Research Administration at Yale YSM Training 4/22/2017 Research Administration at Yale Research Administration Overview New Faculty Orientation Amy Ellis Melanie Smith Associate Director Funding Resource Center Manager Office of Sponsored Projects Office of Sponsored Projects Joanne Bentley Director Faculty Research Management Services August 26, 2015 Competitive funding New Award & Installment Reports for Grants

Funding Resources & Training http://grants.yale.edu/calendar Explore these resources to identify support for your research efforts. If you have questions, contact the Funding Resource Center Manager. melanie.smith@yale.edu or (203) 785-4978 Calendar of Research Funding Opportunities Deadlines and links to information from foundations, non- governmental organizations, State of Connecticut, and new federal funding opportunities Scholar Awards Prestigious limited submission foundation grants, primarily for junior faculty – internal competitions Limited Submissions Federal funding opportunities that limit the number of applications per institution – internal competitions Internal Awards Pilot/feasibility awards to kick-start your research Yale-University College London Funding for collaborations Equipment Grants NIH and NSF support for acquisition and/or development of major instrumentation Funding Databases & Sponsor Websites Generate funding searches and email alerts for relevant funding opportunities Grantsmanship Training http://grants.yale.edu/funding-opportunities/funding-grantsmanship-training Attend free monthly programs designed to help faculty and trainees identify funding opportunities for their research and prepare successful, well-targeted grant applications. To register for upcoming events, click here. The programs listed below are presented regularly. Developing A Funded Research Program Science Writing for Grants and Manuscripts How to Write A Compelling Grant Abstract: A Hands-On, Skill-Building Workshop All About Career Awards: Applications, Review, and Stepping Stones to Funding Your Future Show Me The Money: Using Online Databases to Identify Funding Opportunities for Your Research Behind the Scenes at NSF, DOE, DOD and Other Funding Agencies: An Insiders’ Perspective on Grant Review Behind the Scenes at NIH: Study Section Members Share Their Experience with Application Review Revising and Resubmitting: Practical Considerations Based on the Psychology of Re-Reviews Funding Q&A Clinic: An informal conference room session to answer questions about identifying funding for your research. How to Write A Successful R01

Institutional Roles & Relationships Faculty Research Management Services provides the faculty facing grants management support that departmental resources typically perform. Office of Sponsored Projects (OSP) provides institutional oversight and approval and act as a source of expertise for FRMS. A strong, collaborative relationship exists between FRMS and OSP. FRMS Faculty Facing Pre-Award Proposal Development Post Award Financial and Reporting Management OSP – Pre Award Proposal Review Proposal Submission Signing Authority Departments and Faculty/PIs Sponsors OSP - Financial Policies & Procedures Compliance Institutional Oversight Compliance issues – is not a one shop operation. Important that this is caught at the beginning. Joint learning and training opportunities Leverage both GCA and GCFA training which has already been developed in the future, could be opportunity for GCA and GCFA to gain experience in the direct faculty support GCA and GCFA provide institutional oversight, training, subject matter expertise and technology. A collaborative partnership exists between FRMS, GCA and GCFA. FRMS is designed to provide departments of any size and their Principal Investigators with resources and expertise to successfully compete for, manage, and renew sponsored awards GCA Provides assistance to faculty and staff in obtaining and managing sponsored awards that support scholarly activities while assuring proper stewardship of those funds. The office is charged with review and approval of proposals sent to all sponsors. GCFA Works closely with FRMS and business office staff to ensure financial compliance and proper accounting of externally sponsored funds. Responsibilities include financial reporting and closeout, effort reporting, and development of the facilities and administrative cost rate.

