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Creating Successful Research Projects: Navigating the Process

Creating Successful Research Projects: Navigating the Process

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Creating Successful Research Projects: Navigating the Process

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  1. Creating Successful Research Projects: Navigating the Process ---New Faculty Orientation--- December 16, 2010 Walker Ames Room Kane Hall

  2. WELCOME David Eaton, PhD Interim Vice Provost for Research

  3. NEW UW FACULTY • 1st new faculty orientation • 375 new faculty in 2009-2010 • Transfers from other institutions • First faculty position • “…we are partners in a shared future.” (Interim President Phyllis Wise, December 2010)

  4. WORLD LEADERS IN RESEARCH We have grown into the most successful public research university in the nation in attracting support for our research. Ours is a proud culture of innovation, collaboration and discovery that has transformational impact. From the UW Mission Statement

  5. WE ARE: World leaders in research One of the most successful public research university in the nation in attracting support for our research Innovative & collaborative Impacting our community, nation and the world

  6. IMPACT • UW research makes far-reaching impacts • Locally, nationally, and globally

  7. 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.

  8. TODAY’S WORKSHOP Introduction to the central research support offices Learn how to navigate the UW Processes Maneuver through the multiple regulatory and compliance considerations within the grant lifecycle Manage the pre and post award process at UW

  9. Successful acquisition & management of grants requires many partners Individual faculty, and their departmental and Dean’s office support staff Office of Research – all components Grant and Contract Accounting Management Accounting & Analysis Human Resources Purchasing Facilities Management Environmental Health & Safety Animal Welfare

  10. OR - MAJOR ADMINISTRATIVE UNITS Office of Sponsored Programs (OSP)Director of OSP & Assistant Vice Provost for Research, Lynne Chronister Human Subjects Division (HSD)Director of HSD & Assistant Vice Provost for Research, Karen Moe Office of Research Information Services (ORIS) Director of ORIS & Assistant Vice Provost, Jim Kresl Office of Research - Central (OR) Interim Vice Provost for Research, David Eaton Associate Vice Provost-Compliance and Operations, Jeff Cheek Associate Vice Provost-External Relations, Mani Soma

  11. TODAY’S SPEAKERS Office of Sponsored Programs- Lynne Chronister Office of Research Information Services - Patti McClure Grant & Contract Accounting - Tami Sadusky Management Accounting & Analysis -Mike Anthony Center for Commercialization- Linden Rhoads Environmental Health & Safety -Jude Van Buren Office of Animal Welfare -Nona Phillips Human Subjects Division - Karen Moe Internal Audit-Zenaida Shattuck Conflict of Interest – Jeffrey Cheek

  12. RESOURCES AVAILABLE A resource table is set up at the back of the room. Please stop by and collect materials you feel can assist you in creating successful research projects. This PowerPoint deck will be posted on the OSP website tomorrow. Evaluation form – please tell us how we did!

  13. OFFICE OF SPONSORED PROGRAMS (OSP) Lynne Chronister, Assistant Vice Provost for Research & Director OSP

  14. OSP MISSION The Office of Sponsored Programs, a unit in the Office of Research, supports and advises the entire academic community in securing external support for 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.

  15. OSP RESPONSIBILITIES What do we do? 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

  16. OSP STRUCTURE Each unit on campus assigned to Team A or Team B Team C reviews all Industry-Sponsored Clinical Trials Subcontracts Team manages all outgoing subcontracts and required reporting Team Structure: Administrator Grant & Contract Coordinator Program Coordinator

  17. 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

  18. PROPOSAL BUSINESS PROCESS 1. Identifysponsor & 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. Submitapplication per sponsor instructions • Application is submitted by OSP/PI • Via electronic, paper, web formats

  19. AWARD BUSINESS PROCESS • Sponsor may notify PI or OSP that application is fundable • Award documents arrive • OSP negotiates & accepts award (exceptions) • OSP creates eFA and sends to GCA

  20. 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 through OSP

  21. SPONSORED PROGRAMPOLICY GIMs (Grant Information Memoranda) • Provide policy and guidance on submitting and managing awards • Linked from the OSP Home page • Currently “Under Construction”

  22. OSP HINTS • Contact your OSP Administrator 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

  23. New Facilities and Administrative (F&A) Rates

  24. 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

  25. CLINICAL RESEARCH • School of Medicine – Clinical Research • Richard Meisinger, PhD, Ass’t Dean for Planning and New Initiatives, Office of Research and Graduate Education, School of Medicine, • Ella Mae Kurashige, Director, Clinical Research Services, • Office of Clinical Research Budget & Billing (CRBB) • Clinical Trial start-up and web resources

  26. OFFICE OF RESEARCH INFORMATION SERVICES (ORIS) Patti McClure – Educational Outreach Specialist Tiffany Austin – Learning Specialist

