Faculty Orientation to Research

Orientation to ResearchFaculty

September 18, 2012UW Tower Auditorium

University of Washington

WELCOME

Mary Lidstrom, PhDVice Provost for Research

Jungers Professor of Chemical EngineeringProfessor of Microbiology

UW FACULTY & POST DOCS

• 3rd annual faculty orientation

• 722 new faculty & post docs in 2010-2012– Transfers from other institutions– First faculty position– Training for a career in science &

scholarly activities

WORLD LEADERS IN RESEARCH

At the UW, innovation and discovery have come naturally to us for the past 150 years. We are part of a remarkably progressive, open-minded culture that will continue to shape the way the rest of the

world thinks and works.

WE ARE:

• World leaders in research

• One of the most successful public research universities in the nation in attracting support for our research

• Innovative & collaborative

• Impacting our community, nation and the world

UW OF THE 21st CENTURY

• 2Y2D – Two Years to Two Decades Initiative• Our shared future depends on choices we

make today. • If we manage change rather than letting

change manage us, the UW will emerge from the current economic crisis strong and well-positioned for the future.

• Driven by our strategic priorities: quality, mission, solving society’s biggest problems

WHAT WILL THE FUTURE LOOK LIKE?

More competitive, collaborative, technology-reliant, nimble, and diversified.

HOW DO WE GET THERE?• Sustainable Academic Business

Plan– Align our activities with our

strategic priorities– Position the UW for the future

• Long-term goals– Sustain, Compete, Transform

• Near-term goals– Increase competitiveness– Foster innovation– Enable collaboration and leverage

ROLE OF RESEARCH• UW highly competitive for external

research funds: $1.47B last year• Supports both graduate and

undergraduate students in experiential learning

• Major economic driver for the state• Enables high-level discovery that

contributes to our knowledge base and our reputationKEY TO OUR COMPETITIVENESS

WE ARE HERE TO HELP

• Offices presenting today are part of the central oversight and support for your research enterprise.

• We will work with you to ensure your projects meet sponsor requirements, state & federal law, and UW policy.

CENTRAL RESEARCH SUPPORT

• Preparing and submitting proposals– Office of Sponsored Programs (OSP)– Approval support offices

• Human Subjects Division (HSD)• Office of Animal Welfare (OAW)• Environmental Health & Safety (EH&S)• Clinical Research Budgeting and Billing (CRBB)• Office of Research–Financial Conflict of Interest (FCOI)

• Obtaining and managing awards– Office of Sponsored Programs (OSP)– Grant and Contract Accounting (GCA)

• Commercialization– Center for Commercialization (C4C)

TODAY’S SPEAKERS

• Office of Sponsored Programs – Carol Rhodes• Grant & Contract Accounting - Tami Sadusky• Office of Research Information Services – Jim

RESOURCES AVAILABLE

• Resource tables are located in the back of the auditorium & lobby area. Please collect materials you feel can assist you in creating successful research projects.

• This PowerPoint deck and video webcast will be posted on the OSP website next week.

• Online Evaluation: please tell us how we did!– Email will be sent to you after the event

OFFICE OF SPONSORED PROGRAMS (OSP)

Carol Rhodes, Interim Director

OSP MISSION

The Office of Sponsored Programs, a unit in the Office of Research, supports and advises the entire academic community in reviewing and submitting proposals for externally funded sponsored projects and collaborations.

We review, negotiate, approve, and

provide administrative oversight related to proposals and establishment of awards on behalf of the University of Washington in accordance with all applicable policies, and regulations.

OSP RESPONSIBILITIES

How Do We Support You?• Review and approve proposals• Submit electronic proposals• Negotiate and sign awards and subcontracts• Liaison with sponsor for award life• Coordinate close-out of awards• Implement Grant & Contract policies (financial,

legal, and regulatory)• Provide customer support to UW faculty and

OSP STRUCTURE

Each unit on campus assigned to Team A, Team B or Team C (also reviews all clinical trials).

Subcontracts Team manages all outgoing subcontracts and required reporting

Team Structure: – Administrator– Grant & Contract Coordinator– Program Coordinator

Business Sections• Face Page• List of Personnel• Biosketches• Budget• Budget Justification• Checklist• Required Additional Information

Scope of Work• Description of the Research• (The Science)

Final Version by Day – 7

Draft Version by Day – 7

Final Version by Day - 3

PROPOSAL BUSINESS PROCESS

1. Identify sponsor & complete application. Hints: read & follow instructions, contact your OSP admin if you have questions

2. Fill in SAGE eGC1, attach application & route for

internal approvals

3. Review & approve by OSPOSP will work with PI & Dept to ensure the best

application can be submitted to the sponsor

4. Submit application per sponsor instructions

o Application is submitted by OSP/PIo Via electronic, paper, web formats

AWARD BUSINESS PROCESS

• Sponsor may notify PI or OSP that application is fundable, or PI/OSP may need to search award data bases.

