols
Topic Committee Animal Protection
Animal Studies Committee
(ASC) Financial Conflict of Interest
Disclosure Review Committee (DRC) Lab
Safety Environmental Health and Safety
(EHS) Radiation Safety Committee
Institutional Biological Chemical Safety
Committee (IBC) Patient Privacy
Protection HIPAA Office
28
Committees that Review Compliance Issues and
Protocols
Topic Committee Human Subject
Protection Human Studies
Committees (HSC) Material Transfer Agreements
Office of Technology Management (OTM) Scientific
Misconduct Research Integrity Committee
29
Key Strategies for Proposal Preparation
  • Partner With Department/School Administrator
  • Budget preparation
  • Submission of protocols and required approvals
  • Web tools (http//research.wustl.edu)
  • Link to writing resources, protocols and
    compliance
  • Link to agency guides and on-line forms
  • Link to Fastlane and other agency systems

30
Key Strategies for Proposal Preparation
Cont.
  • Consult Central Grant Administration
  • For interpretation of sponsor policies and
    guidelines
  • To formalize agreements with co-investigators

31
Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
32
Sponsors Funding Decision
  • What happens to your grant proposal once it has
    been submitted?
  • Proposals are usually evaluated by a peer review
    process
  • Successful senior faculty act as reviewers
  • Review teams usually have someone with knowledge
    in your specific area on the team
  • You will receive a summary statement with
    reviewers comments, questions and concerns as
    well as your score

33
Sponsors Funding Decision
  • JIT-Just in Time process (used by many sponsors)
  • Sponsor may ask you questions about
  • The science
  • Budget adjustments, budget justifications, cost
    analysis
  • Protocols information and approvals
  • RA and Central Administration Staff partners will
    help you respond
  • Positive situationYou are likely to receive the
    award if they ask for more information

34
Receive and Accept Awards
  • Washington University is the Official Awardee
  • Dont sign anything!
  • Only authorized institutional officials
    designated by the Chancellor may sign agreements
    and award documents.

35
Federal, industry and clinical trial agreements
are handled by specific Central Research
Administration Offices (see above)
36
Key Strategies for Receiving an Award
  • Read your award document each award is distinct!
  • Terms and conditions
  • Expectations and responsibilities
  • Compliance issues
  • Understand your responsibilities and the
    responsibilities of Central Research Staff
  • Know who will submit which report when over the
    life of the grant, e.g., finance report

37
Key Strategies for Receiving an Award Cont.
  • Funds are available only after compliance
    assurances have been approved and the project
    officially begins
  • Remember Expenditures support the scope of one
    specific research project

38
Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
39
Research Project Management
  • The investigator is responsible for
  • Directing all aspects of the research project
  • Conducting research in compliance with the terms
    and conditions of the award and all protocol
    approvals
  • Expending funds in accordance with sponsor and
    University policies and the approved budget
  • Monitoring the performance of all collaborators

40
Research Project Management Cont.
  • Hiring and managing personnel on the research
    team in compliance with award approval and WU
    Human Resources policies and according to the
    project schedule
  • Managing relationships to facilitate research
    project
  • Submitting Timely technical Reports

41
RESEARCH PROJECT MANAGEMENT
  • WU RESEARCH ADMINISTRATOR (RA)
  • Provides departmental assistance to support
    investigators
  • research activities
  • Assists in proposal preparation
  • Handles Investigator accounting
  • Salary Authorization Reports
  • Quarterly Expenditure Reports
  • Payroll
  • Purchasing
  • PARS submission monitoring
  • WU INVESTIGATOR
  • Designs and conducts research projects
  • Makes scientific and budgetary decisions, and
    follows
  • University guidelines
  • Writes and submits progress reports as
    scheduled
  • Approves expenditures in accordance with the
    approved
  • budget or as allowed by agency and
    University
  • guidelines
  • Completes personnel activity reports (PARS) as
    required
  • by the federal government