  27. OFFICE OF RESEARCH INFORMATION SERVICES (ORIS) Serving UW's research community through IT solutions Web Services Data Reporting Research Road Map Hosted Services SAGESystem to Administer Grants Electronically

  28. SAGE(System to Administer Grants Electronically) • Create, route, and manage the electronic routing form (eGC1) required for all UW grants and contracts/research applications • Centrally store and share grant proposal information • Access grant proposal information from any internet-connected location

  29. WHEN TO USE SAGE? Activity in SAGE

  30. SAGE BUDGET An easy-to-use budget worksheet customized to comply with Research and UW Accounting Rules • Supports UW object code accounting • Provides up-to-date salary & benefits information • Identifies correct F&A rate(s) for your budget • Attaches to eGC1

  31. eGC1 APPROVALS • Routes your eGC1 to the appropriate parties for online review and approval • Enables you to check on routing status of your eGC1

  32. GET STARTED WITH SAGE • Request access from your department • Practice on the training server • Enroll in SAGE 101 training course

  33. CONTACTS & QUESTIONS • SAGE Learning • Email: • SAGE Help Desk • Email: • Telephone: 685-8335 • Questions?

  34. GRANT AND CONTRACT ACCOUNTING/EQUIPMENT INVENTORY OFFICE Division of Research Accounting & Analysis within Finance & Facilities Tami Sadusky, Executive Director

  35. Finance & FacilitiesRESEARCH ACCOUNTING & ANALYSIS (RAA) RAA Mission: We help people who change the world

  36. GCA RESPONSIBILITIES • What do we do? • 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 grant and contract cash transactions and payments • Provide oversight and guidance on compliance issues • Coordinate financial close-out of budgets • Monitor grant related transactions on a sampling basis • Work with Internal Audit on all grant related audits • Provide customer support to UW faculty and staff

  37. EIO RESPONSIBILITIES Prepare Closing Inventory Reports Facilitate State, Federal, and Agency inventories Assist departments with equipment fabrications Print and distribute asset tags to departmental inventory contacts Train departments on General Inventory Procedures, OASIS Access, and Inventory processing Assist PI’s taking equipment out of the country Review and approve transfers of equipment out of the University Facilitate annual depreciation for the University’s financial statements

  38. GCA/EIO Structure ‘Streams’ of Fiscal Analysts handle core processes: Budget set up - Invoicing Reporting - Closing Cash Team handles grant related cash transactions and applications Grant Analysts handle all campus communication including outreach and training Complex Grant Analysts handle complex grants and contracts Equipment Team handles all equipment processes

  39. POST AWARD PROCESS Proposal & Award Process Assignment of Budget Numbers Receipt and processing of eFA (Electronic Funding Action) Active Grant Period Expenditure Allowability Payment requests to sponsors Academic Dept/Office of Sponsored Programs External to Grant and Contract Accounting Audits Closing Fiscal Reporting

  40. AWARD LIFECYCLE Award StepResponsible 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 award 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

  41. THE BUDGET • Provides the framework for financial compliance • GCA creates a budget number for an award to accumulate costs associated with the project. • The budget is allocated in the financial accounting system (FAS): • Direct costs • Facilities and Administration (F&A or indirect costs)

  42. DIRECT COSTS Costs that should be directly charged to sponsored agreements when they can be specifically identified to the work performedunder those agreements. Salaries, Wages, and Fringe Benefits Supplies and Materials Equipment

  43. INDIRECT COSTS Cost that are normally considered administrative, infrastructure or benefit multiple projects • Administrative and Clerical salaries • Basic local phone service • Office supplies • Routine copying charges

  44. POLICIES Federal, State, University & Sponsor Learn How to Apply the Policies Award Terms Departmental Policies Accounting & Financial Policies University Policies &Procedures NIH - GPS SponsorPolicies Federal Policies and Governmental Law A-21, A-110, FARs

  45. PI/DEPARTMENT RESPONSIBILITIES Assistance in grant and contract reporting/closings Separation of (high risk) duties, such as payroll or petty cash Deficit resolution Program Income Cost Sharing/Faculty Effort Reporting Unexpended balances Records retention Faculty Effort Certifications (FECs) Address problems related to fiscal activities promptly

  46. HINTS Take a proactive approach to grant management It’s critical that all parties work together Adhere to University, State, Federal and Sponsor policies and regulations Establish proper financial accountability structure Ensure proper financial management with attention to data integrity

  47. GCA RESOURCES • GCA Web Page • GCA email/phone: 206-543-8454 • Grant Tracker • Researcher’s Guide • Monthly Research Administration Meetings (MRAM) • Grants Information Memoranda (GIMs)

  48. MANAGEMENT ACCOUNTING & ANALYSIS (MAA) Division of Research Accounting & Analysis within Finance & Facilities Michael Anthony, Executive Director

  49. Finance & FacilitiesRESEARCH ACCOUNTING & ANALYSIS (RAA) RAA Mission: We help people who change the world