Grants and Contracts: Who, What, When, Where, Why, How

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Grants and ContractsWho, What, When, Where,
Why, How

• Louise Nuttle, Ph.D.
• Director, Sponsored Programs
• Donna Szabo, J.D.
• Associate Director for Contract Management

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What, Where

• Office of Research and Sponsored
• Programs Administration
• (aka ORSPA)
• Ada Earnest House
• http//www.etsu.edu/research/orspa.htm
• Phone 9-6000
• Fax 9-6050
• Email research_at_etsu.edu

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Who

• Cynthia Hardin
• Assoc Director
• Sponsored Programs
• 9-6051
• Carole Thomason
• IT Coordinator
• 9-6059
• Joanna Simmons
• Information Research
• Technician
• 9-6052

• Louise Nuttle
• Director
• 9-6049
• Donna Szabo
• Assoc Director
• Contract Management
• 9-6045
• Mary James
• Grants and Contracts
• Specialist
• 9-6048

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Mission

• To promote and support scholarly activities...by
  administering external support for research,
  instruction, and service programs, and providing
  professional development opportunities for
  faculty, staff and students.

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What

• Sponsored programs are any projects supported by
  extramural funds received by the University as a
  result of some formal communication such as a
  letter, application, or written proposal signed
  and submitted by an authorized University
  official.

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What

• General Characteristics
• published application guidelines or procedures
• restrictions on the use of funds
• defined period of performance
• formal financial reporting
• specified staff performances and/or project
  outcomes (objectives, deliverables, or products)
• reports related to the substance of the work

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What

• Grants and Contracts

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What

• Grant...
• A grant is an award of funds or property, based
  on an approved budget or formula,.
• Ideas originate from and are defined by the
  applicant.
• Generally, the scope of work supported by a grant
  is more flexible than that supported by a
  contract.

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What

• Contract...
• A contract is a formal, legal agreement between
  two or more parties.
• Contracts between universities and other parties
  are generally agreements to perform a service or
  deliver products or goods within a specified
  period of time for an agreed-to price.
• Scope and deliverables are set by sponsor.

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What (not)

• Gifts...
• Donor specifies the general program or research
  the money is given to support
• No defined budget
• No formal reports on how the money was spent or
  the research the money supported.
• The Chief Development Officer is authorized by
  the President to accept gifts on behalf of the
  University, subject to review and confirmation by
  the President.

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Other Whats

• PI Principal Investigator
• Co-PI Co-Principal Investigator
• PD Project Director
• Co-I Co-Investigator

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Other Whats

• RFA Request for Application
• RFP Request for Proposal
• PA Program Announcement

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Other Whats

• ORSPA unique internal identifier
• Banner Index account number

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Other Whats

• NIH National Institutes of Health
• NSF National Science Foundation
• HRSA Health Resources and Services
  Administration
• CDC Centers for Disease Control
• AHA American Heart Association

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Other Whats

• Compliance Adherence to the rules and
  regulations set forth by the

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Compliance...

• Human Subject Protection
• Animal Care and Use
• Radiation Safety
• Biosafety
• Conflict of Interest
• Export Controls
• Intellectual Property Protection

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Other Whats

• MTA Material Transfer Agreement
• MOU Memorandum of Understanding
• IP Intellectual Property
• CFDA Catalog of Federal Domestic Assistance
• FA Finance and Administration
• (Office of or costs)
• IDC Indirect Costs (see FA costs)
• More???

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When...

• Assist faculty and staff in the identification of
  appropriate and relevant funding opportunities
• Assist faculty and staff in proposal and budget
  development
• Review and coordinate the submission of all
  proposals to external sponsors
• Process all awards from external sponsors
• Negotiate and execute all sponsored agreements
• Ensure the compliance of sponsored activities
  with all local, state and federal regulations

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When

• Basically, when you find yourself involved in
• A grant proposal (including consortium proposals,
  i.e. subawards)
• A sponsored agreement (contract) or a research
  agreement (e.g. MTA, Confidentiality Agreement)
• An amendment, revision, extension, rebudget of an
  existing sponsored program

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Why...

• All awards - grant or contract - are made to
  the University, not to the PI, to the department,
  or to the college.

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HOW????

