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Grants and Contracts: Who, What, When, Where, Why, How

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Grants and Contracts: Who, What, When, Where, Why, How Louise Nuttle, Ph.D. Director, Sponsored Programs Donna Szabo, J.D. Associate Director for Contract Management – PowerPoint PPT presentation

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Title: Grants and Contracts: Who, What, When, Where, Why, How


1
Grants and ContractsWho, What, When, Where,
Why, How
  • Louise Nuttle, Ph.D.
  • Director, Sponsored Programs
  • Donna Szabo, J.D.
  • Associate Director for Contract Management

2
What, Where
  • Office of Research and Sponsored
  • Programs Administration
  • (aka ORSPA)
  • Ada Earnest House
  • http//www.etsu.edu/research/orspa.htm
  • Phone 9-6000
  • Fax 9-6050
  • Email research_at_etsu.edu

3
Who
  • Cynthia Hardin
  • Assoc Director
  • Sponsored Programs
  • 9-6051
  • Carole Thomason
  • IT Coordinator
  • 9-6059
  • Joanna Simmons
  • Information Research
  • Technician
  • 9-6052
  • Louise Nuttle
  • Director
  • 9-6049
  • Donna Szabo
  • Assoc Director
  • Contract Management
  • 9-6045
  • Mary James
  • Grants and Contracts
  • Specialist
  • 9-6048

4
(No Transcript)
5
Mission
  • To promote and support scholarly activities...by
    administering external support for research,
    instruction, and service programs, and providing
    professional development opportunities for
    faculty, staff and students.

6
What
  • Sponsored programs are any projects supported by
    extramural funds received by the University as a
    result of some formal communication such as a
    letter, application, or written proposal signed
    and submitted by an authorized University
    official.

7
What
  • General Characteristics
  • published application guidelines or procedures
  • restrictions on the use of funds
  • defined period of performance
  • formal financial reporting
  • specified staff performances and/or project
    outcomes (objectives, deliverables, or products)
  • reports related to the substance of the work

8
What
  • Grants and Contracts

9
What
  • Grant...
  • A grant is an award of funds or property, based
    on an approved budget or formula,.
  • Ideas originate from and are defined by the
    applicant.
  • Generally, the scope of work supported by a grant
    is more flexible than that supported by a
    contract.

10
What
  • Contract...
  • A contract is a formal, legal agreement between
    two or more parties.
  • Contracts between universities and other parties
    are generally agreements to perform a service or
    deliver products or goods within a specified
    period of time for an agreed-to price.
  • Scope and deliverables are set by sponsor.

11
What (not)
  • Gifts...
  • Donor specifies the general program or research
    the money is given to support
  • No defined budget
  • No formal reports on how the money was spent or
    the research the money supported.
  • The Chief Development Officer is authorized by
    the President to accept gifts on behalf of the
    University, subject to review and confirmation by
    the President.

12
(No Transcript)
13
Other Whats
  • PI Principal Investigator
  • Co-PI Co-Principal Investigator
  • PD Project Director
  • Co-I Co-Investigator

14
Other Whats
  • RFA Request for Application
  • RFP Request for Proposal
  • PA Program Announcement

15
Other Whats
  • ORSPA unique internal identifier
  • Banner Index account number

16
Other Whats
  • NIH National Institutes of Health
  • NSF National Science Foundation
  • HRSA Health Resources and Services
    Administration
  • CDC Centers for Disease Control
  • AHA American Heart Association

17
Other Whats
  • Compliance Adherence to the rules and
    regulations set forth by the

18
(No Transcript)
19
Compliance...
  • Human Subject Protection
  • Animal Care and Use
  • Radiation Safety
  • Biosafety
  • Conflict of Interest
  • Export Controls
  • Intellectual Property Protection

20
Other Whats
  • MTA Material Transfer Agreement
  • MOU Memorandum of Understanding
  • IP Intellectual Property
  • CFDA Catalog of Federal Domestic Assistance
  • FA Finance and Administration
  • (Office of or costs)
  • IDC Indirect Costs (see FA costs)
  • More???

21
When...
  • Assist faculty and staff in the identification of
    appropriate and relevant funding opportunities
  • Assist faculty and staff in proposal and budget
    development
  • Review and coordinate the submission of all
    proposals to external sponsors
  • Process all awards from external sponsors
  • Negotiate and execute all sponsored agreements
  • Ensure the compliance of sponsored activities
    with all local, state and federal regulations

22
When
  • Basically, when you find yourself involved in
  • A grant proposal (including consortium proposals,
    i.e. subawards)
  • A sponsored agreement (contract) or a research
    agreement (e.g. MTA, Confidentiality Agreement)
  • An amendment, revision, extension, rebudget of an
    existing sponsored program

23
Why...
  • All awards - grant or contract - are made to
    the University, not to the PI, to the department,
    or to the college.

