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Orientation to Research Faculty Faculty Orientation to Research September 18, 2012 UW Tower Auditorium University of Washington.

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Presentation on theme: "Orientation to Research Faculty Faculty Orientation to Research September 18, 2012 UW Tower Auditorium University of Washington."— Presentation transcript:

1 Orientation to Research Faculty Faculty Orientation to Research September 18, 2012 UW Tower Auditorium University of Washington

2 Orientation to Research Faculty WELCOME Mary Lidstrom, PhD Vice Provost for Research Jungers Professor of Chemical Engineering Professor of Microbiology

3 Orientation to Research Faculty UW FACULTY & POST DOCS 3 rd annual faculty orientation 722 new faculty & post docs in – Transfers from other institutions – First faculty position – Training for a career in science & scholarly activities

4 Orientation to Research Faculty 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.

5 Orientation to Research Faculty 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

6 Orientation to Research Faculty UW OF THE 21 st 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 societys biggest problems

7 Orientation to Research Faculty WHAT WILL THE FUTURE LOOK LIKE? More competitive, collaborative, technology- reliant, nimble, and diversified.

8 Orientation to Research Faculty 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

9 Orientation to Research Faculty 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 reputation KEY TO OUR COMPETITIVENESS

10 Orientation to Research Faculty 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.

11 Orientation to Research Faculty 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)

12 Orientation to Research Faculty TODAYS SPEAKERS Office of Sponsored Programs – Carol Rhodes Grant & Contract Accounting - Tami Sadusky Office of Research Information Services – Jim Kresl

13 Orientation to Research Faculty 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! – will be sent to you after the event

14 Orientation to Research Faculty OFFICE OF SPONSORED PROGRAMS (OSP) Carol Rhodes, Interim Director

15 Orientation to Research Faculty 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.

16 Orientation to Research Faculty 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 staff

17 Orientation to Research Faculty 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

18 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 GIM 19

19 Orientation to Research Faculty 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 OSP OSP will work with PI & Dept to ensure the best application can be submitted to the sponsor 4. Submit application per sponsor instructions oApplication is submitted by OSP/PI oVia electronic, paper, web formats

20 Orientation to Research Faculty 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

21 Orientation to Research Faculty 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

22 Orientation to Research Faculty SPONSORED PROGRAM POLICY GIMs (Grant Information Memoranda) Provide policy and guidance on submitting and managing awards Linked from the OSP Home pageOSP Home page Currently Under Construction

23 Orientation to Research Faculty 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

24 Orientation to Research Faculty Facilities and Administrative (F&A) Rates LocationNegotiated Rates (FY ) On-campus54.5% -- FY Off-campus26% South Lake Union 73% -- FY % -- FY 2014 Regional Primate Center 42% (Core) 78% (Other) 83% (Non-Federal) Applied Physics Lab17% Other Sponsored Activity 33.8% (on-campus) 26% (off-campus) Vessel25% (S&W) Instruction 53.0% (on-campus) 26% (off-campus)

25 Orientation to Research Faculty Grants Information Memoranda (GIM) Grants Information Memoranda OSP Web Page Researchers Guide Monthly Research Administration Meetings (MRAM) oSubscribe to List Serve - get meeting announcements & updates oMRAM Web siteMRAM Web site oMonthly in-person updates to campus OSP RESOURCES

26 Orientation to Research Faculty

27 Orientation to Research Faculty GRANT AND CONTRACT ACCOUNTING Post Award Administration Tami Sadusky, Executive Director, Grant and Contract Accounting/Equipment Inventory Office, Finance and Facilities

28 Orientation to Research Faculty 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 (EIO) Management Accounting & Analysis (MAA)

29 Orientation to Research Faculty GCA RESPONSIBILITIES How do we support you? Set up grant and contract budgets in the Universitys 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

30 Orientation to Research Faculty 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

31 Orientation to Research Faculty 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 Reporting Audits External to Grant and Contract Accounting

32 Orientation to Research Faculty SPONSORED PROJECT LIFECYCLE Steps Responsible Party Identify funding PI Prepare proposal PI & Department Staff Review and submit proposal PI & Office of Sponsored Program (OSP) Negotiate and accept award OSP Set up budget Grant & Contract Accounting (GCA) Perform work PI Financial management PI, Department Staff, GCA Technical reporting PI Monitor activity PI & Department Staff Invoice and collect payments GCA Monitor accounts receivable GCA & Department Staff Close-out award PI, Department Staff, GCA & OSP

33 Orientation to Research Faculty 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

34 Orientation to Research Faculty 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

35 Orientation to Research Faculty 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

36 Orientation to Research Faculty How to Apply the Policies Award Terms Program Announcement Sponsor Specific Terms & Conditions Federal Policies OMB Circulars A-21, A-110 and A-133 University and State Financial Policies Public Laws

37 Orientation to Research Faculty 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

38 Orientation to Research Faculty 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

39 Orientation to Research Faculty GCA RESOURCES GCA Web Page GCA /phone: Grant Tracker Researchers Guide Monthly Research Administration Meetings (MRAM) Grants Information Memoranda (GIMs)

40 Orientation to Research Faculty Office of Research Information Services (ORIS) Jim Kresl Assistant Vice Provost for Research Director of ORIS

41 Orientation to Research Faculty 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.

42 Orientation to Research Faculty ORIS MISSION Coordinate, develop, and support electronic research administration for faculty and staff.

43 Orientation to Research Faculty ORIS GOALS Improve services to Principal Investigators and staff by: – Enhancing your ability to obtain funding – Reducing your administrative workload – Streamlining the proposal process

44 Orientation to Research Faculty ORIS ALIGNMENT

45 Orientation to Research Faculty What does ORIS currently provide to faculty and staff?

46 Orientation to Research Faculty

47 Orientation to Research Faculty SAGE S ystem to A dminister G rants E lectronically 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

48 Orientation to Research Faculty

49 Orientation to Research Faculty Resources Available: Training User Guide Resources Available: Training User Guide

50 Orientation to Research Faculty FIDS F inancial I nterest D isclosure S ystem 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

51 Orientation to Research Faculty Resources Available: Training User Guide FAQs Resources Available: Training User Guide FAQs

52 Orientation to Research Faculty 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

53 Orientation to Research Faculty Resources Available: Resources Available: Proposal and Award Reports

54 Orientation to Research Faculty Compliance Initiatives Goal: 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

55 Orientation to Research Faculty How will ORIS determine what to provide in the future ?

56 Orientation to Research Faculty Research Roadmap


58 Orientation to Research Faculty CONTACTS & QUESTIONS Telephone: Questions?

59 Orientation to Research Faculty RESEARCH CAREER DEVELOPMENT SERIES Carol Rhodes, Interim Director, OSP

60 Orientation to Research Faculty 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

61 Orientation to Research Faculty October-December Successful Grantsmanship and Proposal Development 2.Preparing Complex Projects & Interdisciplinary Proposals 3.Human Subjects Protections

62 Orientation to Research Faculty January-June ITHS – what we can do for you! 5.Animal Care and Use 6.Maintaining Safety in your Research Lab 7.Choosing Collaborators & Subcontract Monitoring 8.Building Effective International Collaborations 9.My Award has Arrived, Now What Do I Do?

63 Orientation to Research Faculty 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.

64 Orientation to Research Faculty Speakers Managers and Directors Faculty Members Subject Matter Experts

65 Orientation to Research Faculty 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 (voice)

66 Orientation to Research Faculty Thank You Question & Answer Session Dont forget to complete an evaluation!

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