1	Departmental Grants Administrators Meeting Office of Sponsored Programs Wednesday - April 25, 2007 Renaissance Room South Mary Reed Building 2199 South University Boulevard
2	Agenda Introduction What is OSP? OSP Project Administration DU Department Assignments Contract Review & Approval Sub-agreements Funding Opportunities NIH NSF Training Workshops OSP NCURA OSP Grants Accounting Grants Accounting Overview Payroll Department Time Entry for Biweekly Employees Use of MHOTs, Workload Adjustments Implementation of Deferred Pay Academic Position to include Research Effort Fiscal Year-end Reminders Overruns Cost Transfers Liquidating Encumbrances Purchasing/Payment Methods Direct Pays and Purchase Orders Purchasing Cards OSP Research Compliance Staff and Committees eProtocol System Institutional Committee Dates Appendices OSP Staff Directory NIH Standard Receipt Dates OSP Policy: Payroll Processing for Biweekly Paid Grant Personnel
3	What is OSP (Office of Sponsored Programs)? 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	OSP Project Administration Providing assistance for: Funding Opportunities Proposal Preparation Budget Preparation Proposal Review and Approval Proposal Submission Contract Negotiation Award Acceptance Award Management Award Closeout
5	DU Department Assignments Crystal Streit Athletics Conflict Resolution Institute Communications Daniels College of Business Facilities Management Graduate School of International Studies Graduate School of Social Work History College of Law Newman Center School of Engineering and Computer Science Sociology 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) Graduate School of Professional Psychology HERS Mid-America Institute of Intermodal Transportation Penrose Library Psychology Service Learning Katherine Buranapiyawong Chemistry & Biochemistry DRI Applied Meteorology Center DRI Computational Dynamics DRI Engineering Sciences Lab DRI Law Enforcement DRI Social Systems Geography Languages & Literature Mathematics Physics
6	Contract Review & Approval All contracts must be reviewed by the Office of Sponsored Programs, University Counsel, Risk Management and Technology Transfer Contracts should be given to your Project Administrator (PA) as soon as possible, preferably in an electronic format. Project Administrator reviews the contract and notes changes needed. PA forwards and coordinates review of the contract to the OSP Director, 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, 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
7	SubAgreements What is a Subagreement? An agreement formal, legal, contractual instrument no direct relationship between the prime sponsor and subcontractor/consultant - No employee relationship between DU & Entity/Individual that is written under the authority of approval was given by the prime sponsor to transfer a portion of the scope of work and is consistent with the terms and conditions of the prime award relevant terms and conditions of the prime award are flowed down to the subcontractor not following the requirements of the sponsor can lead to the disallowance of all costs under the subcontract agreement that authorizes a portion of the research or substantive effort to be performed by another organization. does not refer to the purchase of supplies, equipment or other services via a purchase order i.e. vendor agreement.
8	SubAgreements What do Subagreements Accomplish? Defines a relationship Clarifies expectations of both parties Period of performance Estimated costs Scope of work Reporting requirements Deliverables Subrecipient is an Independent Contractor Provides for accountability Evidence of accountability to our prime sponsor Evidence of subcontractor accountability to us Mechanism for payment Resolves conflicts Prevents disputes by clearly stating terms and conditions both parties must comply with Offers protection for both parties should something unforeseen happen When do we write a Subagreement? A subagreement should be written any time a portion of the scope of work is to be done by another organization or non-employee regardless of the cost or amount time required. Use a subagreement when the intent is to have another organization or non-employee carry out the scope of work described in a proposal Two or more qualified entities are working collaboratively on sponsored project, each with its own principal investigator
9	SubAgreements Managing and Payment to Subcontractors A DU Purchase Order is established to track and expedite payments to the subcontractor. Subcontractor submits invoice (noting PO number). PI approves work performed, and forwards to OSP. OSP approves payment, and forwards to A/P. Payment against the Purchase Order will reduce the encumbrance.
10	Funding Opportunities NIH - National Institutes of Health FY08 NIH Director Launches Program for Innovative New Investigators Special program to support new investigators who propose highly innovative research projects with the potential for exceptionally great impact on biomedical or behavioral science. Review criteria will emphasize the importance of the scientific problem, the potential impact of the project, the novelty and innovativeness of the approach, and evidence of the applicants potential for innovative and creative research. New investigators who have not yet obtained an NIH R01 or similar grant is eligible to apply. Application period is April 25, 2007 to May 22, 2007. http://grants.nih.gov/grants/guide/rfa-files/RFA-RM-07-009.html NIH Submittal Dates have Changed New R01 February 5^th, June 5^th & October 5^th Revised R01 March 5^th, July 5^th & November 5^th New R03/R21/R33 - February 16^th, June 16^th & October 16^th Revised R03/R21/R33 March 16^th, July 16^th & November 16th
11	Funding Opportunities Implementation of NIH Fiscal Policy for Non-Competing Grant Awards FY 2007 (NOT-OD-07-049) To implement the FY2007 fiscal guidance, non-competing research awards will be awarded at 97.1% of the FY 2007 committed level. Future year commitments also will be adjusted accordingly. Institutes and centers (ICs) will maintain the flexibility to supplement such non-competing awards on a case by-case basis according to scientific and programmatic imperatives. However, such supplements will not be considered as part of the base for future budgetary adjustments. Non-competing awards previously issued in FY 2007 at reduced levels will be revised to restore funds to the level indicated above.
