Faculty Orientation to Research September 18, 2012 UW Tower Auditorium University of Washington
WELCOME Mary Lidstrom, PhD Vice Provost for Research Jungers Professor of Chemical Engineering Professor of Microbiology
UW FACULTY & POST DOCS • 3rd annual faculty orientation • 722 new faculty & post docs in 2010-2012 • Transfers from other institutions • First faculty position • Training for a career in science & scholarly activities
WORLD LEADERS IN RESEARCH At the UW, innovation and discovery have come naturally to us for the past 150 years. We are part of a remarkably progressive, open-minded culture that will continue to shape the way the rest of the world thinks and works.
WE ARE: World leaders in research One of the most successful public research universities in the nation in attracting support for our research Innovative & collaborative Impacting our community, nation and the world
UW OF THE 21st CENTURY • 2Y2D – Two Years to Two Decades Initiative • Our shared future depends on choices we make today. • If we manage change rather than letting change manage us, the UW will emerge from the current economic crisis strong and well-positioned for the future. • Driven by our strategic priorities: quality, mission, solving society’s biggest problems
WHAT WILL THE FUTURE LOOK LIKE? More competitive, collaborative, technology-reliant, nimble, and diversified.
HOW DO WE GET THERE? • Sustainable Academic Business Plan • Align our activities with our strategic priorities • Position the UW for the future • Long-term goals • Sustain, Compete, Transform • Near-term goals • Increase competitiveness • Foster innovation • Enable collaboration and leverage
ROLE OF RESEARCH • UW highly competitive for external research funds: $1.47B last year • Supports both graduate and undergraduate students in experiential learning • Major economic driver for the state • Enables high-level discovery that contributes to our knowledge base and our reputation KEY TO OUR COMPETITIVENESS
WE ARE HERE TO HELP Offices presenting today are part of the central oversight and support for your research enterprise. We will work with you to ensure your projects meet sponsor requirements, state & federal law, and UW policy.
CENTRAL RESEARCH SUPPORT • Preparing and submitting proposals • Office of Sponsored Programs (OSP) • Approval support offices • Human Subjects Division (HSD) • Office of Animal Welfare (OAW) • Environmental Health & Safety (EH&S) • Clinical Research Budgeting and Billing (CRBB) • Office of Research–Financial Conflict of Interest (FCOI) • Obtaining and managing awards • Office of Sponsored Programs (OSP) • Grant and Contract Accounting (GCA) • Commercialization • Center for Commercialization (C4C)
TODAY’S SPEAKERS Office of Sponsored Programs– Carol Rhodes Grant & Contract Accounting - Tami Sadusky Office of Research Information Services – Jim Kresl
RESOURCES AVAILABLE • Resource tables are located in the back of the auditorium & lobby area. Please collect materials you feel can assist you in creating successful research projects. • This PowerPoint deck and video webcast will be posted on the OSP website next week. • Online Evaluation: please tell us how we did! • Email will be sent to you after the event
OFFICE OF SPONSORED PROGRAMS (OSP) Carol Rhodes, Interim Director
OSP MISSION The Office of Sponsored Programs, a unit in the Office of Research, supports and advises the entire academic community in reviewing and submitting proposals for externally funded sponsored projects and collaborations. We review, negotiate, approve, and provide administrative oversight related to proposals and establishment of awards on behalf of the University of Washington in accordance with all applicable policies, and regulations.
OSP RESPONSIBILITIES How Do We Support You? Review and approve proposals Submit electronic proposals Negotiate and sign awards and subcontracts Liaison with sponsor for award life Coordinate close-out of awards Implement Grant & Contract policies (financial, legal, and regulatory) Provide customersupport to UW faculty and staff
OSP STRUCTURE Each unit on campus assigned to Team A,Team B or Team C (also reviews all clinical trials). Subcontracts Team manages all outgoing subcontracts and required reporting Team Structure: Administrator Grant & Contract Coordinator Program Coordinator
Business Sections GIM 19 Final Version by Day – 7 Scope of Work Draft Version by Day – 7 Final Version by Day - 3 • Description of the Research • (The Science) Face Page List of Personnel Biosketches Budget Budget Justification Checklist Required Additional Information
PROPOSAL BUSINESS PROCESS 1. Identify sponsor & complete application. Hints: read & follow instructions, contact your OSP admin if you have questions 2. Fill in SAGE eGC1, attach application & route for internal approvals 3. Review & approve by OSP OSP will work with PI & Dept to ensure the best application can be submitted to the sponsor 4. Submit application per sponsor instructions • Application is submitted by OSP/PI • Via electronic, paper, web formats
AWARD BUSINESS PROCESS • Sponsor may notify PI or OSP that application is fundable, or PI/OSP may need to search award data bases. • Award documents arrive • OSP negotiates & accepts award (exceptions) • OSP creates eFA and sends to GCA
ADMINISTRATIVE BUSINESS PROCESS Advanced Budgets (if allowed by sponsor) Modification to an award (PI, dates, re-budgeting, etc.) must be processed by OSP and may require sponsor approval No-Cost Extensions Sub-Awards are made by OSP to outside organizations
SPONSORED PROGRAMPOLICY GIMs (Grant Information Memoranda) • Provide policy and guidance on submitting and managing awards • Linked from the OSP Home page • Currently “Under Construction”
