Transcript KSU Sponsored Projects Overview

KSU Sponsored Projects
Overview
Untenured Faculty Network
September 26, 2013
Engineering Research & Graduate
Programs Office (ERGP)
• New research activity initiatives
• Proposal preparation
– Untenured faculty
– $1M+ proposals
• Sponsored projects training
– Faculty & departmental administrative staff
• New ERGP website coming soon
Proposal Basics
• Faculty member responds to a Request for
Proposal (RFP)
• Sponsor agency guidelines must be reviewed
and followed carefully. Example: NSF CAREER
RFP and NSF Grant Proposal Guide (GPG)
• Completed proposal packages are reviewed
and submitted by the Office of PreAward
Services
Common Elements of a Proposal
• Proposal elements can include:
–
–
–
–
–
–
–
–
–
–
Cover Page
Summary
Project Description and References
Budget and Budget Justification
Facilities and Administrative Costs
Subcontracts
Biographical Sketches
Current & Pending Support (C&P)
Resources, Equipment, and Facilities
Certifications, Assurances, etc.
Proposal Submission Process
• The Principal Investigator (PI) is typically responsible
for the technical sections: project description and
summary (and often the biosketch)
• Remaining proposal elements are typically completed
by staff in PreAward Services or ERGP
• Electronic submission: NSF FastLane, Grants.gov, others
• Proposal documents are routed for review and eSign
approval by faculty, dept. heads, deans, etc.
• PreAward Services charged with final review and
submission
Start Your Proposal Early!
• Start preparing your proposal early to receive the best
preparation services possible
• Early completion of your proposal allows you to take
advantage of the review services offered through PreAward
Services
• Target dates:
– Two weeks prior to your proposal deadline. Final documents for
upload to a sponsor system or included in a proposal are due to
ERGP Research Administrator.
– One week prior to a proposal deadline. PreAwards Services
policy states that final proposal documents are to be submitted
to the PreAwards Services office for review and submission to
the sponsor.
PreAward Services Office
• Proposals: prepare, review and submit
• Awards: review, negotiate terms, and sign
agreements on behalf of K-State
• Project modifications: review and submit
• PreAward Services website:
http://www.k-state.edu/research/preaward/
Post Award Basics
• Award requirements reviewed by PreAward
Services to ensure terms meet university and
State of Kansas policies and regulations
• Approved (signed) award moves to Sponsored
Projects Office (SPO) for review of financial
requirements and account assignment
• Financial award requirements administered by
departments and Sponsored Projects Office
Sponsored Programs Office (SPO)
•
•
•
•
•
Assign and activate fiscal accounts
Submit financial reporting
Maintain auditable records
Monitor subawards and consultants
Maintain effort reporting and cost sharing
systems
• Prepare F&A Cost Rate proposal for the federal
government (submitted every four years)
Other SPO Post Award Activities
• Effort reporting, cost transfers, cost share
• Financial Record Retention
SPO retains financial records for three years after submission of
the final report or final cash received. Exception: sponsors who
specify a longer record retention period.
• Ensure projects meet Office of Management and Budget
(OMB) Circulars (federal sponsored project requirements)
• Provide oversight for consultants, subawards and
professional resources
• Sponsored Projects Office website:
http://www.k-state.edu/finsvcs/sponsoredprograms/
More about Sponsored Projects
•
•
•
•
•
•
Transmittal Sheet
Determining F&A Costs
Subawards
Modifications and Amendments
Schedule of Charges
Federal Post Award Administration
Transmittal Sheet (SP001)
• Purpose: official form summarizes project information and
records of approvals:
–
–
–
–
–
–
–
–
–
Lead PI, co-PIs, and their departments
Project title
Sponsor name and program
Project dates
Funding amounts
Internal matching sources
Allocation of IDC and reporting
Approvals: administrative, programmatic, compliance (page 2)
Signature approval via eSign system
F&A Costs
• Different terms, same definition:
– F&A: Facilities and Administrative cost rate
– SRO: Sponsored Research Overhead
– Indirect costs
• KSU indirect rate agreement effective 07/01/12
to 06/30/16. Current rate: 50% Modified Total
Direct Costs (MTDC)
– http://www.kstate.edu/research/preaward/indirect.htm
• College of Engineering F&A cost distribution rates
College of Engineering
F&A cost distribution rates
Research, Instruction and Public Service:
EES (ERGP)
Distribute to:
Percent
Department(s) Share
38.5
EES (ERGP) Research
Director
Unallotted
Library
5.0
53.0
3.5
100
Subawards
• Transfers a portion of the project or effort of the prime award to
another organization consistent with the terms and conditions of a
prime award by subaward (also called subcontact) or consultant
agreement.
