Jane Lee, Pre Award AdministratorSarah Lawrence, Pre Award Administrator

OVPROVPR

Overview of Sponsored Programs

Agenda

• OSP Mission & Purpose• About Sponsored Programs• Pre-Award/Contracts Administration

– Introduction – Budgeting Overview– Proposal Submission– Award– Negotiation

• Post-Award Administration– Introduction & Services– Cost Principles – Compliance Issues– Project Closeout

•Research Education

OSP Mission & Purpose

To provide the best service possible to the Virginia Tech faculty and staff in their pursuit and administration of external funding. OSP provides full service throughout the lifecycle of a project, from preliminary review to award closeout.

VT Sponsored Programs Facts:

68 EmployeesBoth Pre and Post Award within our office

FY 2010 Proposals Submitted 2,944 Amount Requested $1,465,383,672 Awards Received 2,516 Amount Awarded $312,372,157 Research Expenditures $226,129,280

FY 09 Statistics

Virginia Tech Research Portfolio and Federal Agency Funding Breakdown

FY2011 Sponsored Program Expenditures

Proposal Metrics

Pre Award Responsibilities

• Assistance with budgeting • Review & Submission of all proposals• Negotiations of grant awards• Establishment of grant awards

All external proposals submitted by Virginia Tech PIs must be submitted through the OSP

Pre-Award Process

Find Funding

Send RFP to OSP

Budget approved by OSP

Completed package & internal forms submitted to OSP

OSP Submits Proposal

Pre-Award receives award

Pre-Award Negotiates and signs grant

OSP sends PAN to PI

Work Begins

Contracts Team Negotiates and signs contracts

Contracts Team Negotiates and signs contracts

What you need to create a Budget

• The RFP or solicitation• Proposal submission deadline• Proposal type: research, instruction, extension• Start and End dates• Full names of personnel on project• GRA step level and Post Doc annual salary• Description of equipment and supplies• Identification and paperwork for subcontractor

or consultant• Identification of contractual services• Justification for reduced indirect

OSP Forms

http://www.osp.vt.edu/formsandpolicies.html

Proposal Submission

• Pre-award • Review all internal approval forms• Review completed application and check for errors• Work with PI to correct errors before submission• Submit to sponsor if electronic submission • Submit to processor if hard copies or email submission• Work with PI if errors arise after submission

• Submission Deadlines: •Administrative documents - by 9:00 a.m. the day before •Final technical doc - by 9:00 a.m. the day of the deadline•See the full policy-http://www.osp.vt.edu/policies/osp-10-01-guidelines-for-timely-proposal-submission.pdf

PI Responsibility

• Complete and obtain signatures for the SPAF• Complete and obtain signatures for any additional required

internal forms (Form A, B or C)• Complete sponsor application and forms• Send pre-award administrator

• SPAF• Budgets and other required docs excluding electronically submitted

technical narratives

• Send pre-award admin technical proposal and final proposal by 9 am on the deadline day

• Be available by email or phone during the submission process in case questions or errors arive

• Make any necessary corrections to errors as they arise

Types of Agreements

• Grant• Financial assistance• For public good – not to be restricted for commercial or internal

use• Federal Grants use standard federal assistance terms

• Contract• Procurement of research services• Specific obligations and detailed terms & conditions• Federal Contracts use Federal Acquisition Regulations (FARs)

• Cooperative Agreement• Sponsor and VT cooperate on a specific SoW with both parties

assigned specific responsibilities• Specific obligations and usually detailed terms• Federal Cooperative Agreements use federal assistance terms

Award Negotiation

• OSP must review for:• Type of Award (cost reimbursable or fixed price)• Budget Limitations / Restrictions• Invoice Requirements• Technical Reporting Requirements• Export Control Restrictions

•Unacceptable Terms that must be negotiated:• Laws of another state or country• Indemnification (against State Law to accept)• Intellectual Property Rights• Publication Rights

Post-Award Administration

Organized by Sponsorhttp://www.osp.vt.edu/contactus.html

Who is my Post Award Administrator?http://www.osp.vt.edu/contactus.html

Post Award Responsibilities:

Review award set up Sponsor Terms and Conditions Process amendments on grants and

contracts Review no-cost time extensions Monitor, review, and approve expenditures Prepare internal budget revisions Submit invoices and financial reports timely Accounts Receivable management Issue and monitor subawards Project closeout

FY 09 Statistics

PI’s Responsibilities

Provide overall project management to ensure compliance

Manage the project budget Request no-cost time extensions through

OSP Responsible for all expenditure transactions Certify time & effort Submit technical progress reports timely Ensure grant or contract requirements are

fulfilled

Cost Principles

Costs must be: Reasonable and necessary for the

performance of the sponsored program Allocable and verifiable Allowable under regulations Consistent Within the timeframe of the project

Major Compliance Issues

•Cost Transfers – moving overages from one federal project to another

•Charging administrative costs to federally funded projects

•Effort Certification – retroactive PAR certification

Non-Financial Compliance

•Export Control – VT must ensure it is in compliance with export control and trade sanctions http://www.oesrc.researchcompliance.vt.edu•Research involving human subjects requires approval form IRB•Research involving animals requires IACUC approval

What are the risks of noncompliance?

• 2009 $1.7M Duke – Improper Admin & Clerical Costs• 2008 $7.6M Yale – Effort Reporting, Improper Cost Transfers• 2006 $2.5M Univ. Connecticut – Service Center Billing Rates• 2005 $4.4M Cornell – Grant funds paid to Non-Research

personnel• 2005 $6.5M Mayo Clinic – Improper Cost Transfers• 2005 $11.5M Florida International – Improper Cost Transfers• 2004 $2.6M Harvard - Grants billed for Unrelated Salaries•2003 $5.5M Northwestern – Faculty Effort Reporting

Project Completion & Close-Out

• 60 Day Close Out Letter-Automated System

• OSP/Department Communication

• Title to equipment

• Reporting: SF 425, DD882, Etc.

• Final report = Final payments

Contact Information

• To find the funding opportunities at VT site:http://www.research.vt.edu/funding/ou/• Important Points of Contact:Website: www.osp.vt.eduPhone: 540-231-5281/ Fax: 540-231-3599

• John Rudd, assistant VP for Sponsored Programs Admin • Lauren Magruder, Director of Pre-Award• Kim Linkous, Director of Post-Award• Kristen Mittelman, Director of Contracts Team

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To Add Delegate in Cayuse 424 To Add Delegate

1. Log into Cayuse 2. Select Professional Profile3. Search for you – professional profile screen displays4. Select the Permission icon (top of the right corner)5. Add user/group6. Check the box under ‘Write’ – will give this user the ability to update the PI’s

professional Profile and add themselves as a Delegate7. Sign out

To Be a Delegate (Admins)

1. Log into Cayuse2. Select Professional Profile3. Search for the needed PI – enter their name and select the PI4. Click ‘Routing Profile button – at the bottom5. Click Add icon – green plus sign6. Search for your name and click ‘Add Delegates’ Box

Delegates can update the professional profile of the PI and approve a proposal in Cayuse if needed