24
HOW????
  • Proposal Routing and Submission
  • Contract Routing and Execution
  • Post-Award Modifications

25
  • http//www.etsu.edu/research/orspa.htm

26
Proposal
Grant
Contract
27
Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Institutional Review / Approval
Submission
Award
Project Management / Closeout
28
Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Institutional Review / Approval
Submission
Award
Project Management / Closeout
29
Concept
The Proposal Lifecycle
  • ORSPA
  • COS
  • Foundation Directory Online
  • Listserves and Auto-Alerts
  • ORSPA Website

Sponsor Identification
Proposal Development
Contact Carole Thomason
Institutional Review / Approval
Submission
Award
Project Management / Closeout
30
(No Transcript)
31
Concept
The Proposal Lifecycle
Sponsor Identification
  • ORSPA
  • Sponsor Guidelines and Forms
  • Budget Development
  • Inter-Institutional Consortia

Proposal Development
Institutional Review / Approval
Contact Cynthia Hardin Mary James
Submission
Award
Project Management / Closeout
32
(No Transcript)
33
(No Transcript)
34
Concept
The Proposal Lifecycle
Sponsor Identification
  • Principal Investigator
  • Department
  • College
  • ORSPA
  • (VP and/or President)

Proposal Development
  • ORSPA
  • Internal Routing Form
  • Indirect Cost Reduction Req
  • Conflict of Interest

Institutional Review / Approval
  • IRB
  • UACAC
  • Biosafety Committee
  • Radiation Safety

Submission
Contact Mary James Joanna Simmons
Award
Project Management / Closeout
35
(No Transcript)
36
The Internal Routing Form
37
Proposal Routing
PI
Dept Chair
Usually includes finance office review
Dean
ORSPA
(directly or via PI)
Sponsor
38
Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Institutional Review / Approval
  • ORSPA
  • Grants.gov
  • NSF FastLane
  • Inter-Institutional Applications

Submission
  • ORSPA
  • Just-In-Time information
  • Budget Negotiations

Award
Contact Cynthia Hardin Mary James
Contact Louise Nuttle
Project Management / Closeout
39
(No Transcript)
40
Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Institutional Review / Approval
Submission
  • ORSPA
  • Proposal Tracking
  • Account Request
  • Compliance Review

Contact Mary James
Award
Project Management / Closeout
41
Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Contact Louise Nuttle Cynthia Hardin Donna Szabo
Institutional Review / Approval
  • ORSPA
  • Rebudgeting
  • No-Cost Extensions
  • Amendments
  • Subaward agreements
  • Change in PI or other Key
  • Personnel

Submission
Award
Project Management / Closeout
42
Post-Award Requests
  • Request to Rebudget
  • Request for No-Cost Extension
  • Request for Subaward Agreement
  • Request to Change PI

43
(No Transcript)
44
Subawards
Serves as the basis for the establishment of the
subaward agreement
  • Terms and Conditions
  • Contact info
  • Budget
  • Scope of Work
  • Prime Award

45
Change in PI...
Ensures compliance with sponsor's requirements
for mid-project changes to PI and/or key personnel
  • Justification
  • Approval
  • Compliance (IRB, UCAC, COI...)

46
Proposal
Grant
Contract
47
The Contract Lifecycle
CONTRACT
Business Plan
Technical Plan
Review and Negotiation of Terms
Compliance Review/Approval
Budget Review
Internal Routing and Approval
Execution
Project Management / Closeout
48
The Contract Lifecycle
CONTRACT
Business Plan
Technical Plan
Review and Negotiation of Terms
Compliance Review/Approval
Contact Donna Szabo
Budget Review
Internal Routing and Approval
Execution
Project Management / Closeout
49
The Contract Lifecycle
CONTRACT
Business Plan
Technical Plan
Review and Negotiation of Terms
Compliance Review/Approval
Contact Cynthia Hardin Mary James
Budget Review
Internal Routing and Approval
Execution
Project Management / Closeout
50
The Contract Lifecycle
CONTRACT
Business Plan
Technical Plan
Review and Negotiation of Terms
Compliance Review/Approval
Budget Review
Internal Routing Form
Internal Routing and Approval
Execution
Project Management / Closeout
51
Internal Routing Sheet
  • New Project
  • New Scope of Work
  • New time period
  • New ORSPA Number
  • New Banner Index

52
Contract Routing (the old way)
PI
Dept Chair
Usually involves finance office review
Dean
Procurement (Kathy Kelley)
ORSPA
Sponsor
President or VP
For Health Sciences this is FA
53
Routing Sponsored and other Research-Related
Agreements
PI
Dept Chair
Dean
ORSPA
Sponsor
Usually involves finance office review
54
Contract Routing Form
  • Existing Project (ORSPA )
  • Amendment of terms (dates, dollars, scope, etc.)
  • Same ORSPA Number
  • Same Banner Index

55
  • Questions???
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