Presentation on theme: "Functions and Workflow of the Office of Grant & Contract Administration Presentation to the Research Council 11/3/06."— Presentation transcript:
1 Functions and Workflow of the Office of Grant & Contract Administration Presentation to the Research Council 11/3/06
2 Mission of OGCAOGCA is dedicated to faculty service in the identification of funding sources, proposal development and submission, and the administration of awards through project closeout. OGCA maintains an open-door philosophy. Since OGCA is both a service-oriented office and a clearinghouse for assuring adherence to University- and sponsor-imposed standards and policies, staff must carefully balance these roles.
4 Pre-award Staff Job Responsibilities Pre award staff are responsible for keeping apprised of sponsor policies, procedures and changes affecting proposal development and submissionLearning and providing assistance to faculty in all of the various electronic submission systems and their unique requirementsProposal development assistance to the PIsProposal reviewCoordination of proposal to review committees for compliance issues (IRB, IACUC, biohazards, rDNA, etc.)Subcontractor documentationCoordination of submission processRevised budget and budget impact statement reviewJust In Time (JIT) request coordination with sponsoring agenciesPre-award desk audit request coordination with sponsoring agenciesParticipation in training eventsParticipation in web tool developmentMembership and occasional travel to professional society meetings (Society of Research Administrators (SRA) or National Council of Research Administrators (NCURA)
5 Proposal Flow Chart PI works with OGCA for identification of funding sources and otherproposal developmentquestionsPI completes proposaland routes the proposaland IPF through therequired signatureprocessProposal logged in atOGCA reception desk,checked for completeness,initial data entryinto database.Provide PI withreceipt & OGCA #Proposal Clerkfor file preparation,data entry of staffassignment, proposallocation and recordingof due dateReprographics Clerkxerox, packaging andmailing hard copysubmission. InternalDistribution Copies.Data entry forProposal submission logDirector for finalapproval & signatureand/orelectronic submissionto sponsoring agencyProposal Clerk forcorrections,cover letter generation,mailing label orpreparation for electronicsubmissionPre-award ResearchAdmin. for guidelinereview/interpretation,proposal review,corrections, andsetting up for submissionand signature processProposal Clerk for Dataverification/changesfollow upCorrespondence andIPF signaturesFiling cabinet toawait sponsor reply
6 Governing Rules for Proposal Process Trustee Policy T (Appendix )University Policies i.e. personnel, conflict of interest, travel, cost accounting for administrative costs and cost sharing, equipment fabrication, PI/Co-PI Policy, etc.OMB A-21Specific sponsor guidelines, RFP Terms
7 What does OGCA Review?Review of proposal guidelines to insure proposal compliance. Determine if the RFP or proposal guidelines contain terms and conditions that must be addressed at proposal stage. Evaluate whether the proposal is hard copy submission, electronic submission or both. Determine if there are any special budget restrictions or cost share requirements.Technical review for commitments on behalf of other individuals/institutions and whether we have appropriate documentation, compliance issues (i.e. animal care, human subjects, bio-hazardous materials, recombinant DNA), commitments beyond the end of the proposal period, cost share not identified in the budget, conflict of interest situations or nepotism issues, space/facilities concernsBudget Review: Are costs reasonable, allowable (per UMass policy, OMB A-21 and the sponsors specific guidelines) and allocable to the project? Have appropriate salary and fringe benefit rates been applied, is the % of effort reasonable, have reasonable COLA’s been factored in, is the appropriate indirect cost rate used, does the budget add up, is there a proper budget justification in place, is there cost share and is it required, appropriate, within the same period of the proposal performance period, and allowable? Is there a subcontract and do we have the subcontractor’s, statement of work, budget, institutional sign off and all certifications as required by the sponsor?Determine if the proposal is complete and in compliance with the sponsor guidelines.Verify that the IPF reflects the correct due date, sponsor address, compliance fields filled in correctly, all Co-PI’s identified and signed off as appropriate, verify that the space committed in the proposal is approved, review specifically the answers to conflict of interest and lobbying to make sure that all disclosures are made.Review of system requirements and proposal procedures of all electronic submission portalsDetermine what certifications if any must accompany the proposal
8 How Does OGCA Ensure That Deadlines Are Met? Through the OGCA staff-developed Jordan database, our programmer has developed many tools to assist OGCA’s staff in monitoring workflow and file management/movement. Deadline lists are uploaded on all staff computers every day upon initial log in. (See next page for a sample deadline list.) In addition to the deadline list, a “hotsheet” is also generated daily to keep track, in real time, of where a deadline proposal is in the process.
