1. CALS Research Division New Faculty Orientation Session II October 27, 2008

2. Wisconsin Ag Experiment Station and Formula Funding

3. Wisconsin Agricultural Experiment Station/Formula Grant Information  Formula Grant Call for Proposals: http://www.cals.wisc.edu/research/waes/applying.html?0?Cp5  Formula Grant Policies and Procedures: http://www.cals.wisc.edu/research/waes/management.html?0?Cp5  CRIS Reporting: http://www.cals.wisc.edu/research/waes/cris.html?0?Cp5  Multistate Information (NIMSS): http://www.cals.wisc.edu/research/waes/about.html?4?Cp5

4. Wisconsin Agricultural Experiment State (WAES)/Formula Grant Contacts Angie Seitler, aseitler@cals.wisc.edu, 1-1432aseitler@cals.wisc.edu  Operational/Policy Development, Financial, Implementation, Oversight, Approval, Multistate Jennifer Pang, jpang@cals.wisc.edu, 0-2249jpang@cals.wisc.edu  Post-award/Financial Casey Hillmer, clhillmer@cals.wisc.edu, 2-2397clhillmer@cals.wisc.edu  CRIS Set-up/Annual Reports and Formula Grant Application Submission Cheryl Deering, cdeering@cals.wisc.edu, 2-2536cdeering@cals.wisc.edu  Compliance

5. Introduction to Research Administration

6. CALS Research Division Mission The Division:  facilitates research  strives to help Investigators meet compliance regulations  fosters the ethical stewardship of research funds and sponsor expectations  has administrative responsibility for all aspects of extramural research support within CALS

7. We Are Here to HELP You CALS Research Division website:  www.cals.wisc.edu/research www.cals.wisc.edu/research Who Should I Contact:  All Staff Directory All Staff Directory  Proposal Development Proposal Development  Other Functions Other Functions

8. Roles and Responsibilities Research and Sponsored Programs (RSP) – promotes and facilitates research, education, and outreach missions of the UW by supporting and administering extramurally sponsored programs. CALS Research Division – responsible for oversight, guidance, review, and interpretation of all College proposals, agreements, contracts, awards, etc.

9. Roles and Responsibilities PIs:  Conduct of research  Budget/award management  Effort reporting  Regulatory compliance  Technical reporting  Invention disclosures  Project closure

10. Roles and Responsibilities PIs need to:  Know the terms/conditions of award and applicable University/State policies  Determine allocability, allowability, reasonableness, and applicability of costs  Authorize accounts to be charged  Provide written justifications (and associated documentation) to initiate transactions

11. Roles and Responsibilities PIs need to:  Review and approve subcontractor performance and invoices  Notify appropriate entities of changes  Review and approve financial status of project  But, most importantly, know who to contact for help

12. Important Reminders  Applications are submitted by the UW on behalf of the PI  Awards are accepted by the UW and assigned to a PI  RSP is delegated signature authority (authorized official) by the Board of Regents for proposals, agreements, contracts, etc. related to extramural support activities. Principle Investigators (PIs) may not sign on behalf of the Board of Regents.

13. Important Reminders  Authorized official is held responsible by the sponsor to assure that the institution will meet the obligations  PIs are responsible and accountable to the grantee for the proper conduct of the project or activity (birth to death).  Each of us is a representative of the UW, accountable to the State of Wisconsin, and ultimately responsible for assuring efforts of good stewardship

14. Tips for a Successful Submission  Start in advance see Lead Time guidelinessee Lead Time guidelines  Notify Division of plans to submit  Work closely with Division staff  Submit to Division for initial review “at least a week in advance” of submission deadline  Keep Division informed  Don’t hesitate to ask questions  Don’t hesitate to let us know how we can help

15. Tips for a Successful Submission Submissions cannot proceed without full review and approval. All proposals (pre- and full), agreements, contracts, letters of intent with obligations, etc. must route from PI to Department/Center to College to RSP for full review and approval before submission. See CALS guidelines regarding applications submitted outside CALS/UW channels.

16. Where Should You Begin? Best recommendation: Schedule a session with Division staff to talk about procedures, discuss your needs, answer your questions … We Are Here to HELP You!

17. Finding Funding Laurel Norris lnorris@cals.wisc.edu 0-1677

18. Finding Funding CALS Resources:  eCALS eCALS  Research Division Funding OpportunitiesFunding Opportunities UW Graduate School:  Research Funding Research Funding Research and Sponsored Programs:  Funding Resources Funding Resources  IRIS – Illinois Research Information Service IRIS  SPIN – Sponsored Projects Information Network SPIN  COS – Community of Science COS National Search Engines:  grants.gov grants.gov  GrantsNet GrantsNet

19. WISPER Julene Gaspard jgaspard@cals.wisc.edu 0-2590

20. WISconsin Proposal Electronic Routing (WISPER)  Web-based system to route and manage proposal submissions Virtually all proposals for funding must go through WISPER WISPER is NOT a system from which to create or submit proposals  Log in: www.cals.wisc.edu/research > WISPER Quick Link on right www.cals.wisc.edu/research www.rsp.wisc.edu/wisper