• Sole source:
– Service or item exceeds $5,000 or more in the proposal budget
– Must be named in proposal as the only source for the desired supplies
or services, or is uniquely qualified to preform the desired services
because of location, reputation, and expertise.
– Must be approved through Purchasing in the Division of Financial
Services
• Consultants, subawards and other professional service resources
– http://www.ksu.edu/finsvcs/sponsoredprograms/consulsubs
Modifications or Amendments
(Non financial post award activities)
• Project modifications or amendments
–
–
–
–
–
–
Change in Principal Investigator
Change in scope of work
Change in period of performance (time extension)
Budget revision
Carryover of funds
Other contractual terms and conditions
• OPAS Form (Organizational Prior Approval
System)
Schedule of Charges (SOC)
• Departmental or internal charges such as
equipment use fees
• Sponsors require documentation for all costs in a
budget including internal costs
• Charges from an SOC are used on sponsor
budgets for service or equipment use including
services from other departments.
• Examples: equipment use needed from another
department of College, evaluation services
Federal Post Award Administration
• Office of Management Budget (OMB) Circulars, Educational
Institutions,
http://www.whitehouse.gov/omb/circulars_default
– OMB Circular A-21, Cost Principles for Educational Institutions
• Section J, General provisions for selected items of cost. Important
section to help determine unallowable costs.
– OMB Circular A-110, Uniform Administrative Requirements for
Grants and Other Agreements with Institutions of Higher
Education, Hospitals and Other Non-Profit Organizations
– OMB Circular A-133, Audits of States, Local Governments and
Non-Profit Organizations
Sponsored Projects Overview Handout
• Details the “cradle to grave” process of K-State’s
sponsored projects system
• Includes:
– General overview of preaward activities, financial post
award administration, project modifications,
subaward and consultant services
– Resources and Websites
– Definitions, Terms, and Additional Information
– Commonly-used Acronyms
Top 5 things for a first proposal
• Review proposal solicitation early and follow it carefully, making
note of all “must” or “required” items. (NSF GPG, 2013 version).
• If you would like assistance with proposal preparation, notify ERGP
research administrator of your intent to submit. Meet to determine
an internal timeline/task worksheet. (Proposal preparation can be
provided at PreAward Services).
• It is always better to have two opportunities for review of a
proposal than one. Follow target dates set on internal proposal
worksheet. All proposals are routed through the central PreAwards
office for final review and submission to the sponsor.
• Submit your final budget first to PreAwards for an advance review
even if the remainder of your proposal is not complete.
• Keep up good and timely communication with your co-PIs, senior
personnel, subawardee contacts, and K-State proposal
administrator.
Pivot – Funding Opportunities
• Pivot is a funding resource database and search tool
containing worldwide funding opportunities from
federal, foundation, and association sources,
http://pivot.cos.com/funding_main
• DIY handout. A how-to guide on signing up for Pivot
and a Pivot Weekly Funding Bulletin.
• Searches based on key word thesaurus.
• K-State contact: Beverly Page, Information Specialist,
ORSP, [email protected], 532-5045
Contacts
• PreAward activities:
– ERGP for untenured faculty and $1M+ proposals:
Carole Lovin, ERGP, Research Administrator
– PreAward for all other proposals:
Namrita Berry, PreAward Services, grant & contract
administrator assigned to the College of Engineering
• Post award activities:
– Department Accountant or Sponsored Project Office
representative
• Post award non-financial activities:
– Cecelia Scaler, PreAward database and project
modification specialist