Brain Imaging & Analysis Center

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===== Roles and Responsibilities =====
Grant Manager performs both pre-award and post award activities for BIAC.

**Pre-award** activities include:
  * Assisting PI in the development, preparation, and submission of grant and contract proposals. 
  * Ensure all applications meet agency and university guidelines per published time tables and deadlines. 
  * Ensure proposals are entered in SPS and routed in a timely manner for institutional review. 
  * Develop budgets and budget justification which include proofing the budget for inconsistencies and ensuring accuracy.
  * Advise the PI on administrative and institutional requirements in preparing proposal submissions.
  * Prepare, coordinate and review certain proposal elements (e.g. Biosketches, Other Support) for consistency, accuracy, and completeness.
  * Monitor compliance with agency and University regulations regarding submission; verify all financial information to include application of the appropriate fringe benefit and overhead rate for the project.

**Post-award** activities include:
  * Verify award set up, award terms and conditions with the PI.
  * Manage budget and reporting through the lifecycle of the grant or contract.
  * Ensure understanding of the current fiscal performance of studies and identify areas of concern that need resolution. 
  * Advise PI on budget adjustments and revisions necessary to meet the sponsor requirements. 
  * Communicate new WBSEs to appropriate department personnel.
  * Make cost distribution adjustments to reflect appropriate effort distribution or related cost-sharing obligations.
  * Review grant projections and effort allocations with PI on the quarterly basis.
  * Establish subrecipient financial and reporting requirements; coordinate issuance of incoming/outgoing sub-agreements with ORC.
  * Identify the need for cost transfers from budget reconciliation; submit cost transfers.
  * Prepare and submit requests for rebudgeting/modifying the funded project budget. 
  * Assist PI with sponsor communication and required documentation for project changes.
  * Perform monthly reconciliations in accordance with FAM procedures.
  * Close out of sponsored projects consistent with university process and timelines.
  * Apply federal and university rules to management of effort allocations.
  * Maintain financial records per the institutional documents retention guidelines.

===== Education and Training =====
Grant manager should complete required training on the annual basis. New training and certifications are encouraged to gain or improve a set of skills and expertise. Grant manager should maintain active certification renewals in accordance with [[https://finance.duke.edu/research/training/ce|Duke RCC's policies on Continuing Education]]. Tracking training requirements can be done via [[https://finance.duke.edu/research/training/tracking|Duke LMS and RCC Training Tracker.]]

===== Communication =====

  *  Communicating research administration information to **faculty**. University wide changes and initiatives pertaining to research administration are typically communicated to the faculty directly by a designated official/office. BIAC grant manager will discuss these topics with the faculty during the quarterly meeting or on a case-by-case basis as needed.
  *  Communicating research administration information to **research staff**. It is BIAC's expectation that PI will work and direct the work of his/her research staff at his/her discretion. However, BIAC business office may choose to communicate research administration information directly to PI's research staff on the case-by-case basis.
  *  Communicating research administration information to **staff with research administration responsibilities**. BIAC's grant manager is solely responsible for research administration functions within the center. Business manager will directly communicate necessary information to the grant manager via email or during a F2F meeting.
  *  Communication with **sponsors**. Faculty and staff are not authorized to contact sponsors directly about administrative matters. Such communication can be made through an authorized Duke official. Faculty is obliged to follow institutional guideline on communication with the sponsors per [[https://provost.duke.edu/sites/all/files/FHB_App_P.pdf#page=44|Duke Faculty Handbook]]. In situations when the policy is violated, the issue will be escalated to BIAC's Business Manager and Director.
  * Communication with **central (ORA, ORC, OSP, IRB, IACUC, Purchasing and etc)** or **SOM offices**. BIAC grant manager will communicate on day-to-day issues via email directly to an assigned person in the central/SOM office. If the issue is not addressed or resolved with a central office, a grant manager will escalate it with BIAC's Business Manager for a further action. Grant manager will include PI in communication if it requires his/her input or grant manager believes that PI should be aware of the issue.  


===== Pre-Award /SPS Procedures ==== 
**External Proposals (from other departments)**
        * BIAC's routing is set up such that notification of proposals should come to both the grants manager and the business manager. Within 24 hours of receipt, the grants manager should review each proposal for correctness. This includes reviewing that salary is  calculated accurately, and that email approval has been obtained for anyone listed as key personnel. If an individual is listed as key personnel, their effort must be checked to ensure that they have available effort, as effort changes > 25% for key personnel require NIH approval. Note that OSC designation does not require PI approval, as no effort is needed. 
        * Once the proposal is correct, the grants manager should email the business manager letting them know that the proposal is ready for review. This must be done before 48 hours has elapsed, otherwise the grant will be auto routed, and approval from BIAC will be assumed. 
**Internal Proposals (generated by BIAC)**
        * The grants manager will set up the SPS proposal and route the proposal no fewer than 11 business days prior to the grant due date (days counted include the due date). This will allow for 2 days for routing through departments, ORA's 7 business days, plus the due date, and give us at least part of an extra day for any possible delays. So for example, for a proposal due on Friday Oct 14th, we would start routing this anytime on Friday, Sept 30th. This then gives departments and us part of Friday, all day Monday, and part of Tuesday (16 business hours or 2 days), to get the proposal PCA by COB Tuesday to meet the 8am Wednesday ORA deadline. According to ORA's website "The SPS record must be completed and routed to the Pending Central Approval (PCA) state 7 business days prior to the application due date. SPS records received after this timeline will require a waiver. Please refer to the Grant Proposal Waiver Request page." Essentially, their deadline requires receipt 8 days in advance (including the due date) or 7 days in advance (not including the due date).
**    Salary Calculations**
        * The first year of salary should be calculated as the current salary plus 3%.
        * For years after that, salary should be inflated at a rate of 2% to be consistent with NIH/ORA guidelines regarding the overall budget increase being capped at a 2% increase.
        * Salary should be split out according to fiscal year. For example, for a grant budget that is 6/1 - 5/31, two salary lines should be entered, one for 6/1-6/30, and a second for 7/1 -5/31. This allows others to easily check that the inflation has been done correctly.
**   Cost Sharing** 

