Navigating the New & Improved Proposal/Contract Routing Forms (PCRF) & Application Process Overview Office of Research Administration Co-Presenters Suzanne Liv Page, JD Director, Pre-Award Services

Jill Tincher, MBA Director, Strategic Initiatives

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Training Objectives • Provide overview of ORA Services • Discuss purpose and when to use the new Proposal/Contract Routing Forms (PCRF) • Address how to complete them accurately and completely • Explain any process changes due to these new forms • Provide an overview of the application submission process, including: When to submit an application and engage ORA What the application package should contain What approvals are required 3

Office of Research Administration Overview of ORA Services Pre-Award: Grant applications, contracts, agency communications Post Award: Account set up, grants management and accounting Strategic Initiatives: Reporting, Training, RA systems, data/image capture and award communications

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New Form Proposal/Contract Routing Form-Long • •

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PCRF-L Replaces existing Proposal Transmittal Form (effective 4/1/14) Created to enable ORA to capture more thorough data and report data to the University community and external constituents Scope: Used for new, non-compete, compete and supplemental proposals/applications and contracts/amendments involving new money and/or monetary increases **Do not use PCRF-L for outbound contracts/subcontracts, decreases in funding or non-financial amendments 5

Proposal/Contract Routing Form-Long (PCRF-L)

Instructions for PCRF-L Refer to handout in training packet

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Proposal/Contract Routing Form-Long Form (PCRF-L) Case Study 1 for PCRF-L Case Study 2 for PCRF-L Refer to handout in training package What about future years’ funding?

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New Form Proposal/Contract Routing Form-Short PCRF-S • Created to facilitate submissions to ORA and streamline approvals • Scope: May be used in lieu of PCRF-L ONLY in these instances: Non-financial changes to existing UM contracts/agreements via amendment/modification:  Change of PI  No Cost Extension  Changes to Terms and Conditions

Amendments/modifications to contracts/agreements to reduce funding 8

Proposal/Contract Routing Form-Short (PCRF-S)

Instructions for PCRF-S Refer to handout in training packet

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Proposal/Contract Routing Form-Short (PCRF-S) Case 1 Study for PCRF-S Scenario and Solution Case Study 2 for PCRF-S Scenario and Solution Refer to handout in training package 10

Tips for Using New Forms • • • • • •

Read each form’s instructions first Make sure you are using the correct form Complete all mandatory fields Don’t complete “Central Office Use Only” fields Obtain all required signatures Contact your ORA liaison if you have questions

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Decision Matrix • Identify the Activity Type you are currently trying to process • Identify whether a PCRF-L or PCRF-S are warranted • Learn whether a new Proposal Number and/or a new InfoEd Number will be generated related to your activity • Identify whether new signatures are required • Obtain signatures 12

Decision Matrix

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Signature Routing Process for Application Exceptions • See Handout

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Signature Routing Process for Application Exceptions Additional approvals are required from leadership (such as Vice Provost, Executive Dean for Clinical Research) in certain cases: • Voluntary cost share • F&A Waiver • Principal Investigator is Dean/Chair/Center Director • Potential nepotism aka familial relationship disclosed • Principal Investigator is not full-time faculty

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Signature Routing Process for Application Exceptions • ORA obtains these additional signatures • These approvals are required in advance of application submission or contract execution • Route materials to ORA early in the process to provide leadership ample time to review and consider the request

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Application Submission Process When to Submit an Application Packet and Engage ORA • Seeking support from a third party for a sponsored research project (e.g., federal, state, foundation, industry, academic institution, etc.) • Seeking to contract with a third party for a sponsored research project (e.g., research agreement, clinical trial agreement, subcontract/subaward, inbound material transfer agreement, confidentiality agreement, etc.) 17

What to Include in an Application Packet to ORA The following materials must be submitted at least two business days before the agency due date to ORA: • Applicable PCRF, completed accurately with all required approvals • All materials required in sponsor guidelines/program announcement & copies of relevant guidelines/program announcement (or link)

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What to Include in an Application Packet to ORA • Budget and Budget Justification • Subawardee Letter of Intent, Budget and Statement of Work, Commitment Form • Fully built application in medium in which it will be submitted (e.g., InfoEd, Grants.gov) • Note: Limited submissions require approval from Vice Provost for Research or Executive Dean for Clinical Research Office

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What to Include in an Application Packet to ORA • E-mail applications to [email protected]. Note any deadlines • Fully built application must be routed to ORA at least two full business days before agency due date • Work is handled in the order received • Note: Start routing PCRF well in advance to obtain all required approvals (including inter-campus approvals)

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Additional Considerations for Applications • Make sure you are applying for the correct funding opportunity • Check if PI has Commons account affiliated with UM (if applicable) • Confirm COI disclosures/training completed • Read and follow agency guidelines • Make sure budget matches justification and adheres to OMB Circulars (allowable? allocable?) • If using VA, include Memo of Understanding and reference in justification requesting UM salary 21

Additional Considerations for Applications • Provide accurate salary, fringe rate, F&A rate • Check ORA website for required information such as rates and DUNS number: www.miami.edu/ora • Use “TBA” for personnel unless appropriate approvals are in place • Grants.gov: Type PD/PI role in budget section • If resubmission or competing renewal, include application federal identifier number 22

Additional Considerations: Subrecipient versus Vendor •

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Subrecipient Performance measured against meeting the objectives of the program. Authority for administration and programmatic decisions, generally serve as Co-PI. Responsibility for “end results” of research. Carry out a program of subrecipient as opposed to providing services for a program of prime recipient. Responsible for applicable program compliance requirements (award terms flow down). Collect F&A.

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Vendor Provide ancillary goods or services needed to conduct the research; not responsible for research results. Provide the service as part of their normal business operations. Provide a similar service to many different purchasers. Operate in a competitive environment (compete with others who can provide a similar service). Subcontract is not necessary. Do not collect F&A.

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Thank You! Questions?

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