Research Administration and Management Program (RAMP) Introduction to Sponsored Programs and Research Administration Penny Weaver Assistant Director, OSPRA Objectives of the Training Series The purpose of this training series is to: Offer insight into the world of sponsored programs and research administration Provide an understanding of the life cycle of a sponsored project from start to finish Provide more detailed training in the areas of budget preparation, electronic submission portals (e.g., NSF Fastlane and Grants.gov), cost sharing and in navigating the proposal submission process Describe and refer to University policies related to the submission of research proposals and negotiation and acceptance of awards Acquaint attendees with the offices responsible for the oversight and support of sponsored projects Topics That Will be Covered in the Sessions Introduction to Sponsored Projects and Research Administration Research Administration at UIUC Submitting a Proposal – Who Does What? Understanding the Proposal Transmittal Form Compliance Requirements at UIUC Developing a Budget/Budget Justification Facilities and Administrative Costs Cost sharing OMB Circulars Electronic submission portals Contracts, Award and Award Management Frequently Asked Questions that will NOT be Answered Why do faculty always wait until the last minute? Why does the government only add regulations, but never takes any away? Is there a profession with more acronyms than research administration? Introduction to Sponsored Programs and Research Administration Pre-Award fundamentals – – – – – – – – What is a sponsored project? Who are the sponsors? What is the difference between a gift and a grant? What is research? What is research administration? What is a proposal? What is a Principal Investigator? What are the types of funding announcements/solicitations? – Sources of authority – Types of agreements Introduction to Sponsored Programs and Research Administration Research Administration at UIUC – Why are sponsored projects so important? – Grants and contracts administrative sections and their functions/roles – University policies related to the submission of research proposals – What is the life cycle of a research project? What is a Sponsored Project? The OBFS Business and Financial Policies and Procedures, Chapter 16.1.5 defines sponsored projects as, “Sponsored projects are supported by entities outside the University, have a defined scope or objective, and include reporting requirements. They result from proposals submitted by the University and funded by an external organization, such as a federal, state, local, or foreign unit of government, a foundation, an association, or a commercial entity”. Who are the Sponsors? Government Federal Programs – Purpose: To provide for the common welfare through appropriations for the support of education, health and welfare, engineering, the arts, defense. – Structure: There is typically a hierarchy of divisions, programs and offices (e.g., NSF has many directorates divisions under them, including the Directorate of Biological Sciences). – Deadlines: Vary, but are typically cyclical. – Types of projects funded: Usually fund projects of national or universal significance. Who are the Sponsors? Government State and Local Programs – Purpose: State agencies exist to fulfill specific legislative missions that are narrower in scope than that of federal agencies. Local agencies exist to meet local needs. – Structure: Infrastructure varies among agencies. – Deadlines: Vary. – Types of Projects Funded: Funds are provided for projects that promise to benefit the people of the state, locale. The scope of work is often determined by the funding agency. Who are the Sponsors? Non-Profit Organizations Foundations – Purpose: Usually support interests that are closely related to their source of funds. – Structure: Most are managed by an executive director or board of directors. – Deadlines: Vary with some having cyclical deadlines to others having no established deadlines. – Types of projects funded: Support service related activities and basic and applied research. Other Nonprofit Organizations – Purpose: A wide range of nonprofit organizations support University programs (e.g., American Cancer Society, American Heart Association). – Structure: Varies greatly. – Types of projects funded: typically support research and other activities in their field only. Who are the Sponsors? For Profit Organizations-Business and Industry Industry is becoming an increasingly important partner for basic and applied research. Generally, the company’s objective is to strengthen its competitive position in the marketplace. Who are the Sponsors? Examples of our sponsors Federal DHHS – Department of Health and Human Services – PHS - Public Health Service – NIH – National Institutes of Health NSF – National Science Foundation Department of Defense – AFOSR – Air Force Office of Scientific Research – ARO – Army Research Office – ONR - Office of Naval Research USDA – United States Department of Agriculture Who are the Sponsors? Non-Profit – AHA – American Heart Association – Mellon Foundation – ACS - American Cancer Society Industry – – – – Monsanto Hewlett Packard Kraft Pfizer State – Illinois Board of Higher Education – Illinois Dept of Children and Family Services What is the Difference Between a Gift and a Grant? What is not considered a sponsored project (i.e., is a gift)? – Gifts are contributions made to the University for which the donor receives no direct benefit and requires nothing in exchange beyond a general assurance that the intent of the contribution will be honored. – F&A is not charged on a gift What is the Difference Between a Gift and a Grant? Terminology/characteristics that may point to funding being a