1. DECEMBER 7, 2010 SESSION 1 OF AAPLS – APPLICANTS & ADMINISTRATORS PREAWARD LUNCHEON SERIES Grant Submission at Tufts: Offices and Administrative Policies

2. Goals of this Session To introduce research offices and administrators To review the process of submitting applications for sponsored funding

3. Who are the Administrators? Departmental Administrators Administrators at Central Offices

4. Departmental Administrators Finance & Administration Officers Department Managers, Accountants & Other Administrators Staff Assistants Departmental Administrators play critical roles in administration of research at Tufts. They are key partners of investigators & of central research offices in proposal preparation and in ensuring compliance.

5. Central Research Offices Office of Proposal Development (OPD) Office of Research Administration (ORA) Office for Technology Licensing and Industry Collaboration (OTL&IC) Institutional Animal Care and Use Committee (IACUC) Division of Laboratory Animal Medicine (DLAM) Institutional Review Board (IRB) for research that involves human subjects Institutional Biosafety Committee (IBC) Radiation Hazard Control Groups Sponsored Programs Accounting (SPA) Corporate & Foundations Relations (CFR)

6. Office of the Vice Provost (OVP) Located at:75 Kneeland Street, 9 th Floor Boston, MA 02111 Address:136 Harrison Ave Boston, MA 02111-1817 Main phone #: (617) 636-6550 Web site: http://viceprovost.tufts.edu/ Offices: Proposal Development (OPD); Research Administration (ORA), Tech Transfer (OTL&IC)

7. Office of Proposal Development (OPD) OPD is part of the Office of the Vice Provost Collaboration with faculty on the development of grant proposals Primary focus on multi-investigator proposals, including:  Institutional training grants  Center grants  Infrastructure- and capacity-building grants Individual investigator assistance available as capacity allows Further resources at grantwriting.tufts.edu

8. OPD Staff Amy Gantt, Director Barbara Eisenhaure, Grant Writer Jeralyn Haraldsen, Grant Writer Bonnie Chang, Staff Assistant Sarah Sherman, Proposal Development Assistant

9. Office of Research Administration (ORA) ORA is part of the Office of the Vice Provost Pre-award and non-fiscal post-award administration of grants & contracts Review and submission of proposals for sponsored funding Review and acceptance of awards Contract negotiation Issuing subawards Approval of rebudget requests before they go to SPA Processing no cost extensions Tufts authorized representatives for grants and other research agreements

10. ORA, Boston Office Paul Murphy, Director Zoya Hamilton, Senior Associate Director Todd Conley, Associate Director Suzanne Rocha, Research Administrator (in Boston 2 days a week) Elizabeth Brady, Research Administration Coordinator (transferred to Medford ORA) Jessica Chen, Research Staff Assistant

11. ORA Boston Areas of Responsibility Research Compliance Management of Conflict of Interest Limited Submissions PI Eligibility Grants to Tufts Center for the Study of Drug Development Tufts Clinical And Translational Science Institute (CTSI) USAID Avian & Pandemic Influenza & Zoonotic Disease Program: RESPOND Paul Murphy

12. Todd Conley Zoya Hamilton School of Medicine Molecular Biology & Microbiology Neuroscience Ophthalmology Pathology Public Health & Community Medicine All other Clinical Sciences Departments Cummings School of Veterinary Medicine School of Dental Medicine School of Medicine Anatomy Biochemistry Educational Affairs Molec. Physiology & Pharmacology Sackler School of Graduate Biomedical Science Gerald J. & Dorothy R. Friedman School of Nutrition Science & Policy John Hancock Research Center Jean Mayer USDA Human Nutrition Research Center on Aging PI eligibility ORA Boston Areas of Responsibility (cont.)

