Sponsored Projects Administration (SPA) Training Program

1. Sponsored Projects Administration (SPA) Training Program

2. Topics: SPA Training Program A. Research Mission of the University B. Five University Initiatives C. Roles and Responsibilities D. The Life Cycle of a Sponsored Project E. What Every P.I./Administrator Should Know

3. Five University Initiatives Management and Internal Controls 1. Personnel Policy Guidelines, Section U606.01: Compliance with University Policies and Procedures • Communicate to employees their responsibility to adhere to University policies and procedures and report potential or actual violations • Affirms commitment that individuals who come forward in good faith shall not be subject to reprisal or retaliation

4. Five University Initiatives Management and Internal Controls (con’t) 2. Financial Policy No. 2101: Principal Investigator Responsibilities for Financial Oversight of Grants and Contracts • Encourages delegation of day to day financial management activities to departmental or Local Business Center personnel • Communicate P.I. responsibilities for oversight of financial management of grants and contracts

5. Five University Initiatives Management and Internal Controls (con’t) 3. Principal Investigator Certification: Project Proposals • Proposal Transmittal Form (PTF) requires the P.I. to certify his/her: • Compliance with University Conflict of Interest policies and procedures • Acceptance of financial oversight responsibilities for the sponsored project

6. Five University Initiatives Management and Internal Controls (con’t) 4. Increased Internal Audit Focus to Supplement Annual OMB Circular A-133 Audit • Reinforce importance of compliance with federal regulations and University policy • Enhance internal control by identifying problems or potential problems • Summary of findings and corrective actions submitted to University Officers • Material adverse findings reported to Department of Health and Human Services

7. Five University Initiatives Management and Internal Controls (con’t) 5. Mandatory Training Program • For all University administrative and clerical employees who work in any area of Sponsored Project Management

8. Roles and Responsibilities • Who are the Players? • What are their Roles and Responsibilities?

9. Roles and Responsibilities The Players • Principal Investigator • Unit Administrator • Department Chair • Dean • Central Offices • Office of the Provost • University Research Administration • Comptroller/Restricted Funds • Others

10. Roles and Responsibilities Principal Investigator The primary person in charge of a research grant, cooperative agreement, training or service project, clinical study, contract, other sponsored project or material transfer agreement. Usually a faculty member holding a regular appointment, although other employees may be approved to serve as P.I.s. In some sponsored projects, the P.I. may be referred to as the project or program director.

11. Roles and Responsibilities Principal Investigator (Con’t) • Responsible for the design and implementation of all aspects of the project • Prepares, seeks approval and responsible for Oversight Committee Approvals • Develops Research Plan and Technical Proposal • Seeks out funding opportunities • Prepares technical reports, noncompeting continuations, interim and final reports

12. Roles and Responsibilities Principal Investigator (Con’t) • Determines the budgetary needs of the project • Adheres to relevant agency, institutional, divisional and departmental guidelines • Reviews and signs Proposal Transmittal Form (PTF) • Discloses Inventions • Manages all Project Personnel • Reviews and adheres to all terms and conditions of award

13. Roles and Responsibilities Principal Investigator (Con’t) • Oversees workscope and authorizes payments to consultants and subcontractors • Authorizes all expenditures, cost transfers, rebudgeting • Updates Assurance and prepares Disclosure Form if significant financial conflict of interest develops • Provides information on closing reports • Retains project data and materials as required

14. Roles and Responsibilities Unit Administrator An employee responsible for providing administrative support to one or more sponsored projects. This position may include a wide variety of roles and position titles including faculty service representative, account manager, grants & contracts administrator, administrative assistant, pre-award administrator, post-award administrator, account assistant, project assistant, secretary, etc.

15. Roles and Responsibilities Unit Administrator (Con’t) • Obtains and reviews proposal guidelines/forms • Coordinates and communicates with P.I. to understand relationship between project goals and resources • Prepares (assists with) proposal budget & other administrative documents • Prepares Proposal Transmittal Form (PTF)

16. Roles and Responsibilities Unit Administrator (Con’t) • Assures institutional review and approval of proposal • Assures submission of proposal to sponsor • Assists with regulatory compliance (human subjects, animals, biohazards, etc.) • Assists with sponsor inquiries & negotiation of award

17. Roles and Responsibilities Unit Administrator (Con’t) • Assists in establishing account • Assists with recruitment, appointment and effort assignment for personnel • Reconciles monthly ledgers of expenditures • Expedites documentation for purchases, subcontracts, consulting agreements

18. Roles and Responsibilities Department Head A University official with managerial and fiscal responsibilities for a designated area, such as department chair, center director, institute director.

