Pre-Award - PowerPoint PPT Presentation

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Pre-Award

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Title: PowerPoint Presentation Author: Denton Last modified by: dgaramvo Created Date: 11/8/2001 8:55:20 PM Document presentation format: On-screen Show – PowerPoint PPT presentation

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Title: Pre-Award


1
Policy Training Program for the Lifecycle of an
Account
Pre-Award
Presented by Kim Dixon Dani Garamvolgyi
Content Experts Kim Dixon, Dani Garamvolgyi, Rob
Dimmitt, Debbie Horton Liz Rulli
2
Course Content
  • Objectives
  • Introduction
  • Proposal Issues
  • Cost Identification
  • Facilities Administration Costs
  • Cost Sharing
  • Mission Metrics
  • Resources

3
Course Objectives
  • Upon completion of this course you will
  • Understand proposal issues
  • Understand cost identification
  • Understand why we have FA costs
  • Understand why we cost share
  • Understand the mission and metrics of the
    University

4
Proposal Issues
  • Why do we need a proposal?
  • Represents an offer by Purdue University
  • Ensure that scope of work is clearly identified
  • What should a proposal include?
  • State work or service performed
  • Identification of responsible parties who will
    perform work
  • Budget for the scope of work

5
Proposal Issues
  • Why do we need academic approval?
  • All proposals must have endorsement of
    responsible parties
  • At Purdue this responsibility has been delegated
    to Sponsored Program Services (SPS)
  • Incorporated into a legal binding agreement
    between sponsor and the University

6
Proposal IssuesRoles
  • Principal Investigators Co-Investigators
  • Budget
  • Technical content
  • Quality
  • Adherence to sponsor guidelines
  • Proposal Submission Form questions (including
    Yes/No questions regarding confidential
    information, space, and equipment)

7
Proposal IssuesRoles
  • Department Heads Center Directors
  • Certify academic soundness of project
  • Compatibility of project with Investigators other
    commitments
  • Availability of space and facilities
  • Cost Sharing committed by Department/Center
  • Project is in keeping with Department/Center and
    University objectives

8
Proposal IssuesRoles
  • Department Heads Center Directors cont.
  • Budget is properly costed
  • Management of conflict of interest
  • Unlike circumstances are documented

9
Proposal IssuesRoles
  • Deans
  • Determine appropriateness
  • Confirms resources are available
  • Budget is properly costed
  • Unlike circumstances are documented

10
Proposal IssuesRoles
  • Business Office
  • Review sponsor guidelines
  • Submit proposal notification form to SPS Pre
    Award Services
  • Prepare budget using COEUS
  • Ensure COEUS budget matches sponsor budget and
    budget justification
  • Check for cost sharing and prepare necessary
    forms

11
Proposal IssuesRoles
  • Business Office (continued)
  • Ensure Subcontract Statement of Work, budget, and
    budget justification are received and approved by
    PI
  • Ensure proper proposal formatting and electronic
    submission are used per sponsor guidelines
  • Ensure proper academic and business office
    signatures are obtained
  • Forward completed proposal package, including
    required copies to SPS Pre Award Services

12
Proposal IssuesRoles
  • Sponsored Program Pre Award Services
  • Ensure compliance with applicable laws,
    regulations and University rules
  • Work with VP for Research to review compliance
    issues (ex. regulatory, export control, COI)
  • Submit proposals on behalf of Purdue

13
Proposal Issues
  • Why obtain academic certification?
  • PSF provides compliance assurances
  • PSF provides information regarding accompanying
    proposal
  • PSF provides assurances that University and
    Federal guidelines are fulfilled
  • Questions on the PSF pertain to the technical
    scope of the work

14
Proposal Issues
  • Why should the BO not certify proposals?
  • These individuals do not have knowledge of the
    technical aspects of the proposal
  • Business office and PI should be available during
    proposal submission process so issues can be
    resolved before proposal leaves the University

