SPA Newsletter - Fall 2018 List of Website Content Changes SPA NEWS Fall 2018 Sponsored Programs Administration Newsletter Greetings from SPA/OSP/CGA | NSF Resources | Insider KC Tips | Proposal Collaborators: Identify Wisely | Metrics for the Numbers Minded! | Uniform Guidance Procurement Update | Client Feedback Surveys | Paying Research Participants | NEW FORM: Modification Requests to Subawards | RA Spotlight Awards | Training & Resources Greetings from SPA/OSP/CGA! Beautiful colors and cooler temperatures are here again. I hope you are enjoying the transition as much as I am. With the changing of the season, a quote comes to mind from Helen Keller, "Alone we can do so little; together we can do so much." Collectively, we support MSU’s research mission. In addition to the direct support to the many tasks related to implementing sponsored awards on campus, members from SPA, OSP, and CGA participate in boards, committees, and working groups, which have focused goals to best support sponsored programs. We attend meetings, share resources, and present at conferences to share MSU’s best practices and learn from others. We seek out ways to influence regulations at a national level to decrease the administrative burden for MSU faculty and staff while promoting accountability. A good example is the new Uniform Guidance procurement standards. An article is included in this Newsletter about the MSU procedures following these new standards. While the standards were being finalized, CGA worked closely with MSU Purchasing as well as with national organizations to provide input to the Office of Management and Budget (OMB) related to defining reasonable implementation standards. These discussions provided the input needed to affect more manageable expectations for MSU and other organizations across the country. The procurement standards were finalized and effective for MSU July 1, 2018. This issue also announces our Fall 2018 Unit Research Administrator Spotlight Award recipients, an exciting recognition opportunity we are proud to sponsor. In addition to the two research administrators recognized, there are many MSU research administrators interested in supporting MSU’s research mission including learning and improving sponsored programs administration. For the administrators reading this newsletter, not only are you supporting faculty and projects, you may also be serving on sponsored programs committees, attending or teaching trainings, listening to webinars, or reading publications. Thank you for your commitment to learning and your efforts for MSU. “Together, we can do so much.” I hope you enjoy the Fall 2018 issue of our newsletter. For suggestions for future content or feedback on this issue, please contact Jennifer Lafferty, email@example.com or me, firstname.lastname@example.org. Authors or contact information have been included in each article for topic-specific questions. My appreciation is extended to the authors. Twila Fisher Reighley, Assistant Vice President for Research and Graduate Studies Insider KC Tips by OSP Proposal Team 1 Load the Opportunity First for S2S Proposals We highly recommend loading the Grants.gov opportunity in the S2S tab prior to uploading documents on the Abstracts & Attachments tab. The Proposal Attachments panel defaults to include attachment types such as BudgetJustification, ProjectSummary, and Narrative. However, some schemas require different attachment types. For example, the NIH Administrative Supplement FOA (PA-18-591) requires the “Budget_Justification_10YR” attachment type, which only becomes a drop-down menu option after loading the opportunity in the S2S tab. If you attach the justification as the default BudgetJustification for PA-18-591, the justification will not be included in the final proposal. Download the Correct S2S Form If you are preparing a S2S proposal, and one of your forms just does not look right, it might not be the right form version for that Grants.gov opportunity. The form that gives us the most trouble is the subaward R&R budget, sometimes because the schema is unique, and sometimes because the subawardee sends us the wrong version. You can download forms from the Grants.gov form library, and we have a few frequently used forms on our website, but if you want to be absolutely sure you are using the correct version, follow these steps: Search for the opportunity in Grants.gov. We are using the NIH Parent R01 Clinical Trials Not Allowed opportunity for this example and will download the subaward budget form. Open the opportunity from the search results, and click on the Package tab. Click the Preview link in the Actions column. A pop up window will appear showing all the mandatory and optional forms for this opportunity. Click on the form you want to download. This will open a browser window with a PDF of the form. Do not download this version; it is not editable. The URL will show: https://apply07.grants.gov/apply/forms/readonly/RR_Subaward- Budget30_1_4-V1.4.pdf Change this to: https://apply07.grants.gov/apply/forms/sample/RR_Subaward- Budget30_1_4-V1.4.pdf Depending on your browser settings, you may be asked if you want to save the file, or it may save automatically. After downloading the subaward budget attachment, extract