OSP HINTS • Contact your OSP Team early in the process with questions. • What does the PI sign? Nothing that will create liability or commitment • What does OSP sign? Anything that commits the institution
OSP RESOURCES • Grants Information Memoranda (GIM) • OSP Web Page • Researcher’s Guide • Monthly Research Administration Meetings (MRAM) • Subscribe to List Serve - get meeting announcements & email updates • MRAM Web site • Monthly in-person updates to campus
GRANT AND CONTRACT ACCOUNTINGPost Award Administration Tami Sadusky, Executive Director, Grant and Contract Accounting/Equipment Inventory Office, Finance and Facilities
Finance & FacilitiesRESEARCH ACCOUNTING & ANALYSIS (RAA) RAA Mission: We help people who change the world
GCA RESPONSIBILITIES • How do we support you? • Set up grant and contract budgets in the University’s Financial Accounting System (FAS) • Prepare and submit required invoices and financial reports to sponsoring agencies • Manage incoming payments from grant and contract sponsors • Provide guidance in areas of financial compliance • Coordinate financial close-out of budgets • Work with Internal Audit on all grant related audits • Provide support to UW faculty and staff
GCA Structure Fiscal Analysts handle core processes: Budget set up – Invoicing Reporting – Closing Cash Team handles grant and contract related cash receipts and refunds Grant Analysts handle all campus communication including outreach and training
POST AWARD PROCESS-GCA Proposal & Award Process Assignment of Budget Numbers Receipt and processing of eFA (Electronic Funding Action) Active Grant Period Expenditure Allowability Payment requests to sponsors Interim Fiscal Reporting Academic Dept/Office of Sponsored Programs External to Grant and Contract Accounting Audits Closing Fiscal Reporting
SPONSORED PROJECT LIFECYCLE StepsResponsible Party Identify funding PI Prepare proposal PI & Department Staff Review and submit proposal PI& Office of Sponsored Program (OSP) Negotiate and accept award OSP Set up budget Grant & Contract Accounting (GCA) Perform work PI Financial management PI, Department Staff, GCA Technical reporting PI Monitor activity PI & Department Staff Invoice and collect payments GCA Monitor accounts receivable GCA & Department Staff Close-out award PI, Department Staff, GCA & OSP
THE BUDGET Provides the framework for financial compliance The budget plan is the financial expression of the project or program as approved during the award process Budget = estimated cost to conduct the project, the ‘proposal budget’ Budget = an account number established in the financial accounting system to accumulate expenses and revenue associated with a funded project
DIRECT COSTS Costs that can be specifically identified to the work performedunder a sponsored project and which may be directly charged to those agreements. Salaries, Wages, and Fringe Benefits Supplies and Materials Equipment
FACILITIES & ADMINISTRATION COSTS Cost that cannot be specifically identified to a sponsored project are normally considered administrative costs, infrastructure costs or costs that benefit multiple projects • Administrative and Clerical salaries • Basic local phone service • Office supplies • Routine copying charges
How to Apply the Policies University and State Financial Policies Public Laws Award Terms Program Announcement Sponsor Specific Terms & Conditions FederalPolicies OMB Circulars A-21, A-110 and A-133
PI / DEPARTMENT RESPONSIBILITIES Assistance in fiscal reporting, invoicing and closing Fiscal compliance, effective internal controls and separation of duties Deficit resolution Records retention Faculty Effort Certifications (FEC) Address problems related to fiscal activities promptly
Recommendations Know what is in your award document and read it Take a proactive approach to grant management Adhere to University, State, Federal and Sponsor policies and regulations Establish proper financial accountability structure Ensure proper financial management with attention to data integrity
GCA RESOURCES • GCA Web Page http://f2.washington.edu/fm/gca/ • GCA email/phone: firstname.lastname@example.org 206-616-9995 • Grant Tracker http://www.washington.edu/research/gca/budget/granttracker.html • Researcher’s Guide http://www.washington.edu/research/guide/index.php • Monthly Research Administration Meetings (MRAM) http://f2.washington.edu/fm/gca/mram • Grants Information Memoranda (GIMs) http://www.washington.edu/research/?page=osppolicy
Office of Research Information Services (ORIS) Jim Kresl Assistant Vice Provost for Research Director of ORIS
ORIS VISION • Create an integrated information management system that will enhance the ability of faculty, administrators, and staff at UW to procure and administer research grants and contracts.
ORIS MISSION Coordinate, develop, and support electronic research administration for faculty and staff.
ORIS GOALS Improve services to Principal Investigators and staff by: • Enhancing your ability to obtain funding • Reducing your administrative workload • Streamlining the proposal process
SAGE Systemto Administer Grants Electronically • Use SAGE to: • Prepare, submit, and track your grant proposals • Route your proposal for online review and approval • Build your budget using a tool integrated with payroll systems and customized to comply with UW research and accounting rules • Request advance budgets on approved projects
Resources Available: Training User Guide email@example.com
FIDS Financial Interest Disclosure System • FIDS makes the significant financial interest (SFI) disclosure process electronic and seamlessly integrates with SAGE to allow PIs and administrators to easily track compliance. • Use FIDS to: • Submit significant financial interest (SFI) and travel disclosures • Track the review status of SFI disclosures