Grants and Contracts:
Who, What, When, Where, Why, How…
Louise Nuttle, Ph.D.
Director, Sponsored Programs
Donna Szabo, J.D.
Associate Director for Contract Management
What, Where…
Office of Research and Sponsored
Programs Administration
(aka ORSPA)
Ada Earnest House
http://www.etsu.edu/research/orspa.htm
Phone: 9-6000
Fax: 9-6050
Email: research@etsu.edu
Who…
Louise Nuttle
Director
9-6049
Donna Szabo
Assoc Director
Contract Management
9-6045
Mary James
Grants and Contracts
Specialist
9-6048
Cynthia Hardin
Assoc Director
Sponsored Programs
9-6051
Carole Thomason
IT Coordinator
9-6059
Joanna Simmons
Information Research
Technician
9-6052
Mission
To promote and support scholarly
activities...by administering
external support for research,
instruction, and service programs,
and providing professional
development opportunities for
faculty, staff and students.
What…
Sponsored programs are any
projects supported by extramural funds
received by the University as a result
of some formal communication such
as a letter, application, or written
proposal signed and submitted by an
authorized University official.
What…
Grants and Contracts
What…
Grant...



A grant is an award of funds or property,
based on an approved budget or formula,.
Ideas originate from and are defined by
the applicant.
Generally, the scope of work supported by
a grant is more flexible than that
supported by a contract.
What…
Contract...



A contract is a formal, legal agreement
between two or more parties.
Contracts between universities and other
parties are generally agreements to perform
a service or deliver products or goods within
a specified period of time for an agreed-to
price.
Scope and deliverables are set by sponsor.
What (not)…
Gifts...



Donor specifies the general program or research
the money is given to support
No defined budget
No formal reports on how the money was spent or
the research the money supported.
The Chief Development Officer is authorized by the
President to accept gifts on behalf of the University,
subject to review and confirmation by the
President.
Other “Whats”…
Compliance: Adherence to the rules and
regulations set forth by the…
Compliance...







Human Subject Protection
Animal Care and Use
Radiation Safety
Biosafety
Conflict of Interest
Export Controls
Intellectual Property Protection
When…
Basically, when you find yourself involved in:



A grant proposal (including consortium
proposals, i.e. subawards)
A sponsored agreement (contract) or a
research agreement (e.g. MTA,
Confidentiality Agreement)
An amendment, revision, extension,
rebudget of an existing sponsored program
Why...
All awards - grant or contract - are
made to the University, not to the PI, to
the department, or to the college.
HOW????

Proposal Routing and Submission

Contract Routing and Execution

Post-Award Modifications
Proposal
Grant
Contract
The Proposal
Lifecycle:
Concept
Sponsor
Identification
Proposal
Development
Institutional
Review / Approval
Submission
Award
Project Management /
Closeout
The Proposal
Lifecycle:
Concept
Sponsor
Identification
Proposal
Development
Institutional
Review / Approval
Submission
Award
Project Management /
Closeout
The Proposal
Lifecycle:
Concept
ORSPA
Sponsor
Identification
Proposal
Development
•
•
•
•
COS
Foundation Directory Online
Listserves and Auto-Alerts
ORSPA Website
Contact:
Carole Thomason
Institutional
Review / Approval
Submission
Award
Project Management /
Closeout
The Proposal
Lifecycle:
Concept
Sponsor
Identification
ORSPA
Proposal
Development
Institutional
Review / Approval
Submission
Award
Project Management /
Closeout
•
•
•
Sponsor Guidelines and
Forms
Budget Development
Inter-Institutional Consortia
Contact:
Cynthia Hardin
Mary James
The Proposal
Lifecycle:
Concept
Sponsor
Identification
• Principal Investigator
• Department
• College
Proposal
Development
• ORSPA
• (VP and/or President)
ORSPA
Institutional
Review / Approval
• IRB
•
•
•
Internal Routing Form
Indirect Cost Reduction Req
Conflict of Interest
• UACAC
• Biosafety Committee
Submission
Contact:
• Radiation Safety
Award
Project Management /
Closeout
Mary James
Joanna Simmons
The Internal
Routing Form
Proposal Routing:
PI
Dept Chair
Dean*
* Usually includes
finance office review
ORSPA
(directly or via PI)
Sponsor
The Proposal
Lifecycle:
Concept
Sponsor
Identification
Proposal
Development
Institutional
Review / Approval
ORSPA
Submission
ORSPA
•
•
“Just-In-Time” information
Budget Negotiations
Award
Contact:
Louise Nuttle
Project Management /
Closeout
• Grants.gov
• NSF FastLane
• Inter-Institutional Applications
Contact:
Cynthia Hardin
Mary James
The Proposal
Lifecycle:
Concept
Sponsor
Identification
Proposal
Development
Institutional
Review / Approval
Submission
ORSPA
Contact:
Mary James
Award
Project Management /
Closeout
•
•
•
Proposal Tracking
Account Request
Compliance Review
The Proposal
Lifecycle:
Concept
Sponsor
Identification
Proposal
Development
Contact:
Louise Nuttle
Cynthia Hardin
Donna Szabo
Institutional
Review / Approval
Submission
Award
Project Management
/ Closeout
ORSPA
•
•
•
•
•
Rebudgeting
No-Cost Extensions
Amendments
Subaward agreements
Change in PI or other Key
Personnel
Post-Award Requests




Request
Request
Request
Request
to Rebudget
for No-Cost Extension
for Subaward Agreement
to Change PI
Proposal
Grant
Contract
CONTRACT
The Contract
Lifecycle:
Business Plan
Review and
Negotiation of
Terms
Technical Plan
Compliance
Review/Approval
Budget Review
Internal Routing and Approval
Execution
Project Management /
Closeout
CONTRACT
The Contract
Lifecycle:
Business Plan
Contact:
Donna Szabo
Review and
Negotiation of
Terms
Technical Plan
Compliance
Review/Approval
Budget Review
Internal Routing and Approval
Execution
Project Management /
Closeout
CONTRACT
The Contract
Lifecycle:
Business Plan
Review and
Negotiation of
Terms
Technical Plan
Compliance
Review/Approval
Contact:
Budget Review
Cynthia Hardin
Mary James
Internal Routing and Approval
Execution
Project Management /
Closeout
CONTRACT
The Contract
Lifecycle:
Business Plan
Review and
Negotiation of
Terms
Technical Plan
Compliance
Review/Approval
Budget Review
** Internal Routing Form
Internal Routing and Approval
Execution
Project Management /
Closeout
Routing Sponsored and other ResearchRelated Agreements:
PI
Dept Chair
Dean *
ORSPA
Sponsor
* Usually involves
finance office review
Questions???