the R&R detailed subaward budget form and send to subawardee to complete. Once the subaward budget is complete, upload the budget on the Budget Actions tab in KC. Other forms, such as the Attachments Form used by Department of Justice and other sponsors can be accessed using these same steps but then uploaded as a User Attached Form on the S2S tab in your KC PD*. Please direct any questions about uploading forms correctly to your proposal team. KC PD*, Kuali Coeus Proposal Development Entering Sponsor in PD When creating your proposal, one of the required fields to save is Sponsor Code. Further down on the Proposal tab, in the Sponsor & Program Information panel, there is another field for Prime Sponsor ID. If you are submitting a proposal directly to a sponsor (e.g., NIH), you’ll enter this only in the Sponsor Code field: No need to enter the sponsor again into the Prime Sponsor ID – one less box to complete in your PD! If you are submitting a proposal as a sub to another institution who will submit to a prime sponsor (e.g., U of MI to NIH), you’ll enter U of MI in the Sponsor Code field and NIH in the Prime Sponsor ID field: Preview the Proposal Before Route Don’t forget you can preview S2S proposals! This is a great way to double-check that all of the components of your proposal are complete before routing the PD. To preview the proposal, go to the S2S tab and select All Included. This will automatically select all mandatory and any optional forms you have chosen. Then click Print Selected and KC will generate a PDF preview of the proposal. If you notice anything is missing or any information is not accurate, you can update the PD and then preview the proposal again. Keep in mind, there are limitations to this feature. Fillable PDFs uploaded as user attached forms will not be included in the preview and will need to be checked separately, however, PDF attachments on the user attached form will be included. For example, the PHS Human Subjects and Clinical Trial Information form for NIH proposals will not be generated in the preview; however, the Protection of Human Subjects file (and other attachments, as applicable) will be included. In addition, attachment types other than PDF in user attached forms, such as budgets in Excel format as required by some sponsors, will not be included in the proposal preview. Army CDMRP proposals using KC for eBRAP submissions Were you invited to submit a full application from your CDMRP pre-proposal? Here are some tips to successfully get the proposal submitted S2S and safely into eBRAP, CDMRP’s post-submission system. Remember to add the Log Number from the pre-application into field 4a of the SF-424. In KC, this is the Sponsor Proposal ID box on the Proposal tab, Sponsor & Program Information panel: Be sure the PI’s email address matches the email used to register in eBRAP: KC automatically pulls in the @msu.edu for an individual; if another one was used when registering in eBRAP (i.e., @egr.msu.edu or @hc.msu.edu), you’ll want to update this email. You can do this by going to the Key Personnel tab, clicking ‘show’ next to the person’s name, ‘show’ Person Details panel, and updating the email address in the left-hand column: Add the PI’s user name from eBRAP into the ‘Credential, e.g., agency login’ box under Person Details (the same section as #2 above). These three will ensure the PI is able to access, verify, or make changes to some of the proposal as allowed by CDMRP. Finally, please remember to choose US Dept of the Army (Sponsor Code 009092) as your Sponsor for any CDMRP proposal, as this is the branch within the Dept. of Defense that administers the funds for this program. Add the Opportunity ID for Summary Proposals As you know, the Opportunity ID in the Proposal tab is automatically entered after you pull in a Grants.gov opportunity on the S2S tab. We recommend entering the Opportunity ID even if you are preparing a summary proposal. This helps everyone quickly identify the appropriate solicitation for the proposal. Adding the Opportunity ID also improves the search capabilities in KC if you need to query other proposals that have been submitted to the same opportunity. If you do not include the Opportunity ID, you will see a unit business rules warning after running validations, which states “Please enter the opportunity ID or the word 'none'.” The warning will not prevent the PD from routing, but we would suggest clearing as many warnings as possible! Proposal Collaborators: Identify Wisely by Craig O'Neill and Dana deMink, OSP When the PI is selecting investigators for a proposal, care should be taken to identify their appropriate role. Choosing ineligible investigators or mis-categorizing collaborators as principal investigators, can increase the difficulty of proposal preparation and create potential award processing delays. It can also increase compliance issues (e.g. financial conflict of interest certification, training, etc.) and complicate project management and reporting requirements. MSU’s PI (also referred to as Project Director or PD) has the option of including a collaborator as either a Co-PI, subaward PI, Key Personnel (e.g. Co-Investigator) or an Other Significant Contributor (OSC – which may include a consultant) in