Discussion Feedback Revisions Review Decisions App
roves
  • WU Research Administrative Offices
  • Provides advice, counsel and oversight
  • Grants Contract (GC)-Medical School Campus
  • Research Office (RO)-Hilltop Campus
  • Sponsored Projects Accounting (SPA)
  • Office of Technology Management (OTM)
  • SPONSOR
  • PROGRAM ADMINISTRATOR
  • Initiates/encourages interest in area of
    scientific
  • importance to the institutes mission
  • Monitors the peer review process
  • Prepares funding recommendations
  • Reviews yearly progress of grants
  • Prepares program reports (e.g., budget
    justifications,
  • scientific achievements)
  • SPONSOR
  • GRANTS MANAGEMENT SPECIALIST
  • Analyzes grant application budgets and other
    grant-related
  • information
  • Interprets federal regulations and policies
  • Assures compliance by grantee
  • Awards grant funds
  • Reviews and responds to grantee requests or
    identifies
  • need for other grant changes

This is the typical structure of a sponsoring
organization. RA Research/Department/Division/Gra
nts Administrators
42
Expend Funds in Accordance with WU and Sponsor
Policies
  • Federal
  • OMB Circular A-21 (costing)
  • OMB Circular A-110 (administrative)
  • NIH Grants Policy Statement
  • NSF Grants Policy Manual
  • Institutional (WU)
  • WU Direct Charging Policies (general)
  • Specific policies and procedures (travel, NIH
    Cap)

43
Expend Funds in Accordance with WU and Sponsor
Policies
  • Costs are required to be
  • Reasonable - goods or services involved and the
    amount reflect the action of a prudent person
  • Allocable - incurred solely for the benefit of
    the project
  • Allowable - allowable under the terms of the
    agreement and sponsors guidelines

44
Direct Costs
  • Definition Costs that can be specifically
    identified to a particular project or program
  • Salaries and fringe benefits
  • Travel
  • Equipment
  • Supplies
  • Sub-agreements
  • Patient care

45
Unallowable Costs
  • Costs that are not reasonable and not directly
    allocable to the project
  • Costs specifically deemed unallowable by the
    sponsor - Examples include
  • Advertising
  • Alcohol Food
  • Charitable Contributions
  • Entertainment
  • Paper
  • Printer toner
  • Fines and Penalties
  • Deficits
  • Personal use of goods
  • or services
  • Office supplies

46
Facilities Administrative Costs(a.k.a.,
Indirect or Overhead)
  • Definition Costs that are incurred for common or
    joint objectives which cannot be specifically
    identified with a particular project
  • Applied as a percentage of direct costs (53 mtdc
    on-campus research)

47
What do FA dollars pay for?
  • Facilities
  • Heat, light A/C
  • Building maintenance
  • Building depreciation
  • Interest on building loans/bonds
  • Equipment depreciation
  • Library
  • Administrative
  • Chancellors, VPs and
  • Deans Offices
  • Human Resources
  • Payroll, A/P Purch.
  • Research Office SPA
  • Department Admin.

48
What is Effort Reporting?
  • An individual certifies that salaries charged to
    sponsored projects are reasonable in relation to
    the work performed

49
Faculty Effort
  • Total activity for which a faculty member is
    compensated by WU
  • Regardless of the number of hours actually worked
    (100 institutional effort)
  • No standard hours or work week
  • Effort varies from individual to individual

50
Effort Categories
  • Annual compensation paid by WU for a faculty
    members appointment, whether that individual's
    time is spent on
  • Organized Research
  • Instruction
  • Department Research
  • Patient Care (Clinical Care/Trials)
  • Graduate Medical Education
  • Department Administration
  • Management of Hospital Services

51
Effort Reporting, Cont.
  • Faculty/staff must review, modify if necessary,
    and certify that effort percentages are a
    reasonable estimate of the work performed
  • A Personal Activity Report (PAR) is sent to
    research faculty on a semi-annual or semester
    basis
  • The PAR is a legal document
  • Each department / division has a designated PAR
    Coordinator
  • PAR reports and the system are centrally
    maintained by SPA

52
NIH Salary Cap(only for applies to NIH grants)
  • The NIH caps salary on grants at a fixed level
  • (tied to federal pay scale)
  • Salary cap rate changes annually
  • Salary over the cap is considered cost sharing
  • Payroll system contains automatic edits for the
    cap

