Overview of Sponsored Programs

1. Overview of Sponsored Programs OVPR Jane Lee, Pre Award Administrator Sarah Lawrence, Pre Award Administrator

2. Agenda • OSP Mission & Purpose • About Sponsored Programs • Pre-Award/Contracts Administration • Introduction • Budgeting Overview • Proposal Submission • Award • Negotiation • Post-Award Administration • Introduction & Services • Cost Principles • Compliance Issues • Project Closeout • Research Education

3. OSP Mission & Purpose • To provide the best service possible to the Virginia Tech faculty and staff in their pursuit and administration of external funding. • OSP provides full service throughout the lifecycle of a project, from preliminary review to award closeout.

4. VT Sponsored Programs Facts: FY 09 Statistics • 68 Employees • Both Pre and Post Award within our office • FY 2010 • Proposals Submitted 2,944 • Amount Requested $1,465,383,672 • Awards Received 2,516 • Amount Awarded $312,372,157 • Research Expenditures $226,129,280

5. Virginia Tech Research Portfolio and Federal Agency Funding Breakdown FY2011 Sponsored Program Expenditures

6. Proposal Metrics

7. Pre Award Responsibilities • Assistance with budgeting • Review & Submission of all proposals • Negotiations of grant awards • Establishment of grant awards • All external proposals submitted by Virginia Tech PIs must be submitted through the OSP

8. Pre-Award Process Completed package & internal forms submitted to OSP OSP Submits Proposal Budget approved by OSP Send RFP to OSP Find Funding Pre-Award Negotiates and signs grant Pre-Award receives award OSP sends PAN to PI Work Begins Contracts Team Negotiates and signs contracts Contracts Team Negotiates and signs contracts

9. What you need to create a Budget • The RFP or solicitation • Proposal submission deadline • Proposal type: research, instruction, extension • Start and End dates • Full names of personnel on project • GRA step level and Post Doc annual salary • Description of equipment and supplies • Identification and paperwork for subcontractor or consultant • Identification of contractual services • Justification for reduced indirect

10. OSP Forms http://www.osp.vt.edu/formsandpolicies.html

11. Proposal Submission • Pre-award • Review all internal approval forms • Review completed application and check for errors • Work with PI to correct errors before submission • Submit to sponsor if electronic submission • Submit to processor if hard copies or email submission • Work with PI if errors arise after submission • Submission Deadlines: • Administrative documents - by 9:00 a.m. the day before • Final technical doc - by 9:00 a.m. the day of the deadline • See the full policy-http://www.osp.vt.edu/policies/osp-10-01-guidelines-for-timely-proposal-submission.pdf

12. PI Responsibility • Complete and obtain signatures for the SPAF • Complete and obtain signatures for any additional required internal forms (Form A, B or C) • Complete sponsor application and forms • Send pre-award administrator • SPAF • Budgets and other required docs excluding electronically submitted technical narratives • Send pre-award admin technical proposal and final proposal by 9 am on the deadline day • Be available by email or phone during the submission process in case questions or errors arive • Make any necessary corrections to errors as they arise

13. Types of Agreements • Grant • Financial assistance • For public good – not to be restricted for commercial or internal use • Federal Grants use standard federal assistance terms • Contract • Procurement of research services • Specific obligations and detailed terms & conditions • Federal Contracts use Federal Acquisition Regulations (FARs) • Cooperative Agreement • Sponsor and VT cooperate on a specific SoW with both parties assigned specific responsibilities • Specific obligations and usually detailed terms • Federal Cooperative Agreements use federal assistance terms

14. Award Negotiation • OSP must review for: • Type of Award (cost reimbursable or fixed price) • Budget Limitations / Restrictions • Invoice Requirements • Technical Reporting Requirements • Export Control Restrictions • Unacceptable Terms that must be negotiated: • Laws of another state or country • Indemnification (against State Law to accept) • Intellectual Property Rights • Publication Rights

15. Post-Award Administration • Organized by Sponsor http://www.osp.vt.edu/contactus.html • Who is my Post Award Administrator? http://www.osp.vt.edu/contactus.html

16. Post Award Responsibilities: FY 09 Statistics • Review award set up • Sponsor Terms and Conditions • Process amendments on grants and contracts • Review no-cost time extensions • Monitor, review, and approve expenditures • Prepare internal budget revisions • Submit invoices and financial reports timely • Accounts Receivable management • Issue and monitor subawards • Project closeout

17. PI’s Responsibilities • Provide overall project management to ensure compliance • Manage the project budget • Request no-cost time extensions through OSP • Responsible for all expenditure transactions • Certify time & effort • Submit technical progress reports timely • Ensure grant or contract requirements are fulfilled

18. Cost Principles • Costs must be: • Reasonable and necessary for the performance of the sponsored program • Allocable and verifiable • Allowable under regulations • Consistent • Within the timeframe of the project

19. Major Compliance Issues • Cost Transfers – moving overages from one federal project to another • Charging administrative costs to federally funded projects • Effort Certification – retroactive PAR certification

20. Non-Financial Compliance • Export Control – VT must ensure it is in compliance with export control and trade sanctionshttp://www.oesrc.researchcompliance.vt.edu • Research involving human subjects requires approval form IRB • Research involving animals requires IACUC approval

21. What are the risks of noncompliance? • 2009 $1.7M Duke – Improper Admin & Clerical Costs • 2008 $7.6M Yale – Effort Reporting, Improper Cost Transfers • 2006 $2.5M Univ. Connecticut – Service Center Billing Rates • 2005 $4.4M Cornell – Grant funds paid to Non-Research personnel • 2005 $6.5M Mayo Clinic – Improper Cost Transfers • 2005 $11.5M Florida International – Improper Cost Transfers • 2004 $2.6M Harvard - Grants billed for Unrelated Salaries • 2003 $5.5M Northwestern – Faculty Effort Reporting

22. Project Completion & Close-Out • 60 Day Close Out Letter-Automated System • OSP/Department Communication • Title to equipment • Reporting: SF 425, DD882, Etc. • Final report = Final payments

23. Contact Information 23 • To find the funding opportunities at VT site: • http://www.research.vt.edu/funding/ou/ • Important Points of Contact: • Website: www.osp.vt.edu • Phone: 540-231-5281/ Fax: 540-231-3599 • John Rudd, assistant VP for Sponsored Programs Admin • Lauren Magruder, Director of Pre-Award • Kim Linkous, Director of Post-Award • Kristen Mittelman, Director of Contracts Team

24. To Add Delegate in Cayuse 424 • To Add Delegate • Log into Cayuse • Select Professional Profile • Search for you – professional profile screen displays • Select the Permission icon (top of the right corner) • Add user/group • Check the box under ‘Write’ – will give this user the ability to update the PI’s professional Profile and add themselves as a Delegate • Sign out • To Be a Delegate (Admins) • Log into Cayuse • Select Professional Profile • Search for the needed PI – enter their name and select the PI • Click ‘Routing Profile button – at the bottom • Click Add icon – green plus sign • Search for your name and click ‘Add Delegates’ Box • Delegates can update the professional profile of the PI and approve a proposal in Cayuse if needed