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. Objectives Introduction Proposal Issues Cost Identification Facilities & Administration Costs Cost Sharing Mission & Metrics Resources Course Content

3. Upon completion of this course you will: Understand proposal issues Understand cost identification Understand why we have F&A costs Understand why we cost share Understand the mission and metrics of the University Course Objectives

4. 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 Proposal Issues

5. 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 Proposal Issues

6. 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) Proposal Issues—Roles

7. 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 Proposal Issues—Roles

8. Department Heads & Center Directors cont. Budget is properly costed Management of conflict of interest Unlike circumstances are documented Proposal Issues—Roles

9. Deans Determine appropriateness Confirms resources are available Budget is properly costed Unlike circumstances are documented Proposal Issues—Roles

10. Proposal Issues—Roles • 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 Issues—Roles • 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. 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 Proposal Issues—Roles

13. 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 Proposal Issues

14. 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 Proposal Issues

15. 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 F&A rates, mailing addresses, budget restrictions, required forms, submission method, and deadlines (including time of day) Proposal Issues

16. 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 Purdue’s proposal) Proposal Issues

17. 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? Proposal Issues—DiscussionTopic

18. 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 individual’s judgment or compromise his/her ability to carry out the contractual obligation for teaching, research, administrative, and service responsibilities Proposal Issues

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

20. 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? Proposal Issues—Discussion Topic

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

22. What are the differences between gifts, grants, contracts and voluntary support? Each has it’s own unique requirements and levels of restrictions Level of Restrictions No Economic Benefit Legal & Binding documents To Sponsor Proposal Issues No Economic Benefit to Sponsor Legal & Binding Documents Gifts Voluntary Support Grant Cooperative Agreement Contract

23. 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 Cost Identification

24. 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? Cost Identification-Discussion Topic

25. 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 Cost Identification

26. 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 Brown’s position in the dean’s 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? Cost Identification—Discussion Topic

27. 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. Examples—clerical 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) Cost Identification

28. 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 Cost Identification

29. When will Purdue accept limitations on F&A? 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 can’t Purdue accept limitation on F&A for For-profit entities? F&A 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 F&A Indirect Costs, IDC, or overhead Facilities and Administration

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

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

32. Professor Black is going to travel for the summer doing research. He’ll 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? Facilities and Administration—Discussion Topic

33. Why do we cost share? Show the University’s support for the project May affect funding decision by sponsor Cost Sharing

34. 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 Cost Sharing

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

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

37. 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 Cost Sharing

38. 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? Cost Sharing—Discussion Topic

39. What are the proposal classifications? Research, Instruction & Extension and Public Service Why is it important to correctly classify proposals? Directly tied to university’s missions Drives reporting Helps gauge activity Determines appropriate F&A rate in Coeus Mission & Metrics

40. 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/guide/modules/propdev/coredata/main/proposaltypes.html Mission & Metrics

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