15
Proposal Issues
  • Why review and follow sponsor guidelines?
  • Business office, PI, SPS are responsible for
    reading and understanding the sponsor guidelines
  • Ensure university is in compliance with sponsor
    guidelines
  • Failure to follow guidelines may cause proposal
    to be returned without review by sponsor
  • Ensure using most current version Read
    guidelines more than once
  • Review for allowable FA rates, mailing
    addresses, budget restrictions, required forms,
    submission method, and deadlines (including time
    of day)

16
Proposal Issues
  • Why document subcontracts with the proposal?
  • PI is responsible for certifying statement of
    work and budget from subcontract are reasonable
    and accurate
  • Subcontractors must submit to Purdue a statement
    of work and proposed budget for their portion of
    the work including institutions authorized
    signature (which is included with Purdues
    proposal)

17
Proposal IssuesDiscussion Topic
  • A proposal is received in SPS with a subcontract
    to University of Kentucky. The statement of work
    provided is very generic and does not list
    specific deliverables.
  • After the project has been awarded and the first
    reporting period completed, the investigator at
    the University of Kentucky only provides a one
    page report that does not cover all the sponsor
    requirements.
  • How could this have been prevented?

18
Proposal Issues
  • What is a conflict of interest (COI)?
  • When a faculty or staff member receives personal
    financial reward from his/her University position
    in a manner which may bias the individuals
    judgment or compromise his/her ability to carry
    out the contractual obligation for teaching,
    research, administrative, and service
    responsibilities

19
Proposal Issues
  • Why do COIs need to be identified?
  • Sponsors may require notification
  • Purdue is required to manage COIs
  • What is the Business Offices role?
  • To ensure PI discloses COI on PSF
  • What is the Department Heads role?
  • Identify possible faculty COIs
  • Refer COIs to Bill Baitinger or Voichita Dadarlat

20
Proposal IssuesDiscussion Topic
  • Professor Smith is submitting a proposal to NSF
    with a subcontract to ABC Corp included. You are
    aware the Professor Smith is a part owner in ABC
    Corp.
  • Is this a conflict of interest?
  • What are the responsibilities of the Business
    Office? SPS?

21
Proposal Issues
  • Why do we need to review terms and conditions?
  • Particularly important with Industrial
    Foundation proposals
  • Important because of Intellectual Property (IP)
  • Ensure Universitys properties are protected

22
Proposal Issues
  • What are the differences between gifts, grants,
    contracts and voluntary support?
  • Each has its own unique requirements and levels
    of restrictions
  • Level of Restrictions
  • No Economic Benefit Legal Binding
    documents
  • To Sponsor

Legal Binding Documents
No Economic Benefit to Sponsor
Gifts
Voluntary Support
Grant
Cooperative Agreement
Contract
23
Cost Identification
  • Why is it important to make sure a proposal is
    properly costed?
  • Ensure processes and systems are designed in
    accordance with government regulations
  • Ensure governmental agencies bear their fair
    share of total project costs
  • Ensure consistency in proposal budgeting

24
Cost Identification-Discussion Topic
  • A clerk in the BO is working on a proposal for
    Professor Miller. Professor Miller requests that
    the fringe benefit default rates included in the
    proposal be changed.
  • Is this request appropriate?
  • Why or Why not?

25
Cost Identification
  • Why should we not over-commit key personnel?
  • Budgeting 100--are there no other
    responsibilities?
  • All activities must be taken into consideration
  • Look at commitment across all sponsored projects
  • Think about commitments from a PAR perspective
  • Review Current Pending

26
Cost IdentificationDiscussion Topic
  • Professor Brown holds a position of Asst Dean for
    50 CUL (FTE) and full professor of Biology for
    50 CUL. A proposal is submitted with Professor
    Browns position in the deans office with effort
    of 25 included on the project. Professor Brown
    is already committed to two awarded proposal with
    15 effort on each project. Is Professor Brown
    overcommitted in his College of Science position?
    What should you do?

