Faculty Research Grants Management Orientation

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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

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Navigating Research Administration at Washington
University

• 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 Coordinator
• John Michnowicz, Director, Grants Contracts
  (Medical School Campus)

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Agenda

• 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

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Why Are We Here?

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

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Research Mission

• A message from Ted Cicero, Vice Chancellor of
  Research
• Research is one of Washington Universitys 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/

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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

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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

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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

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School and/or Department Supports Investigators
by

• 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

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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

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Department Administrators Supports Investigators
by

• 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

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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

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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

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Investigator Commitments

• Are described more completely in
• Code of Conduct
• http//codeofconduct.wustl.edu/
• Roles and Responsibility document
• http//roles.wustl.edu/

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Investigator Commitments Cont.

• Are described more completely in
• WU Research polices and procedures
• http//research.wustl.edu/MainPoliciesProcedures.h
  tm
• Sponsoring agencies, federal regulations, state
  laws

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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

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Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
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Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
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Proposal Preparation

• Identify potential sources of funding
• Review sponsor submission guidelines
• Discuss proposal with your Research Administrator
• Develop research plan
• Craft the proposal

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Proposal Preparation Cont.

• Negotiate with collaborators
• Prepare the budget
• Submit protocols and compliance documents
• Submit entire proposal package

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RESEARCH PROPOSAL PREPARATION
This is a suggested timeline with major
milestones outlined.
Key Partners Mentors, Collaborators Dept Chairs
Senior Faculty
Continuous ongoing feedback
Review concept and science and provide feedback
to investigator Dept Chairs approval is required
Review draft budget and draft proposal
application and provide feedback to investigator
PI
Develop research concept. Discuss
and Circulate.
Develop science based on feedback and discuss
project with RA.
Review guidelines and compliance
requirements. Develop budget with RA.
Complete proposal.
Investigator Submits Final Proposal to Sponsor
Submit proposal to GC/RO. Complete all protocols
and compliance requirements with the assistance
of RA.
Sponsors Funding Decision
4 Weeks
1 Week
2 Months
6 Months
Help investigator develop budget and seek
commitments, resources and required approvals.
Complete admin. part of proposal.
Help investigator complete all protocols and
compliance requirements.
Review funding alerts and announcements for
possible support for investigator.
Discuss upcoming research project with
investigator - notify GC/RO of intent to submit.
RA
Reviews proposal, certifies compliance
requirements and provides institutional signature
Review the budget
Not Funded
Consult with RA and investigator to develop
timeline that addresses proposal development,
resources, protocols, required approvals, and
budget.
Funded
Investigator makes submission- No go
decision
NOTE Planning and communication are key to
working with Central Admin Offices
Central Admin Staff GC and RO
Investigator reviews Summary Statement Investigato
r decides whether to resubmit
Central Admin. Staff negotiates award
Investigator manages research project
Investigator decides whether to revise
Revise proposal for resubmission /address
reviewers concerns from Summary Statement
PI Investigator or Principal Investigator GC
Grants Contracts Office (Medical School
Campus) RA Department/Grants/Division/Research
Administrators
RO Research Office (Hilltop Campus)
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Identify 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

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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
  elses grant

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Proposal PreparationDeveloping 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

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Proposal PreparationDeveloping 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 (FA)
  and verify that it is calculated correctly

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Committees that Review Compliance Issues and
Protocols
Topic Committee Animal Protection
Animal Studies Committee
(ASC) Financial Conflict of Interest
Disclosure Review Committee (DRC) Lab
Safety Environmental Health and Safety
(EHS) Radiation Safety Committee
Institutional Biological Chemical Safety
Committee (IBC) Patient Privacy
Protection HIPAA Office
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Committees that Review Compliance Issues and
Protocols
Topic Committee Human Subject
Protection Human Studies
Committees (HSC) Material Transfer Agreements
Office of Technology Management (OTM) Scientific
Misconduct Research Integrity Committee
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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

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Key Strategies for Proposal Preparation
Cont.

