1	Departmental Grants Administrators Meeting Office of Research and Sponsored Programs Thursday October 4, 2007 Renaissance Room South Mary Reed Building 2199 South University Boulevard
2	Agenda Introduction What is ORSP? Recent name change ORSP Directory ORSP / UA memo dated 9/24/07 ORSP Project Administration DU Department Assignments Review and Acceptance of Sponsors Subrecipient Monitoring Funding Opportunities NSF NIH Export Controls ORSP Grants Accounting Grants Accounting Overview How to Read DU Financial Reports for Grants Grant Inception-to-Date Summary Organizational Detail Report by Fiscal Year Grant Inception-to-Date Payroll Detail Report Transaction Signature Authority Purchasing Card Reminders Receipts (from policy) Payroll Implementation of Deferred Pay Merging Academic and Research Positions ORSP Research Compliance ORSP Research Compliance Overview DU Institutional Committees DU e-Protocol Institutional Committee Dates ORSP Events 2007-2008 Appendices A) Inception-to-Date Summary B) Organizational Detail Report (FY Activity) C) Inception-to-Date Payroll Detail Report D) PI Letter sent September 26, 2007 E) Sample of Grant Signature Authority Form F) ORSP / UA memo dated 9/24/07 G) Examples of Academic Positions with Deferred Pay
3	What is ORSP the Office of Research and Sponsored Programs? ORSP 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 entitieswhether direct or flow-through. With industry or non-profit organizations where there is a requirement for oversight, detailed financial invoicing or reporting, 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.). ORSP will provide institutional signature that binds the university and provides assurances of compliance with all appropriate laws and regulations.
4	ORSP / UA To: The DU Community From: Jim Moran, Vice Provost for Graduate Studies and Research Ed Harris, Vice Chancellor for University Advancement Date: September 24, 2007 Re: Looking for Funding Support for Your Program or Project? Are you seeking external support for a program or project? There are two departments within the University of Denver that can assist you in obtaining that fundingUniversity Advancement (UA) and the Office of Research and Sponsored Programs (ORSP). Any official proposal must be submitted through one of these offices. The attached guidelines will help you to determine whether the funding is considered a charitable contribution (to be processed through UA) or a grant or contract (to be processed through ORSP). Both offices will assist you in obtaining and interpreting donor or sponsor guidelines. University Advancement (UA) will coordinate proposals so that we have the highest possibility of an award. Such coordination allows DU to establish better relations with our donors and to avoid inappropriate and embarrassing submissions of duplicate or ineligible proposals. In rare cases, foundations allow multiple submissions, but most will accept only one proposal per year from an institution. UA is especially sensitive to local funders, most of who have recently completed campaign pledges and are primarily interested in institutional projects approved by senior administration or chosen by the foundations themselves. UA will alert you to these restrictions and guide you to the best possible sources of funding and will also help to assure that your proposal conforms to the donors guidelines. They will also ensure that approval to proceed is received from your division. To avoid any conflicts, please call Leigh Elliott at UA prior to initiating any contact (phone calls, letters of inquiry, proposals) with any foundation. UA will also be expanding the University's outreach into the corporate arena. The University has initiated a program to enhance existing and develop new relationships with corporations beyond funding programs or contracts. Corporations make charitable contributions from marketing and philanthropic budgets, contribute in-kind goods, lend executives and match gifts from employees who choose to support the University. Although no goods or services are exchanged, a growing number of corporations have high expectations for recognition. Before approaching a private corporation, please contact Leigh (17469, leigh.elliott@du.edu) to discuss your project. The Office of Research and Sponsored Programs (ORSP) will work with you to seek non-charitable support from government agencies and other entities. ORSP can direct you to funding opportunities and guide you through the maze of requirements in preparing proposals and administering awards. When a sponsor awards a grant or contract, ORSP will assist you in meeting the terms and conditions of the awardsuch as providing financial reports, and facilitating any audit or other compliance requirements. Because of regulatory and compliance requirements, it is especially important to work through ORSP if your project entails the use of human subjects, animals, or may result in patentable technology. ORSP will provide institutional signature that binds the university and provides assurance of compliance with all appropriate laws and regulations.
