navigating research administration at washington university

Navigating Research Administration at

Washington University



SPONSORED BY:

The Office of the Vice Chancellor for Research and Your Central Research Administration Partners:

Grants & Contracts, Research Education, Research Office, and

Sponsored Projects Accounting

SPONSORED BY:

The Office of the Vice Chancellor for Research and Your Central Research Administration Partners:

Grants & Contracts, Research Education, Research Office, and

Sponsored Projects Accounting





PRESENTERS:

Denise McCartney, Associate Vice Chancellor for Research Administration

Cynthia White, Director, Research Office (Hilltop Campus)Joe Gindhart, Director, Sponsored Projects Accounting

Jacqueline Judie, Research Education CoordinatorJohn Michnowicz, Director, Grants & Contracts (Medical School Campus)

PRESENTERS:

Denise McCartney, Associate Vice Chancellor for Research Administration

Cynthia White, Director, Research Office (Hilltop Campus)Joe Gindhart, Director, Sponsored Projects Accounting

Jacqueline Judie, Research Education CoordinatorJohn Michnowicz, Director, Grants & Contracts (Medical School Campus)

AgendaAgenda

• Welcome and introduction of presenters• Course objectives - Why are we here?• Research Mission

– Roles and responsibilities– Proposal preparation, award process, research project

management and award closure– The WU way, research administration infrastructure and available

resources (Research Support Services and Office)• Questions and answers• Evaluation and adjournment

Why Are We Here?Why Are We Here?

To clarify and discuss: • The investigators role in managing research programs• The University’s role in managing research programs• Key policies and regulations affecting your grants• Support available to you

Research MissionResearch MissionA message from Ted Cicero, Vice Chancellor of Research

• Research is one of Washington University’s core missions.

• The Office of the Vice Chancellor for Research exists to promote and support WUSTL investigators.

• Each individual conducting research shall uphold the highest standards of ethical and professional conduct.

• We are committed to providing information, tools and services to help further that standard.

http://vcresearch.wustl.edu/

WU Supports Investigators by:WU Supports Investigators by:

• Providing investigators with opportunities to conduct research

• Promoting the ethical conduct of research

• Implementing policies, procedures and systems that support compliance with sponsors’ policies and University-wide research policies to maintain the integrity of the University

WU Supports Investigators by:WU Supports Investigators by:

• Providing multiple resources at the school, department and central levels to support investigators in the design, conduct and reporting phases of research

• Providing resources, organizational support and oversight necessary to help ensure that protocols are submitted in accordance with sponsors’ regulations and University policies

• Establishing guidelines for the publication of results

School and/or Department Supports Investigators by:


• Providing investigators with established departmental procedures

• Providing the appropriate resources and environment to enable research to be conducted according to the terms of the award agreement, regulations, policies and procedures

• Allocating department space to faculty



• Holding investigators responsible for the accurate and timely submission of all technical /progress reports

• Establishing a culture of compliance and dedicating department resources to ensure research is conducted according to regulations, policies and procedures

Department Administrators Supports Investigators by:


• Assisting investigators in ensuring proposals meet all applicable regulations and policies

• Coordinating with central administration personnel for interpretation of agency guidelines, policies and procedures

• Assisting in obtaining appropriate internal approvals

• Assisting in reviewing award terms and conditions



• Assisting investigators in complying with and implementing terms and conditions

• Assisting investigators in coordinating financial, personnel and related non-scientific aspects of the research program in accordance with regulations, policies and procedures

• Assisting investigators in monitoring funding and notifying investigators of possible cost overruns

Central Administration Office Supports Investigators by:

Central Administration Office Supports Investigators by:

• Providing systems and support for faculty to search for funding

• Providing support services for proposal submission

• Assisting investigators in the commercialization of research results for public benefit

• Providing research compliance education, training and tools

Investigators Support WU by: Investigators Support WU by:

Their commitment to:• Conduct research responsibly and ethically

• Comply with federal laws and regulations

• Follow University policies and procedures

• Protect human and animal subjects

• Act as stewards of public funds

Investigator CommitmentsInvestigator Commitments

Are described more completely in:

• Code of Conducthttp://codeofconduct.wustl.edu/

• Roles and Responsibility documenthttp://roles.wustl.edu/

http://codeofconduct.wustl.edu/

http://roles.wustl.edu/

Investigator Commitments Cont.Investigator Commitments Cont.