19. Roles and Responsibilities Department Head (Con’t) • Reviews and approves Proposal Transmittal Form • Reviews and endorses requests for P.I. eligibility • Approves cost sharing and matching from departmental funds • Expedites request for indirect cost waiver • Approves pre-award arrangements and authorizes a guarantee account from which expenditures may be paid if award is not received

20. Roles and Responsibilities Department Head (Con’t) Provides local oversight for the following: • Compliance with regulatory research requirements, as necessary • Rebudgeting, cost transfers, and carry forwards • Compliance with effort reporting, reporting of program income, and all other award terms and conditions • Records retention and data ownership • Availability of administrative support, facilities and resources

21. Roles and Responsibilities Dean A University official with managerial and fiscal responsibilities. Each school, division, or college is administered by a dean under the supervision of the Provost of the University.

22. Roles and Responsibilities Dean (Con’t) • Approves divisional commitments for cost sharing/matching • Reviews and approves Proposal Transmittal Form • Approves requests to Office of the Provost for P.I. Eligibility • Provides divisional/unit oversight for compliance with regulatory research requirements, such as human & animal subjects, radiation safety, etc.

23. Roles and Responsibilities Dean (Con’t) • Provides divisional/unit concurrence in negotiation and acceptance of awards • Interacts with Comptroller’s office and URA in all areas of compliance with proposal and award terms and conditions, as necessary • Assists with compliance with technical and financial reporting, as necessary

24. Roles and Responsibilities BSD/Office of Research Services (BSD/ORS) Office designated by the Dean of the Division of Biological Sciences to review and provide divisional approval for all proposals to Federal and other external sponsors (excluding gifts) assuring compliance with divisional policies. Office oversees regulatory compliance for institutional animal care and use committee, BSD-institutional review board, human use of radioisotopes and radioactive drug research committee, institutional biosafety committee. Director of ORS has been delegated signature authority for University approval of certain NIH and several nonfederal proposals.

25. Roles and Responsibilities BSD/ORS (Con’t) Five Sections: 1. Clinical Trial Office • Encourages the growth of Clinical Trial Activity, Management and Conduct of Trials 2. Research Funding • Distributes funding opportunity information to BSD faculty and researchers • Manages Internal BSD Funding Opportunities • Selects Candidates for Limited BSD Program Submissions

26. Roles and Responsibilities BSD/ORS (Con’t) 3. Regulatory Compliance Manages and oversees administrative support for four divisional regulatory research committees • BSD/UCH Institutional Review Boards (IRB) • Institutional Biosafety Committee (IBC) • Institutional Animal Care and Use Committee (IACUC) • UC/UHC Combined committee for Use of Radioisotopes in Humans (RDRC)

27. Roles and Responsibilities BSD/ORS (Con’t) 4. Grant and Contract Management • Reviews all BSD proposals with special attention to oversight committee information and approvals, abstracts and lay summaries, budget and justification, divisional and institutional guidelines and policies • Reviews for divisional approval material transfer agreements and clinical trials • Approves requests for financial accounts and any postaward modifications for the BSD

28. Roles and Responsibilities BSD/ORS (Con’t) 5. Director • Facilitates Review and Recommendations regarding disclosed conflicts of interest by Dean • Approves Cost sharing and matching Funds Commitments, and BSD PI status • Designated Signatory Authority on Certain Applications.

29. Roles and Responsibilities PROVOST The chief academic and administrative officer for all academic units, including the college, the divisions, schools and centers. The Provost oversees the University’s compliance with all academic research policies. DEPUTY PROVOST The chief academic official designated by the Provost as the person responsible for the direction and guidance of the University’s research mission.

30. Roles and Responsibilities Office of the Provost (Con’t) • Oversees the formulation and implementation of academic research policies governing all units of the University • Approves indirect cost waivers and PI eligibility • In cooperation with the Budget Office, authorizes and approves all University budget cost sharing/matching commitments greater than $100,000 (except BSD)

31. Roles and Responsibilities Office of the Provost (Con’t) Provides institutional oversight for: • handling of academic fraud allegations and compliance with other regulatory research policies • resolution of potential conflict of interest situations • interactions with ARCH regarding research and technology transfer

32. Roles and Responsibilities University Research Administration (URA) Office designated by the University with the responsibility to review and provide institutional endorsement for all proposals to Federal and other external sponsors (excluding gifts), assuring compliance with University policies and sponsor terms and conditions. URA is the institutional authority for the negotiation and acceptance of financial support or other contractually-binding obligations in the form of a contract, grant, or agreement, including material transfer agreements and clinical trials. URA is the authorized institutional official for post-award actions necessitating agency approvals: change in P.I., rebudgeting, no-cost extension, etc.

