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.k-state.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 5.0 Unallotted 53.0 Library 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, bbpage@ksu.edu, 532-5045

Contacts PreAward activities: Post award 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 Post award non-financial activities – I typically prepare and route for eSign approval but Cecelia is the COE “back up” and can answer questions about the activity once it has been submitted to the sponsor.