Are described more completely in:

• WU Research polices and procedureshttp://research.wustl.edu/MainPoliciesProcedures.htm

• Sponsoring agencies, federal regulations, state laws

http://research.wustl.edu/MainPoliciesProcedures.htm

Key Strategies to Meeting Commitments

Key Strategies to Meeting Commitments

• Understand your responsibilities

• Work with your school or department grant administrator

• Work with the research support service organizations

• Use available resources

• ASK QUESTIONS

Research Administration ProcessResearch Administration Process

IdentifyPotential Sponsor

Prepare Proposal

Prepare Protocols

Conduct Research

ManageResearch

Manage Project Funds

Manage Personnel and

Laboratory Operations

Submit Timely Progress Reports

Complete andSubmit

Final Reports

Follow Closeout

Procedures and

Protocols

CommercializeResearch

Proposal Preparation

Award Research Project

Management

Other Research Administrative Support Activities: Education, website, communication, monitoring and auditingOther Research Administrative Support Activities: Education, website, communication, monitoring and auditing

ProjectCloseout

Investigators have responsibilities in the following four areas of research administration at Washington University.Investigators have responsibilities in the following four areas of research administration at Washington University.

Receiveand

ReviewAward Terms

and Conditions

Provide Information to Facilitate,

Negotiate andAccept

Contracts and Subcontracts



Prepare Proposal

Prepare Protocols


Prepare Proposal

Prepare Protocols

Conduct Research

ManageResearch





Complete andSubmit

Final Reports

Follow Closeout

Procedures and

Protocols


Proposal PreparationProposal

PreparationAward

Research Project Management


ProjectCloseout


Receiveand

ReviewAward Terms

and Conditions


Negotiate andAccept


Proposal PreparationProposal Preparation

• Identify potential sources of funding

• Review sponsor submission guidelines

• Discuss proposal with your Research Administrator

• Develop research plan

• Craft the proposal

Proposal Preparation Cont.Proposal Preparation Cont.

• Negotiate with collaborators

• Prepare the budget

• Submit protocols and compliance documents

• Submit entire proposal package

Investigator Submits

FinalProposal

to Sponsor

Investigator Submits

FinalProposal

to Sponsor

RESEARCH PROPOSAL PREPARATIONRESEARCH PROPOSAL PREPARATION

Sponsor’s FundingSponsor’s FundingDecisionDecision

This is a suggested timeline with major milestones outlined.This is a suggested timeline with major milestones outlined.

Revise proposal for resubmission /address reviewers’ concerns from Summary StatementRevise proposal for resubmission /address reviewers’ concerns from Summary Statement

Develop research concept.Discuss andCirculate.

Develop sciencebased on feedback anddiscuss projectwith RA.

Review guidelines and compliance requirements.Developbudget with RA.

Completeproposal.

Review concept andscience and providefeedback to investigator

Dept Chair’s approval is required

Completeadmin. part of proposal.

Reviews proposal, certifies compliance requirementsand provides institutional signature

6 Months6 Months 2 Months2 Months 4 Weeks4 Weeks 1 Week1 Week

Not Funded

Not Funded FundedFunded

Submit proposal to G&C/RO.Complete all protocols and compliance requirements withthe assistance of RA.

PIPI

Key

PartnersMentors, CollaboratorsDept Chairs &Senior Faculty

Key

PartnersMentors, CollaboratorsDept Chairs &Senior Faculty

Investigator makes

submission-

No go

decision Central Admin. Staff

negotiates award

Investigatormanagesresearch

project

Central Admin. Staff

negotiates award

Investigatormanagesresearch

project

PI = Investigator or Principal Investigator G&C = Grants & Contracts Office (Medical School Campus)

RA = Department/Grants/Division/Research Administrators RO = Research Office (Hilltop Campus)

Continuous ongoing feedback

Continuous ongoing feedback

Review funding alerts andannouncementsfor possible support forinvestigator.

Discuss upcomingresearch projectwith investigator -notify G&C/RO of intent to submit.

Consult with RA andinvestigator to develop timeline that addresses proposal development, resources, protocols, required approvals, and budget.

