1. Grants and Contracts: Who, What, When, Where, Why, How… Louise Nuttle, Ph.D. Director, Sponsored Programs Donna Szabo, J.D. Associate Director for Contract Management

2. What, Where… Office of Research and Sponsored Programs Administration (aka ORSPA) Ada Earnest House http://www.etsu.edu/research/orspa.htm Phone: 9-6000 Fax: 9-6050 Email: research@etsu.edu research@etsu.edu

3. Who… Louise Nuttle Director9-6049 Donna Szabo Assoc Director Contract Management 9-6045 Mary James Grants and Contracts Specialist9-6048 Cynthia Hardin Assoc Director Sponsored Programs 9-6051 Carole Thomason IT Coordinator 9-6059 Joanna Simmons Information Research Technician 9-6052 9-6052

5. To promote and support scholarly activities...by administering external support for research, instruction, and service programs, and providing professional development opportunities for faculty, staff and students. Mission

6. What… Sponsored programs are any projects supported by extramural funds received by the University as a result of some formal communication such as a letter, application, or written proposal signed and submitted by an authorized University official.

7. What… General Characteristics: published application guidelines or procedures restrictions on the use of funds defined period of performance formal financial reporting specified staff performances and/or project outcomes (objectives, deliverables, or products) reports related to the substance of the work

8. What… Grants and Contracts

9. What… Grant... A grant is an award of funds or property, based on an approved budget or formula,. A grant is an award of funds or property, based on an approved budget or formula,. Ideas originate from and are defined by the applicant. Ideas originate from and are defined by the applicant. Generally, the scope of work supported by a grant is more flexible than that supported by a contract. Generally, the scope of work supported by a grant is more flexible than that supported by a contract.

10. What… Contract... A contract is a formal, legal agreement between two or more parties. A contract is a formal, legal agreement between two or more parties. Contracts between universities and other parties are generally agreements to perform a service or deliver products or goods within a specified period of time for an agreed-to price. Contracts between universities and other parties are generally agreements to perform a service or deliver products or goods within a specified period of time for an agreed-to price. Scope and deliverables are set by sponsor. Scope and deliverables are set by sponsor.

11. What (not)… Gifts... Donor specifies the general program or research the money is given to support Donor specifies the general program or research the money is given to support No defined budget No defined budget No formal reports on how the money was spent or the research the money supported. No formal reports on how the money was spent or the research the money supported. The Chief Development Officer is authorized by the President to accept gifts on behalf of the University, subject to review and confirmation by the President.

13. Other “Whats”… PI: Principal Investigator Co-PI: Co-Principal Investigator PD: Project Director Co-I: Co-Investigator

14. Other “Whats”… RFA: Request for Application RFP: Request for Proposal PA: Program Announcement

15. Other “Whats”… ORSPA #: unique internal identifier Banner Index: “account” number

16. Other “Whats”… NIH: National Institutes of Health NSF: National Science Foundation HRSA: Health Resources and Services Administration CDC: Centers for Disease Control AHA: American Heart Association

17. Other “Whats”… Compliance: Adherence to the rules and regulations set forth by the…

19. Compliance... Human Subject Protection Human Subject Protection Animal Care and Use Animal Care and Use Radiation Safety Radiation Safety Biosafety Biosafety Conflict of Interest Conflict of Interest Export Controls Export Controls Intellectual Property Protection Intellectual Property Protection

20. Other “Whats”… MTA: Material Transfer Agreement MOU: Memorandum of Understanding IP: Intellectual Property CFDA: Catalog of Federal Domestic Assistance F&A: Finance and Administration (“Office of” or “costs”) IDC: Indirect Costs (see F&A costs) More???

21. When... Assist faculty and staff in the identification of appropriate and relevant funding opportunities Assist faculty and staff in proposal and budget development Review and coordinate the submission of all proposals to external sponsors Process all awards from external sponsors Negotiate and execute all sponsored agreements Ensure the compliance of sponsored activities with all local, state and federal regulations

22. When… Basically, when you find yourself involved in: A grant proposal (including consortium proposals, i.e. subawards) A sponsored agreement (contract) or a research agreement (e.g. MTA, Confidentiality Agreement) An amendment, revision, extension, rebudget of an existing sponsored program

23. Why... All awards - grant or contract - are made to the University, not to the PI, to the department, or to the college. All awards - grant or contract - are made to the University, not to the PI, to the department, or to the college.