• Proposal Routing and Submission
• Contract Routing and Execution
• Post-Award Modifications

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• http//www.etsu.edu/research/orspa.htm

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Proposal
Grant
Contract
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Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Institutional Review / Approval
Submission
Award
Project Management / Closeout
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Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Institutional Review / Approval
Submission
Award
Project Management / Closeout
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Concept
The Proposal Lifecycle

• ORSPA
• COS
• Foundation Directory Online
• Listserves and Auto-Alerts
• ORSPA Website

Sponsor Identification
Proposal Development
Contact Carole Thomason
Institutional Review / Approval
Submission
Award
Project Management / Closeout
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Concept
The Proposal Lifecycle
Sponsor Identification

• ORSPA
• Sponsor Guidelines and Forms
• Budget Development
• Inter-Institutional Consortia

Proposal Development
Institutional Review / Approval
Contact Cynthia Hardin Mary James
Submission
Award
Project Management / Closeout
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Concept
The Proposal Lifecycle
Sponsor Identification

• Principal Investigator
• Department
• College
• ORSPA
• (VP and/or President)

Proposal Development

• ORSPA
• Internal Routing Form
• Indirect Cost Reduction Req
• Conflict of Interest

Institutional Review / Approval

• IRB
• UACAC
• Biosafety Committee
• Radiation Safety

Submission
Contact Mary James Joanna Simmons
Award
Project Management / Closeout
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The Internal Routing Form
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Proposal Routing
PI
Dept Chair
Usually includes finance office review
Dean
ORSPA
(directly or via PI)
Sponsor
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Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Institutional Review / Approval

• ORSPA
• Grants.gov
• NSF FastLane
• Inter-Institutional Applications

Submission

• ORSPA
• Just-In-Time information
• Budget Negotiations

Award
Contact Cynthia Hardin Mary James
Contact Louise Nuttle
Project Management / Closeout
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Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Institutional Review / Approval
Submission

• ORSPA
• Proposal Tracking
• Account Request
• Compliance Review

Contact Mary James
Award
Project Management / Closeout
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Concept
The Proposal Lifecycle
Sponsor Identification
Proposal Development
Contact Louise Nuttle Cynthia Hardin Donna Szabo
Institutional Review / Approval

• ORSPA
• Rebudgeting
• No-Cost Extensions
• Amendments
• Subaward agreements
• Change in PI or other Key
• Personnel

Submission
Award
Project Management / Closeout
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Post-Award Requests

• Request to Rebudget
• Request for No-Cost Extension
• Request for Subaward Agreement
• Request to Change PI

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Subawards
Serves as the basis for the establishment of the
subaward agreement

• Terms and Conditions
• Contact info
• Budget
• Scope of Work
• Prime Award

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Change in PI...
Ensures compliance with sponsor's requirements
for mid-project changes to PI and/or key personnel

• Justification
• Approval
• Compliance (IRB, UCAC, COI...)

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Proposal
Grant
Contract
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The Contract Lifecycle
CONTRACT
Business Plan
Technical Plan
Review and Negotiation of Terms
Compliance Review/Approval
Budget Review
Internal Routing and Approval
Execution
Project Management / Closeout
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The Contract Lifecycle
CONTRACT
Business Plan
Technical Plan
Review and Negotiation of Terms
Compliance Review/Approval
Contact Donna Szabo
Budget Review
Internal Routing and Approval
Execution
Project Management / Closeout
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The Contract Lifecycle
CONTRACT
Business Plan
Technical Plan
Review and Negotiation of Terms
Compliance Review/Approval
Contact Cynthia Hardin Mary James
Budget Review
Internal Routing and Approval
Execution
Project Management / Closeout
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The Contract Lifecycle
CONTRACT
Business Plan
Technical Plan
Review and Negotiation of Terms
Compliance Review/Approval
Budget Review
Internal Routing Form
Internal Routing and Approval
Execution
Project Management / Closeout
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Internal Routing Sheet

• New Project
• New Scope of Work
• New time period

• New ORSPA Number
• New Banner Index

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Contract Routing (the old way)
PI
Dept Chair
Usually involves finance office review
Dean
Procurement (Kathy Kelley)
ORSPA
Sponsor
President or VP
For Health Sciences this is FA
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Routing Sponsored and other Research-Related
Agreements
PI
Dept Chair
Dean
ORSPA
Sponsor
Usually involves finance office review
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Contract Routing Form

• Existing Project (ORSPA )
• Amendment of terms (dates, dollars, scope, etc.)

• Same ORSPA Number
• Same Banner Index

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• Questions???