Research Administration and Management Program (RAMP)

Introduction to Sponsored Programs and Research

Administration

Penny WeaverAssistant Director, OSPRA

Objectives of the Training Series

The purpose of this training series is to: Offer insight into the world of sponsored programs and

research administration Provide an understanding of the life cycle of a

sponsored project from start to finish Provide more detailed training in the areas of budget

preparation, electronic submission portals (e.g., NSF Fastlane and Grants.gov), cost sharing and in navigating the proposal submission process

Describe and refer to University policies related to the submission of research proposals and negotiation and acceptance of awards

Acquaint attendees with the offices responsible for the oversight and support of sponsored projects

Topics That Will be Covered in the Sessions

Introduction to Sponsored Projects and Research Administration

Research Administration at UIUC Submitting a Proposal – Who Does What? Understanding the Proposal Transmittal Form Compliance Requirements at UIUC Developing a Budget/Budget Justification Facilities and Administrative Costs Cost sharing OMB Circulars Electronic submission portals Contracts, Award and Award Management

Frequently Asked Questions that will NOT be Answered

Why do faculty always wait until the last minute?

Why does the government only add regulations, but never takes any away?

Is there a profession with more acronyms than research administration?

Introduction to Sponsored Programs and Research Administration

Pre-Award fundamentals– What is a sponsored project?– Who are the sponsors?– What is the difference between a gift and a grant?– What is research?– What is research administration?– What is a proposal?– What is a Principal Investigator? – What are the types of funding

announcements/solicitations? – Sources of authority– Types of agreements

Introduction to Sponsored Programs and Research Administration

Research Administration at UIUC– Why are sponsored projects so important?– Grants and contracts administrative sections

and their functions/roles– University policies related to the submission of

research proposals

– What is the life cycle of a research project?

What is a Sponsored Project?

The OBFS Business and Financial Policies and Procedures, Chapter 16.1.5 defines sponsored projects as,

“Sponsored projects are supported by entities outside the University, have a defined scope or objective, and include reporting requirements. They result from proposals submitted by the University and funded by an external organization, such as a federal, state, local, or foreign unit of government, a foundation, an association, or a commercial entity”.

Who are the Sponsors?

Government Federal Programs

– Purpose: To provide for the common welfare through appropriations for the support of education, health and welfare, engineering, the arts, defense.

– Structure: There is typically a hierarchy of divisions, programs and offices (e.g., NSF has many directorates divisions under them, including the Directorate of Biological Sciences).

– Deadlines: Vary, but are typically cyclical.– Types of projects funded: Usually fund projects of

national or universal significance.

Who are the Sponsors?

Government State and Local Programs

– Purpose: State agencies exist to fulfill specific legislative missions that are narrower in scope than that of federal agencies. Local agencies exist to meet local needs.

– Structure: Infrastructure varies among agencies.– Deadlines: Vary.– Types of Projects Funded: Funds are provided for

projects that promise to benefit the people of the state, locale. The scope of work is often determined by the funding agency.

Who are the Sponsors?

Non-Profit Organizations Foundations

– Purpose: Usually support interests that are closely related to their source of funds.

– Structure: Most are managed by an executive director or board of directors.

– Deadlines: Vary with some having cyclical deadlines to others having no established deadlines.

– Types of projects funded: Support service related activities and basic and applied research.

Other Nonprofit Organizations– Purpose: A wide range of nonprofit organizations support

University programs (e.g., American Cancer Society, American Heart Association).

– Structure: Varies greatly.– Types of projects funded: typically support research and

other activities in their field only.

Who are the Sponsors?

For Profit Organizations-Business and Industry Industry is becoming an increasingly important

partner for basic and applied research. Generally, the company’s objective is to strengthen its competitive position in the marketplace.

Who are the Sponsors?

Examples of our sponsorsFederal DHHS – Department of Health and Human Services

– PHS - Public Health Service– NIH – National Institutes of Health

NSF – National Science Foundation Department of Defense

– AFOSR – Air Force Office of Scientific Research– ARO – Army Research Office– ONR - Office of Naval Research

USDA – United States Department of Agriculture

Who are the Sponsors?

Non-Profit– AHA – American Heart Association– Mellon Foundation– ACS - American Cancer Society

Industry– Monsanto– Hewlett Packard– Kraft– Pfizer

State– Illinois Board of Higher Education– Illinois Dept of Children and Family Services

What is the Difference Between a Gift and a Grant?

What is not considered a sponsored project (i.e., is a gift)?– Gifts are contributions made to the

University for which the donor receives no direct benefit and requires nothing in exchange beyond a general assurance that the intent of the contribution will be honored.

– F&A is not charged on a gift

What is the Difference Between a Gift and a Grant?

