Title: Pre-Award
1Policy 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
2Course Content
- Objectives
- Introduction
- Proposal Issues
- Cost Identification
- Facilities Administration Costs
- Cost Sharing
- Mission Metrics
- Resources
3Course 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
4Proposal 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
5Proposal 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
6Proposal 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)
7Proposal 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
8Proposal IssuesRoles
- Department Heads Center Directors cont.
- Budget is properly costed
- Management of conflict of interest
- Unlike circumstances are documented
9Proposal IssuesRoles
- Deans
- Determine appropriateness
- Confirms resources are available
- Budget is properly costed
- Unlike circumstances are documented
10Proposal 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
11Proposal 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
12Proposal 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
13Proposal 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
14Proposal 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
15Proposal 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)
16Proposal 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)
17Proposal 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?
18Proposal 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
19Proposal 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
20Proposal 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?
21Proposal 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
22Proposal 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
23Cost 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
24Cost 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?
25Cost 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
26Cost 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?
27Cost 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)
28Cost 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
29Facilities 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
30Facilities 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
31Facilities 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)
32Facilities 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?
33Cost Sharing
- Why do we cost share?
- Show the Universitys support for the project
- May affect funding decision by sponsor
34Cost 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
35Cost Sharing
- What are the different types of Cost Sharing
- Contributed Facilities Administrative Costs
- Voluntary Cost Sharing
- Memo Match
- Single Account Cost Sharing
36Cost Sharing
- Why identify different types of cost sharing?
- Documentation for audits
- Managing commitments
- s vs. s
- Memo Match
37Cost 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
38Cost 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?
39Mission 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
40Mission 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
41Resources
- 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/