53
Key Strategies for Financial Management
  • Consult Your Research Administrator
  • Know what is being charged to your grant by
    carefully
  • reviewing the finance reports on a regular
    basis
  • Review and understand your monthly financial
    report
  • Know what are allowable and unallowable charges
    based
  • on federal and University policies
  • Know the policies and procedures for purchasing
    equipment
  • such as computers

54
Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
55
Project Closeout
  • Apply for extensions in a timely manner
  • Ensure timely submission of sub reports
  • Ensure investigator submits technical reports
  • Ensure investigator and OTM submit patent
    documents
  • Ensure Financial Status Reports are submitted by
    SPA
  • Ensure all costs associated with the project are
    charged to the fund

56
Project Closeout Cont.
  • Ensure all Cost sharing commitments are met
  • Account for property purchased on grant
  • Retain records for required period
  • Remember Federal agencies retain the right to
    recover
  • disallowances until final audit

57
Reasons a Research Project Ends
  • Research grants are closed out after expiration
    or terminated
  • if not extended. Reasons grants expire or are
    terminated include
  • Project ends
  • Project is unsuccessful in competition
  • Investigator dies
  • Investigator transfers to another
    institution
  • Investigator leaves research field
  • Project terminated for cause (e.g., misconduct,
    fraud, misuse of funds)
  • Research is successful (cures cancer)
  • Support withheld (lack of scientific progress,
    noncompliance)

58
Closeout Reports
  • Closeout includes the timely submission of
    required final reports
  • Most final reports are due 90 days after
    expiration or termination of research project
  • Types of Reports

59
Overdue Reports
  • Failure to submit reports in the time frame
    required may result in the following
  • Withholding of other awards to the investigator,
    the grantee institution or both
  • Converting grantee to reimbursable payment method
  • Auditing of grantee by federal agency
  • Notifying other federal agencies of any special
    conditions

60
Commercialize Research
  • Investigators should work with the Office of
    Technology Management (OTM) to ensure
  • They understand which technologies have
    commercial possibilities
  • Diagnostics, Magnetics, Plant Science, Research
    Tools, Therapeutics
  • Proper Lab-to-Lab Material Transfer
  • Proper Lab-to-Community patents, licensing

61
Record Retention
  • WU Policy on Record Retention
  • Financial records, supporting documentation,
    statistical records, and all other records shall
    be retained for a period
  • of three years from the date of submission.

62
Key Strategies forProject Closeout
  • The investigator should work with the department
    administrator to
  • Ensure early and frequent review for compliance
  • Know restrictions on extensions
  • Know reporting deadlines and adhere to them
  • Understand reporting requirements

63
Key Strategies for Project Closeout Cont.
  • The Investigator should work with the department
    administrator to ensure that
  • All costs associated with the project are charged
    to the fund
  • Cost sharing commitments are met
  • Any outstanding items are communicated to SPA
  • Files are purged and retain for the required
    period

64
Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
65
How It All Fits Together
Washington University
Research Education
Human Resource
Human Subjects Policies Education
Internal Audit
Schools/Departments
Human Subjects Procedures
Radiation Safety Procedures
Active Participation Annual Disclosures
Financial Management Reviewing Reports Human
Subjects Ed Animal Education EHS Training
Internal Audit
Animal Policies Education
PI
Environmental Health Safety Policies
Education
Environmental Health Safety Procedures
Research Administration Offices
Department Research Administrator
Conflict of Interest Policies
Review and Approve Protocols Pre-Award
Certification Award Negotiation Review Approvals
and Prior Approvals Provide Compliance
Education Monitor Compliance Set Policies Provide
tools Communicate Expectations
RCR Policies Education
RCR Procedures
Radiation Safety Policies Education
66
Did We Cover Everything?
Why Are We Here?
  • To clarify and discuss
  • Your role as an investigator in managing
    research programs
  • The role of the University in managing research
    programs
  • Key policies and regulations affecting your
    grants
  • Support available to you

Covered
Covered
Covered
Covered
67
QUESTIONS?
  • Answers

68
EVALUATION FORMS
  • Please turn in evaluation forms as you leave.

69
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