Faculty Orientation to Research
September 18, 2012
UW Tower Auditorium
University of Washington
Faculty Orientation to Research
WELCOME
Mary Lidstrom, PhD
Vice Provost for Research
Jungers Professor of Chemical Engineering
Professor of Microbiology
Faculty Orientation to Research
UW FACULTY & POST DOCS
• 3rd annual faculty orientation
• 722 new faculty & post docs in 2010-2012
– Transfers from other institutions
– First faculty position
– Training for a career in science & scholarly
activities
Faculty Orientation to Research
WORLD LEADERS IN RESEARCH
At the UW, innovation and discovery have come
naturally to us for the past 150 years. We are
part of a remarkably progressive, open-minded
culture that will continue to shape the way the
rest of the world thinks and works.
Faculty Orientation to Research
WE ARE:
• World leaders in research
• One of the most successful public research
universities in the nation in attracting support for our
research
• Innovative & collaborative
• Impacting our community, nation and the world
Faculty Orientation to Research
UW OF THE 21st CENTURY
• 2Y2D – Two Years to Two Decades Initiative
• Our shared future depends on choices we make
today.
• If we manage change rather than letting change
manage us, the UW will emerge from the current
economic crisis strong and well-positioned for the
future.
• Driven by our strategic priorities: quality, mission,
solving society’s biggest problems
Faculty Orientation to Research
WHAT WILL THE FUTURE
LOOK LIKE?
More competitive, collaborative, technologyreliant, nimble, and diversified.
Faculty Orientation to Research
HOW DO WE GET THERE?
• Sustainable Academic Business Plan
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Align our activities with our strategic priorities
Position the UW for the future
• Long-term goals
– Sustain, Compete, Transform
• Near-term goals
– Increase competitiveness
– Foster innovation
– Enable collaboration and leverage
Faculty Orientation to Research
ROLE OF RESEARCH
• UW highly competitive for external research funds:
$1.47B last year
• Supports both graduate and undergraduate students
in experiential learning
• Major economic driver for the state
• Enables high-level discovery that contributes to our
knowledge base and our reputation
KEY TO OUR COMPETITIVENESS
Faculty Orientation to Research
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.
Faculty Orientation to Research
CENTRAL RESEARCH SUPPORT
• Preparing and submitting proposals
– Office of Sponsored Programs (OSP)
– Approval support offices
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Human Subjects Division (HSD)
Office of Animal Welfare (OAW)
Environmental Health & Safety (EH&S)
Clinical Research Budgeting and Billing (CRBB)
Office of Research–Financial Conflict of Interest (FCOI)
• Obtaining and managing awards
– Office of Sponsored Programs (OSP)
– Grant and Contract Accounting (GCA)
• Commercialization
– Center for Commercialization (C4C)
Faculty Orientation to Research
TODAY’S SPEAKERS
• Office of Sponsored Programs – Carol Rhodes
• Grant & Contract Accounting - Tami Sadusky
• Office of Research Information Services – Jim Kresl
Faculty Orientation to Research
RESOURCES AVAILABLE
• Resource tables are located in the back of the
auditorium & lobby area. Please collect
materials you feel can assist you in creating
successful research projects.
• This PowerPoint deck and video webcast will be
posted on the OSP website next week.
• Online Evaluation: please tell us how we did!
– Email will be sent to you after the event
Faculty Orientation to Research
Carol Rhodes, Interim Director
OFFICE OF SPONSORED
PROGRAMS (OSP)
Faculty Orientation to Research
OSP MISSION
The Office of Sponsored Programs, a unit in the
Office of Research, supports and advises the entire
academic community in reviewing and submitting
proposals for externally funded 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.
Faculty Orientation to Research
OSP RESPONSIBILITIES
How Do We Support You?
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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 customer support to UW faculty and staff
Faculty Orientation to Research
OSP STRUCTURE
Each unit on campus assigned to Team A, Team B or
Team C (also reviews all clinical trials).