12	Funding Opportunities NSF - National Science Foundation FY08 The National Science Foundation's (NSF) fiscal year (FY) 2008 budget request to Congress identifies the following areas for NSF-wide investments. Strengthening capabilities in each of these areas will enhance the productivity and efficiency of the science and engineering enterprise while producing concrete economic and social benefits for the nation. NSF Centers NSF supports a variety of centers programs that contribute to the Foundation's mission and vision. Centers are the principal means by which NSF fosters interdisciplinary research. Climate Change Science Program As a key participating agency in the U.S. Climate Change Science Program (CCSP), NSF encourages interdisciplinary activities and focuses particularly on Earth system processes and the consequences of change. Cyber-enabled Discovery and Innovation Cyber-enabled Discovery and Innovation (CDI) research seeks to explore radically new concepts, approaches and tools at the intersection of the computational and physical worlds. Cyberinfrastructure Investments in FY 2008 are designed to capitalize on the results of the pioneering early forays into cyberinfrastructure and to advance research and education through the implementation of strategies laid out in the document, A Cyberinfrastructure Vision for the 21st Century. Grant Opportunities for Academic Liaison with Industry Aims to synergize university-industry partnerships by making project funds or fellowships/traineeships available to support an eclectic mix of university-industry linkages.
13	Funding Opportunities Human and Social Dynamics The Human and Social Dynamics (HSD) investment area targets scientific breakthroughs that will aid people, policy makers and organizations as they seek to understand, manage and adapt to change. International Polar Year As the lead agency supporting polar research, NSF will provide U.S. leadership in International Polar Year (IPY) 2007-2008 through the work of the Foundation's grantees, in coordination with other agencies, and by developing partnerships with other nations. National Nanotechnology Initiative NSF's contribution to the multiagency National Nanotechnology Initiative (NNI) encompasses the systematic understanding, organization, manipulation and control of matter at the atomic, molecular and supramolecular levels in the size range of 1 to 100 nanometers. Networking and Information Technology R&D NSF is a primary federal agency supporting the Networking and Information Technology Research and Development (NITRD) program. The FY 2008 budget request continues strong support for NITRD, most notably through the new investment in Cyber-enabled Discovery and Innovation and other areas of fundamental research, development and education. Selected Crosscutting Programs NSF's crosscutting programs include ADVANCE: Increasing the Participation and Advancement of Women in Academic Science and Engineering Careers, Faculty Early Career Development (CAREER), Graduate Fellowships and Traineeships, Research Experiences for Undergraduates (REU), and Research Experiences for Teachers
14	Training Workshops OSP Workshop Life Cycle of An Award Thursday, May 17, 2007 at 2:00 3:30 pm, Mary Reed Bldg, Renaissance Room North Improving your chances of NIH Funding DU hosts National Institute for Biomedical Imaging and Bioengineering (NIBIB) for fifth regional Grantsmanship Seminar Monday, May 7, 2007 at 8:00am 5:00 pm Driscoll Center See attached announcement. NCURA Workshops Conflict of Interest: How to Spot and Manage It Wednesday, June 27, 2007 at 9:00am 1:00 pm, Mary Reed Bldg, Renaissance Room South Subawards: A Survivors Guide Key Concepts and Principles Tuesday, October 27, 2007 at 9:00am 1:00 pm, Mary Reed Bldg, Renaissance Room South
15	OSP Grants Accounting Grants Accounting Overview Grants Payroll Department Time Entry for Biweekly Employees Use of MHOTs, Workload Adjustments Implementation of Deferred Pay Academic Position to include Research Effort Fiscal Year-end Reminders Overruns Cost Transfers Liquidating Encumbrances Purchasing/Payment Methods Direct Pays and Purchase Orders Purchasing Cards
16	Grants Accounting Overview OSP Grants Accounting Staff Julie Cunningham Janet Wallace Susan McTavish Please contact any of the employees above for grants accounting questions. 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, 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
17	Payroll Department Time Entry for Biweekly-paid Grants Personnel During May, Graduate Students (GRAs) will be moved to DTE. Currently reviewing process for pre-distribution of monthly labor, via BECR into NBAJOBS. See attached OSP policy. Use of MHOTs, Workload Adjustments One-time only. For 2 or more consecutive pay periods, use MBTH or BECR. Implementation of Deferred Pay: Expense posted over 9-months. Employee paid over 12 months. Combining academic position and research position into one position for period of academic appointment.
