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Introduction to Research Administration at the UW
Monica Fawthrop
Administrator
Division of Pulmonary and Critical Care Medicine
Survival Skills for the Research Years
July 2012
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Part I: NIH Structure – Tom Hawn
Part II: Intro to Research Administration – Monica Fawthrop
Part III: Writing a Grant – Sheila Lukehart
Part IV: Behind the Scenes at a Study Section – Bill Parks
Grants 101
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Identify key players and introduce terminology
Provide an overview of the proposal submission and award process
Identify Investigator resources
Agenda
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Key Players
Principal Investigator MentorDivision (Department) administrative staffOther UW reviewersUW campus research officesFunding sponsors (not just NIH)
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The REALLY Key players
PI Mentor
and Staff
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Before you get started
Discuss your plans with your Mentor
Who else needs to know about your plans?
Career Development awards usually require a faculty appointment commitment
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Before you get started
Application
Application
AwardResearch
Award Close-Out
The IDEA
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The Proposal
Thoroughly read the program announcement and application guidelines (more than once)
All grant proposals have both scientific and administrative components
The two components have different requirements and timelines
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The Proposal
Are you eligible? Are any special resources or commitments
required? Any letters of reference or institutional support
required? Does the sponsor pay Facility and Administration
fees (indirect costs)?
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Principal Investigator and Mentor
The UW School of Medicine has very firm policies about PI eligibility
Fellows are allowed to apply for mentored fellowship grants and transitional grants leading to independence (career development awards) only
Pure research proposals are restricted to individuals with faculty appointments
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Principal Investigator and Mentor
• The Faculty Mentor is listed as the PI within the UW system
• The Fellow applicant is listed as the PI on sponsor forms
• Acting faculty or those with pending acting appointments may be listed as PI with approval
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Principal Investigator Responsibilities
The PI is responsible for:
• Alerting Division staff of submission plans
• Understanding application guidelines/requirements
• Establishing timelines with advisors and staff
• Determining assignments with advisors and staff
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Division Staff
Division Administrative Staff may assist with any or all of the following:
• Budget development and sponsor form completion
• Completion of UW internal review transmittal form (eGC1)
• “Translating ” grant-speak
• Assist with award processing and ongoing management
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Division Staff
Reminders and Helpful Hints…
Remember that staff are assisting multiple PIsEvery division/lab/research unit is unique – do not
assumeTake care of the administrative details early to
minimize distractions when finalizing scientific component
ASK if you don’t understand what is being assigned or asked of you
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Internal Review
Every proposal submitted by a DoM PI is reviewed by a minimum of four offices
1) Division
2) Department of Medicine
3) School of Medicine
4) UW Office of Sponsored Programs
5) Other offices as needed
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SAGE and the eGC1
An internal (UW) review is conducted of all proposals prior to submission to the sponsor
SAGE is the web-based system used to route documents for review
The eGC1 is the form within SAGE
Fellow applicants are not required to review the eGC1 – request to be added
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SAGE and the eGC1
Internal (UW)reviewers assess:
• Budgetary accuracy and form content
• Effort, space, or resource commitments
• Overall institutional commitments (faculty appointment? F & A cost waivers?)
• Compliance requirements
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Timeline
UW Policy7+ business days:
– All final administrative components and draft “science” received by OSP
3+ business days: – Final proposal in complete & final format – Status = received by OSP by 5 pm
<3 business days: – Any application received by OSP after 5pm three
business days before the sponsor deadline will not be reviewed and will be sent back to the PI/Dept
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Timeline
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Budgets need to be broken down by UW budget code category
Direct Cost Categories (costs associated with direct performance of the project):• 01 - Salary
• 02 – Personal Services
– Examples include paid (hourly) consulting services and study subject payments
• 03 – Other Contractual Services
– Examples include animal purchases, internal services such as histology core, external services such as manuscript fees and subcontracts
• 04 – Travel
• 05 – Supplies (disposable items and minor equipment)
• 06 – Equipment
• 07 – Benefits
• 08 – Tuition and Fees
Plus Facilities and Administration (F & A)* fees = Total Costs of the proposal
*F & A aka Indirect Costs
Budget Development
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Budget Development
• Sponsor language is not always clear
• F & A costs must be charged when allowable
• Healthcare benefits are charged in addition to
salary
• Benefit rates are adjusted annually and charged
based on current agreement and job title
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Budget Development
How did you come up with THAT?
Total Costs Available
$50,000
Reduce for F & A allowed (10%)
($4,545)
Reduce for health benefits (27%)
($9,664)
Amount available for salary support
$35,791
OF NOTE:27% benefit rate based on job title and benefit rates in effect at time of submission, current rates applied at time of award. Are budgetary adjustments necessary at time of award?
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Budget Development
Become familiar with the concept of effort and allowable overlap
Faculty effort cannot exceed 100% for all activities
Many awards require 75% effort but do not provide enough funding to pay the full amount
How will this gap be funded?
Confirm when effort must be accounted for separately and when overlap may occur
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SAGE and the eGC1
Review sample eGC1 in the SAGE system
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Office of Sponsored Programs
The Office of Sponsored Programs (OSP) is the
authorized agent for the UW
• Performs the FINAL review of proposals to ensure UW policies are met and application requirements are met
• Authorizes submission (or submits)
• Receives, accepts and negotiates awards made to the UW
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Compliance and Award Process
Most award sponsors will require proof of compliance prior to award activation
This documentation process is referred to as
“Just in Time”
JIT and award information requests require action
Don’t hold on to these requests.
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Compliance and Award Process
Examples of requested documentation
• IRB
• IACUC
• Hazardous Materials
• Confirmation of termination from an institutional T32
• Training in the protection of human research subjects
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Compliance and Award Process
Requests are often made with a short turnaround time –negotiate a revised due date.
PI/staff need to make the link between existing compliance approvals and new funding source.
Understand that an award will not be activated if compliance requirements are not met – be proactive.
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Grant and Contract Accounting
Grant and Contract Accounting (GCA) facilitates the financial management aspects of an award
• Provides high level oversight of all expenditures
• Assigns budget numbers and handles sponsor
payments
• Submits financial reports to the sponsor (technical
reports are submitted via OSP)
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Expenditures
PI is responsible for ensuring that all expenditures are:
• Consistent (with the aims of the proposal)
• Allowable (by the sponsor and the UW)
• Reasonable (you bought your airfare when?)
• Allocable (assigned the right percentage)
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Special Considerations
Will your proposal include activity outside the U.S.? Become familiar with the Global Operations Support Office http://f2.washington.edu/fm/globalsupport/
Will your proposal include clinical research conducted within UW Medicine? Become familiar with the Clinical Research Budget and Billing Office Consider signing up for the clinical research listserv
http://mailman2.u.washington.edu/mailman/listinfo/clintrials/
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Resources
Faculty Brown Bag Series (Research and Compliance)http://www.washington.edu/research/training/faculty-brown-bag/
UW Medicine Research homepagehttp://uwmedicine.washington.edu/Research/About/Pages/default.aspx
UW Research Required Training Homepagehttp://www.washington.edu/research/compliance/required-training/
Research Administration Learning Program*http://www.washington.edu/research/index.php?page=ospLearning
*Particularly if available research administration support is limited