Making it up as we go along: two years post re-organization VU-VUMC Collaborations Sponsored Programs Administration October 2, 2018

Guiding principles Don’t let it break: Improvise continuously as one does something; to do something without formal guidelines, structure, rules, etc. Do no harm: The principle of “do no harm” is that the wellbeing of the people we are trying to help must be the focus of our efforts to help them Uphold highest standards for research compliance: New relationships bring new challenges

What were we expecting on April 30, 2016? VU outgoing subcontracts to VUMC VUMC incoming subcontracts to VU Despite having established a process to handle ongoing collaborations prior to separation, we experienced many implementation problems for the next 10-12 months. How’s it going today?

VU-VUMC Subcontracting Update Data for July 1, 2017 - May 31, 2018 SPA processed 202 VUMC incoming subawards to VU SPA processed 143 VU outgoing subawards to VUMC

Today’s process for VUMC outgoing subawards @ PROPOSAL VU Department submits Proposal to prime sponsor (submits COEUS Proposal & creates PEER G Log) Includes VUMC as “Outgoing Sub Organization” If not included in Proposal, then request VUMC as an “Add-On Subrecipient” For review in SPA, VUMC provides VU Department with: Signed Subrecepient Statement of Collaborative Intent (SSCI) Statement of Work Budget Budget Justification @ AWARD In PEER, locate G Log for Proposal Create a Contract Request from the G Log: When completing the Contract Request, attach the 1) Prime Award Notice (NOGA), 2) SSCI, 3) SOW, 4) Budget and 5) Budget Justification SPA Subcontracts will prepare a DRAFT agreement. After review by the VU Department and PI, SPA Subcontracts will send the Final Draft to the VUMC Department to obtain VUMC institutional signatures VUMC Office of Contracts Management returns VUMC executed subcontract to VU Subcontracts to fully execute.

Today’s process for VUMC incoming subawards @ PROPOSAL VU Department submits Proposal in COEUS for an Incoming Subaward (and, creates a PEER G Log) VU Department completes LOI provided by VUMC Department SPA reviews and approves the LOI, Budget, Budget Justification and SOW and returns them to the VU Department VU Department provides materials to VUMC Department @ AWARD VUMC Department will work with VUMC OCM to prepare a DRAFT Subaward agreement VUMC OCM will send the DRAFT agreement to VU Department In PEER, VU Department locates G Log for Proposal Create a Contract Request from the G Log When completing the Contract Request, attach the 1) DRAFT agreement, 2) Budget, 3) Budget Justification and 4) SOW SPA Subcontracts will review the DRAFT agreement, after reviewing - send to the VU Department & PI to review and approve, and then the VU AOR signs SPA Subcontracts sends the partially-executed agreement to VUMC OCM to obtain VUMC institutional signatures VUMC Office of Contracts Management returns fully-executed Subaward to SPA Subcontracts; SPA Subcontracts distributes fully-executed subaward

What about sponsored billing agreements? A Sponsored Billing Agreement does not flow down any of the terms of the prime award to the non-grantee institution; it is simply a mechanism whereby the grantee institution can reimburse the non-grantee institution for the salary and fringe of certain project personnel (in most instances). Thus, the prime grantee institution retains full responsibility for compliance issues related to the personnel covered by the billing agreement. Sponsored Billing Agreements are now primarily used to support staff who are not performing substantive work for a project at the other institution. Must not be Key Personnel. Examples include VUMC employed post-docs technical staff non-PhD students seeking advanced degrees (OSHE) Usually not anticipated at the time the initial Proposal is submitted to the prime sponsor. No indirect costs for the other institution.

Opportunities for improvement Could VU and VUMC use the same generic Letter of Intent (LOI) form? What is the purpose of the LOI for Sponsored Billing Agreements? Do we really need a COEUS Proposal for an Incoming Sponsored Billing Agreement? Do we really need a COEUS Award for an incoming Sponsored Billing Agreement? For an Outgoing Billing Agreement, do we really need it attached to the G Log for the prime proposal? Who is best positioned to sign an LOI for a Sponsored Billing Agreement?

What can be unique about training grants? All training grants are submitted by VU since all students are VU. If a PI on a T32 grant is employed by VUMC, VU COEUS Support must make sure they are added in the PEOPLE TABLE with 1) a VU NET ID and 2) BRET as the home department. This is only a requirement for the PI(s). VUMC employed mentors may be added using the Rolodex. For F31 grants, if the Sponsor is VUMC employed, they must also be added as a VU person with a VU Net ID and not through the Rolodex.

What Else are we asked about? We initially expected Sponsored Billing Agreements to play a prominent role in VUMC funding of VU doctoral students working as Research Assistants on VUMC grants but - Process was not sustainable due to frequent changes in sources of funding Master bills for graduate student support for VU graduate students mentored/paid by VUMC employed faculty are handled as Non-Sponsored Billing Agreements (NSBAs) by the Dean’s office of each school Employee Service Agreements (ESAs) and Non-Sponsored Billing Agreements (NSBAs) are handled by the VU department and VU Finance (vu-esa_nsba@vanderbilt.edu). ESAs and NSBAs involve gift, endowment or operating funds being transferred and include a 10% surcharge.

Do we ever submit proposals on behalf of vumc employed faculty? All Faculty and Postdoctoral appointments are made by VU. Some Faculty and Postdoctoral Fellows may be employed by VUMC. Some sponsors will only make awards to degree-granting institutions. Only VU is degree-granting. VUMC does not grant degrees. In cases where only VU is eligible to submit a non-governmental Proposal to an agency, a VUMC Investigator may submit the Proposal through VU using a secondary appointment in a VU Department. If a VUMC Investigator does not have a secondary appointment, the Proposal may be submitted through the office of the Vice Provost for Research. VU will issue a Subaward to VUMC for the full amount of the award and receive an administrative payment in return (amount established by an MOU.)

THE END Questions? Thank you.