Research Administration Retreat Research Administration 101 Tracy Wayman twayman@jhu.edu
Sponsored Projects Shared Services (SPSS) Roles SPSS is responsible for setting up each grant s master data elements SPSS is responsible for submitting all financial status reports to sponsoring agencies SPSS is responsible for closing out grants according to sponsor requirements and University policy SPSS is responsible for monitoring grants for compliance with applicable regulations and University policies SPSS is responsible for assisting in the KPMG (JHU s external auditors) year end audit 2
Sponsored Projects Shared Services (SPSS) Department Expectations Grant Setup Review grant setup in SAP Ensure F&A rate(s) is correct Ensure grant value/budget is correct Utilize Pre Award Grants to reduce control salary and late transfers Grant Reconciliation Grant reconciliation should be preformed on a monthly basis Reconciliation should be documented Quarterly (at minimum) grant reconciliation meetings with Principal Investigator Review your FSR/Closeout spreadsheet On Time FSR Submission Most grants are due within 90 days of the budget/project end date SPSS sends draft to Department within 30 days of the budget/project end date 3
On Time FSRs: New NIH LOC Rule http://grants.nih.gov/grants/payment/faqs.htm#3781 http://grants.nih.gov/grants/guide/notice files/not OD 13 120.html NIH will transition all award payments to the PMS subaccounts by the end of FY 2015. To help minimize grantee burden for the transition in FY 2014, NIH will only establish PMS subaccounts for domestic awards that have new document numbers. However, NIH implementation for noncompeting continuation awards will be October 1, 2014, to allow grantees a year to prepare their systems to accommodate the changes. Change in Processing of Funds Requested for Awards in PMS Subaccounts that are 90 days beyond the Project Period End Date 4
Research Administration 101 Alex Galea Grants Manager, SOM ORA
Grants Purpose: Financial assistance award furthering knowledge in a specific research area Propose specific scope of work and carry out approved project/activity Sponsor Type: Government agency, foundation, or private organization Sponsor Involvement: No substantial programmatic involvement by sponsor
Grants Characteristics: PI defines the scope of work General research terms and conditions, typically flexible Defined period of performance and funding amount Requires technical, programmatic, and/or financial reporting Accountability under OMB Circulars A 21 and A 110
Grants Characteristics: Deviation from approved plan of work or budget normally requires sponsor s prior approval Funds provided upfront, on cost reimbursable basis, or based on milestones Sponsor retains the right to revoke the award and any unused funds Grantee usually owns all rights (IP) Publications are not restricted
Contracts Purpose: Mechanism for the procurement of a specific service/product with specific obligations for both the grantor and grantee Creates a quid pro quo relationship Sponsor Type: Usually a government agency or private corporation Sponsor Involvement: Typically sponsor provides project direction and oversight
Contracts Characteristics: Sponsor solicits RFP and Institution submits bid/proposal for consideration Sponsor develops scope of work, project direction, and timeframe PI proposes budget/methodology/resources to achieve sponsor s SOW Detailed and complex terms and conditions review very carefully to ensure that everyone can comply! Awardee can request alternate clauses that apply specifically to their institution type or to Research & Development work
Contracts Characteristics: Requires frequent/detailed reporting (technical/financial/patent/property) Funds typically provided upon completion of milestones Sponsor will likely retain most or all rights Sponsor may require prior review/approval of publications Awardee generally is required to produce a product, deliverable, or findings
Gifts Purpose: Funds used for departmental or research support Sometimes for a specific purpose* Sponsor Type: Typically private, non governmental types Private foundations, corporations, professional associations, or individuals Who Manages It? Johns Hopkins Fund or the Development Office Funds deposited into Departmental non sponsored account Sponsor Involvement: Minimal to none
Gifts Characteristics: The term gift is frequently used interchangeably with grant be careful when reviewing award documents! An irrevocable transfer of funds, services, or property, with no expectation of benefit, goods, or services from the recipient (absence of quid pro quo) Usually a short award letter with no terms and conditions Involves no exchange transaction other than recognition of donor, unless anonymous donor Usually no specified funding period nor deliverables
Gifts Characteristics: No required fiscal/performance reporting (stewardship is nice!) No contractual obligation Usually unrestricted use of funds no unallowable costs Institution owns all rights, if applicable Subject to 20% gift tax Do not route to ORA in Coeus
ORA s Function East Baltimore Office Reviews of all sponsored research proposals and awards, except commercial clinical research. Fells Point Office Clinical Research Contracting Reviews and negotiates all commercial Clinical Research agreements.
ORA Staff Who Does What? Directors: Commercial Agreements (including SBIR & STTR subawards), Government Contracts, Confidentiality Agreements ( CDA / NDA ), Material Transfer Agreements ( MTA )* Program Project ( P ) and Cooperative Agreement ( U ) NIH applications, TEDCO (all programs) and special programs (e.g., Clinician Scientist Award ( CSA ) program, cooperative group and network studies incoming and outgoing) Grants Associates: Federal and Foundation Applications (except P and U applications) Incoming Subgrants Specialists: Work with Directors on Commercial Agreements, CDAs, MTAs, and Federal Contracts Subs Team: Outgoing subgrants and subcontracts *unless processed through JHTT
ORA Responsibilities All proposals and awards must be reviewed and approved by the designated official in ORA Review process includes Verifying protocols Compliance with JHU policies Publication Rights Intellectual Property Data Ownership Faculty do not have signature authority
Workflow Priorities Proposals Deadlines Urgency Date Received Awards Urgency Date Received Complexity Note: No awards are processed for account numbers if protocols are pending
Tips and Tricks
Information Search When you have a question: Read the sponsor guidelines and supplemental instructions Google it! Ask a coworker, fellow RSA, your manager, your assistant administrator If it s a system question, Contact the appropriate helpdesk (Coeus, era Commons, CDMRP, grants.gov) Ask ORA: Director, Grants Associate, Specialist, Subs Specialist, or Operations Analyst
Coeus Required Documents Grants.Gov All Finalized Science PI Certification Subcontract Documents (if applicable) Announcement Guidelines (DOD) Non Grants.Gov Scope of Work Internal Budget (if one was not built in the budget module) PI Certification Sponsor Signature Page Subcontract Documents (if applicable) Sponsor Guidelines (if applicable)
Proposal Types Continuation vs. Renewal vs. Admin Action? Continuation: proposal or progress report that must be submitted to receive an increment of funding from a previously awarded amount (aka non competing continuation) Renewal: proposal that requests an additional award that will continue funding a previously awarded study where funding is not guaranteed (aka competing continuation) Administrative Action: proposal that requests additional funding, equipment, time, etc. for an existing award Subaward vs. Subcontract Subgrants route to the GAs and have a non profit sponsor (ex. another University) Subcontracts route to the Directors and have a commercial sponsor (ex. GlaxoSmithKline)
Help Desk/Contact Information If you have a technical or system question, contact the appropriate helpdesk or office: Coeus Help: Coeus Help@exchange.johnshopkins.edu era Commons: http://era.nih.gov/help/index.cfm#era Monday Friday 7am 8pm EST Email: commons@od.nih.gov Phone: 866 504 9552 CDMRP: Monday Friday 8am 5pm EST E mail: help@cdmrp.org Phone: 301 682 5507 Grants.gov: 24/7 except federal holidays Email: support@grants.gov Phone: 800 518 4726 Sponsored Projects Shared Services: Contact your Shared Services Analyst