Help investigatordevelop budget andseek commitments, resources and requiredapprovals.

Help investigator complete all protocols and compliance requirements.

RARA

Central Admin StaffG&C and RO

Central Admin StaffG&C and RO

Review draft budget anddraft proposal application and provide feedback to investigator

NOTE: Planning and communicationare key to workingwith Central Admin Offices

Investigator reviews

Summary Statement

Investigator decides

whether to resubmit

Investigator reviews

Summary Statement


whether to resubmit

Review the budget


whether to revise

Identify Potential Funding SourcesIdentify Potential Funding Sources

– Register in funding databases• http://www.cos.com• http://www.grants.gov• http://www.grantsnet.org • http://privatefundingsources.wustl.edu

– Set up effective electronic funding alerts that target your specific interests

http://www.cos.com/

http://www.grants.gov/

http://www.grantsnet.orgv/

http://privatefundingsources.wustl.edu/

Identify Potential Funding Sources Cont.

Identify Potential Funding Sources Cont.

– Work with the Funding Resources Coordinator to explore all federal and private sources

– Explore internal sources of funding

– Explore young investigator funding sources and network with peers who have successfully applied for these grants

– Consider becoming a subcontractor on someone else’s grant

Proposal PreparationDeveloping the BudgetProposal Preparation

Developing the Budget

General Budgeting Guidelines– Average R01 budget of direct costs

• 70% for personnel costs• 30% for non-personnel costs (e.g., supplies)

– Be realistic about your project period• If it takes four years, propose four years

– Research should dictate the budget, not the reverse

Proposal PreparationDeveloping the BudgetProposal Preparation

Developing the Budget

Budgeting General Guidelines Cont.– Think through the complete research project and include ALL

costs in the proposed budget • (e.g., radioactive waste)

– Involve your RA early in the budget process• Identify responsibilities and assign ownership

– Cover Facilities and Administrative Cost (F&A) and verify that it is calculated correctly

Topic CommitteeAnimal Protection Animal Studies Committee (ASC)

Financial Conflict of Interest Disclosure Review Committee (DRC)

Lab Safety Environmental Health and Safety (EH&S) Radiation Safety Committee Institutional Biological & Chemical Safety

Committee (IBC)

Patient Privacy Protection HIPAA Office

Committees that Review Compliance Issues and Protocols


Topic CommitteeHuman Subject Protection Human Studies Committees (HSC)

Material Transfer Agreements Office of Technology Management (OTM)

Scientific Misconduct Research Integrity Committee



Key Strategies for Proposal Preparation

Key Strategies for Proposal Preparation

• Partner With Department/School Administrator – Budget preparation– Submission of protocols and required approvals

• Web tools (http://research.wustl.edu)– Link to writing resources, protocols and compliance– Link to agency guides and on-line forms– Link to Fastlane and other agency systems

Key Strategies for Proposal Preparation Cont.

Key Strategies for Proposal Preparation Cont.

• Consult Central Grant Administration

– For interpretation of sponsor policies and guidelines– To formalize agreements with co-investigators



Prepare Proposal

Prepare Protocols

Conduct Research

ManageResearch





Complete andSubmit

Final Reports

Follow Closeout

Procedures and

Protocols


Proposal Preparation AwardAward



ProjectCloseout


Receiveand

ReviewAward Terms

and Conditions


Negotiate andAccept


Receiveand

ReviewAward Terms

and Conditions


Negotiate andAccept


Sponsor’s Funding DecisionSponsor’s Funding Decision

• What happens to your grant proposal once it has been submitted?– Proposals are usually evaluated by a peer review process

• Successful senior faculty act as reviewers• Review teams usually have someone with knowledge in your

specific area on the team• You will receive a summary statement with reviewers

comments, questions and concerns as well as your score

Sponsor’s Funding DecisionSponsor’s Funding Decision

• JIT-Just in Time process (used by many sponsors)– Sponsor may ask you questions about:

• The science• Budget adjustments, budget justifications, cost analysis• Protocols information and approvals

• RA and Central Administration Staff partners will help you respond

• Positive situation—You are likely to receive the award if they ask for more information

Receive and Accept AwardsReceive and Accept Awards

• Washington University is the Official Awardee

• Don’t sign anything!

Only authorized institutional officials designated by the Chancellor may

sign agreements and award documents.

