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Keys to Successful Sponsored Award Processing

Keys to Successful Sponsored Award Processing. Program for Sponsored Award Faculty and Staff Fall 2008 Neta Fernandez Ancelmo (Sam) Encinias. Agenda . Whose idea? Various Players Proposal cycle Award cycle Basics Cost Accounting Standards (CAS) Cost Share and Other Costing Basics

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Keys to Successful Sponsored Award Processing

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  1. Keys to Successful Sponsored Award Processing Program for Sponsored Award Faculty and Staff Fall 2008 Neta Fernandez Ancelmo (Sam) Encinias

  2. Agenda • Whose idea? • Various Players • Proposal cycle • Award cycle • Basics • Cost Accounting Standards (CAS) • Cost Share and Other Costing Basics • Audits • Questions

  3. Whose Idea Was This? Began with various committee recommendations: • Grant and Contract Process • F&A Recovery • Disclosure Statement

  4. Unanimous Recommendation • Mandatory (and ongoing) training • Reduce duplication of CAS justifications in budgets • Streamline grant and contract process

  5. Other Workshops • Cost Accounting Standards (CAS) • Cost Sharing • Export Control • Others, as requested

  6. Various Players

  7. Who is Research Center • Reports to the college Associate Dean or Director • Available to PI’s for questions and info • Assist with proposal • Questions on purchases/expenditures

  8. Who is OGC? • Reports to VPR • ~10 research administrators • Submits all proposals • Negotiates with agencies • Provides assistance/training • Provides authorized signature for Board of Regents • Responsible for close out

  9. Who is Sponsored Projects Accounting (SPA)? • Reports to Senior Vice President for Business, Finance, and HR • Creates indexes • Invoicing/billing • Review & process financial trans- actions, ensuring compliance with federal, agency and NMSU regulations

  10. Proposal Cycle Sam Encinias

  11. How to do Proposals? PI writes proposal PI works with RC on budget and assembling proposal as required by Sponsor RC submits proposal to OGC OGC reviews, approves, submits proposal

  12. Proposal Deadlines • 5 Days before deadline to OGC for all Electronic Proposals that must be submitted through the Grants.gov on-line portal • 48 Hours before deadline to OGC for Non-Grrants.gov proposals • Allow extra lead time for Complex Proposals

  13. Complex Proposals • Key is the RFP • New Sponsor with Unique Guidelines • Work is Interdisciplinary • Includes Partners – Subcontractors • Center Grants – Multi Year • Cost Share or In-kind • Foreign Countries – Export Controls

  14. Keys to a Successful Proposal • Start Early • Team Effort • Cover all your bases up front

  15. YEA – Received Award Neta Fernandez

  16. Award Cycle • OGC receives award • OGC reviews and negotiates • OGC prepares award packet • OGC sends packet to SPA • SPA creates index • OGC and RC notified of index# • Finally…PI begins research

  17. Let’s Discuss the Basics Basics

  18. Definitions of Agreement Grant: more flexible than contract; team oriented; deliverables normally consist of report Contract: issued by external sponsors for detailed statement of work with final or milestone deliverables

  19. Definitions of Agreement Cooperative Agreement: similar to grant but has statutory criterion that anticipates substantial agency involvement

  20. Definitions of Agreement Gift: a donation, no deliverables; all gifts processed through the Office of the Vice President for University Advancement * Colleges sometimes have one specific person who deals with Advancement

  21. Types of Awards • Fixed Price • Cost Reimbursable

  22. Fixed Price Grant or contract for which one party pays the other party a pre- determined price, regardless of actual costs, for services rendered * More common on contracts

  23. Cost Reimbursable Grant or contract where one party pays other party for full allowable costs incurred during project. Based on actual costs incurred including direct and indirect costs. * Common on grants

  24. Cost Accounting Standards (CAS) “The Rule”

  25. Sponsored Award Costs There are two ways to charge to a sponsored award: • Direct costs • Indirect costs

  26. Cost Accounting Standards (CAS) • Created as act of Congress, 1971 • Applied to universities in 1996 • Promoted greater standardization of costs • Goal to tighten rules on allowability/ allocation