Subcontracts Team manages all outgoing subcontracts
and required reporting
Team Structure:
– Administrator
– Grant & Contract Coordinator
– Program Coordinator
Faculty Orientation to Research
GIM 19
Business Sections
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Face Page
List of Personnel
Biosketches
Budget
Budget Justification
Checklist
Required Additional Information
Final Version by
Day – 7
Scope of Work
Draft Version by
Day – 7
• Description of the Research
• (The Science)
Final Version by
Day - 3
PROPOSAL
BUSINESS PROCESS
1. Identify sponsor & 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. Submit application per sponsor instructions
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Application is submitted by OSP/PI
Via electronic, paper, web formats
Faculty Orientation to Research
AWARD
BUSINESS PROCESS
• Sponsor may notify PI or OSP that application is
fundable, or PI/OSP may need to search award
data bases.
• Award documents arrive
• OSP negotiates & accepts award (exceptions)
• OSP creates eFA and sends to GCA
Faculty Orientation to Research
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 by OSP to outside
organizations
Faculty Orientation to Research
SPONSORED PROGRAM
POLICY
GIMs (Grant Information Memoranda)
• Provide policy and guidance on submitting and
managing awards
• Linked from the OSP Home page
• Currently “Under Construction”
Faculty Orientation to Research
OSP HINTS
• Contact your OSP Team 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
Faculty Orientation to Research
Facilities and Administrative (F&A) Rates
Location
Negotiated Rates (FY 2010-2014)
On-campus
54.5% -- FY 2013-2014
Off-campus
26%
South Lake Union
73% -- FY 2013
74% -- FY 2014
Regional Primate Center
42% (Core)
78% (Other)
83% (Non-Federal)
Applied Physics Lab
17%
Other Sponsored Activity
33.8% (on-campus)
26% (off-campus)
Vessel
25% (S&W)
Instruction
53.0% (on-campus)
26% (off-campus)
Faculty Orientation to Research
OSP RESOURCES
• Grants Information Memoranda (GIM)
• OSP Web Page
• Researcher’s Guide
• Monthly Research Administration Meetings (MRAM)
o Subscribe to List Serve - get meeting announcements & email updates
o MRAM Web site
o Monthly in-person updates to campus
Faculty Orientation to Research
Faculty Orientation to Research
Tami Sadusky, Executive Director, Grant and Contract
Accounting/Equipment Inventory Office, Finance and Facilities
GRANT AND CONTRACT ACCOUNTING
Post Award Administration
Faculty Orientation to Research
Finance & Facilities
RESEARCH ACCOUNTING
& ANALYSIS (RAA)
RAA Mission: We help people who change the world
Research
Accounting &
Analysis (RAA)
Grant & Contract
Accounting (GCA)
Equipment
Inventory Office
(EIO)
Faculty Orientation to Research
Management
Accounting &
Analysis (MAA)
GCA RESPONSIBILITIES
How do we support you?
• 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 incoming payments from grant and contract sponsors
• Provide guidance in areas of financial compliance
• Coordinate financial close-out of budgets
• Work with Internal Audit on all grant related audits
• Provide support to UW faculty and staff
Faculty Orientation to Research
GCA Structure
• Fiscal Analysts handle core processes:
– Budget set up
– Reporting
– Invoicing
– Closing
• Cash Team handles grant and contract related cash
receipts and refunds
• Grant Analysts handle all campus communication
including outreach and training
Faculty Orientation to Research
POST AWARD PROCESS-GCA
Proposal &
Award Process
Assignment of Budget Numbers
Receipt and processing of eFA
(Electronic Funding Action)
Active Grant Period
Academic Dept/Office of
Sponsored Programs
Expenditure Allowability
Payment requests to sponsors
Interim Fiscal Reporting
Closing
Fiscal Reporting
Faculty Orientation to Research
External to Grant and
Contract Accounting
Audits
SPONSORED PROJECT LIFECYCLE
Steps
Responsible Party
Identify funding
Prepare proposal
Review and submit proposal
Negotiate and accept award
Set up budget
Perform work
Financial management
Technical reporting
Monitor activity
Invoice and collect payments
Monitor accounts receivable
Close-out award
PI
PI & Department Staff
PI & Office of Sponsored Program (OSP)
OSP
Grant & Contract Accounting (GCA)
PI
PI, Department Staff, GCA
PI
PI & Department Staff
GCA
GCA & Department Staff
PI, Department Staff, GCA & OSP
Faculty Orientation to Research
THE BUDGET
• Provides the framework for financial compliance
• The budget plan is the financial expression of the
project or program as approved during the award
process
• Budget = estimated cost to conduct the project, the
‘proposal budget’
• Budget = an account number established in the
financial accounting system to accumulate expenses
and revenue associated with a funded project
Faculty Orientation to Research
DIRECT COSTS
Costs that can be specifically identified to the work
performed under a sponsored project and which may
be directly charged to those agreements.
