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Sponsored Projects Shared Services (SPSS) Roles
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• SPSS is responsible for setting up each grant’s master data elements
• SPSS is responsible for submitting all financial status reports to sponsoring agencies
• SPSS is responsible for closing out grants according to sponsor requirements and University policy
• SPSS is responsible for monitoring grants for compliance with applicable regulations and University policies
• SPSS is responsible for assisting in the KPMG (JHU’s external auditors) year‐end audit
Sponsored Projects Shared Services (SPSS) Department Expectations
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Grant Setup• Review grant setup in SAP
– Ensure F&A rate(s) is correct– Ensure grant value/budget is correct
• Utilize Pre‐Award Grants to reduce control salary and late transfers
Grant Reconciliation• Grant reconciliation should be preformed on a monthly basis• Reconciliation should be documented• Quarterly (at minimum) grant reconciliation meetings with Principal Investigator• Review your FSR/Closeout spreadsheet
On‐Time FSR Submission• Most grants are due within 90 days of the budget/project end date• SPSS sends draft to Department within 30 days of the budget/project end date
On‐Time FSRs: New NIH LOC Rule
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• http://grants.nih.gov/grants/payment/faqs.htm#3781• http://grants.nih.gov/grants/guide/notice‐files/NOT‐OD‐13‐120.html
– NIH will transition all award payments to the PMS subaccounts by the end of FY 2015. To help minimize grantee burden for the transition in FY 2014, NIH will only establish PMS subaccounts for domestic awards that have new document numbers. However, NIH implementation for non‐competing continuation awards will be October 1, 2014, to allow grantees a year to prepare their systems to accommodate the changes.
– Change in Processing of Funds Requested for Awards in PMS Subaccounts that are 90 days beyond the Project Period End Date
Research Administration 101
Alex GaleaGrants Manager, SOM ORA
Grants
Purpose: Financial assistance award furthering knowledge in a specific research area Propose specific scope of work and carry out approved project/activity
Sponsor Type: Government agency, foundation, or private organization
Sponsor Involvement: No substantial programmatic involvement by sponsor
Grants
Characteristics:
PI defines the scope of work
General research terms and conditions, typically flexible
Defined period of performance and funding amount
Requires technical, programmatic, and/or financial reporting
Accountability under OMB Circulars A‐21 and A‐110
Grants
Characteristics:
Deviation from approved plan of work or budget normally requires sponsor’s prior approval
Funds provided upfront, on cost‐reimbursable basis, or based on milestones
Sponsor retains the right to revoke the award and any unused funds
Grantee usually owns all rights (IP)
Publications are not restricted
Contracts
Purpose: Mechanism for the procurement of a specific service/product with specific
obligations for both the grantor and grantee Creates a quid pro quo relationship
Sponsor Type: Usually a government agency or private corporation
Sponsor Involvement: Typically sponsor provides project direction and oversight
Contracts
Characteristics:
Sponsor solicits RFP and Institution submits bid/proposal for consideration
Sponsor develops scope of work, project direction, and timeframe
PI proposes budget/methodology/resources to achieve sponsor’s SOW
Detailed and complex terms and conditions…review very carefully to ensure that everyone can comply!
Awardee can request alternate clauses that apply specifically to their institution type or to Research & Development work
Contracts
Characteristics:
Requires frequent/detailed reporting (technical/financial/patent/property)
Funds typically provided upon completion of milestones
Sponsor will likely retain most or all rights
Sponsor may require prior review/approval of publications
Awardee generally is required to produce a product, deliverable, or findings
GiftsPurpose: Funds used for departmental or research support Sometimes for a specific purpose*
Sponsor Type: Typically private, non‐governmental types Private foundations, corporations, professional associations, or individuals
Who Manages It? Johns Hopkins Fund or the Development Office Funds deposited into Departmental non‐sponsored account
Sponsor Involvement: Minimal to none
Gifts
Characteristics:
The term “gift” is frequently used interchangeably with “grant” – be careful when reviewing award documents!