gift. – Provider – donor, benefactor – Donation, unrestricted grant, unrestricted gift. – No University performance outside of the general area of work is required. – Few terms beyond specifying the general intent. – Reporting not required, but courtesy reporting may be provided. – Intellectual or proprietary rights belong to the University. What is Research? Research is an organized and systematic way of finding answers to questions. – Systematic because there is a definite set of procedures and steps that will be followed. – Organized in that there is a structure or method in going about doing research. – Finding answers is the end of all research, whether it is the answer to a hypothesis or even a simple question. – Questions are central to research. Research is focused on relevant, useful and important questions. The acquisition and dissemination of knowledge. Any gathering of data, information and facts for the advancement of knowledge. Eddie What is Research Administration? Management of the research enterprise Goal is to enhance the success of faculty and staff in obtaining external funding for research, training and service activities, negotiating awards and to assist in the management of awards. OSPRA is responsible for the administration of the pre-award function on the UIUC campus. What is Research Administration? What does research administration include? Dissemination of funding opportunities Communication of policy and processes Proposal preparation, review and submission Award negotiation Award management Regulatory compliance Intellectual property protection and technology transfer Post-Award accounting Effort commitment and certification F&A rate calculation and negotiation What is a Proposal? A proposal is a request for funding that is submitted to an external sponsor A proposal may be submitted in response to a solicitation or may be an unsolicited submission Some sponsors provide an application package for proposal preparation The requirements for completing the proposal application are delivered via various methods (e.g., a Request for Applications (RFA), Broad Agency Announcement (BAA) or a Request for Proposals (RFP) to name a few) What is a Principal Investigator? The Principal Investigator (PI) is the primary individual, designated by the applicant institution, who is in charge or a research grant, cooperative agreement or contract The PI usually writes the proposal application The PI oversees the scientific and technical aspects of the project and the day-to-day management of the research. The PI has responsibility for the fiscal oversight of the project In the context of Federal funding from agencies like NSF and NIH, the PI is the person who takes direct responsibility for the completion of a funded project, directing the research and prepares reports for the funding agency. Types of Funding Announcements Most common types of funding announcements – Unsolicited PA – Program Announcements (e.g., PA-10-167 is an NIH unsolicited funding announcement) – Solicited RFA – Request for Applications (grants and cooperative agreements) RFP – Request for Proposals (contracts) RFQ – Request for Quotation (contracts) RFB – Request for Bid (contracts) BAA – Broad Agency Agreement (grants, cooperative agreements, contracts) Sources of Authority Federal Statutes Regulations Authorization and appropriation Governmental directives Sponsor’s terms and conditions State of Illinois and University statutes, regulations, guidelines Federal Statutes Statutes are laws established by acts of legislature on the state or federal level Typically, statutes command or prohibit something or declare policy Often used to distinguish law made by legislative bodies from case law, decided by courts and regulations issued by government agencies Authorization and Appropriation Authorization – establishes a program that will later spend money, but funding is not necessarily provided. Appropriation follows authorization – Examples: Housing and Community Development Act; No Child Left Behind Act; Workforce Investment Act; Higher Education Act Appropriation - the provision of funds through an annual appropriations act or permanent law, for federal agencies to make payments out to the Treasury for specified purposes. – (example: HUD and Independent Agencies Appropriations Act) Governmental Directives Presidential Executive Orders – Examples: EO 12549 re: Debarment and Suspension, Affirmative Action – Generally orders to staff of executive branch Treasury Dept Directives and Regulations – 31 CFR 104 Contracts with Educational Institutions – 31 CFR 900 Claims Collection OMB Circulars – instructions or information issued by the OMB to Federal agencies – Uniform Administrative Requirements (A-110) – Cost Principles (A-21) – Audit (A-133) Federal Regulations Federal regulations are the actual enforceable laws authorized by major legislation enacted by Congress The Code of Federal Regulations (CFR) is the codification and general and permanent rules and regulations (sometimes called administrative law). Administrative law exists because Congress grants broad authority to the Executive branch to interpret statutes in the United States Code Federal regulations are enacted by the Executive branch Federal Regulations The Clean Air Act, the Food and Drug Act and the Civil Rights Act are all examples of legislation Agencies like the FDA, EPA, OSHA and at least 50 others are called regulatory agencies because they are empowered to create and enforce rules (regulations) Regulations are treated as being as legally binding as statutory law, which is written law set down by the Legislative branch Sponsor’s Terms/Conditions Terms and conditions that are established by a sponsor as a condition of award – varies among sponsors NSF general grant terms