21. Using WISPER  Sign In > UW WISPER > My WISPER Inbox, Approvals, Records for Which I am PI  Create Records Add a deadline. If it is not absolute, let CALS know Use the Comments tab and General tab to include clear instructions and critical information  PI Signature You sign the record and complete the compliance  Attachments Budget Budget Narrative Scope of Work Request for Proposals

22. Budget Building  Resources for Budget Building  Personnel – Titles and Fringe rates  Subcontract vs. Procurement from a Vendor  What to look for in the RFP: Indirect costs: Sponsor’s policy must be written and applied consistently Matching/Cost Share – Call CALS  Required vs. Voluntary Other funding policies and restrictions  Equipment, Tuition remission

23. WISPER Approvals vs. Routing  Approval Requests allow others to view the record, you remain the owner Send approval requests to Department Chair & Administrator Send approval requests to CALS for budget review, advance account set up, other  Routing the record moves it out of your inbox into another person’s inbox Route the record to CALS Research Division – Anytime – The sooner, the better

24. WISPER Resources  Your Department Administrator  CALS Research Division: http://www.cals.wisc.edu/research/http://www.cals.wisc.edu/research/ Preaward contacts:  Julene Gaspard, 0-2590, jgaspard@cals.wisc.edujgaspard@cals.wisc.edu  Meredith Luschen, 1-1500, mluschen@cals.wisc.edumluschen@cals.wisc.edu  Becky Bound, 5-8443, rbound@cals.wisc.edurbound@cals.wisc.edu eCALS newsletter- best practices  RSP website: http://www.rsp.wisc.edu/WISPER/ Training/practice site, web manual WISPER 101 & 201 classes

25. Electronic Submission Systems Becky Bound rbound@cals.wisc.edu 5-8443

26. Cayuse  Web-based system purchased by UW for Grants.gov submissions  Currently supports 95% of applications that require Grants.gov forms We use heavily for NIH and USDA submission, also for other federal agencies

27. Using Cayuse  Log in: http://www.rsp.wisc.edu/cayuse/index.htmlhttp://www.rsp.wisc.edu/cayuse/index.html Use your UW Net ID and password  Important! Go to “Professional Profiles,” click on your name in the list Under eRA Role, check the Principal Investigator box  Creating a proposal: Click on the button Enter required information to create the proposal  Opportunity number, PI, etc

28. Navigating in Cayuse  The lefthand list contains required forms. Each is a link that will take you into that form and page.  Cayuse autofills, autopopulates, and autocalculates  Permissions Profile and Proposal  Routing and Submission Go to Routing and Approval Make sure Carol Hillmer and Stephanie Gray are listed Check the black box next to your name

29. Other Electronic Systems  Fastlane: https://www.fastlane.nsf.gov/fastlane.jsphttps://www.fastlane.nsf.gov/fastlane.jsp NSF system for proposal submission and award Need to give SRO check/edit rights for proposal review, add SRO submit rights when ready to submit – CALS will submit Fastlane proposals Contact Casey Hillmer, clhillmer@cals.wisc.edu for account setupclhillmer@cals.wisc.edu  eRA Commons: https://commons.era.nih.gov/commons/https://commons.era.nih.gov/commons/ NIH system to track proposals and awards Contact Casey Hillmer, clhillmer@cals.wisc.edu for account setupclhillmer@cals.wisc.edu

30. Other Electronic Systems  Grants.gov: http://grants.gov/http://grants.gov/ Web portal, mandated for submission to federal agencies We use rarely because of Cayuse  NSPIRES: http://nspires.nasaprs.com/external/http://nspires.nasaprs.com/external/ Electronic system used by NASA  ProposalCENTRAL: https://proposalcentral.altum.com/https://proposalcentral.altum.com/ Submission through all of these systems happens in parallel to WISPER

31. Non-funded Agreements Meredith Luschen mluschen@cals.wisc.edu 1-1500

32. Material Transfer Agreements  MTAs are contracts defining the respective rights and obligations of the Provider and the Recipient of materials used in research Biological materials such as genetic constructs, plasmids, proteins, DNA, cell lines, seed lines, plant germplasm, organisms (mice) Chemical compounds or polymers, potential new drugs Software programs and tools

33. Incoming Material Transfer Agreement  Materials provided TO a recipient scientist at UW- Madison by any party, including (but not limited to) an academic or non-profit institution, or a for-profit company Incoming from Educational & Non-Profit Sources  Under UBMTA (Uniform Biological Material Transfer Agreement) use the Implementing letter  If UBMTA is not used, Simple Letter Agreement for Transfer of Materials Incoming from For-Profit Entities  Industry/company for-profit providers usually utilize their own MTA templates, delineating terms and conditions that protect and advance their commercial interests  UW-Madison accepts these as an initial negotiating point; finalizing mutually agreeable terms can be a lengthy process

34. Outgoing Material Transfer Agreement  Materials sent FROM a providing scientist at UW- Madison to an off-campus recipient at another academic or non-profit institution UBMTA ‘Implementing Letter’ or ‘Simple Letter of Agreement’ used  Materials sent to a for-profit company/industry ‘Simple Letter of Agreement’ is preferred template

35. Outgoing MTA if IP Assigned to WARF  If material to be transferred is identified as intellectual property that is part of a pending or issued patent under WARF management, or is assigned to WARF as a “biological material,” follow WARF guidelines for required material transfer agreement: http://www.warf.org/inventors/index.jsp?cid=17&scid=21

36. Confidentiality Agreements/Non-disclosure Agreements  For use when two parties wish to share information for certain purposes that is confidential. Some examples of its use: You are going to tour a for-profit facility to meet with a potential collaborator You are attending a conference where potentially confidential information will be discussed You have been invited to speak at a for profit board meeting regarding the research you are doing.