Federal, industry and clinical trial agreements are handled by specific Central Research Administration Offices (see above)

Key Strategies for Receiving an AwardKey Strategies for

Receiving an Award

• Read your award document; each award is distinct!– Terms and conditions– Expectations and responsibilities– Compliance issues

• Understand your responsibilities and the responsibilities of Central Research Staff– Know who will submit “which report when” over the life of the grant, e.g.,

finance report

Key Strategies for Receiving an Award Cont.

Key Strategies for Receiving an Award Cont.

• Funds are available only after compliance assurances have been approved and the project officially begins

• Remember: Expenditures support the scope of one specific research project



Prepare Proposal

Prepare Protocols

Conduct Research

ManageResearch





Conduct Research

ManageResearch





Complete andSubmit

Final Reports

Follow Closeout

Procedures and

Protocols



Award Research Project Management



ProjectCloseout


Receiveand

ReviewAward Terms

and Conditions


Negotiate andAccept


Research Project ManagementResearch Project Management

The investigator is responsible for:• Directing all aspects of the research project

• Conducting research in compliance with the terms and conditions of the award and all protocol approvals

• Expending funds in accordance with sponsor and University policies and the approved budget

• Monitoring the performance of all collaborators

Research Project Management Cont.Research Project Management Cont.

• Hiring and managing personnel on the research team in compliance with award approval and WU Human Resources policies and according to the project schedule

• Managing relationships to facilitate research project

• Submitting Timely technical Reports

RESEARCH PROJECT MANAGEMENTRESEARCH PROJECT MANAGEMENT

WU INVESTIGATOR

Designs and conducts research projects Makes scientific and budgetary decisions, and follows University guidelines Writes and submits progress reports as scheduled Approves expenditures in accordance with the approved budget or as allowed by agency and University guidelines Completes personnel activity reports (PARS) as required by the federal government

WU RESEARCH ADMINISTRATOR (RA)

Provides departmental assistance to support investigators’ research activities

Assists in proposal preparationHandles Investigator accounting:

Salary Authorization ReportsQuarterly Expenditure Reports

PayrollPurchasingPARS submission monitoring

SPONSOR* PROGRAM ADMINISTRATOR

Initiates/encourages interest in area of scientific importance to the institute’s mission Monitors the peer review process Prepares funding recommendations Reviews yearly progress of grants Prepares program reports (e.g., budget justifications, scientific achievements)

SPONSOR* GRANTS MANAGEMENT SPECIALIST

Analyzes grant application budgets and other grant-related information Interprets federal regulations and policies Assures compliance by grantee Awards grant funds Reviews and responds to grantee requests or identifies need for other grant changes

WU Research Administrative Offices

Provides advice, counsel and oversight Grants & Contract (G&C)-Medical School Campus Research Office (RO)-Hilltop Campus Sponsored Projects Accounting (SPA) Office of Technology Management (OTM)

*This is the typical structure of a sponsoring organization.RA= Research/Department/Division/Grants Administrators

Discussion

Feedback

Revisions

Review

Decisions

Approves

Expend Funds in Accordance with WU and Sponsor PoliciesExpend Funds in Accordance

with WU and Sponsor PoliciesFederal:• OMB Circular A-21 (costing)• OMB Circular A-110 (administrative)• NIH Grants Policy Statement • NSF Grants Policy Manual

Institutional (WU):• WU Direct Charging Policies (general)• Specific policies and procedures (travel, NIH Cap…)

Expend Funds in Accordance with WU and Sponsor PoliciesExpend Funds in Accordance

with WU and Sponsor PoliciesCosts are required to be:• Reasonable - goods or services involved and the amount reflect

the action of a prudent person

• Allocable - incurred solely for the benefit of the project

• Allowable - allowable under the terms of the agreement and sponsor’s guidelines

Direct CostsDirect Costs

Definition: Costs that can be specifically identified to a particular project or program

• Salaries and fringe benefits• Travel• Equipment• Supplies• Sub-agreements• Patient care

Unallowable CostsUnallowable Costs• Costs that are not reasonable and not directly allocable to the project

• Costs specifically deemed unallowable by the sponsor - Examples include:

