Preaward Research Administration and the Role of the

Pre-award Research Administration and the Role of the Office of Research Presented by: Allen A. Di. Palma, Director Office of Research April 9, 2007 2/10/2022 1

The Office of Research n 2/10/2022 What We Do u The Office of Research, a central staff office reporting to the Vice Provost for Research, is charged with administrative responsibility for all University research and related activities involving extramural sponsorship. The Office of Research provides project and proposal development assistance and grants and contracts administration for preaward and selected post-award tasks. 2

The Office of Research (cont. ) n 2/10/2022 Prior to submission to the sponsor, all proposals must be sent to and reviewed by the Office of Research to ensure adherence to internal and external policies and procedures. The Director of the Office serves as the designated University Official for signature and all related matters. 3

The Office of Research (cont. ) n n 2/10/2022 Located at 350 Thackeray Hall Normal business hours 8: 30 am-5: 00 pm Telephone 412. 624. 7400 http: //www. pitt. edu/~offres/index. html 4

Topical Outline n n n 2/10/2022 Definitions Award Mechanisms Sponsors Compliance Funding Opportunities Grants. gov 5

What is a Sponsored Project? n 2/10/2022 Any scholarly activity proposed by University faculty, students, or staff, and funded by an external source. Involves a specific plan of work, a limited time frame for performance, and a project budget. 6

What is a Sponsored Project? (cont. ) n n n 2/10/2022 Responsibility for conduct of your project and use of money shared between project director and the University. Overall administrative, legal, and financial obligations generally reside with University. Rights, Roles and Responsibilities of Sponsored Research Investigators http: //www. pitt. edu/HOME/PP/policies/11/1101 -02. html 7

SPONSORED PROJECT Fiscal Criteria n 2/10/2022 Sponsored project accounts are established when funds are awarded to the University by external sources in support of research, instruction, training, or service. The following conditions define sponsorship. 8

1. 2/10/2022 The award instrument is an agreement that binds the University to a set of terms and conditions and requires institutional endorsement by the Office of Research. The agreement obligates the investigator to a line of scholarly or scientific inquiry that follows a plan, provides for orderly testing or evaluation, and/or seeks to meet stated performance goals. 9

3. 4. 2/10/2022 The agreement establishes an understanding of how funds will be used or includes a line item budget that identifies expenses by activity, function, or project period. The agreement requires fiscal accountability (e. g. , submission of financial reports, an audit provision, or the return of unexpended funds at project end). 10

5. 6. 2/10/2022 The agreement obligates the investigator to report project results or convey rights to tangible or intangible project properties. Tangible properties include equipment, records, technical reports, theses, or dissertations. Intangible properties include rights in data, copyrights, or patents. The agreement specifies legal obligations that require accountability. 11

SPONSOR TYPES n n n 2/10/2022 Federal Sponsors Other Government Sponsors Commercial/Corporate Sponsors Philanthropic Foundations Voluntary Health Organizations 12

Leading Federal Sponsors n n n 2/10/2022 National Institutes of Health (NIH) National Science Foundation (NSF) Dept. of Defense (Air Force, Army, DARPA, Office of Naval Research) Dept. of Education Dept. of Energy National Aeronautics & Space Administration (NASA) 13

Other Government Sponsors n n 2/10/2022 Commonwealth of Pennsylvania County of Allegheny City of Pittsburgh Other local units of government 14

Commercial Funding n More than 330 sponsors Financial and non-financial agreements u International portfolio reflects world-wide research u n Types of sponsors: pharmaceutical companies u biotech companies u other companies/corporations u 2/10/2022 15

Philanthropic Foundations n n n 2/10/2022 Over 100 awards 60+ sponsors Major national foundations (Ford, Kellogg, Robert Wood Johnson) Locally-based national foundations (Hillman, Mellon, Scaife) Primarily locally focused foundations (Pittsburgh, Grable) 16

Voluntary Health Organizations n n 2/10/2022 Organizations with giving as either primary or secondary emphasis; disease or advocacy-related Examples: American Cancer Society, Lupus Foundation, March of Dimes, National Cystic Fibrosis, American Heart Association 17

AWARD MECHANISMS Grant n. Contract n. Co-operative Agreement n. Subaward n 2/10/2022 18

Grant n n 2/10/2022 Grant award typically supports investigator-initiated research plan Does not specify particular outcomes Allows for flexibility in the conduct of an intended research plan or Scope of Work (SOW) Most common mechanism for University -based research 19

Contract n n n 2/10/2022 A contract specifies detailed performance and output parameters Typically entails deliverables as evidence of satisfactory work Deliverables may be tangible (device) or intangible (report) Penalties may be imposed for nonperformance Less flexibility than grants 20

Cooperative Agreement n n n 2/10/2022 Cooperative agreement bears similarity to a grant award. However, the sponsoring agency exercises direct programmatic involvement Sponsor staff may also contribute to the proposal phase 21

Subaward (Subcontracts & Similar Agreements) n n 2/10/2022 Involves performance at some secondary level with respect to a prime award recipient Terms and conditions from funding source flowed down to subawardee 22

Other Award Mechanisms n n Intergovernmental Personnel Act Agreements (IPA) support an individual for limited time at a host institution; originating institution, typically a federal entity, reimburses costs Contracted Services Agreements are consulting arrangements that: u u 2/10/2022 Pay an individual performer; individual subject to tax withholding Pay an institution/organization to perform a service, i. e. data/specimen collection on research project 23