Faculty Research Management Services Organization Pre- and Post Award teams located within Business Operations, with dual report to Provost Establishes a team with both pre and post award specialized skill sets Encourages collaboration between Pre and Post Award team members Facilitates knowledge transfer between teams Enables PI-centric training and skill building activities across teams Creates a central point of contact to work through systematic issues and changes Business Operations Provost’s Office Departments Faculty Research Management Services Director Pre-Award Associate Director Post Award Associate Director Grants Administrators Grant Portfolio Manager Grants Portfolio Analysts Grants Portfolio Analysts Grants Coordinator Grants Portfolio Coordinators Grants Portfolio Coordinators

FRMS Service Offerings Pre-Award Grant eligibility determination Budget and Proposal Development Financial and non-financial documentation preparation Track Principal Investigator current and pending support Obtain Approvals Coordinate with OSP – Proposal and Awards Unit Post Award PI financial portfolio planning, analysis and management Monthly financial review according to University guideline Enter budgets into budget tool Prepare and execute accounting transactions Effort Reporting Review and Follow up Coordinate with Principal Investigator, Department, and OSP – Financial Management Speaker’s Notes: This slide shows a listing of FRMS – Pre Award service offerings. Each function has multiple processes that Pre Award performs. Close working relationship with GCA through training, technology support and process implementation and improvement. Communication between Pre Award and GCA on new process steps. Integration of technology into Pre Award work with Proposal Development rollout and immediate use of Proposal Tracking in IRES.

FRMS Contact Information Joanne Bentley, Director joanne.bentley@yale.edu 203-432-3914 Jacky Fields, Associate Director, Pre-Award jacky.fields@yale.edu 203-432-3910 Melissa Carta, Associate Director, Post Award melissa.carta@yale.edu 203-432-8059 Campus Address: 205 Whitney Avenue Website: frms.yale.edu

The Research Enterprise Provost VPFBO Associate Vice President for Research Administration Office of Research Administration (ORA) Strategic efforts Operations management and oversight OREO ORC Project Management Data Management Cross Unit Operational Integration & Efficiency Compliance Risk assessment OSP To better understand the importance of research compliance the University has created a new structure to support research and it administration.. HRPP IACUC COI Pre- and post- award administration of sponsored projects Training & Education Required review of research involving human subjects Required review of research involving animals Required review of conflict of interest disclosures OEHS YARC OCR Environmental health & safety Housing & care of animals Patenting & licensing activities, inventions, industry relations

Preparing and Submitting Proposals Work with your business office/FRMS Develop the budget and prepare the application Ensure all compliance requirements are completed including but not limited to: Sponsored Projects Administration for Faculty One-time requirement Patent Policy Acknowledgment and Agreement Conflict of Interest (COI) Disclosure (a.k.a. “External Interests Disclosure”) Completed at least annually or within 30 days of any material change(s) Veteran’s Administration Memorandum of Understanding (VA MOU) Completed at least annually or when there is a significant change Obtain all appropriate approvals

Preparing and Submitting Proposals Office of Sponsored Projects (OSP) Final application is routed in Proposal Development (PD) or submitted with a TranSum to OSP All proposals must be approved by OSP prior to submission to the sponsor Timeline Final application should be sent to your business office/FRMS as early as possible FRMS requires all final documents 2-5 days prior to the deadline (dependent on complexity of application) OSP requests at least 2-5 business days for review Additional time may be needed to make corrections, for complex proposals and during heavy deadlines

Supporting Research at Yale Human Research Protection Program (HRPP) Institutional Review Boards/Human Subjects Committees http://www.yale.edu/hrpp Animal Care and Use Institutional Animal Care and Use Committee (IACUC) http://iacuc.yale.edu Conflict of Interest COI Committee http://coioffice.yale.edu Office of Cooperative Research (OCR) Patents and licensing http://ocr.yale.edu Office of Environmental Health and Safety http://ehs.yale.edu

Supporting Research at Yale Office of Research Administration (ORA) Systems, processes, compliance and regulatory activities http://researchadministration.yale.edu Office of Research Compliance (ORC) Implementation of regulatory requirements, compliance assessments Office of Sponsored Projects (OSP) Pre-award and non-financial post-award Post-award financial reporting, cash management, effort reporting http://grants.yale.edu