13. Office for Technology Licensing and Industry Collaboration (OTL&IC) Invention disclosure intake Patent applications and patent maintenance Nondisclosure agreements Options License agreements Start-ups Material transfer agreements Industry-sponsored research agreements, including clinical trial agreements Trademark & copyright agreements Interinstitutional agreements

14. OTL&IC Staff Nina Green, Director John Cosmopoulos, Sr. Associate Director Colm Lawler, Associate Director Martin Son, Associate Director Thomas McVarish, Associate Director of Operations Linara Axanova, Licensing Associate Donna Barretto, Administrative Assistant

15. Research Agreements with Industry Processed by both ORA and OTL&IC ORA is only involved when the agreement carries funding Budgets are reviewed by ORA Internal forms must be sent by the departments to ORA, not to OTL&IC ORA distributes fully executed agreements with supporting paperwork to Sponsored Accounting Either ORA or OTL&IC can negotiate agreement terms Intellectual property (IP) terms are primarily negotiated by OTL&IC

16. Grant/Sponsored Account Gift/Department ID Represents an “exchange transaction” in which each party receives commensurate value Has reporting requirements or specific restrictions on how the money can be spent Has a specified time period over which the work will be done (a start date and an end date) For cost reimbursable grants requires that unused funds be returned to the awarding agency/foundation/corporation Goes through ORA. Accounts are set up by SPA. http://finance.tufts.edu/spa/?pid=6 Represents a “contribution”, an unconditional transfer of cash which is voluntary and non-reciprocal No reporting and no restrictions No specific time period Usually all the money is received upfront. Tufts is given unconditional rights to the funds and funds do not need to be returned to the sponsor Does not go through ORA. Accounts are set up by the Budget Office (for HNRCA and in all circumstances when it is not clear whether funds are a gift or a grant the final determination is made by SPA) Grant vs. Gift

17. Proposal Process Identify funding opportunity Download application forms and instructions Engage departmental administrators during the completion of required forms in application package Complete and route for approvals the internal forms for each application submission Approved internal forms and the complete application are sent to ORA for review and submission to the agency

18. More on Proposal Process Send completed applications and internal forms to ORA five (5) – FIVE!!! business days prior to the deadline ORA can review budgets and forms in advance of submissions ORA submits proposals to funding agencies. Some non-federal sponsors require investigators to submit proposals directly. Review and approval by ORA is always required prior to submission See the proposal process overview on the ORA web site: http://researchadmin.tufts.edu/ under “Write and Submit a Proposal”

19. Internal Forms Letter of Intent to Submit a Proposal for Extramural Funding (HNRCA only) Internal Sponsored Coordination Form (one per submission, also required for continuation years) Financial Interest Disclosure Form - required for each submission (including progress report/continuation) for each person at Tufts University with the role of Investigator on a proposal (i.e. PD/PI, co-PI, co-I). “Investigator” is defined as the PI and any other person who is responsible for the design, conduct, or reporting of research Download the forms from the ORA web site: http://researchadmin.tufts.edu/ under Forms

20. Internal Sponsored Coordination Form Constitutes formal approval of the application by the department /school, including approval of any cost share Includes assurances & certifications required for federally funded proposals Provides information needed by several administrative offices for data collection purposes Required for each submission Routed by ORA to SPA when funding is awarded

21. Financial Interest Disclosure Form Required under Tufts University Policy on Conflict of Interest in Research Public Health Service (PHS) regulation at 42 CFR 50.603, Subpart F, designed to promote objectivity in PHS-funded research. Established standards to ensure that the design, conduct, and reporting of research funded under PHS grant awards is not biased by any conflicting financial interests of an Investigator NSF Awards and Administration Guide, AAG Chapter IV. A contains policy on conflict of interest It is Tufts’ policy to apply these standards to all sponsors, e.g. federal, state, local governments, corporations, nonprofits, foundations, foreign governments etc.

22. Budget Review by ORA Can be done at any stage of proposal preparation Allow additional time for review of budgets with subcontracts When no budget detail is required in the application (i.e., modular budgets) departmental administrators are advised to compose detailed budgets together with investigators at the proposal stage This will ensure that budgeted amounts are adequate for the work Share detailed budgets with ORA for the modular proposal ORA will forward detailed budgets to SPA upon receipt of the award

23. Conclusion Investigators must not submit proposals without receiving institutional review & approvals because awards are made to the University Agencies award funding based on the merit of research, however Tufts University must accept responsibility for each award along with the investigator(s) The key to success is collaboration between investigators, department administrators & central research offices