Successful Proposal Writing n n n 2/10/2022 Proposal writing is special form of communication: fuses editorial, descriptive, analytical, and advocacy styles Not creative writing Follow sponsor’s exact instructions Perseverance pays! http: //www. pitt. edu/~offres/ propwriting. html 24

Definition: Compliance n n 2/10/2022 Merriam-Webster defines compliance as “conformity in fulfilling official requirements” In performing research at Pitt, compliance involves adherence to a system of policies and regulations that prescribe standards for the use of federal grant money, and impose penalties or sanctions for any misbehaviors or non-compliance 25

Compliance topics n n n 2/10/2022 Compliance governs use of human subjects, animal use, use of hazardous materials, and radiation safety Involves principles of informed consent for humans Assure institutional & employee health & safety Assure minimization of animal pain and distress in experimental procedures Must have prior approval from appropriate committee before beginning the research 26

Compliance topics (cont. ) n 2/10/2022 University investigators are required to take web-based training modules applicable to their research. This training program is called Internet-based Studies in Education and Research (ISER). Information is located at https: //cme. hs. pitt. edu/servlet/Iteach. Controller. Servlet? a ctiontotake=displaymainpage. u Modules on human subjects, animal subjects, research integrity, HIPAA, stem cells, bloodborne pathogens, conflict of interest to name a few u Office of Research checks to make sure applicable modules completed prior to proposal submission 27

Compliance topics (cont. ) n Financial Conflict of Interest u u u 2/10/2022 The Office of Research checks to make sure that key personnel on a research project do not have a financial conflict of interest as defined by the federal government and the University. Strict limitations on definition of “significant financial interest” and amount of outside income For more information, http: //www. rcco. pitt. edu/coi/ 28

Compliance topics— Conflict of Interest (cont. ) n n n 2/10/2022 Faculty must complete the COI disclosure form by April 15 th of each year Forms and instructions can be found at https: //coi. hs. pitt. edu/front. asp. Office of Research checks COI for all key personnel at time of proposal submission 29

IDENTIFYING FUNDING OPPORTUNITIES Resources at the University of Pittsburgh include: The Office of Research’s funding resource web page is located at www. pitt. edu/~offres/funding. html n. Elaine Riberich, Funding Specialist emr@offres. pitt. edu or 412. 624. 7413 n 2/10/2022 30

Funding Databases and Resources n n 2/10/2022 Federal Budgets have flatlined. Faculty are under just as much pressure to obtain research funding. It is becoming more competitive both on a professional level (faculty) and an institutional level to maintain portfolios. Institutions are having to invest countless millions into their infrastructures to attract new funding. 31

Funding Databases and Resources n n 2/10/2022 More faculty are looking to nontraditional funding sources. The University of Pittsburgh offers a variety of comprehensive and specific funding databases to our faculty and students to look for both traditional and non-traditional funding sources. 32

Comprehensive Funding Databases n Subscription Only Databases: u Community of Science: « One 2/10/2022 can search for relevant opportunities from among 22, 000 plus programs. « Programs are both federal and nonfederal. « All University of Pittsburgh faculty, staff and students can utilize the funding search option. « Must be a faculty member to use 33 Expertise Database.

Comprehensive Funding Databases n Subscription Only Databases: u Sponsored Programs Information Network (SPIN): « Info. Ed International hosts this database. « Contains over 22, 000 separate funding programs. « Searches are easy and straight forward. Basic and advanced search capabilities are available. 2/10/2022 34

Comprehensive Funding Databases n Subscription Only Databases: u Illinois Researcher Information Service (IRIS): « Has around 9, 000 funding opportunities in its database. « One can perform quick searches using upcoming sponsor deadlines or other criteria. « Offers an e-mail service. 2/10/2022 35

Specific Funding Databases n Public Funding Databases: Grants. gov u Fed. Biz. Opps u 2/10/2022 36

Funding Databases n n 2/10/2022 The databases just mentioned will encompass over 90% of all available federal and non-federal funding opportunities. Please take advantage of them!! 37

Grants. Gov Brief History 2/10/2022 • One of 24 federal e-Government initiatives designed to improve access to government services via the Internet • Ultimately, the Office of Management and Budget (OMB) designated Grants. gov as the single access point for all grant programs offered by 26 Federal grant making agencies. 38

Grants. Gov Brief History A simple, unified “storefront” for all customers of federal grants to electronically: • Find grant opportunities • Apply electronically for grants 2/10/2022 39

Old Inefficiencies Applicant 11 Agency 1 2/10/2022 Applicant Agency 2 Applicant 3 3 Applicant Agency 3 . …. Applicant. NN Applicant . …. Agency N 40

Old Inefficiencies Applicant 11 Agency 1 Applicant 22 Applicant Agency 2 Applicant 3 3 Applicant Agency 3 . …. Applicant. NN Applicant . …. Agency N Eliminated through “Trusted Broker” 2/10/2022 41

Agency Transition Timetables n n Most agencies like NSF have taken a conservative approach. Some like NIH have implemented a very aggressive transition timetable. By September 2007, all NIH mechanisms will go through Grants. gov u The PHS 398 forms will be replaced by the SF 424 family of forms. u 2/10/2022 42

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WWW. Grants. Gov Website 2/10/2022 44

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Further Information? Office of Research website: http: //www. pitt. edu/~offres 2/10/2022 46