- Salaries, Wages, and Fringe
Benefits
- Supplies and Materials
- Equipment
Faculty Orientation to Research
FACILITIES & ADMINISTRATION
COSTS
Cost that cannot be specifically identified to a sponsored
project are normally considered administrative costs,
infrastructure costs or costs that benefit multiple projects
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Administrative and Clerical salaries
Basic local phone service
Office supplies
Routine copying charges
Faculty Orientation to Research
How to
Apply the Policies
University and State
Financial
Policies
Award
Terms
Program
Announcement
Sponsor Specific Terms &
Conditions
Federal Policies OMB
Circulars A-21, A-110 and
A-133
Faculty Orientation to Research
Public Laws
PI / DEPARTMENT
RESPONSIBILITIES
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Assistance in fiscal reporting, invoicing and closing
Fiscal compliance, effective internal controls and
separation of duties
Deficit resolution
Records retention
Faculty Effort Certifications (FEC)
Address problems related to fiscal activities
promptly
Faculty Orientation to Research
Recommendations
• Know what is in your award document and read it
• Take a proactive approach to grant management
• Adhere to University, State, Federal and Sponsor
policies and regulations
• Establish proper financial accountability structure
• Ensure proper financial management with attention to
data integrity
Faculty Orientation to Research
GCA RESOURCES
• GCA Web Page
http://f2.washington.edu/fm/gca/
• GCA email/phone:
gcahelp@u.washington.edu 206-616-9995
• Grant Tracker
http://www.washington.edu/research/gca/budget/granttracker.html
• Researcher’s Guide
http://www.washington.edu/research/guide/index.php
• Monthly Research Administration Meetings (MRAM)
http://f2.washington.edu/fm/gca/mram
• Grants Information Memoranda (GIMs)
http://www.washington.edu/research/?page=osppolicy
Faculty Orientation to Research
Office of Research
Information Services (ORIS)
Jim Kresl
Assistant Vice Provost for Research
Director of ORIS
Faculty Orientation to Research
ORIS VISION
Create an integrated information
management system that will enhance the
ability of faculty, administrators, and staff
at UW to procure and administer research
grants and contracts.
Faculty Orientation to Research
ORIS MISSION
Coordinate, develop, and support electronic
research administration for faculty and staff.
Faculty Orientation to Research
ORIS GOALS
Improve services to Principal Investigators and
staff by:
– Enhancing your ability to obtain funding
– Reducing your administrative workload
– Streamlining the proposal process
Faculty Orientation to Research
ORIS ALIGNMENT
Faculty Orientation to Research
What does ORIS
currently provide
to faculty and staff?
Faculty Orientation to Research
www.research.uw.edu
Faculty Orientation to Research
SAGE
System to Administer Grants Electronically
Use SAGE to:
• Prepare, submit, and track your grant proposals
• Route your proposal for online review and
approval
• Build your budget using a tool integrated with
payroll systems and customized to comply with
UW research and accounting rules
• Request advance budgets on approved projects
Faculty Orientation to Research
www.sage.uw.edu
Faculty Orientation to Research
Resources Available:
Training
User Guide
sagehelp@uw.edu
Faculty Orientation to Research
FIDS
Financial Interest Disclosure System
FIDS makes the significant financial interest
(SFI) disclosure process electronic and
seamlessly integrates with SAGE to allow PIs
and administrators to easily track compliance.
