Introduction to Research Administration at ECU

Introduction to Research Administration at ECUPresented by the Office of Sponsored Programs

Research Administration

Research Administration includes thoseuniversity departments and individualswho work together towards a commongoal to enhance faculty and staffsuccess in obtaining external fundingfor research, training and serviceactivities and to assist in themanagement of their awards.

The Many Faces of RA @ ECU

Departmental Research Administrator (DRA)

Research & GraduateStudies

Office of Sponsored ProgramsPre-Award Services

Institutional Review Board

Technology Transfer OfficePatents, Inventions,

Confidentiality

Institutional Animal Care and Use Committee

Environmental Health and SafetySponsor

Compliance/Faculty Development

Grants and Contracts OfficePost-Award Services

Packet of Information

• Handout of this Presentation• Copy of Internal Forms• Sample Scope of Work (SOW)• Sample Terms and Conditions (T&C)• Quick Reference Contact List• DRA Directory

Definition of a…

• Departmental Research Administrator or DRA: An employee responsible for providing administrative support of one or more sponsored projects.

• Sponsored Project: • Any project supported with funds from an external

agency, i.e., federal, state, non-profit, private, etc. • Normally contractual in nature awarded thru a

grant, cooperative agreement, contracts, subawards or subcontracts.

Overview of theRoles & Responsibilities

of aDepartmental Research

Administrator

Pre-Award

• First line of review before proposal is routed for approvals and submitted to OSP• Assists PIs with funding searches• Communicates PIs intent to apply to OSP• Obtains and reviews sponsor

guidelines/forms• Prepares and/or assists with budget &

other documents

Pre-Award Continued

• Ensures departmental resources committed are acceptable

• Coordinates and communicates with PI to understand relationship between project goals and resources

• Prepares and/or reviews Internal Processing Form (IPF) and other internal documents

• Acquires departmental approvals

Pre-Award Proposal Approval Flowchart

PI

DRA

OSP

PIDean

PI Chair/Dept Head

Sponsor

Co-PI (2)Chair

Co-PI (4)Chair

Co-PI (3)Chair

Co-PI (1)Chair

Co-PI (4)Dean

Co-PI (3)Dean

Co-PI (2)Dean

Co-PI (1)Dean

Post-Award R&R

• Assists PI with management of grant budget• Expedites documentation for purchases• Reconciles monthly ledgers of expenditures• Assists with documentation of mandatory

cost sharing and/or match• Provides information to resolve overdrafts

Post-Award R&R Continued

• Assists with recruitment, appointment and effort reporting for personnel

• Assists PIs with compiling information for final financial report

• Provides information for closing reports• Assists PI with development of continuation

or renewal proposals• Provides department-level training

Overview of theRoles & Responsibilities

of aPrinciple Investigator (PI)

Principle Investigator (PI) R&R

• Reviews sponsor’s program guidelines • Prepares proposal, budget & other materials • Identifies subrecipients and consultants• Requests cost sharing, if required • Satisfies regulatory research requirements (use of

human subjects, animals, chemical, tech transfer) • Reviews and signs Internal Processing Form (IPF),

multi-disciplinary form and conflict of interest certification (if applicable)

• Assures final proposal is endorsed and submitted

PI R&R

• Negotiates and approves project scope (See sample SOW)

• Reviews and approves of terms & conditions of award (See sample T&C)

• Conducts the research • Oversees scientific integrity of project. Is familiar

with University academic fraud policy (PDF) and brings to Dean’s attention any allegations of academic fraud or scientific misconduct. Dean’s office makes a determination as to the merit of the allegations.

PI R&R

• Oversees that project technical requirements and allocation of resources are fully understood by all parties

• Oversees budget management • Authorizes all expenditures, cost transfers,

rebudgeting • Manages project personnel • Oversees scope of work and authorizes

payments to consultants and subrecipients • Discloses inventions, discoveries, improvements

to Tech Transfer Office

PI R&R

• Completes interim and final technical reports• Updates assurances and prepares disclosure form

of any conflict of interest develops • Signs certification statements for effort reporting • Provides oversight for rebudgeting, cost transfers,

and carry forwards • Provides information on closing reports • Prepares continuation or renewal proposal • Retains project data and materials as required

Overview of theRoles & Responsibilities

of the Office of Sponsored Programs

(Pre-Award)http://www.research2.ecu.edu/osp/

OSP R&R

• Provide services to the university that facilitate the acquisition of external funding for sponsored projects in research, creative activity, instruction, and public service

• Protect the interests of the University• Facilitate the effective and efficient execution

of sponsored projects• Ensure a uniform, streamlined administrative

process for grants and contracts

Proposal Development Process

PI Wants to Submit a ProposalContacts DRA/OSP

Preliminary Proposal, Budget & Forms to OSP (2 weeks prior to deadline)

Develop Concept/Discuss Processing Timeline with OSP Representative

Contact DepartmentalResearch Administrator

Contact Sponsor Program Director

Proposal to PI for RevisionsDocuments to Department for

Signature(s) (1 week prior to deadline)

Final Documents to OSP for Review &Signature (3-5 days prior to deadline)

