Office of Research Services

1. Office of Research Services Welcome to the University of Oklahoma!

2. You have an idea… • Research Information Services • Ella Faulkner, RIS Coordinator • Robertson Hall, Room 213 • (405) 325-5868 or efaulkner@ou.edu • Services include: • Community of Science (COS) http://www.cos.com • Weekly on-line list of funding opportunities

3. Resulting in a Proposal • Proposal Services • For questions, contact Jennie Parker • Robertson Hall, Room 134 • (405) 325-6054 or jiparker@ou.edu • Services include: • Proposal preparation assistance • Budget verification • Routing of proposals for University approval • Copying and dissemination of final proposal

4. Proposal Gets Funded • Research Administration • For questions, contact Jennie Parker • Robertson Hall, Room 134 • (405) 325-6054 or jiparker@ou.edu • Services include: • Final review and sign-off of proposal • Negotiation of award agreement • Ensures research compliance • Ongoing liaison to sponsor

5. Proposal Becomes a Project • Post Award Financial Services (PAFS) • For questions, contact Suzanne Burgess • Robertson Hall, Room 214 • (405) 325-4979 or suzanne@ou.edu • Services include: • Account management • Financial reports to PIs and sponsors • Invoices for reimbursement of expenditures • Oversight of external and internal audits

6. Research Council Funding • Research Council • Dr. Robert Houser, Chair • Meets the 3rd Monday of each month • Proposals due 1st working day of the month • Contact Linda Kilby • Robertson Hall, Room 134 • (405) 325-4757 or lkilby@ou.edu

7. Other Issues • Contact the Office of Research Services • Andrea Deaton • Robertson Hall, Room 134 • (405) 325-4757 • Services include: • Facilities Use Agreements • Consortia Agreements • Research Compliance Assistance • Internal Competitions

8. Proposal Submission Process

9. Why Route? • The proposal routing process makes the appropriate people (department chairs and college deans for PI and any Co-PIs) aware of the proposal and requires their signature. • Once the internal signatures are secured, the ORS authority to submit proposals on behalf of the University is secured. Signature authority for this vests with those authorized by the Board of Regents.

10. Information Sheet • Notifies the Office of Research Services of your intent to apply for external funding • Fill out the Information Sheet at http://research.ou.edu/proposal/infosheet/infotype/InfoMain_2008.asp

11. Materials Needed to Route • Statement of Work (also called “Project Summary” or “Abstract” – does not have to be the final version) • Detailed Budget • If you have a Subcontractor in the budget, we must have the Subcontractor • Letter of Commitment from Authorized Official • SoW • Detailed Budget • Budget Justification • Budget Justification • Documentation of Cost Sharing (if applicable) • Forms Requiring Signatures (if applicable)

12. Budget Components • Direct Costs • Expenses identified specifically with a particular sponsored project • Expenses that can be assigned to that project with a high degree of accuracy • Must be allowable, allocable, reasonable & necessary for the program; given consistent treatment; and conform to sponsor limitations

13. Budget Components • Indirect Costs – hereinafter referred to as Facilities & Administrative Costs • Costs incurred for common or joint objectives which cannot be identified to a specific direct cost activity • Facilities • Salaries of administrative and clerical staff • Office supplies (may be allowable if attributed directly, specifically, and only to the project) • Postage (may be allowable if attributed directly, specifically, and only to the project – NO STAMPS) • Memberships F&A Costs are real costs to the University

14. DIRECT PROJECT COSTS Personnel Costs Fringe Benefits Equipment Travel Other Direct Costs Materials & Supplies Publication Costs Consultant Costs Computer Services Subcontracts Tuition Other INDIRECT COSTS Facilities & Administrative Costs COST SHARING Cash In-kind Third party Other Unrecovered IDC IDC on cost share Contributed IDC Budget Categories

15. Cost Sharing Sources • PI • Department • College • University • OK Regents for Higher Education • Third party (subcontractors, industry partners, etc.) • VPR • Cash • F&A on cost share – goes into F&A pool • Unrecovered F&A • Contributed F&A

16. VPR Cost Sharing Request Form • http://research.ou.edu/about/cost_share_req.asp

17. ORS Training Opportunities • http://research.ou.edu/workshops/workshops.asp

18. Award Negotiation

19. Types of Agreements • Standard Grants and Cooperative Agreements from Sponsors like NSF, DOC-NOA (e.g., the CIMMS Cooperative Agreement), DOE, etc. • Significant Sponsor involvement in research to be conducted. • Have standard Terms and Conditions (T&C) that are more “university friendly” and require less or minimal negotiation in order to accept. • Contracts • Very specific deliverables and dates. We will sometimes see these from the Federal government but they are more common from private industry who receive Federal funding. • Often “flow down” Prime Agreement (i.e., Federal) regulations which can be problematic for universities. • Sponsored Research Agreements • Initiated by the Sponsored Programs Coordinator (SPC) when working with a Sponsor who may not have their own document or when a starting place is needed for negotiations. • Includes the preferred language of the university.