An irrevocable transfer of funds, services, or property, with no expectation of benefit, goods, or services from the recipient (absence of quid pro quo)
Usually a short award letter with no terms and conditions
Involves no exchange transaction other than recognition of donor, unless anonymous donor
Usually no specified funding period nor deliverables
Gifts
Characteristics: No required fiscal/performance reporting (stewardship is nice!)
No contractual obligation
Usually unrestricted use of funds…no unallowable costs
Institution owns all rights, if applicable
Subject to 20% gift tax Do not route to ORA in Coeus
ORA’s Function
• East Baltimore Office –– Reviews of all sponsored research proposals and awards, except commercial clinical research.
• Fells’ Point Office – Clinical Research Contracting – Reviews and negotiates all commercialClinical Research agreements.
ORA Staff‐Who Does What?• Directors:
– Commercial Agreements (including SBIR & STTR subawards), Government Contracts, Confidentiality Agreements (“CDA”/”NDA”), Material Transfer Agreements (“MTA”)* Program Project (“P”) and Cooperative Agreement (“U”) NIH applications, TEDCO (all programs) and special programs (e.g., Clinician Scientist Award (“CSA”) program, cooperative group and network studies –incoming and outgoing)
• Grants Associates: – Federal and Foundation Applications (except P and U applications)– Incoming Subgrants
• Specialists:– Work with Directors on Commercial Agreements, CDAs, MTAs, and Federal
Contracts• Subs Team:
– Outgoing subgrants and subcontracts• *unless processed through JHTT
ORA Responsibilities
• All proposals and awards must be reviewed and approved by the designated official in ORA– Review process includes
• Verifying protocols• Compliance with JHU policies
– Publication Rights– Intellectual Property– Data Ownership
• Faculty do not have signature authority
Workflow Priorities
ProposalsDeadlinesUrgencyDate Received
AwardsUrgencyDate ReceivedComplexity
Note: No awards are processed for account numbers if protocols are pending
Tips and Tricks
Information Search
• When you have a question:– Read the sponsor guidelines and supplemental instructions
– Google it!– Ask a coworker, fellow RSA, your manager, your assistant administrator
– If it’s a system question, Contact the appropriate helpdesk (Coeus, eRA Commons, CDMRP, grants.gov)
– Ask ORA: Director, Grants Associate, Specialist, Subs Specialist, or Operations Analyst
Coeus Required Documents• Grants.Gov
– All Finalized Science– PI Certification– Subcontract Documents (if applicable)– Announcement Guidelines (DOD)
• Non‐Grants.Gov– Scope of Work– Internal Budget (if one was not built in the budget module)– PI Certification– Sponsor Signature Page– Subcontract Documents (if applicable)– Sponsor Guidelines (if applicable)
Proposal Types• Continuation vs. Renewal vs. Admin Action?
– Continuation: proposal or progress report that must be submitted to receive an increment of funding from a previously awarded amount (aka non‐competing continuation)
– Renewal: proposal that requests an additional award that will continue funding a previously awarded study where funding is not guaranteed (aka competing continuation)
– Administrative Action: proposal that requests additional funding, equipment, time, etc. for an existing award
• Subaward vs. Subcontract– Subgrants route to the GAs and have a non‐profit sponsor (ex. another
University)– Subcontracts route to the Directors and have a commercial sponsor
(ex. GlaxoSmithKline)
Help Desk/Contact Information
If you have a technical or system question, contact the appropriate helpdesk or office:
• Coeus Help: – Coeus‐[email protected]
• eRA Commons:– http://era.nih.gov/help/index.cfm#era– Monday‐Friday 7am‐8pm EST – Email: [email protected]– Phone: 866‐504‐9552
• CDMRP:– Monday‐Friday 8am‐5pm EST– E‐mail: [email protected]– Phone: 301‐682‐5507
• Grants.gov:– 24/7 except federal holidays– Email: [email protected]– Phone: 800‐518‐4726
• Sponsored Projects Shared Services:– Contact your Shared Services Analyst
