Managing Your Grant AwardAugust 23, 2012

Janet StoeckertDirector, Research AdministrationSr. Administrator, Basic Sciences

Keck School of Medicine

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• Roles & Responsibilities• Types of Grants• Regulatory & Financial Compliance• Budget Management & Monitoring• Close Out

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Topics

Roles & Responsibilities

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Principal Investigator

– Oversees project integrity– Complies with sponsor regulations– Science execution and financial management– Completing the project (both scientifically &

administratively) – Management of personnel (mentoring &

oversight)– Meeting the reporting requirements – Presenting and publishing results

from “Basics of Research Administration,” SRA International, 2010

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Department/School

– Works alongside principal investigators– Responsible for the management of sponsored

programs for a specific department(s) or School– Typically, provides direct assistance to the PI for

the project or program supported by the grant– Liaison between principal investigators and the

central University offices (e.g. DCG, SPA, Compliance)

from “Basics of Research Administration,” SRA International, 2010

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Central Administrator (DCG, SPA, Compliance)

– Certifies that the institution meets requirements– Certifies the accuracy of particular information– Certifies compliance with governing regulations– Establishes policies and procedures to ensure

compliance– Educates employees regarding the policies and

procedures

* from “Basics of Research Administration,” SRA International, 2010

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Vice President for Research

• Establishes/defines the research culture for the institution

• Understand laws, regulations and institution• Align policies with applicable regulations• Approves research policies

from “Basics of Research Administration,” SRA International, 2010

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Types of Awards

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Types of Awards

• Grant – Transfer of money, property, services, or anything

of value to recipient to accomplish a public purpose

– No substantial involvement with sponsor • Cooperative Agreement– Transfer funds to recipient to accomplish a public

purpose– Substantial involvement between sponsor and

recipient

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Types of Awards

• Contract– Acquisition of property or services for benefit or

use of sponsor• Purchase Order – Fixed priced for a product or service

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Regulatory and Financial Compliance

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• Regulatory compliance items include: - Use of human/animal subjects - Recombinant DNA in research - Environmental health and safety

- Misconduct in science- Responsible conduct of research (RCR)

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• Financial compliance items include: - Conflict of Interest

- Effort Reporting- Cost Criteria for Charges to Grants- Cost Transfers

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Compliance required before your award can begin….

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Conflict of Interest

• Conflicts of interest occur when university members are in a position to influence a decision on policy or purchases where they might directly or indirectly receive financial benefits or give improper advantage to associates.

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Conflict of Interest

• Disclosure required Principal Investigator and key personnel when applying for DHHS/NSF funds (proposal routing sheet)

• Conflicts must be resolved before spending on federal grants

• New guidelines effective Aug. 2012 http://grants.nih.gov/grants/policy/coi/

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NIH & NSF RCR Guidelines

RCR is comprised of 9 topic areas: • Acquisition, Management, Sharing and Ownership of

Data • Animal Welfare • Authorship/Plagiarism • Collaboration • Conflict of Interest • Human Subject Protections • Mentoring • Peer Review • Scientific/Research Misconduct 17

NIH & NSF RCR Guidelines

Resources Available

• http://www.usc.edu/admin/oprs/training/rcr.html

• http://keck.usc.edu/en/Research/Office_of_Research_Advancement/Responsible_Conduct_of_Research_Course.aspx

• INTD 500: Responsible Conduct of Research (RCR)

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Grants Management Training

• http://ooc.usc.edu/registration (Required)• DCG Curriculum Training• http://research.usc.edu/for-investigators/

training/

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Award

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Review Award Document

• Scope of Work• Time table• Budget• Reporting Requirements• Compliance Requirements• Cost Sharing Commitments

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Cost Sharing

General Definition

When federal or agency regulations require that the institution share in the cost of sponsored research projects, the institution contribution is referred to as “cost-sharing.”

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Budget Management & Monitoring

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Costs Must Be . . .

Allowable - Must conform to regulations - Must conform to any exclusions contained in the sponsored agreement - May be an appropriate institutional expense but not allowable on a sponsored project

Allocable - Necessary to the project - Directly benefits the project - NOT determined by fund availability

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Costs Must Be . . .

Reasonable - What “prudent person” would pay in like circumstances - Necessary? - Advance the scope of work? - Consistent with established policies & practices?

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Budget Management & Monitoring

• Review Projections– No less than quarterly– Review for abnormally high or low burn rate of

funds

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Sample Projection

Effort Reporting & Certification

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Effort Certification

• After-the-fact confirmation of effort• Demonstrates that salaries charged to

sponsored projects or to cost sharing reasonably reflects effort performed

• Way for government and other sponsors to verify salary charges to grants

• eCert: On-line web-based

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Charging Effort to Grants

• % Effort should reasonably reflect actual effort spent

• Include cost shared effort subsidized by Department, School, Institution

• Take into account sponsor’s salary cap if applicable

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How much effort can you charge?• Faculty effort on grants should usually not

exceed 90-95%• Effort towards teaching, committee work,

preparing new grant proposals may not be charged to grants

• Exceptions are reviewed by Office of Financial Analysis

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Close Out of Award

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Close Out of Award• Close outstanding encumbrances• Ensure no outstanding charges• Programmatic/Technical reports submitted• Personnel Expirations– Notify project staff as soon as possible

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Summary

• Review your grant award with your Department or School for terms and conditions, awarded budget, discuss spending plan

• Review budget projects at least quarterly• Inform your administrator if you wish to change

to make changes to personnel effort, purchases, sub-awards, or need to transfer expenses

• Stay current on compliance requirements

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Questions?

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Thank you!

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Janet StoeckertDirector, Research Administration

Keck School of Medicine(323) 442-3568

Janet.stoeckert@usc.edu