Introduction to Research Administration at ECU

1. Introduction to Research Administration at ECU Presented by the Office of Sponsored Programs

2. Research Administration Research Administration includes those university departments and individuals who work together towards a common goal to enhance faculty and staff success in obtaining external funding for research, training and service activities and to assist in the management of their awards.

3. The Many Faces of RA @ ECU

4. Packet of Information • Handout of this Presentation • Copy of Internal Forms • Sample Scope of Work (SOW) • Sample Terms and Conditions (T&C) • Quick Reference Contact List • DRA Directory

5. Definition of a… • Departmental Research Administrator or DRA: An employee responsible for providing administrative support of one or more sponsored projects. • Sponsored Project: • Any project supported with funds from an external agency, i.e., federal, state, non-profit, private, etc. • Normally contractual in nature awarded thru a grant, cooperative agreement, contracts, subawards or subcontracts.

6. Overview of the Roles & Responsibilities of a Departmental Research Administrator

7. Pre-Award • First line of review before proposal is routed for approvals and submitted to OSP • Assists PIs with funding searches • Communicates PIs intent to apply to OSP • Obtains and reviews sponsor guidelines/forms • Prepares and/or assists with budget & other documents

8. Pre-Award Continued • Ensures departmental resources committed are acceptable • Coordinates and communicates with PI to understand relationship between project goals and resources • Prepares and/or reviews Internal Processing Form (IPF) and other internal documents • Acquires departmental approvals

9. PI DRA Co-PI (2) Chair Co-PI (4) Chair Co-PI (3) Chair Co-PI (1) Chair Co-PI (4) Dean Co-PI (3) Dean Co-PI (2) Dean Co-PI (1) Dean PI Chair/Dept Head PI Dean OSP Sponsor Pre-Award Proposal Approval Flowchart

10. Post-Award R&R • Assists PI with management of grant budget • Expedites documentation for purchases • Reconciles monthly ledgers of expenditures • Assists with documentation of mandatory cost sharing and/or match • Provides information to resolve overdrafts

11. Post-Award R&R Continued • Assists with recruitment, appointment and effort reporting for personnel • Assists PIs with compiling information for final financial report • Provides information for closing reports • Assists PI with development of continuation or renewal proposals • Provides department-level training

12. Overview of the Roles & Responsibilities of a Principle Investigator (PI)

13. Principle Investigator (PI) R&R • Reviews sponsor’s program guidelines • Prepares proposal, budget & other materials • Identifies subrecipients and consultants • Requests cost sharing, if required • Satisfies regulatory research requirements (use of human subjects, animals, chemical, tech transfer) • Reviews and signs Internal Processing Form (IPF), multi-disciplinary form and conflict of interest certification (if applicable) • Assures final proposal is endorsed and submitted

14. PI R&R • Negotiates and approves project scope (See sample SOW) • Reviews and approves of terms & conditions of award (See sample T&C) • Conducts the research • Oversees scientific integrity of project. Is familiar with University academic fraud policy (PDF) and brings to Dean’s attention any allegations of academic fraud or scientific misconduct. Dean’s office makes a determination as to the merit of the allegations.

15. PI R&R • Oversees that project technical requirements and allocation of resources are fully understood by all parties • Oversees budget management • Authorizes all expenditures, cost transfers, rebudgeting • Manages project personnel • Oversees scope of work and authorizes payments to consultants and subrecipients • Discloses inventions, discoveries, improvements to Tech Transfer Office

16. PI R&R • Completes interim and final technical reports • Updates assurances and prepares disclosure form of any conflict of interest develops • Signs certification statements for effort reporting • Provides oversight for rebudgeting, cost transfers, and carry forwards • Provides information on closing reports • Prepares continuation or renewal proposal • Retains project data and materials as required

17. Overview of the Roles & Responsibilities of the Office of Sponsored Programs (Pre-Award) http://www.research2.ecu.edu/osp/

18. OSP R&R • Provide services to the university that facilitate the acquisition of external funding for sponsored projects in research, creative activity, instruction, and public service • Protect the interests of the University • Facilitate the effective and efficient execution of sponsored projects • Ensure a uniform, streamlined administrative process for grants and contracts

19. Proposal Development Process

20. OSP R&R • Act as signature authority • Only OSP is the “Authorized Representative” on ALL grants and contracts • Submit proposals to sponsors electronically via grants.gov, fastlane, e-commons, etc. • Ensure all grants and contracts are in compliance and consistent with university policies, federal & state laws, and sponsor guidelines • Act as a liaison with sponsors – negotiation burden

