Pre award Research Administration and the Role of the Office of Research Presented by Allen A DiPalma Director Office of Research April 9 2007 01 13 19 1 The Office of Research 01 13 19 What We Do 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 pre award and selected post award tasks 2 The Office of Research cont 01 13 19 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 01 13 19 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 01 13 19 Definitions Award Mechanisms Sponsors Compliance Funding Opportunities Grants gov 5 What is a Sponsored Project 01 13 19 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 01 13 19 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 01 13 19 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 01 13 19 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 01 13 19 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 01 13 19 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 01 13 19 Federal Sponsors Other Government Sponsors Commercial Corporate Sponsors Philanthropic Foundations Voluntary Health Organizations 12 Leading Federal Sponsors 01 13 19 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 01 13 19 Commonwealth of Pennsylvania County of Allegheny City of Pittsburgh Other local units of government 14 Commercial Funding More than 330 sponsors Financial and non financial agreements International portfolio reflects world wide research Types of sponsors pharmaceutical companies biotech companies other companies corporations 01 13 19 15 Philanthropic Foundations 01 13 19 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 01 13 19 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 Contract Co operative Agreement Subaward 01 13 19 18 Grant 01 13 19 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 01 13 19 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 01 13 19 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 01 13 19 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 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 01 13 19 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 01 13 19 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 propwr iting html 24 Definition Compliance 01 13 19 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 01 13 19