27
Cost Identification
  • Why track unlike circumstances?
  • CAS and OMB Cir. A-21
  • When certain situations exist, costs that are
    normally considered an indirect cost may be
    charged as direct costs to federal projects.
  • Examplesclerical or administrative salaries,
    office supplies, postage, local telephone or PDN
    charges (must be justified in the budget
    justification)
  • Purdue has disclosed how charges will be treated
    (direct or indirect)

28
Cost Identification
  • Why is a budget not just a budget?
  • Expectation is that work will be completed within
    the approved budget guidelines
  • May have impact on funding decisions
  • We may have to provide back-up documentation to
    support our budget before an award can be made

29
Facilities and Administration
  • When will Purdue accept limitations on FA?
  • Accepted for Not-for-Profit and Foundations
  • Mission/goals of these types of organizations are
    to benefit the public well being as a whole
  • Director of SPS approves with concurrence of Dept
    Head and Dean
  • Why cant Purdue accept limitation on FA for
    For-profit entities?
  • FA costs are REAL costs to the University
  • If granted, PU would be subsidizing a For-Profit
    entity
  • What other terms may be used to describe FA
  • Indirect Costs, IDC, or overhead

30
Facilities and Administration
  • Why are FA waivers required?
  • Ensure University has reviewed request
  • Ensure full cost recovery
  • Can scope be adjusted?
  • If we waive FA inappropriately, could jeopardize
    the negotiation of the rate agreement

31
Facilities and Administration
  • What determines on and off campus?
  • Activity needs to be off campus for a full
    semester or summer session
  • Facilities portion of the FA rate is not
    charged, reducing the rate (26 represents the
    admin portion of the rate)

32
Facilities and AdministrationDiscussion Topic
  • Professor Black is going to travel for the summer
    doing research. Hell be attending different
    conferences, etc. He would like the off campus
    rate for the period of his travel.
  • Is this an acceptable circumstance for requesting
    the off campus rate?
  • Why or why not?

33
Cost Sharing
  • Why do we cost share?
  • Show the Universitys support for the project
  • May affect funding decision by sponsor

34
Cost Sharing
  • Why do we document cost sharing that is committed
    but not required by the sponsor?
  • If shown in the proposal in an auditable manner,
    becomes part of the proposal budget
  • These resources are necessary to complete the
    scope of work identified in the proposal
  • Documentation helps during audit

35
Cost Sharing
  • What are the different types of Cost Sharing
  • Contributed Facilities Administrative Costs
  • Voluntary Cost Sharing
  • Memo Match
  • Single Account Cost Sharing

36
Cost Sharing
  • Why identify different types of cost sharing?
  • Documentation for audits
  • Managing commitments
  • s vs. s
  • Memo Match

37
Cost Sharing
  • Why does cost sharing have to be an allowable
    sponsor cost to be allowable as cost sharing?
  • Cost sharing funds will be treated as though they
    are sponsor dollars
  • Cost sharing is viewed by the sponsor as costs
    that could be requested from them but are not and
    are being borne by the university
  • CAS and OMB Cir. A-21

38
Cost SharingDiscussion Topic
  • While reviewing a proposal, the BM notices that
    the investigator has included a statement in the
    budget summary committing 10 of his AY effort.
    He has not requested this effort in the budget.
  • Is this an issue? What should the BM do?

39
Mission Metrics
  • What are the proposal classifications?
  • Research, Instruction Extension and Public
    Service
  • Why is it important to correctly classify
    proposals?
  • Directly tied to universitys missions
  • Drives reporting
  • Helps gauge activity
  • Determines appropriate FA rate in Coeus

40
Mission Metrics
  • Why is credit split important?
  • Credit split on the Proposal Submission Form
    (PSF) and in Coeus directly affects reporting
  • Credit splits need to be identified and certified
    by PI and Co-PI
  • Why is proposal type important?
  • Coeus proposal types http//www.purdue.edu/coeus/g
    uide/modules/propdev/coredata/main/proposaltypes.h
    tml

41
Resources
  • http//www.purdue.edu/sps/proposals/Welcome.html
    Current Pre-Award Website
  • http//www.purdue.edu/Research/vpr/policies/index.
    shtml
  • http//www.purdue.edu/coeus/guide/
  • http//www.purdue.edu/business/bpnews/
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