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Functions and Workflow of the Office of Grant & Contract Administration Presentation to the Research Council 11/3/06. Mission of OGCA .

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Functions and Workflow of the Office of Grant & Contract AdministrationPresentation to the Research Council 11/3/06

mission of ogca
Mission of OGCA
  • OGCA is dedicated to faculty service in the identification of funding sources, proposal development and submission, and the administration of awards through project closeout. OGCA maintains an open-door philosophy. Since OGCA is both a service-oriented office and a clearinghouse for assuring adherence to University- and sponsor-imposed standards and policies, staff must carefully balance these roles.
pre award staff job responsibilities
Pre-award Staff Job Responsibilities
  • Pre award staff are responsible for keeping apprised of sponsor policies, procedures and changes affecting proposal development and submission
  • Learning and providing assistance to faculty in all of the various electronic submission systems and their unique requirements
  • Proposal development assistance to the PIs
  • Proposal review
  • Coordination of proposal to review committees for compliance issues (IRB, IACUC, biohazards, rDNA, etc.)
  • Subcontractor documentation
  • Coordination of submission process
  • Revised budget and budget impact statement review
  • Just In Time (JIT) request coordination with sponsoring agencies
  • Pre-award desk audit request coordination with sponsoring agencies
  • Participation in training events
  • Participation in web tool development
  • Membership and occasional travel to professional society meetings (Society of Research Administrators (SRA) or National Council of Research Administrators (NCURA)
proposal flow chart
Proposal Flow Chart

PI works with OGCA for

identification of funding

sources and other

proposal development


PI completes proposal

and routes the proposal

and IPF through the

required signature


Proposal logged in at

OGCA reception desk,

checked for completeness,

initial data entry

into database.

Provide PI with

receipt & OGCA #

Proposal Clerk

for file preparation,

data entry of staff

assignment, proposal

location and recording

of due date

Reprographics Clerk

xerox, packaging and

mailing hard copy

submission. Internal

Distribution Copies.

Data entry for

Proposal submission log

Director for final

approval & signature


electronic submission

to sponsoring agency

Proposal Clerk for


cover letter generation,

mailing label or

preparation for electronic


Pre-award Research

Admin. for guideline


proposal review,

corrections, and

setting up for submission

and signature process

Proposal Clerk for Data


follow up

Correspondence and

IPF signatures

Filing cabinet to

await sponsor reply

governing rules for proposal process
Governing Rules for Proposal Process
  • Trustee Policy T94-034 (Appendix )
  • University Policies i.e. personnel, conflict of interest, travel, cost accounting for administrative costs and cost sharing, equipment fabrication, PI/Co-PI Policy, etc.
  • OMB A-21
  • Specific sponsor guidelines, RFP Terms
what does ogca review
What does OGCA Review?
  • Review of proposal guidelines to insure proposal compliance. Determine if the RFP or proposal guidelines contain terms and conditions that must be addressed at proposal stage. Evaluate whether the proposal is hard copy submission, electronic submission or both. Determine if there are any special budget restrictions or cost share requirements.
  • Technical review for commitments on behalf of other individuals/institutions and whether we have appropriate documentation, compliance issues (i.e. animal care, human subjects, bio-hazardous materials, recombinant DNA), commitments beyond the end of the proposal period, cost share not identified in the budget, conflict of interest situations or nepotism issues, space/facilities concerns
  • Budget Review: Are costs reasonable, allowable (per UMass policy, OMB A-21 and the sponsors specific guidelines) and allocable to the project? Have appropriate salary and fringe benefit rates been applied, is the % of effort reasonable, have reasonable COLA’s been factored in, is the appropriate indirect cost rate used, does the budget add up, is there a proper budget justification in place, is there cost share and is it required, appropriate, within the same period of the proposal performance period, and allowable? Is there a subcontract and do we have the subcontractor’s, statement of work, budget, institutional sign off and all certifications as required by the sponsor?
  • Determine if the proposal is complete and in compliance with the sponsor guidelines.
  • Verify that the IPF reflects the correct due date, sponsor address, compliance fields filled in correctly, all Co-PI’s identified and signed off as appropriate, verify that the space committed in the proposal is approved, review specifically the answers to conflict of interest and lobbying to make sure that all disclosures are made.
  • Review of system requirements and proposal procedures of all electronic submission portals
  • Determine what certifications if any must accompany the proposal
how does ogca ensure that deadlines are met
How Does OGCA Ensure That Deadlines Are Met?
  • Through the OGCA staff-developed Jordan database, our programmer has developed many tools to assist OGCA’s staff in monitoring workflow and file management/movement. Deadline lists are uploaded on all staff computers every day upon initial log in. (See next page for a sample deadline list.) In addition to the deadline list, a “hotsheet” is also generated daily to keep track, in real time, of where a deadline proposal is in the process.
grant contract administrator responsibilities post award
Grant & Contract Administrator Responsibilities (Post award)
  • Pre-establishment of accounts
  • Knowledge of University policies, State Law, OMB A-110 and sponsor policies which affect the negotiation and acceptability of terms and conditions to the University of Massachusetts
  • Award review and negotiation of terms and conditions
  • Initiation of MOU process, Principal Investigator Award Agreement, other required award documentation
  • Preparation of award budget and project characteristics for data entry into Jordan/GAMS system for “pull through” to Peoplesoft
  • Preparation of the award package for Director’s acceptance and signature
  • Liaison with the Controller’s Office accountants
  • Post award actions such as no cost extensions of time and re-budgeting requests requiring sponsor approval
  • Participation in large Center administration with departmental staff
  • Coordination of final reporting requirements (technical, patent, financial, property)
  • Membership and occasional travel to professional society meetings [Society of Research Administrators (SRA) or National Council of Research Administrators (NCURA)]
  • Assistance with web tool design
  • Assistance with training programs
award flow chart
Award Flow Chart