5	Office of Research and Sponsored Programs Staff Directory
6	ORSP Project Administration DU Department Assignments Review and Acceptance of Sponsors Subrecipient Monitoring Funding Opportunities NSF NIH Export Controls
7	ORSP Project Administrators: Department Assignments
8	Review and Acceptance of Sponsors PROPOSAL STAGE New sponsors will be assessed for potential risk Audited financials or vendor references may be requested AWARD STAGE ORSP will make final determination of risk level Higher risk sponsors will be required to provide advance payments
9	Contract Review and Approval Process CONTRACT REVIEW All new contracts must be reviewed by ORSP Director, University Counsel, Risk Management and Technology Transfer. Contracts should be given to your Project Administrator as soon as possible, preferably in an electronic format. The Project Administrator reviews the contract and makes any changes necessary. The Project Administrator coordinates contract review from ORSP Director, University Counsel, Risk Management and Technology Transfer. The contract review process will take a minimum of 10 business days with the average time being 20 to 30 business days. NEGOTIATION PROCESS The Project Administrator negotiates any requested changes with the sponsor. The sponsor typically has to request changes from their Counsels office. The Project Administrator may have to request additional contract review for any changes proposed by the sponsor. The negotiation process may take up to 20 to 30 business days depending on the complexity of the negotiation process. APPROVAL PROCESS Once a final version is agreed upon by the sponsor and DU, the Project Administrator will obtain authorizing signature for DU and send the contract to the sponsor for final signatures. The approval process may take up to 3 business days depending on signature authority availability.
10	Subrecipient Monitoring WHAT IS A SUBRECIPIENT? Subcontractor (organization) or Consultant (individual) who participates in meeting the goals of a grant or contract originally awarded to DU Performance measured against program objectives Makes programmatic decisions Responsible for compliance Carries out program-- not just to provide goods and services INSTITUTION IS REQUIRED TO DETERMINE: Eligibility of subrecipient Subrecipient has appropriate financial systems to manage awards Subrecipient has no outstanding audit issues that will negatively impact overall project SUBRECIPIENT MONITORING The Principal Investigator has primary responsibility for technical monitoring throughout the life of the subaward not just at the end Receiving and reviewing progress reports Reviewing invoices and financial reports Regular contact with subrecipients and appropriate inquiries concerning program activities Revising scope of work and/or budget and time frame as necessary for successful completion of the project CLOSEOUT OF SUBAWARD PI reviews and approves required deliverables PI reviews and approves final invoice PI reviews final technical report
11	Funding Opportunities NATIONAL SCIENCE FOUNDATION (NSF) NSF 07-597: Center for Research at the Interface of the Mathematical and Biological Sciences (CIMBS) Preliminary Proposal due December 24, 2007 NSF 07-595: Research and Evaluation on Education in Science and Engineering (REESE) Full proposal due January 8, 2008 NSF 07-563: Materials Research Science and Engineering Centers (MRSEC) Full proposal due January 18, 2008 PD 07-7278: Science of Learning Centers (SLC) Full proposal due February 4, 2008 NATIONAL INSTITUTES OF HEALTH (NIH) RFA-GM-08-009: Development of High Resolution Probes for Cellular Imaging (R01) Proposal deadline January 14, 2008 RFA-TW-08-003: International Cooperative Biodiversity Groups (ICBG)[U01] Proposal deadline December 4, 2007 PA 07-437: Research on Interventions for Child Abuse and Neglect (R01) Standard receipt dates PAR 07-432: NIGMS Postbaccalaureate Research Education Program (PREP) [R25] Proposal Deadline January 22, 2008
12	Export Controls What are export controls? These are a set of federal laws designed to restrict the transfer of technology for reasons based on national security, defense, foreign policy, trade protections or international agreements. What are these laws? EAR Export Administration Regulations, Department of Commerce, Bureau of Industry and Security The EAR controls dual-purpose technologiesthose that serve primarily civil purposes, but may also have military applications. ITAR International Trade in Arms Regulations, Department of State The ITAR controls technologies that serve primarily military applications OFAC Office of Foreign Assets Control, Treasury Department OFAC administers and enforces boycotts that have been imposed against specific countries. What constitutes transfer of technology? This is the exchange of product, information or knowledge from the U.S. to a foreign personwhether inside or outside the U.S. borders. What is a foreign person? Any entity or group, incorporated or not, organized to do business in the U.S., as well as international organizations, foreign governments and any agency or subdivision of foreign government (e.g. diplomatic missions), and any natural person who is not citizen or lawful permanent resident of the United States.