18	Fiscal Year-end Reminders Overruns Departments should be reviewing overruns and correcting before fiscal year end. 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 on a monthly basis and will contact the department if not resolved within 30 days of month end close. If overrun involves payroll, send payroll distribution from to OSP. Cost Transfers All cost transfers must be approved and completed before fiscal year end. Payroll redistributions to be done on monthly basis for same fiscal year. OSP cannot redistribute payroll after 60 days at any time during the year. All cost transfers need to be made within 60 days of original posting. Please see cost transfer policy on the DU website. http://www.du.edu/orsp/download/sop_cost_transfer.pdf Liquidating Encumbrances Please review all funds with encumbrances and remove if necessary. Liquidating encumbrances is important in order to free up funds that can be spent and the closeout process can also be delayed if an encumbrance exists. 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.
19	Purchasing/Payment Methods To generate a Purchase Order, you enter a Requisition in Banner PO's are used to make all purchases over $300 PO numbers must be given to the vendor when the order is placed Field PO's may be used for all purchases up to $900 Special PO Types Field PO's are completed by hand, and entered in Banner after the purchase Standing PO's are used when multiple purchases will be made from the same vendor. A specified FOAP is charged for each order Blanket PO's are used for the same reason, but differ because the FOAP to be charged is not specified on the PO. It must be specified with each payment Regular and standing PO's generate encumbrances - Blanket PO's do not. Appropriate Uses of the Direct Pay Process Travel and Conference expenditures (Registration Fees, Transportation, Lodging, Meals, Etc.) Travel Advances and Repayments Reimbursement of Petty Cash Funds ($50.00 maximum per transaction) Membership Dues (Allowable in civic, business, technical and professional organizations) Subscriptions Honorarium Payments (After established as vendor with Tax ID number) Some Outside Service Providers (for example: entertainers, speakers) Moving Expenses Business Meals Donations and Contributions Adequate documentation such as original invoices, original receipts, and registration forms should be attached to the Direct Pay Cover Sheet. Link to Step-by-step instructions for completing Direct PaysLink to detailed instructions for Requesting and Repaying Travel Advances with Direct Pays
20	Purchasing/Payment Methods The Purpose of the DU Purchasing Card The purpose of the DU Purchasing Card Program is to establish a more efficient, cost-effective way for departments to make purchases of less than $2,000. The DU Purchasing Card should greatly reduce the volume of Direct Pay invoices, as well as the need for petty cash accounts. Using the Purchasing Card will be a benefit to the University, its suppliers, and your department. The University will save time and money by consolidating paperwork, suppliers will receive payment more quickly, and your department will get its supplies without unnecessary delays. You are being entrusted with the ability to make small-dollar purchases on behalf of the University. If authorized, you will also be trusted to pay travel and entertainment expenses with your card. Along with this trust comes responsibility. Cardholders are expected to make sound business decisions in the best interest of the University, and always comply with the policies and procedures as set forth in the User Guide and the University Purchasing Manual at http://www.du.edu/purchasing/purcard.html.
21	OSP Research Compliance Compliance Overview Implementation of eProtocol System Institutional Committees: Meeting Dates
22	Staff and Committees OSP 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. Joe 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
23	eProtocol System In efforts of streamlining the IRB, IACUC, & IBC application process and providing better and convenient services to our researchers and faculty advisors, the Office of Sponsored Programs has acquired a new electronic information management system. The system is called eProtocol. The eProtocol application works online to powerfully aid investigators, Research Compliance and reviewers in the process of creating, revising through reviewal, panel approval of and submitting research protocols. The application includes critical regulatory features and an entire history of forms, comments, attachments, notes, and reports maintained for each protocol in process or submitted. The goal is to facilitate the standard protocol roles of primary investigator, managers and reviewer through a single application that provides complete view/edit privileges on each protocol and instant communication via email between user groups. Its implementation is expected for Summer 2007. Please make sure you attend workshops and education sessions regarding the use of the application.
24	Meeting Dates: DU IRB (Institutional Review Board for the Protection of Human Subjects in Research) Upcoming DU Compliance Committee Meeting Dates DU IRB
25	Meeting Dates: ERI IRB (Institutional Review Board for the Protection of Human Subjects in Research) Upcoming DU Compliance Committee Meeting Dates ERI IRB Please mail or deliver applications by NOON on deadline dates to: Sylk Sotto-Santiago, Research Compliance Manager University of Denver, Office of Sponsored Programs Mary Reed Bldg., Room 222 2199 S. University Blvd. Denver, CO 80208 Contact our Office for information on IACUC and IBC Meeting Dates
26	Appendices OSP Staff Directory NIH Standard Receipt Dates NIBIB Grantsmanship Seminar at DU, May 7 OSP Policy: Payroll Processing for Biweekly Paid Grants Personnel
27	Office of Sponsored Programs Staff Directory