Grants Management Doug Franson dfranson@nd.edu 631-9849 Overview - - PowerPoint PPT Presentation

Grants Management

Doug Franson dfranson@nd.edu 631-9849

Overview

• Why Doug?
• What did he say? Jargon* & acronyms
• Preaward* (ISLA & OR)
• You received your award! Now what?
• Postaward* (OR & RSPA)
• Managing your award terms and conditions
• Following institutional procedures
• Final comments

Why is Doug Here?

• Currently managing 10 grants, $5M/year at the Institute

for Latino Studies

• Office of Research grant manager, 2000 - 2002

Managed > 400 awards totaling $65M, annually Assisted > 700 principle investigators with active awards

• 12 years experience with Office of Research policies &

procedures

Preaward & Postaward / Research compliance Technology transfer / Electronic research administration

Jargon & Acronyms

• Please ask questions at any time
• Prefer discussion to lecture
• Previously listed common areas of research

administration

Preaward / Postaward Research compliance* Technology transfer*

• Typical acronyms

PI, GS, RSPA, F&A, COI, NCE, SOW, IPS, ISLA, OR, RAs, ERA, IT…

The Preaward Process

• Searching for funding opportunities
• Preparing your proposal
• Routing your proposal
• Submitting your proposal
• Responding to sponsor requests

Revised budget / scope of work -> Pew CSLR* Certifications & assurances

• Checking the status of your proposal

Preaward RAs

• Please work with ISLA & OR RAs

University policies and procedures

Research handbook http://www.nd.edu/~research/Pol_Proc/ Collaborating institution “Proposal” (SOW, budget, cover page) Research compliance, COI, etc.

Sponsor guidelines and requirements

Authorized institutional signature Restricted account (don’t commingle funds)

• What if you submitted proposal on your own?

Salaries– GS, ND faculty, Non-ND colleague, consultant Taxed on full amount, 1099 vs. just salary / deductions

• If institutional submission is an option, do it!

The Award

• Congratulations! Celebrate!
• Contact your central research office

Don’t sign or modify award document - delays Keep a copy, send copy of proposal too

• Getting started on the research

Ha! You’ve probably been working… Reviewing your promises (deliverables)

• But, don’t forget about the award document

Legally binding agreement ND & PI financially responsible

• Research handbook for principal investigators

Initial Award Issues

• If you failed to route your proposal through OR

Postaward RA must do preaward work, delays start date Review and modify budget, F&A included? Subgrants? COI, routing form, etc.

• Even if the research office routed your proposal…

Award budget may not match proposal budget

Sponsor may have awarded less than proposed F&A rate may have changed

May still need to answer sponsor questions

Prior to starting, may need sponsor to lift restrictions on spending (key staff – on maternity leave, approval of new subcontractor, etc.)

• OR & RSPA help protect University and you

The Postaward Process

• Reviewing and negotiating the terms and conditions of

the award

Publication restrictions State law and jurisdiction

• Modifying proposal budget to match award amount
• Contracts - Subgrants, consultants, IPS
• Establishing a restricted account
• Financial compliance (RSPA & you)
• Submitting reports, narrative/financial/patent/…
• Supporting documentation
• Audits

Changing Your Award

• PI communicates with sponsor program officer
• Grant manager communicates with sponsor

grant/contract specialist

• Approval from program officer is not good enough

Important the program officer supports request Only grant/contract manager can modify original award agreement

• Only authorized institutional official can sign (accept

changes to) original award agreement

Monk -> Jeff Kantor -> Howard Hanson Any officer of the University too, but avoid this option

Managing Your Award

• Prior approvals (webforms)

Preaward costs Budget revisions Carryovers No-cost extensions Changes in key staff Change of scope

• Grant transfers
• Award closeout
• Data retention

Institutional Procedures

• Routing proposal (ISLA through submission)

Credit (Dept/Center or Institute) Approvals and reviews

Chair/Dean New curriculum or degree / space renovations Compliance / COI Subgrants, consultants, etc.

• RSPA manages financial issues, submitting

financial report

• OR manages terms & conditions, submits all

formal correspondence

Remaining Issues

• Managing your account

Spending rates Spend outside categories, or > what budgeted w/in line items on budget Projecting future balance

• ISLA, OR, RSPA here to help
• Document, document, document

Good luck! Contact Doug Franson @ 631-9849 if you have any future questions, dfranson@nd.edu

Acronyms

• PI

principal investigator

• GS

graduate student

• RSPA

research & sponsored programs accounting

• F&A

facilities & administrative costs, indirect costs

• COI

conflict of interest

• NCE

no-cost extension

• SOW

statement of work

• IPS

individual payment for services

• ISLA

institute for scholarship in the liberal arts

• OR
• ffice of research
• RAs

research administrators

• ERA

electronic research administration

• IT

information technology