• Award documents arrive

• OSP negotiates & accepts award (exceptions)

• OSP creates eFA and sends to GCA

• Advanced Budgets (if allowed by sponsor)

• Modification to an award (PI, dates, re-budgeting, etc.) must be processed by OSP and may require sponsor approval

• No-Cost Extensions• Sub-Awards are made by OSP to outside

organizations

ADMINISTRATIVE BUSINESS PROCESS

SPONSORED PROGRAMPOLICY

GIMs (Grant Information Memoranda)• Provide policy and guidance on submitting and

managing awards

• Linked from the OSP Home page

• Currently “Under Construction”

• Contact your OSP Team early in the process with questions.

• What does the PI sign?Nothing that will create liability or

commitment

• What does OSP sign?Anything that commits the institution

OSP HINTS

Facilities and Administrative (F&A) Rates

Location Negotiated Rates (FY 2010-2014)

On-campus 54.5% -- FY 2013-2014

Off-campus 26%

South Lake Union 73% -- FY 201374% -- FY 2014

Regional Primate Center42% (Core)78% (Other)

83% (Non-Federal)

Applied Physics Lab 17%

Other Sponsored Activity 33.8% (on-campus)26% (off-campus)

Vessel 25% (S&W)

Instruction 53.0% (on-campus)26% (off-campus)

• Grants Information Memoranda (GIM)

• OSP Web Page

• Researcher’s Guide

• Monthly Research Administration Meetings (MRAM)o Subscribe to List Serve - get meeting announcements &

email updateso MRAM Web siteo Monthly in-person updates to campus

OSP RESOURCES

GRANT AND CONTRACT ACCOUNTING

Post Award Administration

Tami Sadusky, Executive Director, Grant and Contract Accounting/Equipment Inventory Office, Finance and Facilities

Finance & Facilities

RESEARCH ACCOUNTING & ANALYSIS (RAA)

RAA Mission: We help people who change the world

Research Accounting & Analysis (RAA)

Grant & Contract Accounting (GCA)

Equipment Inventory Office

Management Accounting &

Analysis (MAA)

GCA RESPONSIBILITIESHow do we support you?

• Set up grant and contract budgets in the University’s Financial Accounting System (FAS)

• Prepare and submit required invoices and financial reports to sponsoring agencies

• Manage incoming payments from grant and contract sponsors • Provide guidance in areas of financial compliance• Coordinate financial close-out of budgets• Work with Internal Audit on all grant related audits• Provide support to UW faculty and staff

GCA Structure

• Fiscal Analysts handle core processes:– Budget set up – Invoicing– Reporting – Closing

• Cash Team handles grant and contract related cash receipts and refunds

• Grant Analysts handle all campus communication including outreach and training

POST AWARD PROCESS-GCA

Academic Dept/Office of Sponsored Programs

Proposal & Award Process

Assignment of Budget Numbers

Receipt and processing of eFA (Electronic Funding Action)

Active Grant Period

Expenditure Allowability Payment requests to sponsors

Interim Fiscal Reporting

Closing

Fiscal ReportingAudits

External to Grant and Contract Accounting

SPONSORED PROJECT LIFECYCLESteps Responsible PartyIdentify funding PIPrepare proposal PI & Department StaffReview and submit proposal PI & Office of Sponsored

Program (OSP)Negotiate and accept award OSPSet up budget Grant & Contract Accounting

(GCA)Perform work PI Financial management PI, Department Staff, GCATechnical reporting PI Monitor activity PI & Department StaffInvoice and collect payments GCA Monitor accounts receivable GCA & Department StaffClose-out award PI, Department Staff, GCA

THE BUDGET• Provides the framework for financial

compliance• The budget plan is the financial expression of the

project or program as approved during the award process

• Budget = estimated cost to conduct the project, the ‘proposal budget’

• Budget = an account number established in the financial accounting system to accumulate expenses and revenue associated with a funded project

DIRECT COSTS

Costs that can be specifically identified to the work performed under a sponsored project and which may be directly charged to those agreements.

- Salaries, Wages, and Fringe Benefits

- Supplies and Materials- Equipment

FACILITIES & ADMINISTRATION COSTS

Cost that cannot be specifically identified to a sponsored project are normally considered administrative costs,infrastructure costs or costs that benefit multiple

projects

– Administrative and Clerical salaries– Basic local phone service– Office supplies– Routine copying charges