• AdvertisingAdvertising• Alcohol & FoodAlcohol & Food• Charitable ContributionsCharitable Contributions• EntertainmentEntertainment• PaperPaper• Printer tonerPrinter toner

• AdvertisingAdvertising• Alcohol & FoodAlcohol & Food• Charitable ContributionsCharitable Contributions• EntertainmentEntertainment• PaperPaper• Printer tonerPrinter toner

• Fines and PenaltiesFines and Penalties• DeficitsDeficits• Personal use of goods Personal use of goods or servicesor services• Office suppliesOffice supplies

• Fines and PenaltiesFines and Penalties• DeficitsDeficits• Personal use of goods Personal use of goods or servicesor services• Office suppliesOffice supplies

Facilities & Administrative Costs(a.k.a., Indirect or Overhead)

Facilities & Administrative Costs(a.k.a., Indirect or Overhead)

• Definition: Costs that are incurred for common or joint objectives which cannot be specifically identified with a particular project

• Applied as a percentage of direct costs (53% mtdc = on-campus research)

What do F&A dollars pay for?What do F&A dollars pay for?

Facilities• Heat, light & A/C• Building maintenance• Building depreciation• Interest on building loans/bonds• Equipment depreciation• Library

Administrative• Chancellor’s, VP’s and Dean’s Offices• Human Resources• Payroll, A/P & Purch.• Research Office & SPA• Department Admin.

What is Effort Reporting?What is Effort Reporting?

• An individual certifies that salaries charged to sponsored projects are reasonable in relation to the work performed

Faculty EffortFaculty Effort

• Total activity for which a faculty member is compensated by WU– Regardless of the number of hours actually worked (100%

institutional effort)

– No standard hours or work week

– Effort varies from individual to individual

Effort CategoriesEffort Categories

• Annual compensation paid by WU for a faculty member’s appointment, whether that individual's time is spent on:– Organized Research– Instruction– Department Research– Patient Care (Clinical Care/Trials)– Graduate Medical Education– Department Administration– Management of Hospital Services

Effort Reporting, Cont.Effort Reporting, Cont.

• Faculty/staff must review, modify if necessary, and certify that effort percentages are a reasonable estimate of the work performed

– A Personal Activity Report (PAR) is sent to research faculty on a semi-annual or semester basis

– The PAR is a legal document

– Each department / division has a designated PAR Coordinator

– PAR reports and the system are centrally maintained by SPA

NIH Salary Cap(only for applies to NIH grants)

NIH Salary Cap(only for applies to NIH grants)

• The NIH caps salary on grants at a fixed level (tied to federal pay scale)

• Salary cap rate changes annually

• Salary over the cap is considered cost sharing

• Payroll system contains automatic edits for the cap

Key Strategies for

Financial ManagementKey Strategies for

Financial Management• Consult Your Research Administrator:

– Know what is being charged to your grant by carefully reviewing the finance reports on a regular basis

– Review and understand your monthly financial report

– Know what are allowable and unallowable charges based on federal and University policies

– Know the policies and procedures for purchasing equipment such as computers



Prepare Proposal

Prepare Protocols

Conduct Research

ManageResearch





Complete andSubmit

Final Reports

Follow Closeout

Procedures and

Protocols


Complete andSubmit

Final Reports

Follow Closeout

Procedures and

Protocols




Management


ProjectCloseoutProject

Closeout


Receiveand

ReviewAward Terms

and Conditions


Negotiate andAccept


Project CloseoutProject Closeout

– Apply for extensions in a timely manner

– Ensure timely submission of sub reports

– Ensure investigator submits technical reports

– Ensure investigator and OTM submit patent documents

– Ensure Financial Status Reports are submitted by SPA

– Ensure all costs associated with the project are charged to the fund

Project Closeout Cont.Project Closeout Cont.