13	Export Controls EAR Commodity Control List (CCL): (0) Nuclear Materials, Facilities and Equipment, and Miscellaneous Materials, Chemicals, Microorganisms, and Toxins; Materials Processing Electronics Design, Development and Production; Computers Telecommunications and Information Security; Sensors; Navigation and Avionics; Marine; Propulsion Systems, Space Vehicles, and Related Equipment Complete list is at http://www.access.gpo.gov/bis/ear/ear_data.html#ccl. OFAC Sanctioned countries (last program updated 7/18/07): Balkans, Belarus, Burma, Cote dIvoire (Ivory Coast), Cuba, Democratic Republic of the Congo, Iran, Iraq, Former Liberian Regime of Charles Taylor, North Korea, Sudan, Syria, Zimbabwe Current list of countries subject to boycott is at http://www.ustreas.gov/offices/enforcement/lists/
14	Export Controls ITAR Munitions Control List (MCL) Category I Firearms Category II -- Artillery Projectors Category III Ammunition Category IV Launch vehicles, guided missiles, ballistic missiles, rockets, torpedoes, bombs and mines Category V Explosives, Propellants, Incendiary agents, and their constituents Category VI Vessels of war and special naval equipment Category VII Tanks and military vehicles Category VIII Aircraft [spacecraft] and associated equipment Category IX Military training equipment Category X Protective personnel equipment Category XI Military [and space] electronics Category XII Fire control, range finder, optical and guidance and control equipment Category XIII Auxiliary military equipment Category XIV Toxicological agents and equipment and radiological equipment Category XV Spacecraft systems and associated equipment Category XVI Nuclear weapons design and test equipment Category XX Submersible vessels, oceanographic and associated equipment Category XXI Miscellaneous articles Complete list is at http://fas.org/spp/starwars/offdocs/itar/p121.htm.
15	Export Controls If a project includes technology about any of the listed technologies and/or foreign persons (as defined) or any of the sanctioned countries, please contact ORSP. ORSP will work with the PI to obtain export license. Public Domain: ITAR defines public domain as information that is published and generally accessible or available to the public: (1) through sales at newsstands and bookstores; (2) through subscriptions which are available withou restriction to any individual who desires to obtain or purchase the published information; (3) through second class mailing privileges granted by the U.S. Government; (4) at libraries open to the public or from which the public can obtain documents; (5) through patents available at any patent office; (6) through unlimited distrib ution at a conference, meeting, seminar, trade show or exhibition, generally accessible to the public, in the United States; (7) through public release (i.e., unlimited distribution in any form (e.g., not necessarily in published form) after approval by the cognizant U.S. government department or agency; and (8) through fundamental research[.] (22 CFR 120.11) Fundamental Research: Basic and applied research in science and/or engineering where the resulting information is ordinarily published and shared broadly in the scientific community. University research will not qualify as Fundamental Research if: (1) the University or researcher accepts any restrictions on the publication of information resulting from the research; or (2) the research is federally funded and the University or researcher accepts specific access and dissemination controls regarding the resulting information.
16	ORSP Grants Accounting
17	Grants Accounting Overview Page 2 The Grants Accounting staff work in the following areas: Management and Certification of Grants Expenditure systems, including Pre-audit of Expenditures (purchase requisitions, invoice payments, purchasing card transactions etc.) Payroll processing Effort Certifications. Approval of all journal entries for research funds, gainshare/flowback funds, OSP clearing funds. Grants Reconciliations Reimbursement to the University from Sponsors, including federal drawdowns, billing and payments, managing accounts receivable and collections for: Federal Sponsors, including: Agriculture, CNCS, Commerce, DHHS, DOD, DOE, DOI, DOJ, DOT, Education, EPA, HUD, IMLS, IRS, Labor, NASA, NEA, NEH, NSF, SBA, STATE, USAID, USIP State / County / City governments and local governmental districts Foundation and Non-profit organizations Industrial / Commercial sponsors Audit liaison Financial reporting Closeouts