33. Roles and Responsibilities URA (Con’t) • Approves and authorizes submission of proposals and award acceptance on behalf of institution • Expedites processing and approval of subcontract and consulting agreements • Reviews, negotiates and approves Material Transfer Agreements and Clinical Trials • Disseminates notification of award and reviews terms and conditions of award

34. Roles and Responsibilities URA (Con’t) • Provides institutional oversight for cost sharing/matching commitments • Maintains database of University-wide proposal and award activity, including the development of TRACS, coming in Summer 2000 • Informs Office of Special Projects and ARCH of sponsor intellectual property and invention reporting requirements

35. Roles and Responsibilities URA (Con’t) • Coordinates Legal Counsel and Risk Management reviews and approvals, as necessary • Coordinates with ARCH on negotiation and acceptance of intellectual property provisions on sponsored research agreements and MTAs involving patents, licensing and commercialization of University-developed inventions

36. Roles and Responsibilities URA (Con’t) • Disseminates funding opportunity information to university community • Provides leadership for electronic research administration planning and implementation

37. Roles and Responsibilities URA (Con’t) • Confirms that proposals to “sensitive” foundations are cleared through development office for submission • Reviews proposals for compliance with university policies and sponsor proposal guidelines and potential award terms and conditions

38. Roles and ResponsibilitiesComptroller/Restricted Funds OFFICE OF THE COMPTROLLER The Comptroller, at the direction of the Board of Trustees has supervision over the financial records and accounts of the University. The Comptroller is responsible for keeping proper books of accounts adequately setting forth the financial condition and transactions of the University and shall devise proper methods of accounting and internal controls for all departments of the University. RESTRICTED FUNDS The unit of the Comptroller’s Office that is responsible for the financial accounting, reporting and collecting of funds for federal and other sponsored project awards. Also, this unit is responsible for preparing the Indirect Cost Proposal and negotiating an Indirect Cost Rate Agreement with the Federal Government.

39. Roles and Responsibilities Comptroller/Restricted Funds (Con’t) • Establishes and maintains sponsored project accounts in FAS • Enforces University financial policies and federal grant and contract financial regulations • Coordinates the preparation and submission of financial reports to the sponsoring agency • Manages project account receivables • Monitors overdrafts to ensure their timely resolution • Ensures that project accounts are closed in FAS

40. Roles and Responsibilities Comptroller/Restricted Funds (Con’t) Establishes procedures to comply with the sponsor’s financial terms and conditions for: • Allowable cost • Cost transfers • Direct costs allocations • Cost sharing expenses/matching funds • Effort reporting • Equipment management and reporting • Subrecipient A-133 Audit monitoring

41. Roles and Responsibilities Comptroller/Restricted Funds (Con’t) Establishes procedures to comply with the sponsor’s financial terms and conditions for (Con't): • Time restrictions on award funds • Program income • Invoicing/letter-of-credit drawdowns • Cash management • Cash receipt/expenditure reporting

42. Roles and Responsibilities Other Players • Office of the Comptroller • Payroll • Independent Contractor/Travel Reimbursement • Property Management • Central Procurement Services • HRM

43. Roles and Responsibilities Other Players (Con’t) • Facilities Services • Radiation Safety • Safety and Environmental Affairs • Renovations • Development / Medical Center Development • ARCH • Dean of Student Offices (Training Awards, Research Assistant Appts.) • University News Office

44. Roles and Responsibilities Other Players (Con’t) • Legal Counsel / Medical Legal • Risk Management • Hospital Safety • Medical Legal

45. The Life Cycle of a Sponsored Project Part I. Proposal preparation Part II. Budgeting Project Costs Part III. Compliance Issues Part IV. Routing and Review Process Part V. Updating Submissions and Award Negotiations Part VI. Award Evaluation and Acceptance Part VII. Administration Information Part VIII. Award Accounts Part IX. Managing Programmatic Aspects

46. The Life Cycle of a Sponsored Project (Con’t) Part X. Managing Award Funding Part XI. Audits Part XII. Financial Reports Part XIII. Intellectual Property Part XIV. Project Termination

47. Part I. Proposal Preparation Current Forms and Guidelines Web-based information • Campus resources • Diskettes • Direct to PI

48. I. Proposal Preparation Deadlines/target dates • Target deadline • Rolling deadlines • Deadline • No deadline • Receipt date • Mailing date • Internal deadlines

49. I. Proposal Preparation • Limited opportunities • Coordination of selection process • Deputy Provost/Foundation Relations • Divisional • Departmental • Nomination letters • Assistance in proposal development • Coordination with Foundation Relations • Limited opportunities • Sensitive foundations

50. I. Proposal Preparation Funding Instruments • Procurement vehicles • Contracts • Assistance vehicles • Grants • Cooperative agreements