21. OSP R&R • Track all awards & submissions • Write subcontracts, amendments, modifications • Provide Research Administration training • Departmental Research Administrators • Principle Investigator • Program Specific • Develop and maintain partnerships with sponsors

22. Overview of the Roles & Responsibilities of the Grants and Contracts Office (Post-Award) http://www.ecu.edu/cs-admin/financial_serv/index-grantsandcontracts.cfm

23. G&C R&R • Responsible for post-award administration and financial management of all grants and contracts awarded to ECU • Assigns account number and sets up line-item budget • Submits/approves invoices of expenditures to sponsor • Responsible for all financial reporting to sponsoring agencies

24. G&C R&R • Coordinate all audit matters relative to sponsored activities • Assist PI and DRA with rebudgeting • Monitors all subcontract/subrecipient budgets • Tracks cost share and third party match • Responsible for monitoring, certification and reporting of time & effort • Submit interim and final invoice and reports as mandated by sponsor • Close out awards @ ECU and w/Sponsor

25. G&C Contacts Kathleen Hall, Director Ella Arnette-Barrett, Accountant Steve Ayers, Accountant Melissa Thorne, Accountant Grants and ContractsEast Carolina UniversityGreenville Centre, Suite 29002200 S. Charles BoulevardGreenville, NC 27858-4353Phone: 252-328-9530Fax: 252-328-0769 http://www.ecu.edu/cs-admin/financial_serv/index-grantsandcontracts.cfm

26. PI Dean DRA PI PI Chair PI DRA Grants & Contracts Grants & Contracts OSP OSP Post-Award Flowchart Sponsor Makes Award

27. Overview of the Support Offices IRB IACUC Environmental Health & Safety Tech Transfer

28. Institutional Review Board The primary function of the IRB is to protect the Rights and welfare of human subjects engaged in research at ECU, BSOM and PCMH and their affiliates, and in research conducted elsewhere by faculty, students, staff or other representatives of the University in connection with their responsibilities. This mission is accomplished by an institutional commitment to education and establishment of a collaborative relationship with the researchers and key support staff.

29. IRB Contact Denise L. Brigham, RN, CCRC, CIP Administrative DirectorPhone 252-744-1971Fax 252-744-2284brighamd@ecu.edu http://www.ecu.edu/irb/

30. Institutional Animal Care and Use Committee The use of animals is essential to the teaching, extension, and research missions of ECU. Significant benefits to the health and welfare of both animals and humans have resulted from animal use in research, and continued use is crucial to future advancements. The IACUC fosters compliance through facilitating the Efforts employed by the institutions scientists and instructors in the utilization of the animal model in research, education and other scholarly pursuits.

31. IACUC Contact IACUC CoordinatorMs. Janine Davenportdavenportp@ecu.edu252-744-2436 http://www.ecu.edu/iacuc/

32. Environmental Health and Safety Monitors use of Biological Hazards, Radioactive Materials, and other Chemical Hazards used in research and development. EH&S develops policy manuals and training programs that ensure campus safety, environmental sustainability and regulatory compliance. The School of Medicine's Office of Prospective Health manages biological safety, radiation safety, infection control and employee health.

33. Environmental Health Contact Environmental Health and Safety Bill Koch 210 E. 4th StreetGreenville, NC 27858(252) 328-6166safety@ecu.edu http://www.ecu.edu/oehs/

34. Office of Technology Transfer The mission of the Office of Technology Transfer (OTT) is to promote innovation, enhance research, and facilitate economic development through protecting and commercializing intellectual property in an efficient and effective manner that benefits the University, the region, and the society as a whole.OTT serves as an educational resource on intellectual property and licensing matters and manages the University’s portfolio of patents and licenses.

35. OTT Contact Office of Technology Transfer Mark Foley or Marti Van ScottGreenville Centre, Room 24002200 South Charles BoulevardGreenville, NC 27858-4353 USA252.328.9549 http://www.research2.ecu.edu/ott/

36. OSP Contacts • East Campus • Melody Bentz, Grants & Contracts Officer, 328-9537, bentzm@ecu.edu • Rick Smiley, Grants & Contracts Officer, 328-9536, smileyr@ecu.edu • Beth Eslick, Grants & Contracts Officer, 744-1847, eslicke@ecu.edu

37. Corporate & Foundations The university contact for Corporate Philanthropy and Foundations is: Sharon Hamilton Director, Corporate & Foundation Relations 252.328.8550 hamiltons@ecu.edu http://www.ecu.edu/cs-admin/devt/ Corporate-Foundation-Home-Page.cfm