College of Education Sponsored Program Proposal Processing

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College of EducationSponsored Program Proposal
Processing

• Mike Kremer, Dir. of Financial Affairs
• Greg Howell, Business Assistant
• Spring 2008

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AGENDA

• Introduction
• Components of a Proposal
• Roles and Responsibilities
• RFP/RFQ/Program Guidelines
• Classification of Proposal
• Preparing Budget Estimates
• Facilities Administration Costs
• Cost SharingTypes Impact
• Subcontracts
• Proposal Submission Form
• Signature Review Process
• AIMS Demo
• Questions ??

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Components of a Proposal

• Cover Page
• Summary/Abstract
• Introduction
• Statement of Work
• Methodology
• Budget
• Budget Narrative/Justification
• Evaluation
• Conclusion
• Appendices

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Roles Responsibilities

• Principal Investigator
• Notifies Department Head Business Office of
  intent to submit proposal (as early as possible)
• Familiarize self with submission application
• Works with BO (and SPS) on preparing budget
  papers
• Notifies Business Office of collaborating
  institution(s) and provides business contact
• Completes text and any other necessary agency
  forms in compliance with agency guidelines. May
  include Checklist, Biosketch, Budget
  Justification, Current Pending, etc.

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Roles Responsibilities

• Principal Investigator cont
• Assures the proposal meets format requirements
  (fonts, pages, etc.)
• Solicits and secures all cost share commitments
• Works with BO to complete and sign Proposal
  Submission Form
• Forwards entire proposal to BO
• Never send a proposal in yourself

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Roles Responsibilities

• Business Office
• Works with PI (and SPS) on budget
• Consults with other departmental business
  offices, when necessary
• Provides copies of final budget information to
  Co-PIs business office
• Prepares internal budget papers for proposal
• Reviews budget and checks budget justification
• Checks proposal text for budget-related statements

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Roles Responsibilities

• Business Office cont
• Consults with other institutions if subcontracts
  are involved
• Reviews cost sharing commitments and prepares
  necessary cost share forms
• Reviews proposal format requirements, of pages,
  etc., if time permits.
• Assures the Proposal Submission Form is completed
• Routes Proposal Submission Form for signatures

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Roles Responsibilities

• Department Head
• Reviews text to make sure research is within
  Purdues missions, scientifically valid, etc.
• Reviews and agrees on release time
• Reviews and agrees on cost share commitment (but
  this should not be the first time he/she is
  seeing your request for a cost-sharing
  commitment)
• Signs Proposal Submission Form to indicate
  approval of proposal for transmission to sponsor

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Roles Responsibilities

• Dean/Associate Dean for Research
• Reviews and agrees on school cost sharing
  commitment (if any)
• Reviews any space commitment
• Signs Proposal Submission Form to indicate
  approval of proposal for transmission to sponsor

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Roles Responsibilities

• Sponsored Program Services
• Assists department with proposal preparationsee
  SPS website
• www.purdue.edu/SPS/
• Quick review of technical proposal to ascertain
  type and scope of proposal
• Reviews Proposal Submission Form
• Assures all regulatory requirements are
  identified
• Reviews cost sharing and related documentation
• Reviews budget to check if project is correctly
  costed

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Roles Responsibilities

• Sponsored Program Services cont
• Assures that the proposal meets all sponsor
  guidelines including budget requirements
• Assures that all Purdue information included in
  proposal is correct and complete
• Obtains approval on any costing issues requested
• For Center proposal, obtains necessary
  documentation for further approval
• Verifies that budget data in proposal matches the
  budget justification

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Roles Responsibilities

• Sponsored Program Services cont
• Checks budget justification
• Provides Institutional approval for proposal
• Record of proposal is entered into system
• Release proposal and/or mails out proposal
• Post Award contracts, agreements, reporting,
  audits

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RFP/RFQ/Program Guidelines

• Sources of Important Information
• General Agency Guidelines
• Request for Proposal
• Request for Quote
• Program Announcement/Guidelines

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Classification of Proposal

• Research
• Instruction
• Other Sponsored Programs
• Fellowship

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Preparing Budget Estimates

• Review scope of project with Business Assistant
• Determine budget needs
• Business Assistant prepares COEUS budget estimate
• PI and Business Office review, refine and
  finalize project budget

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Preparing Budget Estimates

• Allowable Costs
• Reasonable
• Allocable
• Consistent Treatment across projects
• Consistent with sponsored agreement
• Direct Costs
• Identified specifically with a sponsored project,
  instructional or institutional activity

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Preparing Budget Estimates

• Examples of Direct Costs
• Salary Wagesfaculty, graduate students,
  professional staff, students
• Fringe Benefits
• Subcontracts
• Capital equipment
• Minor Equipment
• Long Distance Phone tollsnot the phone!
• Materials Supplies (non-office)
• Travel
• Consultants

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Preparing Budget Estimates

• Indirect Costs a.k.a Facilities Administrative
  Costs
• Those costs incurred for common or joint
  objectives and cannot be specifically associated
  with a sponsored project
• Examples of Indirect Costs
• Salaries Wages of departmental administrative
  and clerical personnel.
• General office supplies.
• Local telephone charges.
• Costs associated with providing the general
  computing environment.
• Library, Student Services
• SPS staff, business office staff, business
  services staff
• Buildings, space, etc.