– Ensure all Cost sharing commitments are met

– Account for property purchased on grant

– Retain records for required period

– Remember: Federal agencies retain the right to recover disallowances until final audit

Reasons a Research Project EndsReasons a Research Project Ends

Research grants are closed out after expiration or terminated

if not extended. Reasons grants expire or are terminated include: Research grants are closed out after expiration or terminated

if not extended. Reasons grants expire or are terminated include:

• Project ends

• Project is unsuccessful in competition

• Investigator dies

• Investigator transfers to another institution

• Investigator leaves research field

• Project terminated for cause (e.g., misconduct, fraud, misuse of funds)

• Research is successful (cures cancer)

• Support withheld (lack of scientific progress, noncompliance)

Closeout ReportsCloseout Reports• Closeout includes the timely submission of required final reports• Most final reports are due 90 days after expiration or termination

of research project

Types of Reports:

Report Type Responsible EntityScientific/Progress Report Investigator/Director

Financial Status Report (FSR) Sponsored Project Accounting (SPA)

Patents/Invention Statement Principal Investigator and Office of Technology Management

Equipment

Overdue ReportsOverdue Reports

Failure to submit reports in the time frame required may result in the following:

• Withholding of other awards to the investigator, the grantee institution or both

• Converting grantee to reimbursable payment method

• Auditing of grantee by federal agency

• Notifying other federal agencies of any special conditions

Commercialize ResearchCommercialize Research

• Investigators should work with the Office of Technology Management (OTM) to ensure:

– They understand which technologies have commercial possibilities

• Diagnostics, Magnetics, Plant Science, Research Tools, Therapeutics

– Proper Lab-to-Lab Material Transfer

– Proper Lab-to-Community: patents, licensing

Record RetentionRecord Retention

• WU Policy on Record Retention– Financial records, supporting documentation, statistical

records, and all other records shall be retained for a period of “three years from the date of submission.”

Key Strategies forProject Closeout

Key Strategies forProject Closeout

• The investigator should work with the department administrator to:– Ensure early and frequent review for compliance

– Know restrictions on extensions

– Know reporting deadlines and adhere to them

– Understand reporting requirements

Key Strategies for Project Closeout Cont.

Key Strategies for Project Closeout Cont.

• The Investigator should work with the department administrator to ensure that:– All costs associated with the project are charged to the fund

– Cost sharing commitments are met

– Any outstanding items are communicated to SPA

– Files are purged and retain for the required period



Prepare Proposal

Prepare Protocols

Conduct Research

ManageResearch





Complete andSubmit

Final Reports

Follow Closeout

Procedures and

Protocols




Management


ProjectCloseout


Receiveand

ReviewAward Terms

and Conditions


Negotiate andAccept


How It All Fits TogetherHow It All Fits TogetherWashington UniversityWashington University

Schools/DepartmentsSchools/Departments

PIPI

DepartmentResearchAdministrator

DepartmentResearchAdministrator

ResearchAdministrationOffices

ResearchAdministrationOffices

Research Education

RCR Policies &

Education

Anim

al Policies &

Education

Con

flict

of I

nter

est

Pol

icie

s

Human Subjects

Proce

dures

Env

iron

men

tal

Hea

lth &

Saf

ety

Pol

icie

s &

Edu

catio

n

Radiation Safety Policies & Education

Internal AuditRadiation Safety

Procedures

Env

iron

men

tal

Hea

lth &

Saf

ety

Pro

ced

ures

RCR Procedures

Active Participation… Annual Disclosures Financial Management Reviewing Reports Human Subjects Ed Animal Education EH&S Training Internal Audit

Active Participation… Annual Disclosures Financial Management Reviewing Reports Human Subjects Ed Animal Education EH&S Training Internal Audit

Human Subjects

Policies &

Educa

tion

Review and Approve ProtocolsPre-Award CertificationAward NegotiationReview Approvals and Prior ApprovalsProvide Compliance EducationMonitor ComplianceSet PoliciesProvide toolsCommunicate Expectations

Human Resource

Did We Cover Everything?Did We Cover Everything?

To clarify and discuss: • Your role as an investigator in managing research programs

• The role of the University in managing research programs

• Key policies and regulations affecting your grants

• Support available to you

To clarify and discuss: • Your role as an investigator in managing research programs

• The role of the University in managing research programs

• Key policies and regulations affecting your grants

• Support available to you

Why Are We Here?Why Are We Here?

QUESTIONS?QUESTIONS?

AnswersAnswers

EVALUATION FORMSEVALUATION FORMS

Please turn in evaluation forms as you leave.Please turn in evaluation forms as you leave.

navigating research administration at washington university

Documents

research missionroles

research programskey

research project management

investigators role

investigators responsible

support wustl investigators

sponsors policies

sponsors regulations