Terminology/characteristics that may point to funding being a gift.– Provider – donor, benefactor– Donation, unrestricted grant, unrestricted gift.– No University performance outside of the

general area of work is required. – Few terms beyond specifying the general intent.– Reporting not required, but courtesy reporting

may be provided.– Intellectual or proprietary rights belong to the

University.

What is Research?

Research is an organized and systematic way of finding answers to questions.– Systematic because there is a definite set of

procedures and steps that will be followed.– Organized in that there is a structure or method in

going about doing research.– Finding answers is the end of all research, whether it

is the answer to a hypothesis or even a simple question.

– Questions are central to research. Research is focused on relevant, useful and important questions.

The acquisition and dissemination of knowledge. Any gathering of data, information and facts for the

advancement of knowledge.

Eddie

What is Research Administration?

Management of the research enterprise Goal is to enhance the success of faculty

and staff in obtaining external funding for research, training and service activities, negotiating awards and to assist in the management of awards.

OSPRA is responsible for the administration of the pre-award function on the UIUC campus.

What is Research Administration?

What does research administration include? Dissemination of funding opportunities Communication of policy and processes Proposal preparation, review and submission Award negotiation Award management Regulatory compliance Intellectual property protection and technology

transfer Post-Award accounting Effort commitment and certification F&A rate calculation and negotiation

What is a Proposal?

A proposal is a request for funding that is submitted to an external sponsor

A proposal may be submitted in response to a solicitation or may be an unsolicited submission

Some sponsors provide an application package for proposal preparation

The requirements for completing the proposal application are delivered via various methods (e.g., a Request for Applications (RFA), Broad Agency Announcement (BAA) or a Request for Proposals (RFP) to name a few)

What is a Principal Investigator?

The Principal Investigator (PI) is the primary individual, designated by the applicant institution, who is in charge or a research grant, cooperative agreement or contract

The PI usually writes the proposal application The PI oversees the scientific and technical aspects of the

project and the day-to-day management of the research. The PI has responsibility for the fiscal oversight of the

project In the context of Federal funding from agencies like NSF

and NIH, the PI is the person who takes direct responsibility for the completion of a funded project, directing the research and prepares reports for the funding agency.

Types of Funding Announcements

Most common types of funding announcements– Unsolicited

PA – Program Announcements (e.g., PA-10-167 is an NIH unsolicited funding announcement)

– Solicited RFA – Request for Applications (grants and

cooperative agreements) RFP – Request for Proposals (contracts) RFQ – Request for Quotation (contracts) RFB – Request for Bid (contracts) BAA – Broad Agency Agreement (grants,

cooperative agreements, contracts)

Sources of Authority

Federal Statutes Regulations Authorization and appropriation Governmental directives Sponsor’s terms and conditions State of Illinois and University statutes,

regulations, guidelines

Federal Statutes

Statutes are laws established by acts of legislature on the state or federal level

Typically, statutes command or prohibit something or declare policy

Often used to distinguish law made by legislative bodies from case law, decided by courts and regulations issued by government agencies

Authorization and Appropriation

Authorization – establishes a program that will later spend money, but funding is not necessarily provided. Appropriation follows authorization – Examples: Housing and Community Development

Act; No Child Left Behind Act; Workforce Investment Act; Higher Education Act

Appropriation - the provision of funds through an annual appropriations act or permanent law, for federal agencies to make payments out to the Treasury for specified purposes. – (example: HUD and Independent Agencies

Appropriations Act)

Governmental Directives

Presidential Executive Orders– Examples: EO 12549 re: Debarment and

Suspension, Affirmative Action– Generally orders to staff of executive branch

Treasury Dept Directives and Regulations– 31 CFR 104 Contracts with Educational Institutions– 31 CFR 900 Claims Collection

OMB Circulars – instructions or information issued by the OMB to Federal agencies– Uniform Administrative Requirements (A-110)– Cost Principles (A-21)– Audit (A-133)

Federal Regulations

Federal regulations are the actual enforceable laws authorized by major legislation enacted by Congress

The Code of Federal Regulations (CFR) is the codification and general and permanent rules and regulations (sometimes called administrative law). Administrative law exists because Congress grants broad authority to the Executive branch to interpret statutes in the United States Code

Federal regulations are enacted by the Executive branch

Federal Regulations

The Clean Air Act, the Food and Drug Act and the Civil Rights Act are all examples of legislation

Agencies like the FDA, EPA, OSHA and at least 50 others are called regulatory agencies because they are empowered to create and enforce rules (regulations)

Regulations are treated as being as legally binding as statutory law, which is written law set down by the Legislative branch

Sponsor’s Terms/Conditions

Terms and conditions that are established by a sponsor as a condition of award – varies among sponsors

NSF general grant terms and conditions appear in the Proposal and Award Policies and Procedures Guide

NIH grant terms and conditions appear in the NIH Grants Policy Statement

State of Illinois and University Statutes, Laws, Guidelines

May be more or less restrictive More restrictive than sponsor, government –

follow State/University guidance Less restrictive – follow sponsor, government

guidance

Types of Agreements

GRANT: An arrangement under which there is a transfer of funds, property, services or anything of value from the sponsor to the institution to assist the institution in reaching a particular institutional goal or public purpose

CONTRACT:

A mechanism for the procurement of a specific service or product with specific obligations for both the buyer and the seller.