Use FIDS to:
• Submit significant financial interest (SFI) and
travel disclosures
• Track the review status of SFI disclosures
Faculty Orientation to Research
Resources Available:
Training
User Guide
FAQs
fidshelp@uw.edu
Faculty Orientation to Research
Enterprise Data & Reporting
Goal:
Provide you with access to business intelligence
for strategic planning and assessment.
Current State:
• Integrating research data into the Enterprise
Data Warehouse (EDW)
• Working to promote data management and
governance
Faculty Orientation to Research
Proposal and Award Reports
Resources Available:
grantrpt@uw.edu
Faculty Orientation to Research
Compliance Initiatives
Goal:
Implement system solutions to support your
work on compliance related activities.
Current State:
• Actively engaging w/ all compliance and
administrative offices (EH&S, OAW, HSD,
OSP, and GCA) to assess needs and identify
where we can automate and integrate
processes
Faculty Orientation to Research
How will ORIS determine what
to provide in the future?
Faculty Orientation to Research
Research Roadmap
Faculty Orientation to Research
Research Roadmap
Executive Sponsorship
Office of Research
UW Information Technology
Research Accounting & Analysis
Health Sciences Administration
Office of Planning and Budgeting
Faculty Stakeholders
Faculty Stakeholder
Group
§ Builds campus advocacy for
RRMap projects
§ Provides input and feedback
on RRMap project
requirements
Working Groups
Research Roadmap Advisory Group Membership
SOM
Public
Health
EIS
EH&S
HSD
EAS,
UWIT
OPS
OAW
OSP
GCA
MAA
OR
Formed as Needed
Active: FCOI and Training
ORIS PM Partnership with RRMap Advisory Group Members
RRMap PMs
Business Unit: Domain Interoperability focus
Administration & Central: Business unit liaison
CONTACTS & QUESTIONS
• Email: oris@uw.edu
• Telephone: 685-8335
• Questions?
Faculty Orientation to Research
Carol Rhodes, Interim Director, OSP
RESEARCH CAREER DEVELOPMENT
SERIES
Faculty Orientation to Research
Overview
• Developed for faculty and post docs
• Provide ongoing learning opportunities
throughout the year
• Comprehensive, practical information
• Opt-In to those sessions that interest you
• Format based on faculty feedback
• 9 sessions
Faculty Orientation to Research
October-December 2013
1. Successful Grantsmanship and Proposal
Development
2. Preparing Complex Projects &
Interdisciplinary Proposals
3. Human Subjects Protections
Faculty Orientation to Research
January-June 2013
4.
5.
6.
7.
ITHS – what we can do for you!
Animal Care and Use
Maintaining Safety in your Research Lab
Choosing Collaborators & Subcontract
Monitoring
8. Building Effective International
Collaborations
9. My Award has Arrived, Now What Do I Do?
Faculty Orientation to Research
Attendance Options
• In Person – we strongly encourage you to
register
• Live Webcast – from your office, home or
laptop – watch the speaker virtually and send
in questions online
• Archived Webcast – watch a recording of past
sessions on the web. Sessions will be posted
the week following the session.
Faculty Orientation to Research
Speakers
• Managers and Directors
• Faculty Members
• Subject Matter Experts
Faculty Orientation to Research
Website
• For a list of Faculty Research Career
Development Series sessions, instructors and
dates, see the program flyer and webpage
• Contact for Questions:
– Gretchen Davis-Richey
• gsd@uw.edu
• 206-616-7289 (voice)
Faculty Orientation to Research
Thank You
• Question & Answer Session
• Don’t forget to complete an evaluation!
Faculty Orientation to Research