Introduction to Research Administration

1. Introduction to Research Administration Offices of Sponsored Projects and Research Development

2. Research Administration

3. The Office of Sponsored Projects Rachell Reilly – Director Amanda Miller – Specialist Dina Caplinger – Specialist Jonathan Spencer – Specialist Emily Richards – Specialist Rebecca Everett – Administrative Services Officer

4. OSP Mission • To coordinate the preparation, submission and management of externally funded research projects, educate researchers about funding opportunities and sponsor policies, and negotiate terms for research contracts.

5. OSP Responsibilities • Assist researchers in finding funding opportunities. • Assist researchers in interpreting sponsor policies and procedures. • Provide technical assistance to researchers drafting proposals, review proposals, and submit applications. • Negotiate terms for grant awards and research contracts. • Assist with post-award communication with sponsors.

6. Potential source of research funding identified Funding restrictions/ deliverables required? Pre-award Process Flow Contact the Development Office No Yes Contact OSP and forward submission information (BAA, RFP, etc.) OSP assists PI with budget/proposal development Subcontractor? Subs must submit a statement of work, budget with justification and Letter of Commitment to OSP prior to proposal submission Yes No PI prepares the Cert and Export Control forms and routes them to the Dean’s office with a copy of their proposal PI forwards proposal to OSP . OSP reviews proposal against Sponsor guidelines and UTD policy When all institutional approvals are obtained and the PI is ready to submit, OSP will submit the application Dean’s office forwards signed Cert form to OSP once approved.

7. Grant Submission Process • OSP is notified of PI’s intent to submit a proposal (at least 2 weeks prior to submission). • PI supplies OSP with link to program or solicitation and needed internal paperwork. • OSP assigns an OSP ID to the proposal. • All submission materials are forwarded to OSP a minimum of 4 working days prior to submission date. • OSP reviews proposal and checks against the solicitation. • Proposal is submitted to agency.

8. OSP Submission Policy • ALL submission materials and paperwork must be submitted to OSP at least 4 business days prior to the submission deadline. • Incomplete submissions and/or submissions received after this deadline will be processed only after all complete and timely applications have been processed. • All submission materials received after the 4 day window will require the approval of the Vice President for Research or the Associate Vice President for Research before OSP will submit the application. An explanation of the extenuating circumstances that resulted in the late proposal must accompany the request for such approval.

9. Cost-Share

10. Cost Share • Project costs supported by funding sources other than the primary sponsor. • Types of cost-share: • Mandatory Committed • Voluntary Committed • Voluntary Uncommitted

11. Cost-Share (cont.) • Mandatory Cost-Share • Required by the sponsor as a condition of award. • Will be included in the program solicitation. • Voluntary Committed Cost-Share • Not required by the sponsor, but included in the proposal. • Voluntary Uncommitted Cost-share • Not required by the sponsor and not included in the proposal submission.

12. Cost-Share (cont.) • Mandatory CS and Voluntary Committed CS needs be tracked. • Approval must be obtained by your Dean prior to proposal submission.

13. Institutional Approvals • Obtained through internal forms and required of all grant proposals prior to submission: • Cert Form • PI, Co-PIs, Department Head, Dean • IDC Waiver Form • PI, Co-PIs, and Dean • Compliance Approvals • IRB, IACUC, Environmental Health and Safety

14. Internal Forms for Grants • Required for all grant submissions • Cert Form • Export Control Form • IDC Waiver Form • For projects which do not incur allowable IDC from Sponsor.

15. Certification Form

16. Submission • Once submission materials are received, OSP will provide a thorough review bringing any issues to the PI’s attention. • Once OSP approves proposal, Specialist will contact PI to obtain final submission confirmation. • Proposal Submitted!

17. Contracts Administration Process • PI notifies their OSP Specialist and submits the appropriate internal forms to OSP. • Departmental approval obtained through the Dean. • OSP negotiates contract terms as appropriate. • PI approval is obtained on final document.

18. Internal Forms for Contracts • Dependent on Type of Contract • Export Control Form (PI) • All contracts • Dean’s Approval Memo (OSP) • Contracts requiring PI effort • Contract Intake Form (PI) • SRA, Service Agreement, Sub-out, Lab-use, etc. • CDA Request Form (PI) • Confidentiality (AKA: Non-Disclosure) Agreements

19. Types of ContractsTo name a few • Subaward Out • Sponsored Research Agreement (SRA) • Material Transfer Agreement (MTA) • Services Agreement • Interagency Contract (IAC) • Interagency Cooperation Contract (ICC) • Non-Disclosure Agreement (NDA) • Confidential Disclosure Agreement (CDA) • Industrial Practicum Agreement (IPA) • Industrial Research Assistant (IRA) • Collaboration Agreement • Memorandum of Understanding (MOU)

20. Contract Negotiation • OSP negotiates terms and conditions of the contract • OSP obtains signature from official signatory • Rachell Reilly • Rafael Martin • Bruce Gnade

21. Award Process • Once a contract has been fully executed or a grant award released from the sponsor, OSP will: • Provide award documentation (or a copy of the executed agreement) to the Office of Post-award Management for post-award processing. • Once a cost center has been established by OPM, OSP will forward award documentation to the PI, the Dept AA, and the Dean’s office. • VPR will forward a New Award Memo to the PI, Dean, and President.