an application to the sponsor. The differences between each designation may sometimes appear minor but can have a substantial impact on the direction or control of your project. For example, a Co-PI usually has the ability to communicate directly with the sponsor with or without the PI’s input or approval. A subaward PI usually cannot have direct communications with the sponsor nor would they have the same level of responsibility for the overall project, which gives the lead PI more control over the overall project. Each sponsor can have its own definitions of PI, Co-PI, Subaward PI, Key Personnel/Co-I and OSC. Please pay close attention to the eligibility requirements of the Sponsor’s RFP. For example, it is not unusual in a fellowship proposal for the sponsor to require that the fellow be identified as the PI during the dissertation stage of their training. Tip: Depending upon a fellow’s level of education, he or she may not be able to approve and complete their certifications and disclosures in the KC system. Use the following link to learn how to establish a NetID and ZPID as well as to work with the KC Helpdesk to set up an affiliation for that individual: https://osp.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMQAxADMAOQA= Subject to varying sponsor requirements, here are some basic definitions and general guidelines to follow: The PI/Co-PI: Is an individual viewed by the applicant organization to have the appropriate level of authority and responsibility to direct a project or program. Is generally defined as those who are responsible for the design, conduct, or reporting of the funded research. Has the responsibility for overseeing the project intellectually, logistically, and financially. Is responsible and accountable to the applicant organization, sponsor, and any collaborating organizations for the proper conduct of the project including conducting the project ethically, following financial and compliance regulations, and submitting all required reports punctually. The subaward PI/Co-PI is generally defined as those who are responsible for the design, conduct, or reporting of the specific subaward statement of work and related subaward funding amount, and as stated earlier, does not have direct communication with MSU’s sponsor. When subawards are included in the project, the subawardee’s Co-PI(s) can be considered part of senior personnel, if appropriate to role and sponsor definitions. Collaborators who are not financially responsible (i.e. do not have the responsibility and ability to control the expenses of a project) should not be included in the proposal as a Co-PI. Key personnel investigators (Key Personnel/Co-I) are generally defined as other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they receive salaries or compensation under the grant. Other Significant Contributors (OSC) are individuals whom commit to contribute to the scientific development or execution of the project, but do not commit any specified measurable effort (i.e., person months) to the project. These individuals are typically presented at effort of “zero person months” or "as needed". Note: Consultants should be included as an OSC if they meet this definition. This is a NIH designation. Adjunct faculty, research associates, and clinical faculty are not normally considered eligible for PI/Co-PI status. Depending on project and sponsor, in some circumstances, it may be appropriate to request PI exception approval from the Office of the Vice President for Research and Graduate Studies (OVPRGS). See the following link for more information about acquiring PI exception approval: https://www.cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMwA4ADkA Please contact your Proposal Team if you have any questions. Metrics for the Numbers Minded! by Maria Skinner, Sam Jonker-Burke, and Kristy Smith There are several different types of metrics available on the SPA/OSP/CGA website. From the home page, you can see a breakdown of the number of proposals submitted, awards received, and funds awarded for the previous fiscal year. You can also hover over the Resources/Training menu on the home page to access “SPA Metrics”. Once you select SPA Metrics and are logged in to the SPA/OSP/CGA site, you will see a panel listing the different metrics from SPA/OSP/CGA that are available to view. The metrics consist of data pertaining to all of the groups within OSP and CGA. Some examples are proposal submission, award set up, account set up, amendments processed, financial transactions, final reports, and cash draws. The pre-award metrics are used by OSP to identify how frequently proposals are submitted late or at risk, and how long it takes to process a federal contract (on average). The post-award metrics help CGA identify trends, manage workload, and meet campus expectations. Log in and check it out! Details are available on the SPA Metrics section of our website (two-factor authentication required). Uniform Guidance Procurement Update by Evonne Pedawi and Kristy Smith, CGA MSU implemented the new procurement standards included in the Uniform Guidance (UG) issued by the Office of Management and Budget on July 1, 2018. Although there was not significant changes to current university procurement