37. Other Types of Agreements  Collaboration Agreement  Equipment Loan Agreement  Equipment Gift Agreement  Secrecy Agreement  Memorandum of Understanding  Non Use Agreement

38. Compliance Cheryl Deering cdeering@cals.wisc.edu 2-2536

39. Compliance and the WISPER Record  Animal Welfare  Environment Health & Safety 1) Biosafety 2) Chemical 3) Radiation  Human Subjects  Human Pluripotent Stem Cell

40. Continual Management of Protocols  Renewal Dates  Amendments

41. Certifications/OAR/COI  Human Subjects  Human Pluripotent Stem Cell  Animal Use  Outside Activity Report (OAR)  Conflict of Interest (COI) Disclosures  JUST IN TIME

42. Award Setup Ginger Freitag gfreitag@cals.wisc.edu 0-1648

43. Congratulations! Your proposal is selected for funding.  Forward copies of any communications regarding the award to CALS Research Division  Read the Terms and Conditions of the award If you agree to them, add your signature as PI to the award section in WISPER  Monitor award progress in WISPER Approval Tab: RSP will request “Set Up Projects” approval from CALS Status: Will show 4.5 or 5  RSP must accept the award – they are the only office authorized to do so

44. Award Setup: CALS Checklist  Compliance Protocols, Outside Activities Report, Effort Training  Any changes from proposed budget, project dates  Effort commitments  Subaccounts or Expanded Edits?

45. Award Setup: Finalized  CALS has signed off  RSP has signed off WISPER record: SPO Action Tab  Status will show “6-Completed”  Project Number will be assigned  Process shifts from WISPER to WISDM

46. Award Setup: Account in Advance  An option if: Contract negotiations are prolonged The award is committed but delayed Be mindful of start date/allowability of preaward costs  Department Administrator requests through the Approvals Tab in the WISPER record Attach written documentation from the Sponsor (Attachments Tab):  Award Amount, Project Dates, Contact Info

47. Effort Certification Laurel Norris lnorris@cals.wisc.edu 0-1677

48. Effort Certification  Effort training and certification is a requirement for anyone working on a sponsored project  Effort commitments often specified in a proposal or award, paid or unpaid  Certification provides an assurance to sponsors that: Salaries charged to a sponsored project are appropriate Faculty and staff have met their commitments  Consequences for non-compliance No proposal submissions No award set-up  ECRT: UW effort certification program ECRT

49. Post Award Accounting Sandy Fowler sfowler@cals.wisc.edu 2-3947

50. Post Award Accounting  When does post award accounting start? During the proposal stage  Pre-spending  Project start and end date  Requesting what you really need: supplies, enough salary, equipment  What is post award accounting at CALS? No cost extensions, re-budgets, transfers, exceptional purchase request Effort reporting Review of unallowable and allowable cost per OMB Circular A-21 guidelines Close out  What is post award accounting at dept level? Knowing and understanding your agreement Getting expenditures charged to the correct project Reconciliation of charges, correcting mistakes immediately Technical reporting. RSP responsible for financial reporting

51. Post Award Accounting  What are your award resources? CALS Research Division, http://www.cals.wisc.edu/research/http://www.cals.wisc.edu/research/  Award/Gift Management links  Staff & Directory, Other Functions link/tab Research and Sponsored Programs, http://www.rsp.wisc.edu/index.htmlhttp://www.rsp.wisc.edu/index.html Federal Demonstration Partnership, http://thefdp.org/; RSP’s page http://www.rsp.wisc.edu/awardmgt/fdpnondefense.htmlhttp://thefdp.org/ http://www.rsp.wisc.edu/awardmgt/fdpnondefense.html Sponsor specific websites  What are your tools? WISDM, http://www.bussvc.wisc.edu/acct/sfs/wisdm.htmlhttp://www.bussvc.wisc.edu/acct/sfs/wisdm.html Project Accounting SnapShot, https://admin.engr.wisc.edu/SnapShot/tutorial/, contact Becky Torrisi, torrisi@engr.wisc.edu, College of Engineeringhttps://admin.engr.wisc.edu/SnapShot/tutorial/torrisi@engr.wisc.edu FAST (Finance/Accounting Snapshot Tool, https://fast.med.wisc.edu/login/login.php, contact Warren Emery, wlemery@wisc.edu https://fast.med.wisc.edu/login/login.php