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Managing the submission and award process

Office of Sponsored Projects Main Campus and Branches. Managing the submission and award process. What is a Sponsored Project?.

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Managing the submission and award process

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  1. Office of Sponsored Projects Main Campus and Branches Managing the submission and award process

  2. What is a Sponsored Project? • Awards (i.e. grant, contract, cooperative agreement) made to the Regents of the University of New Mexico (UNM) by external sponsors for the purpose of facilitating research, training, and public service programs. Also known as an extramural award. • Sponsoring Entities • Federal & State Government (Agencies) • Non-governmental organizations (not part of government but not for-profit) • Non-profit entities (Foundations) • For-profit entities (Industry) • National Labs • International • Guidelines We Follow • Federal: OMB Circulars, Agency Guidelines • State: Regulations • Sponsor: Guidelines • UNM: Policies and procedures

  3. UNFUNDED Research at UNM • Agreements • Licensing (software & computing) • Data Transfer Agreements • Material Transfer Agreements • Confidentiality (Non-Disclosure) Agreements • Gifts/Donations • UNM Foundation

  4. Life Cycle of a Sponsored Project

  5. Process FOR SUBMISSION

  6. Electronic Submission Timeline • FORMS • Sponsor Solicitation (RFQ. RFP) • Budget • Budget Justification • SOW • COI/Export OSP reviews submission and internal budget against solicitation; sends comments or corrections back to department to correct and finalize. Department will send finalized application back to OSP before Due Date For “Other” electronic submissions, target transmission is 48 hours prior to allow for “server jams.” Department will submit paper applications and OSP can submit “other” electronic applications depending on Sponsor guidelines.

  7. major components of a proposal • Budget & Justification • Statement of Work • Abstract • Biosketch • Resources/Facilities • Institutional Signoff

  8. BUDGETING ISSUES: COSTS Are costs allowable, allocable, reasonable? • Sponsor Guidelines • OMB Circular A-21 • UNM Policies (UAPPM) Are costs direct or indirect? • Direct: identifiable to a specific project • Indirect: incurred as part of overall operations • Example: Salaries and wages of administrative staff are generally unallowable as direct EXCEPT if it meets the test of “major project” as defined in A-21 Exhibit C. NOTE: Application of costs should be CONSISTENT

  9. BUDGETING ISSUES: COSTS Identify Cost Categories Unidentified Costs: • May cause overruns on the award • May require sponsor approval for re-budgeting Holds up post-award invoicing and financial reporting Bottom line: If it’s not in the budget, ask. Personnel Costs: Proposal vs. Expenditures • Reports of time and effort must be certified Bottom line: Inaccurate Reporting = Audits = Findings

  10. THE SPONSORED PROJECTS TEAM • Principal Investigator/Department Administrator • Faculty Research Support Officer • Sponsored Projects Officer/Contract & Grant Administrator • Contract & Grants Accounting • Fiscal Monitor

  11. Principal Investigator Person qualified to manage the proposed project with approval of the chair/dean. • Faculty Member or Letter of Academic Title (LAT); • Professional Staff (Grade 15 and above); or • Qualified graduate student (PI eligibility form) Responsible for all project aspects, from proposal to close • Adhering to UNM and agency policies and procedures • Completing technical requirements • Day-to-day administration

  12. FRSO RESPONSIBILITIES • Assist in identifying potential funding sources, and advise department on funding strategies. • Know the funding policies, regulations, and procedures governing the submission. • Navigate the proposal submission process with departments and answer submission questions. • Develop, analyze and review budget for compliance with policies, funding agency requirements, and appropriate accounting protocol and procedure. • Assist in creating and updating Cayuse record.

  13. OSP Responsibilities Negotiate all forms of agreements and contracts, including: • Confidentiality Agreements (CDAs) • Sponsored Research Agreements • Professional Services Agreements • Contracts/Subcontracts • Amendments/Modifications Review and Process • Grants – all agencies • Progress Reports (NIH) • No-Cost Extensions (NCEs) • Early Terminations • Relinquishment/Transfers • Awards

  14. C&GA RESPONSIBILITIES • Review final OSP packet • Set up Award in Banner • Monitor Award Spending • Prepare Close Out at End of Award • Reporting (patent/property) • Deal with Fiscal Issues • Coordinate Audits

  15. Hot Topics in Research • Export Control • Effort Certs/Reporting • Mismanagement of Awards • Subrecipient Monitoring • Fraud • Conflict of Interest • Scientific Misconduct

  16. Tools for Investigators Grants.gov http://www.grants.gov/aboutgrants/about_grants_gov.jsp NSF Fastlane https://www.fastlane.nsf.gov/index.jsp NIH eRA Commons https://commons.era.nih.gov/commons/ Allowable Costs for Sponsored Projects http://www.unm.edu/~ubppm/ubppmanual/2410.htm Effort Certification http://cgacct.unm.edu/effort-certification.html Guide for Principal Investigators: http://ovpr.unm.edu/

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