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Introduction to Research Administration
Offices of Sponsored Projects and Research Development
Research Administration
Office of Research
Office of Research
Development
Office of Sponsored
Projects
Office of Post-award
Management
Office of Research Integrity
Office of Technology
Commercialization
The Office of Sponsored Projects
Rachell Reilly – Director
Amanda Miller – Specialist
Dina Caplinger – Specialist
Jonathan Spencer – Specialist
Emily Richards – Specialist
Rebecca Everett – Administrative
Services Officer
OSP MissionTo coordinate the preparation,
submission and management of externally funded research projects, educate researchers about funding opportunities and sponsor policies, and negotiate terms for research contracts.
OSP ResponsibilitiesAssist researchers in finding funding
opportunities.Assist researchers in interpreting
sponsor policies and procedures.Provide technical assistance to
researchers drafting proposals, review proposals, and submit applications.
Negotiate terms for grant awards and research contracts.
Assist with post-award communication with sponsors.
Potential source of research funding identified
Funding restrictions/deliverables
required?
Contact the Development Office
Contact OSP and forward submission information (BAA, RFP, etc.)
OSP assists PI with budget/proposal development
PI prepares the Cert and Export Control forms and routes them to the Dean’s office
with a copy of their proposal
When all institutional approvals are obtained and the PI is ready to submit, OSP will submit
the application
Subcontractor?
Subs must submit a statement of work, budget with justification and Letter of Commitment to OSP prior to proposal
submission
Yes
No
Pre-award Process Flow
Dean’s office forwards signed Cert form to OSP once approved.
PI forwards proposal to OSP . OSP reviews proposal against Sponsor
guidelines and UTD policy
Yes
No
Grant Submission ProcessOSP is notified of PI’s intent to submit a
proposal (at least 2 weeks prior to submission).
PI supplies OSP with link to program or solicitation and needed internal paperwork.
OSP assigns an OSP ID to the proposal.All submission materials are forwarded to
OSP a minimum of 4 working days prior to submission date.
OSP reviews proposal and checks against the solicitation.
Proposal is submitted to agency.
OSP Submission Policy ALL submission materials and paperwork must be
submitted to OSP at least 4 business days prior to the submission deadline.
Incomplete submissions and/or submissions received after this deadline will be processed only after all complete and timely applications have been processed.
All submission materials received after the 4 day window will require the approval of the Vice President for Research or the Associate Vice President for Research before OSP will submit the application. An explanation of the extenuating circumstances that resulted in the late proposal must accompany the request for such approval.
Cost-Share
Cost ShareProject costs supported by
funding sources other than the primary sponsor.
Types of cost-share:◦Mandatory Committed◦Voluntary Committed◦Voluntary Uncommitted
Cost-Share (cont.)Mandatory Cost-Share
◦ Required by the sponsor as a condition of award.◦ Will be included in the program solicitation.
Voluntary Committed Cost-Share◦ Not required by the sponsor, but included in the
proposal.Voluntary Uncommitted Cost-share
◦ Not required by the sponsor and not included in the proposal submission.
Cost-Share (cont.)
Mandatory CS and Voluntary Committed CS needs be tracked.
Approval must be obtained by your Dean prior to proposal submission.
Institutional ApprovalsObtained through internal forms
and required of all grant proposals prior to submission:◦Cert Form
PI, Co-PIs, Department Head, Dean
◦IDC Waiver Form PI, Co-PIs, and Dean
◦Compliance Approvals IRB, IACUC, Environmental Health and
Safety
Internal Forms for Grants
Required for all grant submissions◦Cert Form◦Export Control Form◦IDC Waiver Form
For projects which do not incur allowable IDC from Sponsor.
Certification FormUTD Proposal No.:
PI Info
PI Name: Phone:
Co-PI(s): Email:School: Mailstop:
Proposal/Sponsor Information
Proposal Title:Sponsor:CFDA #: Sponsor Link:
Start Date: (Website for sponsor RFP/Guidelines)End Date: Proposal Deadline:
Sponsor Type: Federal FoundationState/Local Other
Industrial/Corporation Is the Sponsor a foreign entity?
Compliance (check all that apply)
Office of Research Compliance (x6745) Environmental Health and Safety (x4111)Human subjects Biohazards Select agentsAnimal subjects Recombinant DNA Controlled subst.
