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 office of research • RAs research administrators ERA electronic research administration • • IT information technology
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