and conditions appear in the Proposal and Award Policies and Procedures Guide NIH grant terms and conditions appear in the NIH Grants Policy Statement State of Illinois and University Statutes, Laws, Guidelines May be more or less restrictive More restrictive than sponsor, government – follow State/University guidance Less restrictive – follow sponsor, government guidance Types of Agreements GRANT: An arrangement under which there is a transfer of funds, property, services or anything of value from the sponsor to the institution to assist the institution in reaching a particular institutional goal or public purpose CONTRACT: A mechanism for the procurement of a specific service or product with specific obligations for both the buyer and the seller. Types of Agreements GRANTS PI defines the project – Scope of Work or Proposal is cited in award COOPERATIVE AGREEMENT Substantial involvement between parties Sponsor retains the right to revoke the award and unused funds revert back to sponsor CONTRACT Sponsor or sponsor and PI jointly define scope of work Sponsor retains the right to terminate the contract Specified in grant Specified in coSpecified in contract operative agreement Reports are normally on an annual basis Reports may be required more often than annually Reports may be required more often than annually Types of Agreements GRANTS COOPERATIVE AGREEMENT CONTRACT Institution owns the IP May be involved IP provision in contract Publications are not restricted May ask to be informed Publication may require the prior review/approval of the sponsor “Best efforts” are used in completing the research Contractor is generally required to produce a work product or deliverable (possibly only a report of findings) Types of Agreements GRANTS Benefit is normally to the institution/PI by furthering their own purposes or programs COOPERATIVE AGREEMENT Varies CONTRACT Benefit is normally to the sponsor – anticipates economic benefit as a result of the activity Research Administration at UIUC Why are sponsored projects so important? To the University – – – – – Increase University’s status and prestige Attract new faculty and students Train future scientists and teachers Upgrade programs and build infrastructure Enhance connections with other segments of society – Provide service to country/state/county Research Administration at UIUC Why are sponsored projects so important? To the faculty – – – – Employment/promotion criteria Endorsement of research ideas (credibility) Employment for students Money to conduct research Research Administration at UIUC How much Sponsored Programs Funding does the University of Illinois at Urbana-Champaign Receive (source: OVCR website)? FY Proposal Amount Award Amount FY06 $ 660,578,903 $ 375,461,650 FY07 $ 690,204,457 $ 392,900,739 FY08 $ 804,056,560 $ 486,606,333 FY09 $ 1,003,280,657 $ 451,503,276 FY10 $ 1,310,358,320 $ 668,696,494 Awards in 2008-09 - $451,503,276 FY05 $ 991,560,318 $ 369,153,224 Grants and contracts administrative sections and their functions/roles Three grants and contracts units are involved with research administration on the UIUC campus. They are: – The Office of Sponsored Programs and Research Administration (OSPRA) supports the pre-award function. – The Office of Grants and Contracts supports the post-award accounting function. – The Grants and Contracts Costing Office supports the Springfield and Urbana campuses in the calculation and negotiation of rates (facilities and administrative and fringe benefit) applicable to sponsored projects, assists units in the calculation of rates to charge for Facilities Use Agreements. Grants and contracts administrative sections and their functions/roles Office of Sponsored Programs and Research Administration (OSPRA) Pre-Award – OSPRA is a unit under the Office of the Vice Chancellor for Research (OVCR). OSPRA interacts with faculty, students, department business staff, University administration, and external sponsor program officers and award negotiators to provide service and support to the University’s missions of instruction, research, public service, and economic development. Grants and contracts administrative sections and their functions/roles Grants and Contracts (Post-Award) – The Office of Grants & Contracts is a unit within the Office of Business and Financial Services (OBFS). It supports University faculty and their departments in the administration and expenditure of sponsored project awards by developing and disseminating policies and procedures, managing the financial interactions with sponsors, and assuring compliance with university and sponsor policies, while minimizing the administrative burden on faculty and protecting the interests of the faculty and the University. Grants and contracts administrative sections and their functions/roles Grants and Contracts Costing – The Urbana Grants and Contracts Costing office is a unit within OBFS that supports the Urbana and Springfield campuses in the calculation and negotiation of rates applicable to sponsored projects. Grants and contracts administrative sections and their functions/roles OSPRA is comprised of three sections, Proposal, Award, and Subaward The Proposal Section is responsible for reviewing and approving the requests for external funding prepared and submitted by the campus community to Federal, State and Private sponsors. The proposal staff reviews proposals for budget accuracy, interprets regulation and proposal guidelines, provides training where necessary, and acts as a liaison with sponsor officials to respond to questions and requests for additional information to support award issuance. Grants and contracts administrative sections and their functions/roles The Award Section is responsible for negotiating terms and conditions of awards resulting from