22. Award Process Cont. • Some grants contain outgoing subawards • Department must process a PO through Procurement in order for UTD to pay subawardee’s invoices. • Procurement x2252

23. Useful Information Contacting OSP • OSP Main Office – x2313 osp@utdallas.edu • Rebecca Everett – x4313rebecca.everett@utdallas.edu • Rachell Reilly – x2040 rachell.reilly@utdallas.edu • Amanda Miller – x4575 amanda.miller@utdallas.edu • Dina Caplinger – x2312 dina.caplinger@utdallas.edu • Jonathan Spencer – x2041 jonathan.spencer@utdallas.edu • Emily Richards – x4572 emily.richards@utdallas.edu

24. Useful Information Websites • OSP- (current PI lists) http://www.utdallas.edu/research/osp/index.html • Researchers Guide- http://www.utdallas.edu/research/guide/index.php • Forms – http://www.utdallas.edu/research/osp/forms.html

25. Commonly Used Abbreviations/Acronyms • Cert – Internal Certification Form • COI – Conflict of Interest • F&A – Facilities and Administration costs (same as IDC) • IDC – Indirect Costs • LOC – Letter of Commitment • M&O – Materials and Operational expenses • NCE – No-cost Extension • NOA – Notice of Award • OPM – Office of Post-Award Management • ORI – Office of Research Integrity • OSP – Office of Sponsored Projects • OTC – Office of Technology Commercialization • PI – Principal Investigator • PS - PeopleSoft • RFP – Request for Proposals • SOW – Statement of Work • Sub – Subcontract (or Subaward) • VPR – Vice President for Research

26. Common Federal Sponsoring Agencies • AFOSR – Air Force Office of Scientific Research • DARPA – Defense Applied Research Projects Agency • DHHS – Department of Health & Human Services • DHS – Department of Homeland Security • DOD – Department of Defense • DOE – Department of Energy • DoEd – Department of Education • DOJ – Department of Justice • NASA – National Aeronautics and Space Administration • NEA – National Endowment for the Arts • NEH – National Endowment for the Humanities • NIH – National Institutes of Health • NSF – National Science Foundation • ONR – Office of Naval Research • USDA – US Department of Agriculture • VA – Department of Veterans Affairs

27. Common Texas Sponsoring Agencies • CPRIT – Cancer Protection and Research Institute of Texas • ETF – Texas Emerging Technology Fund • NHARP – Norman Hackerman Advanced Research Program • TDPS – Texas Department of Public Safety • TEA – Texas Education Agency • THECB – Texas Higher Education Coordinating Board • THHS – Texas Health and Human Services • TIF – Texas Ignition Fund • TWC – Texas Workforce Commission • Welch – The Robert A. Welch Foundation

28. Useful Definitions • Agency – A department, entity, office, etc. soliciting research projects. • Budget - A detailed account of funds needed for a research project. Expenses are split into budget categories: Salary, Fringe, M&O, Travel, Equipment, IDC. • Budget Justification – Written statement outlining and justifying each expense included in the proposal’s budget. Level of detail determined by the Sponsor. • Catalog of Federal Domestic Assistance (CFDA) – a directory of Federal programs that offer financial and nonfinancial assistance. Each federal grant application and award will have a CFDA associated with it and will likely be listed in the program solicitation. • Flow-through – Federal funds awarded to a Prime Recipient which are then passed on from that Prime Recipient to another institution via a subaward. • IACUC – Institutional Animal Care and Use Committee. Approval required for the use of animals. • Indirect Costs – Costs associated with day to day operations of the University. (Admin. personnel, utilities, general office equip, etc.)

29. Useful Definitions (cont.) • Indirect Cost Rate Agreement – Federally negotiated agreement which determines the University’s indirect cost needs relating to research activities. • IRB– Institutional Review Board. Review required for human subjects research. • Letter of Commitment – A letter submitted to a Sponsor which commits the Institution to participating in a research project. Must be signed by an official signatory. Typically used in subaward applications. • Pre-award– Authorization for spending prior to the official start date of a grant. The request for a pre-award cost center is forwarded to OSP by the PI for a period of no more than 90 days, along with clear documentation from the sponsor of the funding status for the project. • Principal Investigator – Faculty member directing the research grant/contract. • Proposal – A document submitted to a Sponsor which outlines and defines a research project and justifies the need for Sponsor funding.

30. Useful Definitions (cont.) • Prime Award – The award issued directly from the Sponsor in response to a proposal submitted to a program solicitation. If another institution is needed to perform a portion of the awarded project, a subaward agreement is then issued from the prime recipient of the grant/contract. • Prime Recipient – The institution which receives an award directly from a Sponsor. • Solicitation – A published request from a sponsoring agency for research proposals which outlines the required elements of a proposal and terms and conditions of an award. Can also be referred to as a BAA, PA, RFP, etc. • Sponsor– An agency providing funding for a specific grant or contract. • Statement of Work – Written statement included in a grant proposal/contract from the PI which details the work being proposed. • Subaward– a contract issued to an institution or agency to conduct a portion of the research project proposed to the funding agency. • Subrecipient– The recipient of the subaward contract. Will be performing a portion of the prime award project. Also known as Subawardee or Subcontractor.