procedures, below highlights the main changes affecting federally funded sponsored program accounts. The dollar threshold for purchases requiring demonstration of competition with retention of documentation (called the micro-purchase threshold) is $10,000 with the exception of construction, which is $2,000 when subject to the Davis-Bacon Act. Although we will continue to require demonstration of competition or acceptable sole source documentation is required for federally funded Professional Services Contracts (PSCs) and Non-Resident Alien Professional Services Contracts (NRAPSCs) starting at $10,000, MSU will maintain the higher threshold of $15,000 on PSCs for all other sources of funding. Purchases exceeding the federal government’s simplified acquisition threshold ($250,000) must be procured by sealed bids or requests for proposal and must be formally advertised as public solicitations. These bid opportunities will be listed on the Purchasing website. Requests for Proposal issued for federally funded procurements must identify the evaluation factors, including relative order of importance that will be considered when selecting a supplier. When single or sole sourced, Purchasing will perform a price analysis demonstrating that the pricing for the purchase is fair and reasonable. Subawards are not considered procurements and therefore are not subject to the UG procurement regulations. For a comparison chart of the UG procurement regulations and current MSU policies and procedures, click here. In addition, the Manual of Business Procedures Section 270 has been updated to reflect the implementation. Specific questions regarding how these procurement regulations may impact your federally funded sponsored program can be sent to Kristy Smith at email@example.com or Evonne Pedawi at firstname.lastname@example.org. Client Feedback Surveysby Erin Schlicher, SPA At SPA/OSP/CGA, we strive to provide excellent customer service in all stages of research administration, from proposal development to the final closeout of an award. We continue to use client feedback surveys to solicit feedback on our proposal, award, and post-award processes. In addition to the ratings responses, the surveys include an area for respondents to write comments. Management reviews all of the comments received and follows up as appropriate. They report that the feedback has been quite useful in helping to assess the level of client support and providing ideas and encouragement to improve services to the campus community. Details are available on the SPA Metrics section of our website (two-factor authentication required). Paying Research Participants by Kristy Smith, CGA MSU provides units the flexibility to decide how to make payments to research participants, but which method is the best? Which one carries the least amount of risk to your sponsored program? The quickest one to process? The fastest for participants to receive? As usual with sponsored programs, it depends! However, the following is some guidance on what Contract and Grant Administration (CGA) believes are the best options when it comes to participant payments on sponsored programs. Disbursements Vouchers: Paying participants through a Disbursement Voucher (DV) in KFS is the least risky mechanism for your sponsored program account. The DV is processed after they participate, so there is already a documented benefit to the project that can be accurately billed to the agency. In addition, the DV will contain all of the participant information you may need in the event of an audit, such as name and contact information. Finally, it’s easier for MSU to determine from DV payments when an individual should receive tax information. This method may not work for every project, as it is not confidential and there will be a lag in time between when they participated in the research and when they receive the payment. Store/Vendor Gift Cards: Gift cards are a great way to immediately pay a participant for their time. They are typically quick to purchase and participants can sign a confidential log upon receipt to be maintained in the department. One potential issue occurs when you need to buy the gift cards in advance of the participation date, as most sponsored programs are cost reimbursable. Costs incurred in advance of when they are used have not yet benefitted the project, potentially creating a situation where MSU is billing for, and receiving payment from, a sponsor for an unallowable cost. Another potential issue with the advance purchase of gift cards is that any unused gift cards are not allowable costs to the sponsored program account. For both of these reasons, it can be risky to purchase gift cards that will not be used immediately (or in the near future) directly from a sponsored program account. Keep in mind that activation costs related to prepaid gift cards should be reasonable. Please contact CGA's Transactions Group (email@example.com) with any questions. When possible, CGA suggests that gift cards be purchased in advance through a cash advance. That way the initial cost is put onto a central holding account (similar to a travel advance) and the expenses only post to the sponsored program account once they have been used for the project and have the