11 Grant & Contract Administrator Responsibilities (Post award) Pre-establishment of accountsKnowledge of University policies, State Law, OMB A-110 and sponsor policies which affect the negotiation and acceptability of terms and conditions to the University of MassachusettsAward review and negotiation of terms and conditionsInitiation of MOU process, Principal Investigator Award Agreement, other required award documentationPreparation of award budget and project characteristics for data entry into Jordan/GAMS system for “pull through” to PeoplesoftPreparation of the award package for Director’s acceptance and signatureLiaison with the Controller’s Office accountantsPost award actions such as no cost extensions of time and re-budgeting requests requiring sponsor approvalParticipation in large Center administration with departmental staffCoordination of final reporting requirements (technical, patent, financial, property)Membership and occasional travel to professional society meetings [Society of Research Administrators (SRA) or National Council of Research Administrators (NCURA)]Assistance with web tool designAssistance with training programs
12 Award Flow Chart Award received by Receptionist identifies Award to OGCAReceptionist identifiesfile award is associatedwith and logs (“cybers”)it to appropriate G&CAdministratorAward toreprographic/mail clerkfor pulling file anddistributing mail and fileto G&C Admin.G&C Admin. conductsinitial review of award(amount, period, budget)& prepares for GAMSEntry; determines docs/required (MOU, PIAA, etc)Award clerk for final“Red Folder” set upFor Controller’s OfficeDirector for awardacceptance & signature.On-line approval ofGAMS award for “pull thru”to PeopleSoftG&C Admin. finalnegotiation & contractmark up. Verificationof information on formsfor the Controller’s OfficeAward Clerk for PInotification, formrequests, data entry intoJordan/GAMS, file prep.for submission to theController’s officeStudent Courier fordelivery to Controller’sOffice for accountNumber generation(“speedtype”)Award clerk receivesred folder back with acct.#. Data entry and dataverification in JordanReprographics clerkfor file organization& hard filing intofinal public recorddocumentFiling cabinet ORto G&C Admin.for subcontract issuanceas appropriate
13 Governing Rules For Awards Trustee Policy T (Appendix )University PoliciesState LawSponsor PoliciesOMB A-110 for Federal Funded ProjectsFAR and DFAR for DOD funded projectsCode of Federal Regulations for other Federal awardsAgreement Terms and Conditions
14 Terms OGCA NegotiatesIP terms in coordination with Commercial Ventures-Intellectual Property (CVIP)Reporting schedulesPublicationPublicityPayment termsGoverning lawIndemnificationConfidentiality clausesPersonnel related termsTerminationOwnership of research resultsEtc.
15 Reports and Electronic Reporting Aides Monthly Cumulative Report of Sponsored ActivitiesAnnual Report of Sponsored ActivitiesJOL – Jordan-On-Line – an online reporting system to allow academic and administrative offices to generate reports with regards to sponsored project activitiesProposal and Award Status – allows faculty and any PI assigned contact to check the status of their proposal or award on line.
16 Training GAMS training Grants.gov training Business manager training in areas of needCommunity of Science Registration and use for funding opportunity searchesWill be participating in a new brown bag lunch series starting in January on various topics we hope will help faculty and their support staff