18	How to Read DU Financial Reports for Grants Part 1 Grant Inception-to-Date Summary (FRRGITD) See sample report (Appendix A) Grant Number Fund Number Organization Number Account Number Account Title Adjusted Budget Current Period Activity Inception-to-Date Activity Commitments (Encumbered Purchase Orders) Available Balance Salary line items Fringe Benefit line items Materials and Operating Expenses Indirect Costs Equipment Fund Total (See below for how to calculate) T1 Balance of Fund A T2 Balance of Fund B Grant Total (See below for how to calculate) T3 Balance of Grant Calculating your balance: Budget minus Expenditures (A-B) = Balance BEFORE Commitments OR (A-B-C) = Balance AFTER Commitments
19	How to Read DU Financial Reports for Grants Part 2 Organizational Detail ReportBy Fiscal Year (FGRODTA) See sample report (Appendix B) Org Number Transaction Date Transaction Type Document Number Description Fund Number Account Number Transaction Activity Salary line items D1. = D1 on Inception to Date report for Fund A Fringe Benefit line items Materials and Operating Expenses D2. = D2 on Inception to Date report for Fund A 12. Indirect Costs / Waived Indirect Costs D3. = D3 on Inception to Date report for Fund B
20	How to Read DU Financial Reports for Grants Part 3 Grant Inception-to-date Payroll Detail Report See sample report (Appendix C) Fund Number PI ID / Period Name / Position(s) Account/Document Activity Date Hours Amount Description Amount Paid Account Total = T1 Sub-Dept. Total = Total of all accounts (T2+T3+T4)
21	Transaction Signature Authority Grant Signature Authority Forms Need to verify the PIs authorization of transactions Many forms have not been completed and returned to ORSP as grants have been set up. PI Letter (pink sheet) sent September 26, 2007 (Appendix D) All Signature Authority Forms due to ORSP by October 12, 2007 Processing of transactions will be delayed if completed forms are not received by due date. Sample of Grant Signature Authority form (Appendix E)
22	Purchasing Card Reminders Submitting itemized receipts has been a standard DU policy. Contact vendor immediately if you are missing one. Receipts must include the following information Vendor name Itemized description of items purchased (this includes itemized receipts from restaurants) Failure to provide itemized receipts is considered a PCard violation Transaction date Total amount If ORSP does not receive itemized receipts for grant purchases by the monthly deadline, the department FOAP will be charged.
23	Receipts (from policy) Get a receipt from the vendor for each transaction. Receipts include charge slips, cash register receipts, or printouts of e-mail or web page transaction confirmations. For subscriptions, a copy of the renewal notice or initial subscription request is a receipt. Receipts must include the following information: Vendor Name Itemized description of items purchased Transaction Date Total Amount Receipts that do not clearly list the items purchased will not be considered adequate documentation. If you lose a receipt, or the receipt does not have adequate documentation, you must get a replacement receipt or a more detailed receipt from the vendor. If the deadline for submitting receipts occurs before your replacement receipt has arrived, you may submit a Purchasing Card Missing Receipt Form (doc.) with the required information. This form is a placeholder for the receipt until it is received. When the original receipt is obtained, submit it with a copy of the corresponding log. Indicate on the log the transaction for which the receipt was not submitted.
24	Payroll Deferred Pay was implemented with the October 1^st paychecks. Faculty on 9-month academic appointments who wish to receive their pay over 12 months. Expense is posted to DU financial ledgers and reports over 9 months. Pay is received by individual over 12 months. Academic positions and Research positions were merged into one position for the academic appointment effective September 2007. See Appendix F for examples.