20. What we legally cannot accept: binding arbitration indemnification negligence waiver of legal rights governing law other than Oklahoma “warrants” “partners” or “partnerships” publication restrictions What we can negotiate: legal recourse (e.g., “To the extent permitted by State law . . .”) responsible for our own negligent acts and omissions governing law (we can remain silent) “represents” Standard Exceptions There are many issues that require the involvement of the Office of Technology Development (OTD), Legal Counsel, and the Office of Export Controls (OEC) for areas that fall outside of the ORS purview. However, ORS serves as the central point of contact between these and other university departments and the Sponsor for necessary negotiations.

21. Some Friendly Reminders . . . • Proposals are a deadline business. • The Infosheet is our vehicle for managing deadlines and workflow. • Faculty members are integral part of our process. • ORS review at the proposal stage ensures University compliance and authorization and helps avoid potential budgetary issues at the award stage. • If you have any questions, please contact us!

22. Post Award Administration Introduction: Who does what? These slides outline the Post Award cycle and the distribution of responsibilities

23. The ORS “Process” COMMUNICATION IS KEY!

24. Account Set Up • Award Packet received from Pre-Award • Signature Authorization form sent out to PI (sample in handout) • Award set up in University Financial System after Signature Authorization form is received back from PI • A sample of the “Account Status and Confirmation Report” is in handout Contact: Suzanne Burgess @ 325-4979

25. Account Management: Department Responsibilities • Principal Investigator oversees all project expenses • Ensure proper costs are allocated to projects • Review accounts regularly (monthly) • Review for unallowable expenses • Monitor encumbrances • Review for overdrafts • Initiate cost transfers • Continue to track acct balances after project end date • Review and return Effort reports within time deadlines • Maintain contact with Financial Coordinator

26. Account Oversight: Post Award Responsibilities • Oversight by Financial Coordinator is assigned by department • Review account set up • Perform expenditure oversight • Assist with budget adjustments and cost transfers • Assist with the removal of unallowable expenses • Process cost based invoices and payroll items • Review Labor Distribution adjustments • Bill Sponsors and prepare Financial Reports for Sponsors • Perform close out functions

27. OMB CIRCULARA-21 Cost Principles for Educational Institutions • Prior to the issuance of A-21 by OMB in 1958, each federal agency developed and maintained its own cost recovery policies

28. A-21 Basis • Represented a concerted effort at the federal level to establish government wide cost principles • Principles designed to provide that the federal government bear its fair share of total costs

29. A-21 General Standards for Cost Allowability • Reasonable- A cost is considered reasonable if the goods or services acquired, and the amount involved, reflect the actions that a prudent person would take under the circumstances • Allocable-An allocable cost is one that can be charged to a project in accordance with relative benefits received. • Consistent Accounting Treatment- All costs must be treated consistently. This means that a particular cost should always be treated the same- either as a direct or indirect cost.

30. Effort Reporting • Meets A-21 standards • Documents effort expended on sponsored projects • Shows costs associated with university activities • Grantees must meet acceptable levels of documentation and accountability for effort in relation to salary and wages • Penalties for non-compliance are severe

31. Effort Reporting @ OU • Done Monthly • Created for all employees paid on sponsored projects • Paid effort should equal actual effort • PI or person with suitable knowledge should review and certify reports • Certified reports kept on file for audit

33. EFFORTREPORTING Confirm Payroll Place Cost Share Information Here Sign and return form to Post Award within 30 days of receipt.

34. Overview: Typical Process Effort reports completed, approved , returned to PAFS Salary Costs charged based on award budget End of specified time period reached Reports generated sent out to department Adjustments made if necessary Effort reports filed

35. Principal Investigator Responsibilities • Technical Reports and all deliverables • Patent disclosures • Invention statement • Scientific record retention • Verifying appropriateness of expenses • Oversight of department responsibilities • Notifying Pre Award that technical report is sent

36. Departmental Responsibilities • Tracking project end date • Timely filing of reports • Removal of encumbrances • Removal of unallowable expenses • Record retention