1	Departmental Grants Administrators Meeting Office of Sponsored Programs October 12, 2006 2199 South University Boulevard Mary Reed Building, Room 222 Denver, Colorado 80208
2	Agenda Introduction What is OSP? Office of Sponsored Programs Staff Project Administration DU Department Assignments Contract Routing & Approval NIH Updates NSF Updates Grants Accounting Grants Payroll Effort Certification Merit Process for Grants Personnel Using Activity Codes for Costshare / Gainshare Reminders for Using Purchasing Card for Grant Purchases Accounting Concerns Overruns Cost Transfers Liquidating Encumbrances Travel Advance Reminder Research Compliance Staff and Committees Institutional Committee Dates Human Subjects Workshop 2006 Appendices Jim Morans Proposal Memo New Version of PRA Form NIH Transition Plan NSF Merit Review Broader Impacts Criterion: Representative Activities Non-Compliance Policy
3	What is the Office of Sponsored Programs--OSP? OSP is the universitys office authorized to enter into agreements with external sponsors for the purposes of research, instruction, or other activities. Includes grants, contracts, cooperative agreements, etc., where there is a specific expectation of reciprocal value. With all governmental entities. With industry or non-profit organizations where there is a requirement for oversight, detailed financial reporting and/or audit, or compliance with regulatory statutes (e.g. protection of human subjects in research, care and use of animals in research, biosafety concerns, conflicts of interest, etc.). OSP will provide institutional signature that binds the university and provides assurances of compliance with all appropriate laws and regulations.
4	Office of Sponsored Programs Staff Directory
5	"Project Administration" Project Administration Providing assistance for: Funding opportunities Proposal preparation Budget preparation Proposal review & approval Proposal Submission
6	DU Department Assignments Crystal Streit Athletics Conflict Resolution Institute Communications Daniels College of Business Facilities Management Graduate School of International Studies Graduate School of Professional Psychology Graduate School of Social Work History College of Law Newman Center School of Engineering and Computer Science Student Life University College Undergraduate Studies Wellness Center Womens College Lynn Backstrom-Funk Anthropology Biological Sciences Rocky Mountain Conservation Center College of Education ERI (Eleanor Roosevelt Institute) HERS Mid-America Institute of Intermodal Transportation Penrose Library Psychology Service Learning Katherine Cumming Chemistry & Biochemistry DRI Applied Meteorology Center DRI Computational Dynamics DRI Engineering Sciences Lab DRI Law Enforcement DRI Social Systems Geography Languages & Literature Mathematics Physics Sociology
7	Proposal Review & Approval Process PI notifies their Project Administrator (PA) that s/he will be submitting a proposal to the sponsor, preferably several weeks before the deadline. A copy of the guidelines or a link to the guidelines should be provided to the PA by the Principal Investigator in advance so that the PA can assist the PI with any interpretation or explanation of the guidelines. PAs require 5 business days minimum notice regarding an upcoming proposal deadline to guarantee on-time submission. PAs may not be able to process a proposal with less than 5 business days notification PI completes a proposal to present to a sponsor. Proposal can consist of any or all of the following items: Budget Statement of Work Application package If we are going to be a subcontractor on a larger project, the information that is provided is still considered a proposal from DU. PI completes a Proposal Review and Approval Form (PRA) to accompany the proposal www.du.edu/orsp/forms.htm Effective 10/1/06, the completed and signed PRA form is required PRIOR to any submission.
8	Proposal Review & Approval - Page 2 PI provides signed PRA form and proposal material to OSP for review and authorization to submit to the sponsor at least 5 business days prior to the submission deadline. Budgets should be provided in advance so that Project Administrators can ensure that all fiscal considerations and policies have been met. PAs must obtain authorized signatures before proposals can be submitted. The final version of the scientific text must be received at least 1 day prior to the deadline. Approvals are needed from the following: PI and Co-PI for certification Department Chair for review and acceptance of proposal, cost-sharing, release time/course buy-out, curriculum changes, remodeling/renovations, and recovery of overruns and unallowable expenses. Dean for tuition waivers, curriculum changes, cost-sharing, release time/course buy-out, curriculum changes, remodeling/renovations Vice Provost for Graduate Studies & Research for waiver of IDC. OSP Director to assure full and complete university authorization and support. After authorization obtained, Project Administrator or PI with OSP approval, submits proposal material to sponsor Project Administrator will complete all negotiation, award acceptance and obtain authorized signature for any proposals submitted through OSP. If an award is received and the proposal was not submitted through OSP, the proposal process will have to be completed at that time. No award will be accepted until the proposal process and signed PRA form is received for the project.