Award received by


Receptionist identifies

file award is associated

with and logs (“cybers”)

it to appropriate G&C


Award to

reprographic/mail clerk

for pulling file and

distributing mail and file

to G&C Admin.

G&C Admin. conducts

initial review of award

(amount, period, budget)

& prepares for GAMS

Entry; determines docs/

required (MOU, PIAA, etc)

Award clerk for final

“Red Folder” set up

For Controller’s Office

Director for award

acceptance & signature.

On-line approval of

GAMS award for “pull thru”

to PeopleSoft

G&C Admin. final

negotiation & contract

mark up. Verification

of information on forms

for the Controller’s Office

Award Clerk for PI

notification, form

requests, data entry into

Jordan/GAMS, file prep.

for submission to the

Controller’s office

Student Courier for

delivery to Controller’s

Office for account

Number generation


Award clerk receives

red folder back with acct.

#. Data entry and data

verification in Jordan

Reprographics clerk

for file organization

& hard filing into

final public record


Filing cabinet OR

to G&C Admin.

for subcontract issuance

as appropriate

governing rules for awards
Governing Rules For Awards
  • Trustee Policy T94-034 (Appendix )
  • University Policies
  • State Law
  • Sponsor Policies
  • OMB A-110 for Federal Funded Projects
  • FAR and DFAR for DOD funded projects
  • Code of Federal Regulations for other Federal awards
  • Agreement Terms and Conditions
terms ogca negotiates
Terms OGCA Negotiates
  • IP terms in coordination with Commercial Ventures-Intellectual Property (CVIP)
  • Reporting schedules
  • Publication
  • Publicity
  • Payment terms
  • Governing law
  • Indemnification
  • Confidentiality clauses
  • Personnel related terms
  • Termination
  • Ownership of research results
  • Etc.
reports and electronic reporting aides
Reports and Electronic Reporting Aides
  • Monthly Cumulative Report of Sponsored Activities
  • Annual Report of Sponsored Activities
  • JOL – Jordan-On-Line – an online reporting system to allow academic and administrative offices to generate reports with regards to sponsored project activities
  • Proposal and Award Status – allows faculty and any PI assigned contact to check the status of their proposal or award on line.
  • GAMS training
  • training
  • Business manager training in areas of need
  • Community of Science Registration and use for funding opportunity searches
  • Will be participating in a new brown bag lunch series starting in January on various topics we hope will help faculty and their support staff