the submission of requests for funding and no-dollar agreements that may be associated with requests for funding. The awards staff responds to agreements provided by sponsors and also drafts agreements in the absence of sponsor-provided documents. The Awards staff interacts with the OVCR, University Counsel, the Office of Risk Management and the Office of Technology Management (OTM). Grants and contracts administrative sections and their functions/roles The Subaward Section is responsible for issuing agreements to lower tier sub-recipients under the prime awards the University receives from external sponsors. The subawards staff interprets the wide variety of terms and conditions to determine appropriate flow-down language from the prime agreement depending upon the type of subrecipient, e.g., institution of higher education, not-for-profit or commercial concern. They also interact with Counsel and OTM to ensure appropriate exceptions to standard language and Intellectual Property terms have been addressed. University policies related to the submission of research proposals All proposals for sponsored projects, regardless of whether funds will be awarded to the University of Illinois or the University of Illinois Foundation, must follow certain proposal approval guidelines. University policies related to the submission of research proposals Personnel authorized to submit proposals – Subject to approval, faculty members or administrators may submit proposals as Principal Investigators or Project Directors (PI/PD). – Other personnel, including professor emeritus (with zero-time appointments) may do so with the permission of the unit head. – New University employees whose appointments have not yet started may submit proposals through the University with the permission of the unit head. University policies related to the submission of research proposals Approvals required for all proposals – Campus department/unit – this approval confirms that the project is aligned with the unit’s educational, research or service functions. It approves the proposed budget and confirms its commitment to making the resources described in the proposal available. This approval is evidenced through a signature on the proposal transmittal form. – Schools and Colleges – may be required per school/college policy – OSPRA and Campus Research Board – OSPRA reviews and approves on behalf of the Campus Research Board University policies related to the submission of research proposals Sponsor limitations on the number of submissions from an institution – Occasionally, sponsors will limit the number of applications that may be submitted from an institution. This is normally spelled out in the proposal guidelines. – The OVCR coordinates the review and selection process for limited submissions. Proposal Development – Who Does What? PI/Dept Support Staff OSPRA Identify Funding Identify Funding Through the use of SPIN/SMARTS, IRIS, etc. Assist in the interpretation and clarification of program guidelines, if needed Proposal Preparation and Submission Proposal Preparation and Submission Prepare the technical proposal, including, Provide a preliminary review of the budget if final version is provided prior to internal deadlines Provide assistance in completing administrative information Offer guidance on appropriate F&A rates to apply –Scope of work –Bio sketch –Current and pending support –Resource statement Who Does What? Proposal Preparation and Submission (cont’d) Proposal Preparation and Submission (cont’d) Identify subcontractors Develop budget and justification Identify and provide documentation in support of cost sharing Identify space requirements and obtain guidance and approvals from appropriate University officials Review terms and conditions if proposal submission is indicative of their acceptance Provide guidance on cost sharing Review proposal for conformance with sponsor and University policies and to identify potential compliance issues (e.g., use of animals, human subjects, conflict of interest) Who Does What? Proposal Preparation and Submission (cont’d) Proposal Preparation and Submission (cont’d) Engage in timely communication with OSPRA when there are extraordinary circumstances (e.g., if the sponsor requires an agreement with terms and conditions at time of submission) Prepare proposal transmittal form Assemble proposal Provide proposal to OSPRA for review and approval in accordance with established processes Review budget(s) – sponsor and cost sharing – to ensure that they calculate correctly, appropriate F&A and fringe benefit rates have been applied, and that costs are allowable Review proposal for cost sharing commitments Provide institutional approval Submit proposal Who Does What? Post Submission Post Submission Prepare and submit human subject and animal use protocols, if applicable Prepare response to sponsor request for Just in Time (JIT) information Review, provide institutional approval and usually submission of response to sponsor for JIT requests Award Award Review and accept agreement Forward agreement to PI for approval Who Does What? Award (cont’d) Award (cont’d) Review terms and conditions of award to ensure they are appropriate for an institution of higher education Negotiate terms, if necessary Accept the award on behalf of the University Draft subaward documents Early last year, OSPRA implemented a new proposal process. This process identifies a specific proposal coordinator who will be assigned to your department as well as a backup to accommodate vacations and times of high proposal volume. The objective is for you to have a point of contact who will become knowledgeable about your unit’s activity. Visit http://www.ospra.uiuc.edu/ to find out which proposal coordinator is assigned to your unit. Questions?