  27. Direct Costs OMB Circular A-21 definition: Those costs that can be specifically identified to the cost objective with relative ease and a high degree of accuracy

  28. Examples of Direct Costs • Salaries and wages including fringe • Non-office supplies • Subcontracts • Animal use fees • Travel related to project

  29. Facility and Administrative (F&A or Indirect Costs) OMB Circular A-21 definition: Costs that are incurred for common or joint objectives and therefore, cannot be identified readily and specifically with particular sponsored project, an instructional activity, or any other institutional activity

  30. Examples of F&A Costs • Operation and maintenance of buildings • Library costs • Administrative office supplies

  31. Charging Indirect Costs as Direct Costs • Must be required by scope of work • Cost can be accurately identified / allocated to project • Must be unique requirement and be justified • Evaluated on case-by-case basis

  32. Is it Acceptable? For example, office supplies are considered under F&A costs. If you can show that the office supplies are an unlike circumstance or are excessive for this project, you can write a justification and get approval for charging as a direct cost.

  33. Office Supplies Example Program is to promote AIDS Awareness on campus. Requires unusually large amount of supplies to prepare brochures and educational training materials for workshops

  34. Supplemental Compensation For exempt staff and faculty to be paid supplemental compensation, the work must: • cross departmental lines or be at remote site AND • be performed in addition to regular workload

  35. Supplemental Compensation • Must have agency approval • Must have approved CAS justification • Must comply with NMSU policy and procedures

  36. Questions?

  37. Role of PI SamEncinias

  38. Get Started • Three general phases to funding cycle: -- Proposal Devel & Submission -- Project Administration -- Project Reporting & Closeout • Hopefully, Reporting & Closeout is not “forever” but leads to follow-on or subsequent grant

  39. Proposal Development and Submission Proposals have 3 general areas: • Technical Proposal (your ideas) • Management Proposal (who will do the work, does NMSU have right facilities, are protocols to conduct work in place, do we need subcontractors, etc) • Cost Proposal (who will pay for what, are costs proper, do they track with technical needs of work, etc)

  40. Proposal Development and Submission Provide a copy (ASAP) of Request for Proposal (RFP) to research center Proposal Award Form (PAF)

  41. Management Proposal • Develop staffing plan • Faculty, students, professional staff • AY and summer loads • Subcontractors? • Ensure that NMSU follows proper protocols for test subjects, laboratories, and research materials (as applicable) • Ensure everyone involved is eligible to work on the project

  42. Cost Proposal • Cost Proposal • Look for restrictions on funds, cost share requirements, etc. in RFP • Budget expenses according to CAS guidelines; justify expenses as needed for NSMU and/or RFP • Supply documentation for cost sharing or F&A caps

  43. Project Administration Project Administration Stages: • account/project setup • day-to-day administration • project reporting

  44. Day-to-Day Administration • Personnel -- allocate, monitor, track level of effort -- complete effort certifications (6 mo) -- record timesheets in timely manner • Property -- if property is purchased under grant, track property as part of NMSU inventory list

  45. Day-to-Day Administration Financial Responsibilities: • ensure cost sharing is documented and met • expend funds per approved budget • initiate, monitor, and approve expenditures for subawards • review/validate expenditures on BANNER • ensure travel expenses follow agency requirements and NMSU allowed costs

  46. Day-to-Day Administration Purchases: • Can use Purchase Order or Procurement Card • Vendors must be approved and “in system” • Use “account codes” to map purchase items to budget categories • PI initiates purchase and gets approval at department/college/unit level for appropriateness and funds available* *PI responsible if purchases are not appropriate

  47. Project Reporting • Technical Reports -- prepare project Final Report and any Intermediate Reports according to terms and conditions from agency -- disseminate project results according to proposal plan (conference proceedings, journal articles, etc) and acknowledge grant • Assist research center in final reporting of financial matters, inventions, inventory, etc

  48. More Basics

  49. Cost Sharing Definition: Portion of project costs not borne by sponsor

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