supporting participant documentation. Cash Payments: Using cash to pay participants is convenient and should also be processed as a cash advance, for reasons explained above. There may be a safety risk to the individual paying participants, depending on the amount of cash that will be kept on hand. Please remember to keep a record of the information related to participant payments, including but not limited to, who receives the payments and the dates received. In addition, remember to seek IRB approval when necessary for research involving human subjects. Please note that as part of a recent Kuali Coeus enhancement, some basic compliance information such as the human subjects protocol number, approval date and expiration date can be found in the KC Award, under the Special Review tab. More information about participant payments can be found in MSU’s Manual of Business Procedures (http://ctlr.msu.edu/COMBP/httoc.aspx) or by contacting CGA at firstname.lastname@example.org. NEW FORM: Modification Requests to Subawards by Jessica Lemke, CGA CGA’s Awards Group is introducing a new subaward modification request form to assist with the process of modifying subawards associated with your sponsored research project. When you would like to either extend your subaward agreement or provide additional funding to your subrecipient, the new form will provide PIs and Department Administrators the ability to send the Awards Group all of the information needed to begin the modification process in a simple, efficient manner. The form will be referenced in the notification emails that you receive when your project has recently been modified, and it will also be available on CGA’s website at: https://cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMwA5ADgA We encourage you to try the new form when your subawards need to be modified and send any feedback to Awards Group at email@example.com. Unit Research Administrator Spotlight Awards by Twila Reighley, AVPRGS; Katie Winkler, SPA; Jenny Lafferty, SPA MSU’s research administration offices of Sponsored Programs Administration (SPA), Office of Sponsored Programs (OSP), and Contract and Grant Administration (CGA) encourage excellence and exemplary service modeled through The Spartan Experience by recognizing professional contributions and quality of service through the Research Administration (RA) Spotlight recognition. We have completed the fourth award nomination and review process, and received several nominations for strong applicants who exhibit many of the qualities of a good research administrator. The Recommendation Panel, which includes faculty (from the Council of Research Deans and Sponsored Programs Advisory Committee), selected the two following individuals to receive this award. They are recognized with a plaque of accomplishment along with a small financial award as a token of our appreciation. Cindy Majeske Research Manager Dean's Office Broad College of Business Cindy has 26 years of service at MSU, and currently performs research administration duties, along with meeting regularly with Business faculty to develop research ideas, match faculty with potential collaborators, and often contributes to the proposal writing process. What do you enjoy most about your job here? “Having spent many years as a Project Director/Co-Investigator for NIH studies, the aspect I most enjoy is time spent working with faculty to develop their research plan. This sounds cliché, but I am inspired by the creativity and innovation of our faculty and I’m confident that through research, we can contribute to making the world a better place one project at a time.” What advice do you have for new research administrators? “It's easy to get bogged down in the bureaucracy associated with research administration. My advice is to take time to learn how the proposals you work on will advance knowledge and ultimately positively impact society. Know that you play an important role in securing funding. Without funding, the work might not be completed.” Rita Peffers Administrative Business Professional Department of Psychiatry College of Human Medicine/College of Osteopathic Medicine Rita has 29 years of service at MSU. She has been with the Department of Psychiatry for the past 17 years, and part of the department’s business office for the last seven years. Rita supports the overall business-related functions of her department, which has included an expanding role in post-award research administration as the needs of the productive research division have increased. What do you enjoy most about your job here? “The work of our research faculty is international in scope. Being able to interact with our international partners, particularly on award management, is one thing I enjoy about my work in research administration, as is working with our great group of researchers. They have some exciting things going on in the area of global mental health and the impacts specific diseases have on neurodevelopment, on the caregivers, and on functional survival.” What advice do you have for new research administrators? "I am only able to manage the responsibilities of research administration because of all the terrific resources I can tap into here at MSU. The people in OSP and CGA are