Lasers/Radiation Toxins/Haz. chem.
Effort/Cost Share
How much effort have the PI and/or Co-PI(s) committed to this program?*PI Co-PI1 Co-PI2 Co-PI3
PI NameCommitment (% or weeks or $)
Is any effort cost shared**? (Y or N)If "Yes", how much?
Is there additional cost share? If "Yes", how much?
Signature of Dean or Dean's desgnee to acknowledge cost share commitment -->
Budget Summary
Sub CodeSalary/Wages 1200
Fringe Benefits 2000Travel 4100
Supplies/M&O 4200Subcontract < $25,000 6312Subcontract > $25,000 6303
Tuition/Scholarships 6890Capital Equipment 6900
Total Direct CostsIndirect Costs 9100
TOT PROJ COSTS
Principal Investigator Date Dean Date
Co-PI Date Office of Sponsored Projects Date
Program Head/Center Director Date Office of the Vice President for Research Date
120332
First Year Total Project
-$ -$
-$ -$
IDC Rate53%
-$ -$ -$ -$
* Committed effort should only include effort that is documented in the proposal submitted to the Sponsor.
** Cost shared effort includes any committed effort that is not paid for by the sponsor.
IDC Applies
IDC does notapply
UNIVERSITY ENDORSEMENT: The attached proposal has been examined by the off icials whose signatures appear below. The principal academic review of the proposal is the responsibility of the Program/Center and School. The research or program is in keeping w ith the University of Texas at Dallas' educational objectives and is w ithin the established role and scope of this institution. It is in full compliance w ith the Board of Regent's Rules and Regulations.
Yes No
Y N Y N Y N Y N
Y N
SubmissionOnce submission materials are
received, OSP will provide a thorough review bringing any issues to the PI’s attention.
Once OSP approves proposal, Specialist will contact PI to obtain final submission confirmation.
Proposal Submitted!
Contracts Administration Process
◦PI notifies their OSP Specialist and submits the appropriate internal forms to OSP.
◦Departmental approval obtained through the Dean.
◦OSP negotiates contract terms as appropriate.
◦PI approval is obtained on final document.
Internal Forms for ContractsDependent on Type of Contract
◦Export Control Form (PI) All contracts
◦Dean’s Approval Memo (OSP) Contracts requiring PI effort
◦Contract Intake Form (PI) SRA, Service Agreement, Sub-out, Lab-use, etc.
◦CDA Request Form (PI) Confidentiality (AKA: Non-Disclosure) Agreements
Types of ContractsTo name a few
Subaward Out Sponsored Research Agreement (SRA) Material Transfer Agreement (MTA) Services Agreement Interagency Contract (IAC)
◦ Interagency Cooperation Contract (ICC)
Non-Disclosure Agreement (NDA)◦ Confidential Disclosure Agreement (CDA)
Industrial Practicum Agreement (IPA) Industrial Research Assistant (IRA) Collaboration Agreement Memorandum of Understanding (MOU)
Contract Negotiation
OSP negotiates terms and conditions of the contract
OSP obtains signature from official signatory
Rachell Reilly Rafael Martin Bruce Gnade
Award ProcessOnce a contract has been fully
executed or a grant award released from the sponsor, OSP will:◦ Provide award documentation (or a copy of
the executed agreement) to the Office of Post-award Management for post-award processing.
◦ Once a cost center has been established by OPM, OSP will forward award documentation to the PI, the Dept AA, and the Dean’s office.
◦ VPR will forward a New Award Memo to the PI, Dean, and President.
Award Process Cont.Some grants contain outgoing
subawards◦Department must process a PO
through Procurement in order for UTD to pay subawardee’s invoices.