25	ORSP Research Compliance ORSP Research Compliance Overview DU Institutional Committees IRB, IACUC, and IBC going green! DU researchers have a new, green way to follow government regulations. e-Protocol ORSP Research Compliance Workshops 2007 Human Subjects in Research e-Protocol Institutional Committee Dates
26	ORSP Research Compliance - Overview ORSP Research Compliance Administration and oversight of non-financial regulatory compliance DU Institutional Committees IRB, IACUC IBC Other Regulatory Areas: Conflicts of Interest Privacy (HIPAA) Data security
27	DU Institutional Committees IRB (Institutional Review Board for the Protection of Human Subjects) Chair, Dr. Dennis Wittmer (DU) Certification of Education for the Protection of Human Participants in Research must be completed by all researchers utilizing human subjects, as well as by faculty advisors. (Exam is available through Blackboard -- look for link on IRB website.) All applications can be submitted through our new web-based application e-Protocol Website: www.du.edu/orsp/irb.html Email Address: du-irb@du.edu ORSP Contact: Sylk Sotto IACUC (Institutional Animal Care and Use Committee) Chair, Dr. Joseph Angleson All applications can be submitted through our new web-based application e-Protocol Website: www.du.edu/orsp/animal.html Email Address: du-iacuc@du.edu ORSP Contact: Malcolm Woolum IBC (Institutional Biosafety Committee) Interim Chair, Dr. Cathy Kunst All applications can be submitted through our new web-based application e-Protocol Website: www.du.edu/orsp/biosafety.html Email Address: du-ibc@du.edu ORSP Contact: Malcolm Woolum
28	IRB, IACUC and IBC going green! To All DU Principal Investigators and Faculty Sponsors: In the past year, the Office of Research and Sponsored Programs evaluated and planned considerable upgrades to the Institutional Committees application submission process. The new electronic system, called e-Protocol, will provide web-based functionality servicing DU's research community and Committee Members. In addition, implementation of a web-based system is expected to allow continuous improvements of oversight processes not previously possible with a paper-based review mechanism. The system will support the Institutional Review Board for the Protection of Human Subjects (IRB), the Institutional Animal Care and Use Committee (IACUC), and the Institutional Biosafety Committee (IBC). e-Protocol Database System Password Request Form First time users of the e-Protocol database system must submit a DU Research Compliance Electronic Access Request Form. After submitting this one-time request form, Principal Investigators will receive a username and temporary password granting them access to the database. The request form and User manual can be found at the following address: www.du.edu/orsp/compliance.html. Education and Training Sessions are available: Wednesday, October 10, 2007 1:00 - 3:00 pm You may register online at www.du.edu/hr/training For more information contact: Sylk Sotto Santiago Phone: 303-871-4052 / Email: Ssottosa@du.edu Website: www.du.edu/orsp/compliance.html
29	DU researchers have a new, green way to follow government regulations.
30	DU e-Protocol
31	Human Subjects and e-Protocol Workshops 2007 Institutional Review Board (IRB) HUMAN SUBJECTS IN RESEARCH WORKSHOPS 2007 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 Thursday, September 13, 2007 9:00-11:00am Tuesday, October 16, 2007 1:00-3:00pm - Defines Common Terminology - Discusses the history of human subject participation - Reviews IRB requirements and the application process - Presents the elements of informed consent - Addresses issues particular to international research Presentations are held in Renaissance Room, Mary Reed Electronic Submissions of IRB applications eProtocol Workshops 2007 Are you ready to submit your IRB application? Are you unsure about the new electronic submission process? Then you must attend one of these workshops Wednesday, July 11, 2007 1:00-3:00pm Tuesday, August 21, 2007 9:00-11:00am Friday, September 14, 2007 9:30-11:30am Wednesday, October 10, 2007 1:00-3:00 pm Presentations are held in Sturm Hall Computer Labs 353/354 For more information contact: Sylk Sotto Santiago at sottosa@du.edu You may register online at www.du.edu/hr/training
32	Institutional Committee Dates
33	ORSP Events 2007-2008 Thursday, October 25, 2007, 2:00 4:00 pm ORSP Workshop #1: Introduction to ORSP and Overview of DU Policies and Procedures related to Proposals, Grants & Contracts Wednesday, November 14, 2007, 2:00 4:00 pm ORSP Workshop #2: Finding Funding and Writing Proposals Wednesday, February 20, 2008, 2:00 4:00 pm ORSP Workshop #3: Financial Considerations in Developing Proposal Budgets and Managing Projects, including reading DU Financial Reports Wednesday, March 12, 2008, 2:00 4:00 pm ORSP Workshop #4: Regulatory Compliance in ResearchHuman subjects, Animal care & use, Biohazards, Conflicts of Interest, Export Controls Thursday, April 10, 2008, 9:00 11:00 am Departmental Grants Administrators Spring Meeting: Updates on administering grants and contracts Thursday, April 17, 2008, 2:00 4:00 pm ORSP Workshop #5: Life-cycle of an AwardNegotiating & accepting an award, Commitments & deliverables, Managing the program and funding, Reporting, Audits, and more ____________________________________________________ All events will be held in Renaissance Room South of the Mary Reed Building. To register: Send an email to ORSP@du.edu ____________________________________________________
34	Appendices A) Grant Inception-to-Date Summary B) Organizational Detail Report by Fiscal Year C) Grant Inception-to-Date Payroll Detail Report D) PI Letter sent September 26, 2007 E) Sample of Grant Signature Authority Form F) ORSP / UA memo dated 9/24/07 G) Examples of Academic Positions with Deferred Pay