extremely helpful, as are OSP/CGA’s training opportunities and comprehensive website. Also, we get tremendous support from our college’s research office. For any new research administrator, accessing the resources available to them is key to learning and being successful at the job." Thank you, Cindy and Rita, for playing an integral role in advancing MSU’s research mission and for leading by example! We greatly appreciate your dedication and hard work. Stay tuned for another chance to nominate your favorite research administrator for the RA Spotlight Award next spring! Please contact Katie Winkler at firstname.lastname@example.org with any questions. Training, Education, & Resourcesby Jenny Lafferty, Shannon Lutz, & Katie Winkler SPA SPA/OSP/CGA, in collaboration with SPROUT and an extensive network of MSU staff involved in pre-award, post-award and compliance aspects of research administration, provide the latest news, training, resources and information available to campus. Essentials of Research Administration (ERA) Series The ERA series provides on-campus training and certification for research administrators and other support staff who have responsibilities for research proposals, grants, contracts, pre- and post-award administration and related activity at Michigan State University. Certification/Recertification Requirements: Initial Certification – Participants in the ERA program must attend all 5 ERA Cores plus a minimum of 3 ERA Electives within 2 calendar years to obtain the initial ERA certificate, which will be valid for 2 calendar years (beginning in the year you first started attending ERA classes). Recertification – In order to maintain ERA certification status, 2 ERA Electives (or equivalent approved research-related trainings) are required every calendar year after your initial certification period. 2018 Electives: Only 5 more ERA Electives will be offered through the end of this year. If you would still like to secure a seat, and are in need of ERA credits, please be sure to register on the ERA Registration Portal on the SPA/OSP/CGA website. If the session is already at maximum registration capacity, please email Jennifer Lafferty at email@example.com to be added to the waitlist. 2019 Schedule: The 2019 ERA schedule is currently being finalized, which will include the 5 Cores, 20 Electives, and eLearning options. Stay tuned for the SPA/OSP/CGA listserv announcement soon! eLearning in D2L: Would you like to expand your research administration knowledge, but your schedule and availability is limited to attend one of our ERA in-seat classes? Take the International Research eLearning Elective in D2L instead! This class features 4 modules focusing on topics from the following offices and presented live Fall 2017: Accounting, Office of Sponsored Programs/Contract and Grant Administration (Complex Budgeting & Accounting), Export Controls & Trade Sanctions, Office of Risk Management and International Health & Safety. If you would like to attend this virtual class (and earn ERA recertification credit), please contact Jennifer Lafferty (firstname.lastname@example.org) and/or Shannon Lutz (email@example.com). Upcoming: Another eLearning Elective on Contracts & Other Agreements will be available in D2L soon! Please look for the announcement on the SPA/OSP/CGA listserv. Training Videos SPA/OSP/CGA have created training videos to assist MSU research faculty and administrators, located on our website and on Kaltura MediaSpace: Award Search Report Demonstration (NEW!); Account Explorer (AE) Training Videos; International Subawardees Training Videos; Making it Real, Parts I & II Kuali Coeus (KC) Training KC-specific training on Beginner’s Hands-on Budgeting in KC and Proposal Development in KC are available through the ERA series. Additional training resources are also available on the following webpages: Job Aids & Videos – 20 job aids and 23 videos are available on various KC topics including proposal and budget development, reporting, and general information. System Updates – System implementation updates (posted biweekly) provide tips, instructions, bug fixes, training opportunities, system outages and more. New Website Resources We have created some new resources to assist faculty and administrators. Check them out! Website Resources: The “Welcome” page was expanded to include a “Get Started with These Resources” section. It lists some of our most commonly used webpages (separated by preaward and postaward) that would be helpful for faculty and administrators. Preaward College/Center Contacts: Includes a table of contact names and email addresses for preaward college/center contacts. The table was created to help faculty and research administrators find who the preaward contacts are for a college/center and to assist with proposal submissions or award transfers to MSU. Please note these contacts are as of Summer 2018. If you notice the contact information needs to be updated, please contact firstname.lastname@example.org. OSP Proposal Timeline: To help faculty and administrators understand the MSU Proposal Submission Deadline Policy, the OSP Proposal Timeline visually shows the policy broken out by periods of time, with step-by-step activities and suggestions for each period.