24. HOW???? Proposal Routing and Submission Contract Routing and Execution Post-Award Modifications

25. http://www.etsu.edu/research/orspa.htm

26. Proposal Grant Contract

27. Concept Proposal Development Project Management / Closeout Institutional Review / Approval Submission Award Sponsor Identification The Proposal Lifecycle:

28. Concept Proposal Development Project Management / Closeout Institutional Review / Approval Submission Award Sponsor Identification The Proposal Lifecycle:

29. Concept Proposal Development Project Management / Closeout Institutional Review / Approval Submission Award Sponsor Identification The Proposal Lifecycle: ORSPA COS Foundation Directory Online Listserves and Auto-Alerts ORSPA Website Contact: Carole Thomason

31. Concept Proposal Development Project Management / Closeout Institutional Review / Approval Submission Award Sponsor Identification The Proposal Lifecycle: ORSPA Sponsor Guidelines and Forms Budget Development Inter-Institutional Consortia Contact: Cynthia Hardin Mary James

34. Concept Proposal Development Project Management / Closeout Institutional Review / Approval Submission Award Sponsor Identification The Proposal Lifecycle: ORSPA Internal Routing Form Indirect Cost Reduction Req Conflict of Interest Principal Investigator Department College ORSPA (VP and/or President) IRB UACAC Biosafety Committee Radiation Safety Contact: Mary James Joanna Simmons

36. The Internal Routing Form

37. PI Dept Chair Dean* ORSPA Sponsor * Usually includes finance office review (directly or via PI) Proposal Routing:

38. Concept Proposal Development Project Management / Closeout Institutional Review / Approval Submission Award Sponsor Identification The Proposal Lifecycle: ORSPA Grants.gov NSF FastLane Inter-Institutional Applications ORSPA “Just-In-Time” information Budget Negotiations Contact: Louise Nuttle Contact: Cynthia Hardin Mary James

40. Concept Proposal Development Project Management / Closeout Institutional Review / Approval Submission Award Sponsor Identification The Proposal Lifecycle: ORSPA Proposal Tracking Account Request Compliance Review Contact: Mary James

41. Concept Proposal Development Project Management / Closeout Institutional Review / Approval Submission Award Sponsor Identification The Proposal Lifecycle: ORSPA Rebudgeting No-Cost Extensions Amendments Subaward agreements Change in PI or other Key Personnel Contact: Louise Nuttle Cynthia Hardin Donna Szabo

42. Post-Award Requests Request to Rebudget Request to Rebudget Request for No-Cost Extension Request for No-Cost Extension Request for Subaward Agreement Request for Subaward Agreement Request to Change PI Request to Change PI

44. Subawards… Serves as the basis for the establishment of the subaward agreement Terms and Conditions Contact info Budget Scope of Work Prime Award

45. Change in PI... Ensures compliance with sponsor's requirements for mid-project changes to PI and/or key personnel Justification Approval Compliance (IRB, UCAC, COI...)

46. Proposal Grant Contract

47. Project Management / Closeout Review and Negotiation of Terms Business Plan The Contract Lifecycle: Technical Plan Compliance Review/Approval Internal Routing and Approval CONTRACT Budget Review Execution

48. Project Management / Closeout Review and Negotiation of Terms Business Plan The Contract Lifecycle: Technical Plan Compliance Review/Approval Internal Routing and Approval CONTRACT Budget Review Execution Contact: Donna Szabo

49. Project Management / Closeout Review and Negotiation of Terms Business Plan The Contract Lifecycle: Technical Plan Compliance Review/Approval Internal Routing and Approval CONTRACT Budget Review Execution Contact: Cynthia Hardin Mary James

50. Project Management / Closeout Review and Negotiation of Terms Business Plan The Contract Lifecycle: Technical Plan Compliance Review/Approval Internal Routing and Approval CONTRACT Budget Review Execution ** Internal Routing Form

51. Internal Routing Sheet… New Project New Scope of Work New time period New ORSPA Number New Banner Index

52. PI Dept Chair Dean * ORSPA Sponsor * Usually involves finance office review President or VP ** Procurement (Kathy Kelley) ** For Health Sciences this is F&A Contract Routing (the “old” way):

53. PI Dept Chair Dean * ORSPA Sponsor * Usually involves finance office review Routing Sponsored and other Research- Related Agreements:

54. Contract Routing Form… Existing Project (ORSPA #) Amendment of terms (dates, dollars, scope, etc.) Same ORSPA Number Same Banner Index

55. Questions???