9	Contract Routing & Approval All new contracts must be reviewed by University Counsel, Risk Management and Technology Transfer Contracts should be given to your Project Administrator as soon as possible, preferably in an electronic format. Project Administrator reviews the contract and makes any changes necessary. PA gives the contract to the OSP Director for review and approval. The OSP Director coordinates contract review from University Counsel, Risk Management and Technology Transfer. When comments are received from those offices, the PA negotiates any necessary changes with the sponsor. Once a final version is agreed upon by the sponsor and DU, the PA will obtain authorizing signature for DU and send the contract to the sponsor for final signatures. Signature Authority There are a limited number of individuals who can commit the University to receive external funding by signing proposals. The signature authority is based on a monetary limit. The following contact information may be requested by the sponsor on the proposal documents. Fran Solano Simpson, Director of the Office of Sponsored Programs: up to $500,000 Margaret Henry, Controller: up to $1.5 million Craig Woody, Vice Chancellor for Business and Financial Affairs Robert Coombe, Chancellor Final Reports Copies of the final report need to be given to: The Sponsor (original) OSP (1 copy) University Archives (2 copies)
10	National Institutes of Health (NIH) Updates NIH Recently changed the requirements so that we no longer need PI signature on grant applications, progress reports and prior approval requests NOT-OD-06-054 However, we must get a signed assurance from PI with the following statements The information submitted within the application is true, complete, and accurate to the best of the PIs knowledge. Any false, fictitious, or fraudulent statements or claims may subject the PI to criminal, civil or administrative penalties. The PI agrees to accept responsibility for the scientific conduct of the project and to provide the required progress reports if a grant is awarded as a result of the application. If multiple PIs, all PIs must sign the certification statement. The new version of the PRA form incorporates this certification statement so that we will be in compliance with NIH guidelines. NIH transition plan to grants.gov is almost complete All R03, R21, R21/R33, R33 and R34 grant applications must use SF424 (R&R) and Grants.gov for the 6/1/06 submission date and beyond. NOT-OD-06-068 R01 will require grants.gov submittal effective February 1, 2007 Request for Information (RFI): Proposed Change in Grant Appendix Materials Materials currently submitted in the Appendix which are essential to the review of the application will be submitted as part of the grant application itself. For example, documents such as clinical protocols, informed consent forms, key questionnaires, surveys, and similar items which are needed by the SRG to adequately assess human subjects issues will be submitted as part of the Protection of Human Subjects section of the grant application. Reprints or preprints of publications or their PDFs will no longer be allowed as part of the Appendix. Links (URLs) to PubMed Central or publicly available on-line journals will be permitted in the Biographical Sketches, Bibliography & References Cited, and the Research Plan sections of the grant application. Critical information and detail should be included within the Research Plan and cited in the Bibliography & References Cited section and/or figure or table legend(s) to indicate publication status.
11	NIH Continued & National Science Foundation (NSF) Updates Change in Standing Receipt Dates for NIH Beginning on January 2007: NOT-OD-07-001 New RO1s - 2/5, 6/5 & 10/5 New RO3s, R21s, R33s 2/16, 6/16 & 10/16 NRSAs - 4/8, 8/8 & 12/8 National Science Foundation Updates NSF funds Basic Research with no medical components Current funding rate is approximately 23% NSF strongly encourages PIs to call the Program Officer before submitting a proposal to see if it fits the mission of the Division/Program Proposals submitted to NSF are evaluated through the use of two merit review criteria. Intellectual Merit Broader Impacts Advance Discovery and Understanding while Promoting Teaching, Training and Learning Enhance Infrastructure for Research and Education Broad Dissemination to Enhance Scientific and Technological Understanding
12	"Grants Accounting" Grants Accounting Providing services for: Proper project accounting to assure financial compliance Financial reporting Invoicing, Payments, and Managing Accounts Receivable Auditing
13	Grants Payroll Effort Certification distribution and due dates Department Time Entry for Grants Bi-weekly Payroll OSP target implementation by December 31, 2006. OSP is in the process of testing and working with payroll. Individual training sessions will be provided for each department. Volunteers are needed for the pilot program. Timesheet entry and due dates OSP Research Event Calendar http://ducal.du.edu Under Administrative Events, select the box for OSP Research Events Click View Selected Calendars Payroll information is listed in RED print
14	Effort Certification A report shall be generated based on payroll distributions for each employee who is: Paid monthly, AND Has been paid from a sponsored program fund sometime during the fiscal year, OR Has cost-shared effort towards a sponsored program (as indicated through Activity Code), OR Has an employee class code related to research OSP will distribute these reports to the employees Faculty will receive them semi-annually Non-faculty will receive them monthly Employees will review, indicate adjustments and certify by signing The supervisor (PI) will sign. If employee is PI, the Department Chair or Dean shall sign Reports will be returned to OSP promptly Faculty must complete the Payroll Redistribution form in order for OSP to make any adjustments Non-faculty - OSP will make any adjustments indicated through the Banner payroll system Reports not received by due date will be charged to department FOAP http://www.du.edu/orsp/effort_certification.html
15	Activity Codes for Costshare and Gainshare The Activity Code (FOAPA) is used to tag Costshare. Costshare = CSxxxx Activity codes are also being utilized for gainshare expense. There is an intensive proposal and review process for divisional gainshare requests. If you believe costshare will be included in your divisions gainshare request, make sure that is outlined clearly as part of the plan. After the plan is approved, your contact in the Office of Planning and Budget will work with you to implement it.