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Facilities Administrative Costs

• FA costs are charged (recovered) from grants,
  contracts and other agreements by applying an
  agreed upon percentage to an adjusted set of
  direct charges to the projects.
• FA recovery is an unrestricted reimbursement to
  the University for costs already incurred.

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Facilities Administrative Costs

• The FA cost process is highly regulated and is
  administered by the federal government.
• Rates are renegotiated every three years through
  a detailed process.
• Various agencies may provide further restrictions
  on specific grants or programs.
• Documentation from agency is required
• FA Recovery is a source of revenue for the
  Universitys General Fund budget.

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Cost Sharing

• Definition
• When Purdue contributes resources to a sponsored
  program.
• Mandatory Cost Sharing
• When a sponsor requires Purdue to contribute to a
  program in order to receive funding.
• Any university contribution, whether required or
  not, including faculty effort, shown in a
  proposal becomes mandatory cost sharing.

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Cost Sharing cont

• Non Mandatory Cost Sharing
• When Purdue contributes costs to a sponsored
  program which were not listed in the proposal or
  required by the sponsor.
• Cost Sharing Accounts
• An account that is set up to specifically charge
  and track your cost-sharing commitments.
• Cost Sharing Reserve used for fringe benefits
  when cost sharing salaries from an account not
  chargeable for fringes.
• Funds transferred from a Department, Dean, or
  Central Administration (President, Provost,
  Chancellor/PRF).
• Contributed FAwhen full FA is not recoverable.

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Cost Sharing cont

• Memo Match
• Used when a proposal states there will be a
  contribution towards the program and nothing can
  be captured in the financial system to record the
  contribution.
• Cost Sharing Form 32see handout
• Approval process for cost sharing
  commitmentstart early!

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Subcontracts

• A collaborative arrangement in support of a
  research project in which some portion of the
  programmatic activity is carried out through a
  formalized agreement between the grantee and one
  or more other organizations that are separate
  legal entities independent of the grantee.

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Subcontracts

• Suitable justification for needing outside
  resources should be detailed in the proposal
  statement of work.
• Subcontractors need to submit to PU a statement
  of work and a proposed budget.
• Contact information for each subcontract needs to
  be identified.
• The first 25,000 of each subcontract is subject
  to FA.
• All letters of commitment for subcontracts need
  to be signed by the subcontractors authorized
  representative.

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Proposal Submission Form

• PURPOSE OF FORM
• The purpose of the Proposal Submission Form is to
  raise questions that should be considered by
  faculty participants and university
  administrators before endorsing a proposal to a
  funding agency. The form provides University
  staff with adequate assurances and information
  regarding the accompanying proposal to assure
  that University and Federal guidelines are
  fulfilled and that all parties indicated as
  participating in the proposed project review the
  proposal and approve the submission of the
  proposal to the indicated sponsor.

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Proposal Submission Form

• Collaborative Data
• The percent of the project, which should be
  credited to the administrative unit of that staff
  member, should be indicated. This data will be
  entered into University systems and used for
  identifying and recognizing collaboration between
  faculty members. The total collaborating percent
  on any proposal must equal 100. If no
  collaboration data is provided, the full project
  will be assigned to the project
  director/principal investigator

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Proposal Submission Form

• RESOURCE DATA
• This section is included to assure that all
  commitments of resources, including space and
  equipment, human resources and dollar funding
  necessary to complete the project have been
  obtained. Signatures on the form certify that
  these resources are available and approved for
  the designated use. This eliminates the risk of
  receiving funds for a project that facilities are
  not available or renovation of facilities would
  be required. This section also assures that funds
  are not requested for the purchase of equipment,
  which is already available at the institution for
  utilization on sponsored projects.

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Proposal Submission Form

• REGULATORY ASSURANCE AND COMPLIANCE DATA This
  section references Federal and University
  requirements for projects. Projects using Animal
  Subjects, Radioactive Materials or Radioactive
  Producing Devices, Human Subjects, Certain
  Lasers, Good Laboratory Practices (GLP), or
  Recombinant DNA or Biohazardous Materials require
  special approval. It is critical that these
  sections are carefully reviewed and that
  University Policy is followed for proposals
  involving these criteria. Signatures on the form
  certify that all answers checked are correct.

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Proposal Submission Form

• DISCLOSURES, ASSURANCES and CERTIFICATIONS for
  PIs Co PIs This section is included to
  provide certification that University and Federal
  policies regarding lobbying and conflict of
  interest are followed as well as certify the
  integrity of the activity within the proposal.
  Federal regulations require institutions to have
  policies and procedures in place to ensure that
  investigators disclose any significant financial
  interest that may present an actual or potential
  conflict of interest in relationship to
  externally sponsored programs. Such disclosures
  must be made prior to the submission of a
  proposal for funding. The PI and Co PIs are also
  required to complete certifications regarding
  statements contained in the proposal, authorship
  and reporting of the research or scientific
  conduct of the project . This section must be
  carefully reviewed and any necessary action taken
  by staff members signing this form.

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Signature Review Process

• Allow Sufficient Time For
• Department
• Business Office
• Deans Office
• Sponsored Program Services
• Transmission to agency

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Questions?