1. KSU Sponsored Projects Overview
Untenured Faculty Network
September 26, 2013

2. 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

3. 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

4. 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.

5. 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

6. 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.  

7. 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:

8. 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

9. 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)

10. 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:

11. More about Sponsored Projects
Transmittal Sheet
Determining F&A Costs
Subawards
Modifications and Amendments
Schedule of Charges
Federal Post Award Administration

12. 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

13. 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)
College of Engineering F&A cost distribution rates

14. 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

15. 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

16. 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)

17. 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

18. Federal Post Award Administration
Office of Management Budget (OMB) Circulars, Educational Institutions,
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

19. 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

20. 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.

21. Pivot – Funding Opportunities
Pivot is a funding resource database and search tool containing worldwide funding opportunities from federal, foundation, and association sources,
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,

22. 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.