Procurement x2252
Useful InformationContacting OSP
◦ OSP Main Office – x2313 [email protected]
◦ Rebecca Everett – x4313 [email protected]
◦ Rachell Reilly – x2040 [email protected] ◦ Amanda Miller – x4575
[email protected] ◦ Dina Caplinger – x2312
[email protected] ◦ Jonathan Spencer – x2041
[email protected] ◦ Emily Richards – x4572
Useful Information
Websites
◦OSP- (current PI lists) http://www.utdallas.edu/research/osp/index.html ◦Researchers Guide- http://
www.utdallas.edu/research/guide/index.php
◦Forms – http://www.utdallas.edu/research/osp/forms.html
Commonly Used Abbreviations/Acronyms Cert – Internal Certification Form COI – Conflict of Interest F&A – Facilities and Administration costs (same as IDC) IDC – Indirect Costs LOC – Letter of Commitment M&O – Materials and Operational expenses NCE – No-cost Extension NOA – Notice of Award OPM – Office of Post-Award Management ORI – Office of Research Integrity OSP – Office of Sponsored Projects OTC – Office of Technology Commercialization PI – Principal Investigator PS - PeopleSoft RFP – Request for Proposals SOW – Statement of Work Sub – Subcontract (or Subaward) VPR – Vice President for Research
Common Federal Sponsoring Agencies AFOSR – Air Force Office of Scientific Research DARPA – Defense Applied Research Projects Agency DHHS – Department of Health & Human Services DHS – Department of Homeland Security DOD – Department of Defense DOE – Department of Energy DoEd – Department of Education DOJ – Department of Justice NASA – National Aeronautics and Space Administration NEA – National Endowment for the Arts NEH – National Endowment for the Humanities NIH – National Institutes of Health NSF – National Science Foundation ONR – Office of Naval Research USDA – US Department of Agriculture VA – Department of Veterans Affairs
Common Texas Sponsoring Agencies CPRIT – Cancer Protection and Research Institute of Texas ETF – Texas Emerging Technology Fund NHARP – Norman Hackerman Advanced Research
Program TDPS – Texas Department of Public Safety TEA – Texas Education Agency THECB – Texas Higher Education Coordinating Board THHS – Texas Health and Human Services TIF – Texas Ignition Fund TWC – Texas Workforce Commission Welch – The Robert A. Welch Foundation
Useful Definitions Agency – A department, entity, office, etc. soliciting research
projects. Budget - A detailed account of funds needed for a research project.
Expenses are split into budget categories: Salary, Fringe, M&O, Travel, Equipment, IDC.
Budget Justification – Written statement outlining and justifying each expense included in the proposal’s budget. Level of detail determined by the Sponsor.
Catalog of Federal Domestic Assistance (CFDA) – a directory of Federal programs that offer financial and nonfinancial assistance. Each federal grant application and award will have a CFDA associated with it and will likely be listed in the program solicitation.
Flow-through – Federal funds awarded to a Prime Recipient which are then passed on from that Prime Recipient to another institution via a subaward.
IACUC – Institutional Animal Care and Use Committee. Approval required for the use of animals.
Indirect Costs – Costs associated with day to day operations of the University. (Admin. personnel, utilities, general office equip, etc.)
Useful Definitions (cont.) Indirect Cost Rate Agreement – Federally negotiated agreement
which determines the University’s indirect cost needs relating to research activities.
IRB – Institutional Review Board. Review required for human subjects research.
Letter of Commitment – A letter submitted to a Sponsor which commits the Institution to participating in a research project. Must be signed by an official signatory. Typically used in subaward applications.
Pre-award – Authorization for spending prior to the official start date of a grant. The request for a pre-award cost center is forwarded to OSP by the PI for a period of no more than 90 days, along with clear documentation from the sponsor of the funding status for the project.
Principal Investigator – Faculty member directing the research grant/contract.
Proposal – A document submitted to a Sponsor which outlines and defines a research project and justifies the need for Sponsor funding.
Useful Definitions (cont.) Prime Award – The award issued directly from the Sponsor in
response to a proposal submitted to a program solicitation. If another institution is needed to perform a portion of the awarded project, a subaward agreement is then issued from the prime recipient of the grant/contract.
Prime Recipient – The institution which receives an award directly from a Sponsor.
Solicitation – A published request from a sponsoring agency for research proposals which outlines the required elements of a proposal and terms and conditions of an award. Can also be referred to as a BAA, PA, RFP, etc.
Sponsor – An agency providing funding for a specific grant or contract.
Statement of Work – Written statement included in a grant proposal/contract from the PI which details the work being proposed.
Subaward – a contract issued to an institution or agency to conduct a portion of the research project proposed to the funding agency.
Subrecipient – The recipient of the subaward contract. Will be performing a portion of the prime award project. Also known as Subawardee or Subcontractor.
