Introduction to Research Administration

1. Office of Sponsored Programs and Research November xx, 2013 Intro to Research Administration Introduction to Research Administration

2. What Is a Sponsored Project?Adapted from Univ of Pittsburgh A sponsored project is any research, scholarly or public service activity proposed by University faculty, staff or students and funded by an external source. The entity providing the funds is the sponsor. Sponsored projects have a specific scope of work, a time frame and a project budget. • Sponsored projects usually require financial and/or scientific/milestone progress reports. • Sponsored project agreements may impose terms that require legal liability.

3. Team Members • Dr. Rebecca Bullard –Dillard, School of Graduate Studies and Research • Nancy Riggs, Grant Development Coordinator • George Gillespie, IRB, Compliance, technology transfer, compliance/training coordinator-e.g. conflict of interest • Penny Locklear, Grants and Contract Accounting, Post Award • Cliff Sharpe , Graduate Assistant

4. The Office of Sponsored Research and Programs has a responsibility to the PI, University and the sponsor to make sure the project is conducted in accordance with all applicable regulations. Sometimes that puts us in the middle of some sticky situations as we try to balance everyone’s needs.

5. Core Service #1:Information Services • Links to searchable funding databases are on OSRP web site • Dissemination of information on funding sources and programs, agency policies, and other research- and sponsored project-related topics.

6. Status of Sponsored Programs • 25 Research Awards in place FY 13 • Federal, Foundation and State Agencies • $3.2M in Awards

7. Core Service #2:Project and Proposal Development Assistance • Provide resource materials and workshops on grants and contracts administration. • Give advice and guidance on proposal preparation if requested.

8. Core Service #3:Grants and Contracts Administration Provide clarification of sponsors' proposal guidelines and university requirements for sponsored funding. Review grant proposals for accuracy of institutional information and allowability of budget components and rates such as fringe benefits and indirect costs. Provide final pre-submission proposal review, compliance verification, and institutional signature by OSRP. Neither PI nor department chair can sign on behalf of the institution.

9. Core Service #3:Grants and Contracts Administration • Negotiation and acceptance of grant and contract awards. • Consult with other functional administrative offices, such as Cost Accounting, Technology Transfer (OSRP) and General Counsel, Intellectual Property Administration (non-disclosure, patents)

10. What is a Sponsored Project? • Sponsored projects are awarded to the UNCP, not to the Principal Investigator or University department. • Compliance issues are important.

11. Type of Sponsors • Federal Agencies • Other Government Agencies • Commercial/Corporate Philanthropic Organizations • National foundations (Ford, Kellogg, Robert Wood Johnson); Local: Brady Foundation • Voluntary Health Organizations are organizations that are disease or advocacy-related (American Cancer Society, Lupus Foundation, March of Dimes, National Cystic Fibrosis, American Heart Association)

12. Award Mechanisms Grant Contract Cooperative Agreement Subaward Gift Other types

13. Proposal Review and Submission Process Team effort among department administrator, PI and OSRP

14. Preparing a Grant Application Read the sponsor’s guidelines. The guidelines will tell you everything you need to know about the preparation of the proposal: required forms, format, type size, etc. If the proposal will be submitted electronically, download the application package and instructions.

15. Parts of Proposal • Budget and budget justification • Abstract • Narrative (done by PI) • Subaward documents if applicable • Completed face/cover page • Checklist page if applicable • Any other documents required by sponsor that OSRP needs to review and/or sign

16. Deadlines

17. Compliance For the conduct of research at the University, compliance involves adherence to a system of policies and regulations that prescribe standards for the use of federal grant money, and impose penalties or sanctions for any misbehaviors or non-compliance. _PRIOR PERMISSION FROM OSRP RegulationsPoliciesSponsorUniversity RulesDo This Don’t Do That Changes

18. Compliance—Financial Conflict of Interest • PI and other key personal certify/disclose any conflict of interest as their obligation. May need to be managed as conflict • Strict limitations on definition of “significant financial interest” and amount of outside income • Contact OSRP prior to contacting Program Officer so we can document changes in scope, personnel, budget category of where funds come from

19. Compliance—Use of Animals and Humans Federal regulations govern the use of human subjects, animal use, use of hazardous materials, radiation safety and human stem cell research. Involves principles of informed consent for humans Assures minimization of animal pain and distress in experimental procedures

20. Compliance—Use of Animals and Humans (cont.) Assures institutional & employee health and safety Must have prior approval from appropriate University committee before beginning the research but approvals can be pending at time of proposal submission

21. Compliance (cont.) Use of human subjects requires approval from • Institutional Review Board (IRB) • IRB approvals need to be updated every year

22. Negotiation of Award Terms Sometimes terms of award must be negotiated prior to acceptance of the award. These negotiations are done by OSRP on behalf of the University. We may need to consult PI, department administrator, Office of General Counsel and other central offices during this process. PI should not negotiate these terms.

23. Award Receipt and Administration

24. Award Receipt and Administration Congratulations. Your research has been funded. Now what? • Celebrate! • You will be contacted by our activation team as to what is needed to activate project • Send requested paperwork to OSRP. Account activation checklist on our web site:

25. Award Receipt and Administration (cont.) Grant Accounting is responsible for monitoring post-award expenditures, invoicing and financial compliance. However, OSRP is responsible for some administrative functions while the project is ongoing.

26. Award Receipt and Administration (cont.) A subaward is a legally binding agreement with another institution for that institution to perform a substantive portion of the research plan. A subaward involves collaboration and intellectual contribution from personnel at subaward site. A subaward agreement is written under the authority and is consistent with terms of prime award. Subawards can’t be made to individuals. OSPR authorizes issuance of subawards.

27. Award Receipt and Administration (cont.) Progress Reports/Multi-year awards: • Often require a technical progress report and/or a budget report before the next year’s funding is issued • Submit to OSRP a form, budget for the new year, sponsor forms that require an institutional signature • Can be paper or electronic depending on sponsor’s requirement—internal deadlines apply

28. Award Receipt and Administration (cont.) No-cost extensions (NCEs) Extends period of performance past original termination date without additional funds • Can be granted internally or externally, depending on sponsor’s requirements

29. Award Receipt and Administration (cont.) Project termination and closeout: • OSPR and/or Grants Accounting may need to sign certain documents, i.e. final technical report, final expenditure report, final invention report, relinquishing statement and equipment/asset inventory statement. Terms of award will state what is needed for closeout.

30. Need More Information? Office of Sponsored Research Research and Programs web site http://www.uncp.edu/osrp

31. Questions?