Proposal Submitted to Sponsor by PI or OSPProposal Assigned OSP #

OSP R&R

• Act as signature authority• Only OSP is the “Authorized Representative”

on ALL grants and contracts• Submit proposals to sponsors electronically via

grants.gov, fastlane, e-commons, etc.• Ensure all grants and contracts are in

compliance and consistent with university policies, federal & state laws, and sponsor guidelines

• Act as a liaison with sponsors – negotiation burden

OSP R&R

• Track all awards & submissions• Write subcontracts, amendments,

modifications• Provide Research Administration training

• Departmental Research Administrators• Principle Investigator• Program Specific

• Develop and maintain partnerships with sponsors

Overview of theRoles & Responsibilities

of the Grants and Contracts Office

(Post-Award)http://www.ecu.edu/cs-admin/financial_serv/index-grantsandcontracts.cfm

G&C R&R

• Responsible for post-award administration and financial management of all grants and contracts awarded to ECU• Assigns account number and sets up line-

item budget• Submits/approves invoices of expenditures to

sponsor• Responsible for all financial reporting to

sponsoring agencies

G&C R&R

• Coordinate all audit matters relative to sponsored activities

• Assist PI and DRA with rebudgeting • Monitors all subcontract/subrecipient budgets• Tracks cost share and third party match• Responsible for monitoring, certification and

reporting of time & effort• Submit interim and final invoice and reports as

mandated by sponsor • Close out awards @ ECU and w/Sponsor

G&C Contacts

Kathleen Hall, DirectorElla Arnette-Barrett, Accountant

Steve Ayers, AccountantMelissa Thorne, Accountant

Grants and ContractsEast Carolina University

Greenville Centre, Suite 29002200 S. Charles BoulevardGreenville, NC 27858-4353

Phone: 252-328-9530Fax: 252-328-0769

http://www.ecu.edu/cs-admin/financial_serv/index-grantsandcontracts.cfm

OSP

Grants & Contracts

Sponsor Makes Award

PI DeanDRA

PIPI Chair

PI DRA

OSP

Post-Award Flowchart

Grants & Contracts

Overview of theSupport Offices

IRBIACUC

Environmental Health & SafetyTech Transfer

Institutional Review Board

The primary function of the IRB is to protect theRights and welfare of human subjects engaged inresearch at ECU, BSOM and PCMH and theiraffiliates, and in research conducted elsewhere byfaculty, students, staff or other representatives ofthe University in connection with theirresponsibilities. This mission is accomplished by aninstitutional commitment to education andestablishment of a collaborative relationship with theresearchers and key support staff.

IRB Contact

Denise L. Brigham, RN, CCRC, CIP Administrative Director

Phone 252-744-1971Fax 252-744-2284

brighamd@ecu.edu

http://www.ecu.edu/irb/

Institutional Animal Care and Use Committee

The use of animals is essential to the teaching,extension, and research missions of ECU.Significant benefits to the health and welfare ofboth animals and humans have resulted fromanimal use in research, and continued use iscrucial to future advancements.

The IACUC fosters compliance through facilitatingthe Efforts employed by the institutions scientistsand instructors in the utilization of the animalmodel in research, education and other scholarlypursuits.

IACUC Contact

IACUC CoordinatorMs. Janine Davenportdavenportp@ecu.edu

252-744-2436

http://www.ecu.edu/iacuc/

Environmental Health and Safety

Monitors use of Biological Hazards, RadioactiveMaterials, and other Chemical Hazards used inresearch and development. EH&S developspolicy manuals and training programs thatensure campus safety, environmentalsustainability and regulatory compliance. TheSchool of Medicine's Office of Prospective Healthmanages biological safety, radiation safety,infection control and employee health.

Environmental Health Contact

Environmental Health and SafetyBill Koch

210 E. 4th StreetGreenville, NC 27858

(252) 328-6166safety@ecu.edu

http://www.ecu.edu/oehs/

Office of Technology Transfer

The mission of the Office of Technology Transfer(OTT) is to promote innovation, enhance research,and facilitate economic development throughprotecting and commercializing intellectual propertyin an efficient and effective manner that benefitsthe University, the region, and the society as a

whole. OTT serves as an educational resource on

intellectual property and licensing matters andmanages the University’s portfolio of patents andlicenses.

OTT Contact

Office of Technology TransferMark Foley or Marti Van ScottGreenville Centre, Room 24002200 South Charles Boulevard

Greenville, NC 27858-4353 USA252.328.9549

http://www.research2.ecu.edu/ott/

OSP Contacts

• East Campus• Melody Bentz, Grants & Contracts

Officer, 328-9537, bentzm@ecu.edu• Rick Smiley, Grants & Contracts Officer, 328-9536, smileyr@ecu.edu• Beth Eslick, Grants & Contracts Officer,

744-1847, eslicke@ecu.edu

Corporate & Foundations

The university contact for Corporate Philanthropy and Foundations is:

Sharon HamiltonDirector, Corporate & Foundation Relations

252.328.8550hamiltons@ecu.edu

http://www.ecu.edu/cs-admin/devt/Corporate-Foundation-Home-Page.cfm