• Consult Central Grant Administration
• For interpretation of sponsor policies and
  guidelines
• To formalize agreements with co-investigators

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Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
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Sponsors 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

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Sponsors 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 situationYou are likely to receive the
  award if they ask for more information

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Receive and Accept Awards

• Washington University is the Official Awardee
• Dont sign anything!
• Only authorized institutional officials
  designated by the Chancellor may sign agreements
  and award documents.

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

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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

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Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
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Research 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

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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

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RESEARCH PROJECT MANAGEMENT

• WU RESEARCH ADMINISTRATOR (RA)
• Provides departmental assistance to support
  investigators
• research activities
• Assists in proposal preparation
• Handles Investigator accounting
• Salary Authorization Reports
• Quarterly Expenditure Reports
• Payroll
• Purchasing
• PARS submission monitoring

• 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

Discussion Feedback Revisions Review Decisions App
roves

• WU Research Administrative Offices
• Provides advice, counsel and oversight
• Grants Contract (GC)-Medical School Campus
• Research Office (RO)-Hilltop Campus
• Sponsored Projects Accounting (SPA)
• Office of Technology Management (OTM)

• SPONSOR
• PROGRAM ADMINISTRATOR
• Initiates/encourages interest in area of
  scientific
• importance to the institutes 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

This is the typical structure of a sponsoring
organization. RA Research/Department/Division/Gra
nts Administrators
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Expend Funds in Accordance with WU and Sponsor
Policies

• Federal
• 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)

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Expend Funds in Accordance with WU and Sponsor
Policies

• Costs 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 sponsors guidelines

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Direct 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

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Unallowable Costs

• Costs that are not reasonable and not directly
  allocable to the project
• Costs specifically deemed unallowable by the
  sponsor - Examples include

• Advertising
• Alcohol Food
• Charitable Contributions
• Entertainment
• Paper
• Printer toner

• Fines and Penalties
• Deficits
• Personal use of goods
• or services
• Office supplies

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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)

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What do FA dollars pay for?

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

• Administrative
• Chancellors, VPs and
• Deans Offices
• Human Resources
• Payroll, A/P Purch.
• Research Office SPA
• Department Admin.

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What is Effort Reporting?

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

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Faculty 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

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Effort Categories

• Annual compensation paid by WU for a faculty
  members 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

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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

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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

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Key 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

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Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
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Project 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

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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

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Reasons a Research Project Ends

• 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)

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Closeout 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

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Overdue 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

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Commercialize 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

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Record 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.

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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

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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

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Research Administration Process
Investigators have responsibilities in the
following four areas of research administration
at Washington University.
Proposal Preparation
Award
Research Project Management
Project Closeout
Identify Potential Sponsor Prepare
Proposal Prepare Protocols
Conduct Research Manage Research Manage
Project Funds Manage Personnel and Laboratory
Operations Submit Timely Progress Reports
Complete and Submit Final Reports Follow
Closeout Procedures and Protocols Commercializ
e Research
Receive and Review Award Terms and
Conditions Provide Information to
Facilitate, Negotiate and Accept Contracts and
Subcontracts
Other Research Administrative Support Activities
Education, website, communication, monitoring
and auditing
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How It All Fits Together
Washington University
Research Education
Human Resource
Human Subjects Policies Education
Internal Audit
Schools/Departments
Human Subjects Procedures
Radiation Safety Procedures
Active Participation Annual Disclosures
Financial Management Reviewing Reports Human
Subjects Ed Animal Education EHS Training
Internal Audit
Animal Policies Education
PI
Environmental Health Safety Policies
Education
Environmental Health Safety Procedures
Research Administration Offices
Department Research Administrator
Conflict of Interest Policies
Review and Approve Protocols Pre-Award
Certification Award Negotiation Review Approvals
and Prior Approvals Provide Compliance
Education Monitor Compliance Set Policies Provide
tools Communicate Expectations
RCR Policies Education
RCR Procedures
Radiation Safety Policies Education
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Did We Cover Everything?
Why Are We Here?

• 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

Covered
Covered
Covered
Covered
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QUESTIONS?

• Answers

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EVALUATION FORMS

• Please turn in evaluation forms as you leave.

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