Types of Agreements

GRANTSCOOPERATIVE AGREEMENT CONTRACT

PI defines the project – Scope of Work or Proposal is cited in award

Substantial involvement between parties

Sponsor or sponsor and PI jointly define scope of work

Sponsor retains the right to revoke the award and unused funds revert back to sponsor

Sponsor retains the right to terminate the contract

Specified in grant Specified in co-operative agreement

Specified in contract

Reports are normally on an annual basis

Reports may be required more often than annually

Reports may be required more often than annually

Types of Agreements

GRANTSCOOPERATIVE AGREEMENT CONTRACT

Institution owns the IP

May be involved IP provision in contract

Publications are not restricted

May ask to be informed

Publication may require the prior review/approval of the sponsor

“Best efforts” are used in completing the research

Contractor is generally required to produce a work product or deliverable (possibly only a report of findings)

Types of Agreements

GRANTSCOOPERATIVE AGREEMENT CONTRACT

Benefit is normally to the institution/PI by furthering their own purposes or programs

Varies Benefit is normally to the sponsor – anticipates economic benefit as a result of the activity

Research Administration at UIUC

Why are sponsored projects so important? To the University

– Increase University’s status and prestige– Attract new faculty and students– Train future scientists and teachers– Upgrade programs and build infrastructure– Enhance connections with other segments of

society– Provide service to country/state/county

Research Administration at UIUC

Why are sponsored projects so important? To the faculty

– Employment/promotion criteria– Endorsement of research ideas (credibility)– Employment for students– Money to conduct research

Research Administration at UIUC

How much Sponsored Programs Funding doesthe University of Illinois at Urbana-ChampaignReceive (source: OVCR website)?

Awards in 2008-09 - $451,503,276FY Proposal Amount Award Amount

FY05 $ 991,560,318 $ 369,153,224

FY06 $ 660,578,903 $ 375,461,650

FY07 $ 690,204,457 $ 392,900,739

FY08 $ 804,056,560 $ 486,606,333

FY09 $ 1,003,280,657 $ 451,503,276

FY10 $ 1,310,358,320 $ 668,696,494

Grants and contracts administrative sections and their functions/roles

Three grants and contracts units are involved with research administration on the UIUC campus. They are:– The Office of Sponsored Programs and Research

Administration (OSPRA) supports the pre-award function.

– The Office of Grants and Contracts supports the post-award accounting function.

– The Grants and Contracts Costing Office supports the Springfield and Urbana campuses in the calculation and negotiation of rates (facilities and administrative and fringe benefit) applicable to sponsored projects, assists units in the calculation of rates to charge for Facilities Use Agreements.

Grants and contracts administrative sections and their functions/roles

Office of Sponsored Programs and Research Administration (OSPRA) Pre-Award– OSPRA is a unit under the Office of the Vice

Chancellor for Research (OVCR).  OSPRA interacts with faculty, students, department business staff, University administration, and external sponsor program officers and award negotiators to provide service and support to the University’s missions of instruction, research, public service, and economic development. 

Grants and contracts administrative sections and their functions/roles

Grants and Contracts (Post-Award)– The Office of Grants & Contracts is a unit within

the Office of Business and Financial Services (OBFS). It supports University faculty and their departments in the administration and expenditure of sponsored project awards by developing and disseminating policies and procedures, managing the financial interactions with sponsors, and assuring compliance with university and sponsor policies, while minimizing the administrative burden on faculty and protecting the interests of the faculty and the University.

Grants and contracts administrative sections and their functions/roles

Grants and Contracts Costing– The Urbana Grants and Contracts Costing office

is a unit within OBFS that supports the Urbana and Springfield campuses in the calculation and negotiation of rates applicable to sponsored projects.

Grants and contracts administrative sections and their functions/roles

OSPRA is comprised of three sections, Proposal, Award, and Subaward

The Proposal Section is responsible for reviewing and approving the requests for external funding prepared and submitted by the campus community to Federal, State and Private sponsors. The proposal staff reviews proposals for budget accuracy, interprets regulation and proposal guidelines, provides training where necessary, and acts as a liaison with sponsor officials to respond to questions and requests for additional information to support award issuance.