Cost sharing commitments (mandatory or voluntary) should be requested and documented at the time of the proposal submission per [[https://finance.duke.edu/accounting/gap/m200-140|Duke GAP 200.140, Cost Sharing on Sponsored Projects]].

===== Post-Award Procedures ==== 
**Effort Management**

It is PI's responsibility to determine necessary personnel efforts during a proposal development based on the actual amount of time needed to complete the project. At the time of the award, PI and grant manager will review the budget, terms and conditions to finalize personnel and their efforts necessary for the project. During quarterly grant projection reviews, PI and grant manager will review personnel efforts and make adjustments as needed. Employees with sponsored efforts will use Duke's ECRT to review and verify their efforts correspond with charges allocated to the sponsored projects in accordance with [[https://finance.duke.edu/accounting/gap/m200-170|Duke GAP 200.170, Effort Reporting]].

**Capital Equipment Purchases on Sponsored Projects**

PI should budget capital equipment ($5,000 or greater) during the proposal development stage. Equipment purchases should be managed through BIAC's Business Office to ensure that a proper authorization for purchase and necessary documentations are completed. Grant manager will communicate to PI about steps needed prior to equipment purchase per [[https://finance.duke.edu/accounting/gap/m200-100|Duke GAP 200.100, Capital Equipment Purchases on Sponsored Projects.]]

**Annual Research Performance Progress Report (RPPR)**

Grant Manager will initiate RPPR via [[https://public.era.nih.gov/commons/public/login.do?TARGET=https%3A%2F%2Fpublic.era.nih.gov%2Fcommons%2FcommonsInit.do|eRA Commons]] no later than 45 days prior to sponsor's due date. Grant manager will notify PI about RPPR requirements and timeline for completion. Upon completion of RPPR, PI will route it to BIAC's Business Manager for a departmental approval.
[[https://medschool.duke.edu/research/research-support-offices/office-research-administration/award-management/rppr|Duke ORA's Guidance on RPPR]]
[[https://grants.nih.gov/grants/rppr/index.htm|NIH RPPR Guide]]

**No Cost Extensions (NCE)**

During quarterly meetings with PI, grant manager will discuss NCE potential plans for projects with upcoming end dates. Grant manager will communicate to PI about institutional and sponsor requirements for NCE 45 days prior to sponsor due date. NCE request preparation will be done in accordance with [[https://medschool.duke.edu/research/research-support-offices/office-research-administration/pre-award-grants-administration/nih-resources|Duke ORA]] and sponsor guideline. NIH NCE requests will be managed in accordance with [[https://sharepoint-2013.oit.duke.edu/sites/nihinfo/_layouts/15/start.aspx#/SitePages/NIH%20NCE%20Request%20Process.aspx|Duke's NIH NCE Request Process policy.]]

**Carryover Request**

Grant manager will work with PI during RPPR preparation to determine a projected unobligated balance by the end of the budget year and ask if PI will plan to request a carryover after the period ends. If PI intends to request a carryover, grant manager will provide information about an amount available to carry over upon closeout of WBSE. If needed, grant manager can provide a financial report showing budget vs actual which can be helpful in preparation of explanation for unobligated balance. Grant manager will communicate to PI about institutional requirements for a carryover request described in [[https://sharepoint-2013.oit.duke.edu/sites/nihinfo/_layouts/15/start.aspx#/SitePages/NIH%20Carryover%20Request%20Process.aspx|Duke's NIH Carryover Request Process.]] Grant manager will assist PI with a budget development and completion of necessary documents. PI is solely responsible to provide a scientific justification for a carryover request.

**Closeout**

Grant manager will discuss with PI during quarterly meetings about his/her plans for grant closeouts/NCE. We will discuss personnel support plans after grant end date, pending and upcoming expenses to ensure that spending is on track, programmatic reporting, necessary actions and important due dates. Grant closeout will be managed in accordance with [[https://finance.duke.edu/accounting/gap/m200-180|Duke GAP 200.180, Closeout of Sponsored Project.]]
Brain Imaging & Analysis Center

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