16	Merit Process for Grants Personnel The merit process for grants personnel follows the DU merit process. The merit process begins October 19, 2006. Please award only if the grant can support the merit increase. If grant(s) starts January 1^st, use the DU merit system. If grant(s) start at any other time, the request for merit must fall within the current years guidelines for DU pool and must include approvals from the same levels as the DU merit system: Department head (Chair, Director) Division head (Dean, Vice Provost, Vice Chancellor, Director) Executive Level (VCBFA, Provost, Chancellor)
17	Reminders for using Purchasing Card for Grant Purchases All requests for Purchasing Cards with grant funds must come to OSP for approval before submitting to Purchasing Services. Itemized receipts are necessary for all purchases i.e., hotel, rental car, food. Credit card receipt alone does not provide sufficient detail for audit purposes. Sales tax should not be charged for purchases made in Colorado. Fund, Org., and Account #s should be listed in the right column of the Purchasing Card Log. Please note 10000 fund expenses in this column as well. Use account numbers that are set up in the PaymentNet system and be consistent. Please attach explanation for special circumstances, i.e., rented a car vs. air travel and how this was cost effective. If proper receipts, documentation or explanations are not received by month-end due dates, expenses will be charged to department 10000 funds.
18	Accounting Concerns Overruns Removal of overruns done at department level Must include justification if transferring to a grant fund Overruns need to be resolved by transferring to department FOAP, flowback, or grant fund. OSP monitors overruns on a monthly basis and contacts the department. If overrun involves payroll, send payroll distribution from to OSP. Cost Transfers Payroll redistribution only justified if employee used incorrect fund number on timesheet. (Applies when moving between funds.) Payroll redistributions to be done on monthly basis for same fiscal year. OSP cannot redistribute payroll after 90 days. All cost transfers need to be made within 90 days. Please see cost transfer policy on the DU website. http://www.du.edu/orsp/download/sop_cost_transfer.pdf
19	Accounting Concerns Page 2 Liquidating Encumbrances Please review funds on a regular basis and remove encumbrances if necessary. Liquidating encumbrances is important in order to free up funds that can be spent and the closeout process can be delayed if encumbrances still exist. Please refer to the Banner documentation link at: http://www.du.edu/uts/banner/bannerTab/documentation/fin_encumbranceLiquidation.pdf for complete instructions on how to liquidate an encumbrance. Travel Advance Reminder All travel advances are processed at the department level. Please refer to Purchasing Services website at: http://www.du.edu/purchasing/travelexpenses.html for complete details on How to Process a Travel Advance and How to Repay a Travel Advance.
20	"Research Compliance" Research Compliance Providing administrative services for: The protection of human subjects in research (IRB) The care and use of animals (IACUC) Review for bio-safety (IBC) Assuring management of conflicts of interest in research (COI)
21	Staff & Committees New Staff Sylk Sotto-Santiago, Research Compliance Manager Malcolm Woolum, Research Compliance Administrator Research Oversight of Four Committees: DU-IRB, ERI-IRB, IACUC, and IBC. DU IRB and ERI IRB (Institutional Review Board for the Protection of Human Subjects) Chairs, Dr. Dennis Wittmer (DU) and Dr. Clarence Snelling (ERI) Education for the Protection of Human Subjects examination must be completed by all researchers utilizing human subjects, as well as by students advisors. (Exam is available through Blackboard -- look for link on IRB website.) Be sure to use the most current IRB applications (same for both DU and ERI), which are available on the website. Submit forms on paper. Website: www.du.edu/orsp/irb.html Email Addresses: du-irb@du.edu and du-eirb@du.edu IACUC (Institutional Animal Care and Use Committee) Chair, Dr. Joseph Angleson Submit forms electronically (by e-mail) Website: www.du.edu/orsp/animal.html Email Address: du-iacuc@du.edu IBC (Institutional Biosafety Committee) Chair, Dr. Miles Brennan Submit forms electronically (by e-mail) Website: www.du.edu/orsp/biosafety.html Email Address: du-ibc@du.edu
22	Institutional Committee Dates
23	Human Subjects Workshop 2006 Are you planning to conduct a study that involves a survey or questionnaire, a focus group, or any other form of human subject participation? Are you unsure about the process? Then you must attend one of these information-packed seminars IRB BASICS PLUS (choose one session) Tuesday September 14, 2006 9:00-11:00am Thursday October 12, 2006 1:00-3:00pm Wednesday November 15, 2006 9:00-11:00am - Defines Common Terminology - Discusses the history of human subject participation - Reviews IRB requirements and the application process - Presents the elements of informed consent - Provides sample consent language and forms - Addresses issues particular to international research NOTE: Attendees will have the opportunity to complete the Certification Exam, required for researchers utilizing human subjects. Presentations are held in Renaissance Room North, Mary Reed Building For more information or to register, contact: Kim Garrett, Research Compliance Assistant kgarret6@du.edu 303-871-4043 You may also register through the DU Human Resources Training Website: https://iris.cair.du.edu/hr/registernew.cfm
24	"Appendices" Appendices Memo from the Vice Provost for Graduate Studies and Research regarding proposal deadline requirements Revised PRA Form NIH Transition Plan NSF Merit Review Broader Impacts Criterion: Representative Activities Non-Compliance Policy