1. Managing Your Grant Award August 23, 2012 Janet Stoeckert Director, Research Administration Sr. Administrator, Basic Sciences Keck School of Medicine 1

2. Roles & Responsibilities Types of Grants Regulatory & Financial Compliance Budget Management & Monitoring Close Out 2 Topics

3. Roles & Responsibilities 3

4. Principal Investigator – Oversees project integrity – Complies with sponsor regulations – Science execution and financial management – Completing the project (both scientifically & administratively) – Management of personnel (mentoring & oversight) – Meeting the reporting requirements – Presenting and publishing results from “Basics of Research Administration,” SRA International, 2010 4

5. Department/School – Works alongside principal investigators – Responsible for the management of sponsored programs for a specific department(s) or School – Typically, provides direct assistance to the PI for the project or program supported by the grant – Liaison between principal investigators and the central University offices (e.g. DCG, SPA, Compliance) from “Basics of Research Administration,” SRA International, 2010 5

6. Central Administrator (DCG, SPA, Compliance) – Certifies that the institution meets requirements – Certifies the accuracy of particular information – Certifies compliance with governing regulations – Establishes policies and procedures to ensure compliance – Educates employees regarding the policies and procedures * from “Basics of Research Administration,” SRA International, 2010 6

7. Vice President for Research Establishes/defines the research culture for the institution Understand laws, regulations and institution Align policies with applicable regulations Approves research policies from “Basics of Research Administration,” SRA International, 2010 7

8. Types of Awards 8

9. Grant – Transfer of money, property, services, or anything of value to recipient to accomplish a public purpose – No substantial involvement with sponsor Cooperative Agreement – Transfer funds to recipient to accomplish a public purpose – Substantial involvement between sponsor and recipient 9

10. Types of Awards Contract – Acquisition of property or services for benefit or use of sponsor Purchase Order – Fixed priced for a product or service 10

11. Regulatory and Financial Compliance 11

12. Regulatory compliance items include: - Use of human/animal subjects - Recombinant DNA in research - Environmental health and safety - Misconduct in science - Responsible conduct of research (RCR) 12

13. Financial compliance items include: - Conflict of Interest - Effort Reporting - Cost Criteria for Charges to Grants - Cost Transfers 13

14. Compliance required before your award can begin…. 14

15. Conflict of Interest Conflicts of interest occur when university members are in a position to influence a decision on policy or purchases where they might directly or indirectly receive financial benefits or give improper advantage to associates. 15

16. Conflict of Interest Disclosure required Principal Investigator and key personnel when applying for DHHS/NSF funds (proposal routing sheet) Conflicts must be resolved before spending on federal grants New guidelines effective Aug. 2012 http://grants.nih.gov/grants/policy/coi/ 16

17. NIH & NSF RCR Guidelines RCR is comprised of 9 topic areas: Acquisition, Management, Sharing and Ownership of Data Animal Welfare Authorship/Plagiarism Collaboration Conflict of Interest Human Subject Protections Mentoring Peer Review Scientific/Research Misconduct 17

18. NIH & NSF RCR Guidelines Resources Available http://www.usc.edu/admin/oprs/training/rcr.html http://keck.usc.edu/en/Research/Office_of_Research _Advancement/Responsible_Conduct_of_Research_C ourse.aspx http://keck.usc.edu/en/Research/Office_of_Research _Advancement/Responsible_Conduct_of_Research_C ourse.aspx INTD 500: Responsible Conduct of Research (RCR) 18

19. Grants Management Training http://ooc.usc.edu/registration (Required) http://ooc.usc.edu/registration DCG Curriculum Training http://research.usc.edu/for- investigators/training/ 19

20. Award 20

21. Review Award Document Scope of Work Time table Budget Reporting Requirements Compliance Requirements Cost Sharing Commitments 21

22. Cost Sharing General Definition When federal or agency regulations require that the institution share in the cost of sponsored research projects, the institution contribution is referred to as “cost-sharing.” 22

23. Budget Management & Monitoring 23

24. Costs Must Be... Allowable - Must conform to regulations - Must conform to any exclusions contained in the sponsored agreement - May be an appropriate institutional expense but not allowable on a sponsored project Allocable - Necessary to the project - Directly benefits the project - NOT determined by fund availability 24

25. Costs Must Be... Reasonable - What “prudent person” would pay in like circumstances - Necessary? - Advance the scope of work? - Consistent with established policies & practices? 25

26. Budget Management & Monitoring Review Projections – No less than quarterly – Review for abnormally high or low burn rate of funds 26

27. 27 Sample Projection

28. Effort Reporting & Certification 28

29. Effort Certification After-the-fact confirmation of effort Demonstrates that salaries charged to sponsored projects or to cost sharing reasonably reflects effort performed Way for government and other sponsors to verify salary charges to grants eCert: On-line web-based 29

30. Charging Effort to Grants % Effort should reasonably reflect actual effort spent Include cost shared effort subsidized by Department, School, Institution Take into account sponsor’s salary cap if applicable 30

31. How much effort can you charge? Faculty effort on grants should usually not exceed 90-95% Effort towards teaching, committee work, preparing new grant proposals may not be charged to grants Exceptions are reviewed by Office of Financial Analysis 31

32. Close Out of Award 32

33. Close Out of Award Close outstanding encumbrances Ensure no outstanding charges Programmatic/Technical reports submitted Personnel Expirations – Notify project staff as soon as possible 33

34. Summary Review your grant award with your Department or School for terms and conditions, awarded budget, discuss spending plan Review budget projects at least quarterly Inform your administrator if you wish to change to make changes to personnel effort, purchases, sub-awards, or need to transfer expenses Stay current on compliance requirements 34

35. Questions? 35

36. Thank you! 36 Janet Stoeckert Director, Research Administration Keck School of Medicine (323) 442-3568 Janet.stoeckert@usc.edu