How to Apply the Policies

Award Terms

Program Announcement

Sponsor Specific Terms & Conditions

Federal Policies OMB Circulars A-21, A-110 and

University and State Financial Policies

Public Laws

PI / DEPARTMENT RESPONSIBILITIES

• Assistance in fiscal reporting, invoicing and closing

• Fiscal compliance, effective internal controls and separation of duties

• Deficit resolution• Records retention• Faculty Effort Certifications (FEC)• Address problems related to fiscal

activities promptly

Recommendations

• Know what is in your award document and read it

• Take a proactive approach to grant management

• Adhere to University, State, Federal and Sponsor policies and regulations

• Establish proper financial accountability structure

• Ensure proper financial management with attention to data integrity

GCA RESOURCES• GCA Web Page http://f2.washington.edu/fm/gca/

• GCA email/phone:gcahelp@u.washington.edu 206-616-9995

• Grant Trackerhttp://www.washington.edu/research/gca/budget/granttracker.html

• Researcher’s Guide http://www.washington.edu/research/guide/index.php

• Monthly Research Administration Meetings (MRAM)http://f2.washington.edu/fm/gca/mram

• Grants Information Memoranda (GIMs)http://www.washington.edu/research/?page=osppolicy

Office of Research Information Services

(ORIS)

Jim KreslAssistant Vice Provost for ResearchDirector of ORIS

ORIS VISION

Create an integrated information management system that will enhance the ability of faculty, administrators, and staff at UW to procure and administer research grants and contracts.

ORIS MISSION

Coordinate, develop, and support electronic research administration for faculty and staff.

ORIS GOALS

Improve services to Principal Investigators and staff by:

– Enhancing your ability to obtain funding– Reducing your administrative workload – Streamlining the proposal process

ORIS ALIGNMENT

What does ORIS currently provide to faculty and staff?

www.research.uw.edu

SAGE System to Administer Grants Electronically

Use SAGE to: • Prepare, submit, and track your grant proposals• Route your proposal for online review and

approval • Build your budget using a tool integrated with

payroll systems and customized to comply with UW research and accounting rules

• Request advance budgets on approved projects

www.sage.uw.edu

Resources Available:Training

User Guidesagehelp@uw.edu

FIDS Financial Interest Disclosure System

FIDS makes the significant financial interest (SFI) disclosure process electronic and seamlessly integrates with SAGE to allow PIs and administrators to easily track compliance.

Use FIDS to:

• Submit significant financial interest (SFI) and travel disclosures

• Track the review status of SFI disclosures

Resources Available:Training

User GuideFAQs

fidshelp@uw.edu

Enterprise Data & Reporting

Goal: Provide you with access to business intelligence for strategic planning and assessment.

Current State: • Integrating research data into the Enterprise

Data Warehouse (EDW) • Working to promote data management and

governance

Resources Available:grantrpt@uw.edu

Proposal and Award Reports

Compliance InitiativesGoal: Implement system solutions to support your work on compliance related activities.

Current State:• Actively engaging w/ all compliance and

administrative offices (EH&S, OAW, HSD, OSP, and GCA) to assess needs and identify where we can automate and integrate processes

How will ORIS determine what to provide in the future?

Research Roadmap

Research RoadmapExecutive Sponsorship

Office of ResearchUW Information Technology

Research Accounting & AnalysisHealth Sciences Administration

Office of Planning and Budgeting

Research Roadmap Advisory Group MembershipFaculty Stakeholders

Faculty Stakeholder Group

§ Builds campus advocacy for RRMap projects

§ Provides input and feedback on RRMap project requirements

Public Health

EISSOM HSDEAS, UWIT

OAW OSPOPS MAA ORGCA

Formed as NeededActive: FCOI and Training

Working Groups

ORIS PM Partnership with RRMap Advisory Group MembersBusiness Unit: Domain Interoperability focus

Administration & Central: Business unit liaisonRRMap PMs

CONTACTS & QUESTIONS

• Email: oris@uw.edu

• Telephone: 685-8335

• Questions?

RESEARCH CAREER DEVELOPMENT SERIES

Carol Rhodes, Interim Director, OSP

Overview

• Developed for faculty and post docs• Provide ongoing learning opportunities

throughout the year• Comprehensive, practical information• Opt-In to those sessions that interest you• Format based on faculty feedback• 9 sessions

October-December 2013

1. Successful Grantsmanship and Proposal Development

2. Preparing Complex Projects & Interdisciplinary Proposals

3. Human Subjects Protections

January-June 2013

4. ITHS – what we can do for you!5. Animal Care and Use6. Maintaining Safety in your Research Lab7. Choosing Collaborators & Subcontract

Monitoring8. Building Effective International Collaborations9. My Award has Arrived, Now What Do I Do?

Attendance Options

• In Person – we strongly encourage you to register

• Live Webcast – from your office, home or laptop – watch the speaker virtually and send in questions online

• Archived Webcast – watch a recording of past sessions on the web. Sessions will be posted the week following the session.

Speakers

• Managers and Directors• Faculty Members• Subject Matter Experts

Website

• For a list of Faculty Research Career Development Series sessions, instructors and dates, see the program flyer and webpage

• Contact for Questions:– Gretchen Davis-Richey

• gsd@uw.edu• 206-616-7289 (voice)

Thank You

• Question & Answer Session

• Don’t forget to complete an evaluation!

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