Grants and contracts administrative sections and their functions/roles

The Award Section is responsible for negotiating terms and conditions of awards resulting from the submission of requests for funding and no-dollar agreements that may be associated with requests for funding. The awards staff responds to agreements provided by sponsors and also drafts agreements in the absence of sponsor-provided documents. The Awards staff interacts with the OVCR, University Counsel, the Office of Risk Management and the Office of Technology Management (OTM).

Grants and contracts administrative sections and their functions/roles

The Subaward Section is responsible for issuing agreements to lower tier sub-recipients under the prime awards the University receives from external sponsors. The subawards staff interprets the wide variety of terms and conditions to determine appropriate flow-down language from the prime agreement depending upon the type of sub-recipient, e.g., institution of higher education, not-for-profit or commercial concern. They also interact with Counsel and OTM to ensure appropriate exceptions to standard language and Intellectual Property terms have been addressed.

University policies related to the submission of research proposals

All proposals for sponsored projects, regardless of whether funds will be awarded to the University of Illinois or the University of Illinois Foundation, must follow certain proposal approval guidelines.

University policies related to the submission of research proposals

Personnel authorized to submit proposals– Subject to approval, faculty members or

administrators may submit proposals as Principal Investigators or Project Directors (PI/PD).

– Other personnel, including professor emeritus (with zero-time appointments) may do so with the permission of the unit head.

– New University employees whose appointments have not yet started may submit proposals through the University with the permission of the unit head.

University policies related to the submission of research proposals

Approvals required for all proposals– Campus department/unit – this approval confirms

that the project is aligned with the unit’s educational, research or service functions. It approves the proposed budget and confirms its commitment to making the resources described in the proposal available. This approval is evidenced through a signature on the proposal transmittal form.

– Schools and Colleges – may be required per school/college policy

– OSPRA and Campus Research Board – OSPRA reviews and approves on behalf of the Campus Research Board

University policies related to the submission of research proposals

Sponsor limitations on the number of submissions from an institution– Occasionally, sponsors will limit the number of

applications that may be submitted from an institution. This is normally spelled out in the proposal guidelines.

– The OVCR coordinates the review and selection process for limited submissions.

Proposal Development – Who Does What?PI/Dept Support Staff OSPRA

Identify Funding Identify FundingThrough the use of SPIN/SMARTS, IRIS, etc.

Assist in the interpretation and clarification of program guidelines, if needed

Proposal Preparation and Submission

Proposal Preparation and Submission

Prepare the technical proposal, including,

–Scope of work–Bio sketch–Current and pending support–Resource statement

Provide a preliminary review of the budget if final version is provided prior to internal deadlinesProvide assistance in completing administrative informationOffer guidance on appropriate F&A rates to apply

Who Does What?Proposal Preparation and Submission (cont’d)

Proposal Preparation and Submission (cont’d)

Identify subcontractorsDevelop budget and justificationIdentify and provide documentation in support of cost sharingIdentify space requirements and obtain guidance and approvals from appropriate University officials

Review terms and conditions if proposal submission is indicative of their acceptanceProvide guidance on cost sharingReview proposal for conformance with sponsor and University policies and to identify potential compliance issues (e.g., use of animals, human subjects, conflict of interest)

Who Does What?Proposal Preparation and Submission (cont’d)

Proposal Preparation and Submission (cont’d)

Engage in timely communication with OSPRA when there are extraordinary circumstances (e.g., if the sponsor requires an agreement with terms and conditions at time of submission)Prepare proposal transmittal formAssemble proposalProvide proposal to OSPRA for review and approval in accordance with established processes

Review budget(s) – sponsor and cost sharing – to ensure that they calculate correctly, appropriate F&A and fringe benefit rates have been applied, and that costs are allowableReview proposal for cost sharing commitmentsProvide institutional approvalSubmit proposal

Who Does What?

Post Submission Post Submission

Prepare and submit human subject and animal use protocols, if applicablePrepare response to sponsor request for Just in Time (JIT) information

Review, provide institutional approval and usually submission of response to sponsor for JIT requests

Award Award

Review and accept agreement

Forward agreement to PI for approval

Who Does What?

Award (cont’d) Award (cont’d)

Review terms and conditions of award to ensure they are appropriate for an institution of higher educationNegotiate terms, if necessaryAccept the award on behalf of the UniversityDraft subaward documents

Early last year, OSPRA implemented a new proposal process. This process identifies a specific proposal coordinator who will be assigned to your department as well as a backup to accommodate vacations and times of high proposal volume. The objective is for you to have a point of contact who will become knowledgeable about your unit’s activity. Visit http://www.ospra.uiuc.edu/ to find out which proposal coordinator is assigned to your unit.

Questions?